Self-Determination and Self-Administration: A Sourcebook 9781685859640

Table of contents :
Contents
Foreword
Preface
Acknowledgments
Introduction
CHAPTER 1 The Liechtenstein Draft Convention on Self-Determination Through Self-Administration
CHAPTER 2 The Right of Self-Determination Under International Law: The Coherence of Doctrine Versus the Incoherence of Experience
CHAPTER 3 Global Change and the Future of Existing Nation-States
CHAPTER 4 The Other Side of Self-Determination: State Contraction in Theory and Practice— Lessons from Britain-Ireland, France-Algeria, and Israel-West Bank/Gaza
CHAPTER 5 The United Nations and National Self-Determination: The New Interventionism and an Internationalist Alternative
CHAPTER 6 The Limits of Self-Determination
CHAPTER 7 Mayan Self-Determination: Multicultural Models and Educational Choice for Guatemala
CHAPTER 8 The Frontiers of Our Dreams Are No Longer the Same: Cultural Dynamics of Exclusion and Community in France, the United States, and Québec
CHAPTER 9 Self-Determination, Subsidiarity, and Regionalization in Contemporary Western Europe
CHAPTER 10 Self-Determination and Self-Administration in the Former Soviet Union
CHAPTER 11 Self-Determination and Nation Building in Post-Cold War Africa: Problems and Prospects
CHAPTER 12 From Nominal Autonomy to Genuine Self-Administration: A Strategy for Improving Minority Rights in China
CHAPTER 13 The Bell Curve of Ethnic Politics: The Rise and Decline of Self-Determination Movements in India
CHAPTER 14 Sudan: The Challenge of Nationhood
CHAPTER 15 Avoiding the Iron Cage of Legislated Identity
Appendix 1: List of Abbreviations
Appendix 2: The Liechtenstein Initiative at the United Nations
Appendix 3: Summary of International Conferences on Self-Determination by the Liechtenstein Research Program on Self-Determination
Appendix 4: President Woodrow Wilson's Declarations Regarding Self-Determination
Appendix 5: International Declarations Regarding Self-Determination
Appendix 6: Excerpts from Judgments and Advisory Opinions of the International Court of Justice Bearing on Self-Determination
Appendix 7: Principal Treaties and Agreements Relating to Self-Determination: 1648 to the Twentieth Century
Selected Bibliography
List of Contributors
Index
About the Book

Citation preview

Self-Determination and Self-Administration

Published in association with The Liechtenstein Research Program on Self-Determination Center of International

Studies,

Woodrow Wilson School of Public and International Princeton

at the

University

Affairs,

Self-Determination and Self-Administration A SOURCEBOOK

edited by

Wolfgang Danspeckgruber with

Arthur Watts Foreword by Prince Hans Adam II of Liechtenstein

LYN N E RIENNER ['UBI J S H lì R S BOI! 1 O i: R I ON [IO N

Published in the United States of A m e r i c a in 1997 by Lynne R i e n n e r P u b l i s h e r s . Inc. 1800 30th Street, Boulder. C o l o r a d o 80301 and in the United K i n g d o m by Lynne R i e n n e r P u b l i s h e r s , Inc. 3 Henrietta Street. C o v e n t G a r d e n . L o n d o n W C 2 E 8LU © 1997 by Lynne R i e n n e r P u b l i s h e r s . Inc. All rights reserved L i b r a r y of C o n g r e s s C a t a l o g i n g - i n - P u b l i c a t i o n Data ISBN: 1-55587-786-9 A C a t a l o g i n g - i n - P u b l i c a t i o n record for this book is available f r o m the Library of C o n g r e s s .

British C a t a l o g u i n g in P u b l i c a t i o n Data A C a t a l o g u i n g in P u b l i c a t i o n record for this book is available f r o m the British Library.

Printed and b o u n d in the United States of A m e r i c a T h e p a p e r used in this p u b l i c a t i o n m e e t s the r e q u i r e m e n t s of the A m e r i c a n National S t a n d a r d for P e r m a n e n c e of Paper for Printed Library M a t e r i a l s Z 3 9 . 4 8 - 1 9 8 4 . 5 4 3 2 1

In the hope that the Liechtenstein

Projects on

Self-Determination

offer new, more peaceful solutions for the pursuit of

self-governance

and thus contribute to international peace, stabiliti/, and prosperiti/ This book is dedicated to all those who denounce force and violence in their quest for greater

freedom.

Contents

P r i n c e H a n s A d a m II of L i e c h t e n s t e i n Foreword, Preface, J o h n W a t e r b u r y Acknowledgments

Introduction Wolfgang 1

2

Danspeckgruber

with Sir Arthur

Watts

T h e L i e c h t e n s t e i n D r a f t C o n v e n t i o n on S e l f - D e t e r m i n a t i o n T h r o u g h Self-Administration Sir Arthur Watts

41

79 Elazar Thomson

T h e O t h e r Side of S e l f - D e t e r m i n a t i o n : State C o n t r a c t i o n in T h e o r y and P r a c t i c e — L e s s o n s f r o m B r i t a i n - I r e l a n d , F r a n c e - A l g e r i a , and I s r a e l - W e s t B a n k / G a z a lan S. Lustick C o m m e n t a r y : Fred W. C o m m e n t a r y : Michael

5

21

G l o b a l C h a n g e and the F u t u r e of E x i s t i n g N a t i o n - S t a t e s Jeffrey Herbst C o m m e n t a r y : Daniel J. C o m m e n t a r y : Sir John

4

1

T h e Right of S e l f - D e t e r m i n a t i o n U n d e r I n t e r n a t i o n a l L a w : T h e C o h e r e n c e of D o c t r i n e Versus the I n c o h e r e n c e of E x p e r i e n c e Richard A. Falk C o m m e n t a r y : Ruth Lapidoth C o m m e n t a r y : Hisashi Owada

3

xi xvii xix

101 Riggs Walzer

T h e U n i t e d N a t i o n s and N a t i o n a l S e l f - D e t e r m i n a t i o n : T h e N e w I n t e r v e n t i o n i s m a n d an I n t e r n a t i o n a l i s t A l t e r n a t i v e Michael W. Doyle C o m m e n t a r y : Jean Cot C o m m e n t a r y : Danilo Turk

vii

129

Contents

viii 6

The Limits of Self-Determination Emilia J. Cardenas and Maria Fernanda Commentary: Gidon Gottlieb Commentary: Stephen P. Marks

Canas

Mayan Self-Determination: Multicultural Models and Educational Choice for Guatemala Kay B.Warren Commentary: Miguel Angel Centeno Commentary: Deborah Levenson-Estrada The Frontiers of Our Dreams Are No Longer the Same: Cultural Dynamics of Exclusion and Community in France, the United States, and Québec Michèle Lamont Commentary: Robert Putnam 9

10

11

12

13

14

Self-Determination. Subsidiarity, and Regionalization in Contemporary Western Europe Wolfgang Danspeckgruber Commentary: Rob Zaagnian Self-Determination and Self-Administration in the Former Soviet Union Henry Bienen Commentary: Hurst Hannum Commentary: Georgiy Mirsky

153

179

199

221

255

Self-Determination and Nation-Building in Post-Cold War Africa: Problems and Prospects Ibrahim Gambari with Martin Uhomoibhi Commentary: Lionel A. Hurst Commentary: Movindri Reddy

273

From Nominal Autonomy to Genuine Self-Administration: A Strategy for Improving Minority Rights in China Minxin Pei Commentary: Daniel Bell Commentary: Paula Escarameia

289

The Bell Curve of Ethnic Politics: Rise and Decline of Self-Determination Movements in India At id Kohli Commentary: Susanne Hoeber Rudolph Commentary: Michael van Walt van Praag

309

Sudan: The Challenge of Nationhood Francis M. Deng Commentary: Giandomenico Picco C o m m e n t a r y : . / . Isawa Elaigwu

337

Contents 15

Avoiding the Iron Cage of Legislated Communal Identity John Waterbury Commentary: José Ayala-Lasso Commentary: Amitai Etzioni

Appendix 1 : List of Abbreviations Appendix 2: The Liechtenstein Initiative at the United Nations Appendix 3: Summary of International Conferences on Self-Determination of the Liechtenstein Research Program on Self-Determination Appendix 4: President Woodrow Wilson's Declarations Regarding Self-Determination Appendix 5: International Declarations Regarding Self-Determination Appendix 6: Excerpts from Judgments and Advisory Opinions of the International Court of Justice Bearing on Self-Determination Appendix 7: Principal Treaties and Agreements Relating to Self-Determination: 1684 to the Twentieth Century Selected Bibliography List of Contributors Index About the Book

ix

375

405 403 415 463 465 475 479 483 501 503 5 11

Foreword Prince Hans Adam II of

Liechtenstein

Q

markets: by the end of the century these markets would be ruled by a f e w giant multinational c o m p a n i e s . T h e prevailing view "the bigger the better" turned out not to be a law of nature that forces states and companies to grow or perish. O t h e r w i s e , h u m a n i t y would already live in a single state, e c o n o m i c a l l y dominated by a few large companies. In subsequent years I spent quite some time trying to find out what factors had influenced the size of states throughout history. This aspect of history is not of prime interest to historians and therefore the results are somewhat speculative. Nevertheless, there is good evidence that changes in technology, especially in the military sector—but perhaps even more importantly, economic f a c t o r s — i n f l u e n c e the size of states.

uite often I have been asked why, being a

m o n a r c h , I would support a project on self-determination. Many people still see the concept of s e l f - d e t e r m i n a t i o n , and with it democracy, as being somehow in natural opposition to the concept of monarchy. This is an opinion that I do not share, but it would be beyond the scope of this paper to explain this in detail, and therefore 1 will restrain myself to recounting how I got involved in this project. 1 was born to b e c o m e a monarch of one of the smallest states in the world at a time when conventional wisdom said that small states and m o n a r c h s had no f u t u r e , except perhaps as a curiosity for tourists and stamp collectors. Until I became a student of e c o n o m i c s in the sixties, I saw no reason to question this; but then I tried to find an explanation of why the Principality of Liechtenstein was overtaking in per capita income its m u c h larger neighbors, e x p e r i e n c i n g an e c o n o m i c b o o m that started not long after World War II. T h e e c o n o m i c treaties with Switzerland, the sale of stamps, or the tax haven could not be the reason, because these factors were already in place soon after World War I or even b e f o r e . T h e e c o n o m i c growth in the d e c a d e s after World War II was mainly in the industrial sector; the service industry followed later. Even today, e m p l o y m e n t in the industrial sector is nearly 50 percent, which is very high for an industrialized nation, e m p l o y m e n t in agriculture is less than 2 percent; and the rest is in the service industry. In the sixties, small industries f r o m Liechtenstein challenged not only the big multinational c o m p a n i e s but also the c o n v e n tional wisdom that small industrial companies, like small states, had n o future in international

W h e n military technology favored the defender, small states or very decentralized large states prevailed. For a long time, a small number of soldiers behind high walls were able to d e f e n d a city or a castle quite effectively against a larger army. W h e n military technology f a v o r e d the aggressor, larger armies, and therefore larger and more centralized states, prevailed. In the past, advances in siege technology and better transportation were of importance, which m a d e a long siege possible. The expansion and stability of the R o m a n E m p i r e certainly depended, to a great degree, on an excellent road system, which m a d e it possible to sustain a large army and to transport the heavy material necessary for a long siege even into the remotest corners of the R o m a n Empire. Yet the size of states is not only influenced by c h a n g i n g military technology. War is usually an e x p e n s i v e business, and over a long

xi

xii

Prince Hans Adam II of

p e r i o d of t i m e e c o n o m i c f a c t o r s t h e r e f o r e b e -

Liechtenstein

c r e e p s in, a n d f r e e t r a d e b r e a k s d o w n . L a r g e

c o m e m o r e i m p o r t a n t than m i l i t a r y t e c h n o l o g y .

states, less d e p e n d e n t on f r e e t r a d e a n d h a v i n g

In the p a s t , s m a l l s t a t e s c o u l d k e e p t h e i r i n d e -

a protected internal c o m m u n i c a t i o n and trans-

p e n d e n c e o n l y if they w e r e a b l e to p a y f o r their

portation system, become more

military

L o o s e f e d e r a t i o n s h a v e to r e m o v e internal trade

defense. The

small

Principality

of

competitive.

Liechtenstein, having excellent relations with

b a r r i e r s a n d c e n t r a l i z e if t h e y w a n t to r e m a i n

its t w o n e i g h b o r s , S w i t z e r l a n d

c o m p e t i t i v e with the n e w e x p a n d i n g

and

Austria,

states.

o v e r t h e c e n t u r i e s is t h e e x c e p t i o n r a t h e r t h a n

W a r s u s u a l l y a c c e l e r a t e the t r e n d t o w a r d m o r e

the r u l e . H i s t o r i c a l l y , s m a l l s t a t e s c o u l d c o m -

centralization;

pete e c o n o m i c a l l y with large states only when

money and increases taxation. The bureaucracy

they w e r e a b l e to rely on i n t e r n a t i o n a l t r a d e .

g r o w s a n d the state b e c o m e s m o r e d i f f i c u l t to

S m a l l s t a t e s h a v e to i m p o r t w h a t t h e y c a n n o t

m a n a g e . T h e r e is a g r o w i n g i m p r e s s i o n in the

p r o d u c e locally, w h e r e a s a l a r g e state c a n rely

p r o v i n c e that a large part of t a x a t i o n is used to

m u c h m o r e on i n t e r n a l , r a t h e r t h a n

interna-

f i n a n c e an i n e f f i c i e n t b u r e a u c r a c y or u n n e c e s -

tional, t r a d e : a bad h a r v e s t in o n e p r o v i n c e can

sary w a r s or that a d e c e n t r a l i z a t i o n of p o w e r is

the

government

needs

more

b e b a l a n c e d by a g o o d h a r v e s t in a n o t h e r . T o

n e c e s s a r y . U n f o r t u n a t e l y , it is e v e n m o r e d i f f i -

pay f o r all t h e n e c e s s a r y i m p o r t s , a s m a l l state

cult f o r a large state to r e d u c e an i n e f f i c i e n t bu-

h a s to e x p o r t a m u c h l a r g e r p o r t i o n of its n a -

r e a u c r a c y a n d to d e c e n t r a l i z e t h a n it is f o r a large c o m p a n y . P o l i t i c a l d e c e n t r a l i z a t i o n v e r y

tional p r o d u c t . If w e look at the e c o n o m i c and military disa d v a n t a g e s of a small state c o m p a r e d to a large o n e . it is s u r p r i s i n g that a n y s m a l l states h a v e s u r v i v e d t h r o u g h o u t h u m a n h i s t o r y . Yet, m a n y r e a s o n s f o r their s u r v i v a l c a n be f o u n d : for ins t a n c e . s m a l l states, like s m a l l c o m p a n i e s , are

o f t e n m e a n s an a d d i t i o n a l layer of b u r e a u c r a c y and a s l o w d o w n in the d e c i s i o n m a k i n g p r o c e s s . F i n a l l y , t h e large s t a t e c o l l a p s e s into s m a l l e r u n i t s or is t a k e n o v e r by a n e w , m o r e d e c e n t r a l i z e d large s t a t e , a n d t h e w h o l e c y c l e starts again.

easier to m a n a g e and are m o r e f l e x i b l e and o f t e n

At t h e e n d of t h e M i d d l e A g e s , a n e w

m o r e o p e n to i n n o v a t i o n . T h e e r a s of the s m a l l

t r e n d t o w a r d large c e n t r a l i z e d s t a t e s b e g a n in

city-state in ancient G r e e c e or in Italy d u r i n g the

E u r o p e , w h i c h , by t h e e n d of the n i n e t e e n t h

R e n a i s s a n c e w e r e e x t r e m e l y p r o d u c t i v e in m o s t

c e n t u r y , h a d s p r e a d o v e r t h e e n t i r e w o r l d . In

a r e a s of h u m a n a c t i v i t i e s , d e s p i t e the f a c t that

m y o p i n i o n , the d e c i s i v e f a c t o r t h a t

those states, with f e w exceptions, had f e w e r

t h i s t r e n d w a s t h e d e v e l o p m e n t of artillery.

than o n e h u n d r e d t h o u s a n d i n h a b i t a n t s .

Throughout

A m o r e i m p o r t a n t r e a s o n m i g h t be h u m a n n a t u r e . O v e r m i l l i o n s of y e a r s h u m a n s

have

started

h i s t o r y the h i g h w a l l s that

had

g i v e n t h e c i t y - s t a t e s at least s o m e p r o t e c t i o n e v e n in b a d t i m e s b e c a m e m o r e or less useless.

e v o l v e d in s m a l l g r o u p s a n d not in b i g h e r d s .

T h e m i l i t a r y r e v o l u t i o n w a s d r a m a t i c but

Of c o u r s e , a c e r t a i n d e g r e e of the h e r d instinct

w a s s o o n to b e r e i n f o r c e d by t h e i n d u s t r i a l rev-

is a l s o p r e s e n t in h u m a n b e i n g s : t h u s , w e c a n

olution. Large states started to improve their

b r i e f l y e n j o y " h e r d f e e l i n g s " in f o o t b a l l s t a d i -

internal t r a n s p o r t a t i o n s y s t e m , w h i c h h a d b e e n

u m s a n d o t h e r p l a c e s . N e v e r t h e l e s s , in p o l i t i c s ,

in p o o r s h a p e s i n c e the c o l l a p s e of the R o m a n

as in m o s t o t h e r h u m a n a c t i v i t i e s , m a s s m o v e -

Empire; they removed

m e n t s are s e l d o m k n o w n to b e v e r y p r o d u c t i v e .

c e n t r a l i z e d d e c i s i o n m a k i n g in t h e c a p i t a l s . U p

T h e y are not v e r y s t a b l e a n d h a v e a t e n d e n c y to

to t h a t p o i n t , e c o n o m i c d e v e l o p m e n t h a d f o l -

be m o r e useful for q u e s t i o n a b l e leaders than

lowed the usual pattern. Finished goods were

f o r h u m a n i t y in g e n e r a l .

internal barriers

and

still p r o d u c e d in s m a l l q u a n t i t i e s b y a r t i s a n s .

O v e r long p e r i o d s of t i m e , the a v e r a g e size

T h e i n t r o d u c t i o n of l a r g e - s c a l e i n d u s t r i a l p r o -

of states s e e m s to c h a n g e in c y c l e s . S m a l l states

duction

o r l o o s e f e d e r a t i o n s d o m i n a t e d u r i n g p e r i o d s of

t h o s e p r o d u c t s , but this t y p e of p r o d u c t i o n w a s

dramatically

reduced

the prices

of

f r e e t r a d e and w h e n e v e r m i l i t a r y t e c h n o l o g y or

o n l y p o s s i b l e in a state w i t h a l a r g e p o p u l a t i o n .

o t h e r f a c t o r s f a v o r the d e f e n d e r . U n f o r t u n a t e l y ,

F o r the first t i m e in k n o w n h i s t o r y , t h e s m a l l

e v e n w i t h o u t c h a n g e s in m i l i t a r y t e c h n o l o g y ,

city-state had lost not o n l y its military protection

this is not a s t a b l e s i t u a t i o n f o r the s m a l l state.

b e c a u s e of artillery i n n o v a t i o n s but also its eco-

Small states fight each other,

n o m i c b a s e b e c a u s e of t h e industrial r e v o l u t i o n .

protectionism

Foreword

xiii

In c o n t r a s t , the large E u r o p e a n states s e c u r e d

states had b e e n r e s t o r e d to at least the s a m e

t h e i r s u p p l i e s o f c h e a p raw m a t e r i a l s t h r o u g h

l e v e l that e x i s t e d b e f o r e the industrial r e v o l u -

e x p a n d i n g their c o l o n i a l e m p i r e s .

t i o n — o n e c o u l d e v e n a r g u e that it was n o w

T h e w a r s o f i n d e p e n d e n c e in the B r i t i s h and

Spanish

colonies

of

North

and

South

m o r e f a v o r a b l e to the small state. It w a s v e r y g r a t i f y i n g f o r m e to see that

A m e r i c a at the end o f the e i g h t e e n t h and the

L i e c h t e n s t e i n had a b r i g h t e c o n o m i c

b e g i n n i n g o f the n i n e t e e n t h c e n t u r i e s s h o w e d

b r i g h t e r p r o b a b l y than most large states. A fur-

that this s y s t e m had its natural limits. S t i l l , the

ther e c o n o m i c i n t e g r a t i o n o f E u r o p e with the

new independent states w e r e m o d e l e d , m o r e or

rest o f the w o r l d w o u l d not o n l y s e c u r e , but

future,

l e s s , a f t e r the s u c c e s s f u l E u r o p e a n e x a m p l e o f

i m p r o v e , the e c o n o m i c s i t u a t i o n f o r L i e c h t e n -

a rather c e n t r a l i z e d large n a t i o n - s t a t e . N a t i o n -

stein. O t h e r s m a l l states w o u l d be a b l e to take

a l i s m r e p l a c e d r e l i g i o n , to a great e x t e n t as a

a d v a n t a g e o f this opportunity. U n f o r t u n a t e l y , I

binding f o r c e that g a v e t h o s e large states a c e r -

also realized that this c h a n g i n g historical trend,

tain political stability. N a t i o n a l i s m b e c a m e the

a w a y from a large c e n t r a l i z e d state m o d e l e d on

s i z e - l i m i t i n g f a c t o r f o r t h o s e large states and

n i n e t e e n t h - c e n t u r y i d e a s , w o u l d b r i n g further

destroyed not only the Hapsburg and O t t o m a n ,

political

but also the c o l o n i a l , e m p i r e s .

C h a n g e s in this h i s t o r i c a l c y c l e can c a u s e an

T h e end o f the c o l o n i a l e m p i r e s w a s not o n l y c a u s e d by e m e r g i n g n a t i o n a l i s m in the c o l o n i e s and a f a v o r a b l e political situation after World W a r II. T h o s e large c e n t r a l i z e d e m p i r e s lost the c o m p e t i t i v e edge they e n j o y e d throughout the n i n e t e e n t h c e n t u r y and well into the twentieth.

Worldwide

economic

integration

through free trade and the free m a r k e t s , w h i c h o p e n e d up in m a n y parts o f the world, deprived

unrest

to

Europe

and

the

world.

i n c r e a s e in w a r s : c i v i l w a r s w h e n large states c o l l a p s e , wars o f a g g r e s s i o n w h e n states g r o w in s i z e . I r o n i c a l l y , the bright e c o n o m i c future o f L i e c h t e n s t e i n w o u l d be t h r e a t e n e d by the trend t o w a r d s m a l l e r s t a t e s . T h e r e was little doubt in m y m i n d that the S o v i e t e m p i r e w o u l d c o l l a p s e o n e day and with it. in all probability, the l o n g e s t period o f p e a c e in E u r o p e since the end o f the R o m a n E m p i r e .

the large e m p i r e s o f their e c o n o m i c a d v a n t a g e .

I n t e l l e c t u a l c u r i o s i t y , m o r e than a n y t h i n g

T h o s e e m p i r e s proved too small to c o m p e t e in

e l s e , pushed m e to look for solutions. In the be-

the w o r l d m a r k e t and t o o large and b u r e a u -

g i n n i n g I c o n c e n t r a t e d on the m i l i t a r y side o f

c r a t i c to adapt to the n e w s i t u a t i o n .

the p r o b l e m . M y f e a r w a s that the S o v i e t e m -

Military

p o w e r was not enough to hold them together.

pire, f a c e d with e c o n o m i c and p o l i t i c a l

col-

A b o u t t w e n t y y e a r s a g o I r e a l i z e d that a

lapse, m i g h t try to use its military p o w e r to o c -

w o r l d w i d e historical trend, w h i c h b e g a n in E u -

c u p y rich W e s t e r n E u r o p e in a surprise a t t a c k .

r o p e around 1 5 0 0 , had c o m e to an end a f t e r

W e h a v e to t h a n k Mr. G o r b a c h e v that he did

W o r l d W a r II. W h e n the large

not c h o o s e this h i g h - r i s k s o l u t i o n to his p r o b -

nation-states

c o n c l u d e d that free trade was in their o w n e c o -

l e m s , as did m a n y leaders in history b e f o r e h i m ,

n o m i c interest and trade b a r r i e r s had to be re-

but that he tried in vain to r e f o r m the e m p i r e .

moved

worldwide,

the

situation

began

to

M y theory was that if military t e c h n o l o g y

small

and strategy w o u l d e v o l v e into a d i r e c t i o n that

s t a t e s that w e r e a b l e to take a d v a n t a g e o f the

f a v o r e d the d e f e n d e r and the s m a l l states again,

n e w s i t u a t i o n . T h i s was the m a j o r r e a s o n f o r

there would be at least s o m e h o p e f o r m o r e sta-

the industrial b o o m that L i e c h t e n s t e i n e n j o y e d

bility. Artillery, t a n k s , and a i r p l a n e s had tipped

a f t e r W o r l d W a r I I . A n o t h e r r e a s o n w a s that

the b a l a n c e toward the a g g r e s s o r f o r o v e r f o u r

c h a n g e d r a m a t i c a l l y f o r the s u r v i v i n g

r a w m a t e r i a l s and t r a d i t i o n a l industrial g o o d s

hundred y e a r s o f m i l i t a r y history. T h i s has in-

p r o d u c e d in l a r g e f a c t o r i e s lost t h e i r i m p o r -

f l u e n c e d military t h i n k i n g to such a d e g r e e that

t a n c e in international trade. T h e d e m a n d f o r in-

an a t t a c k is still s e e n as the b e s t d e f e n s e . A s

n o v a t i v e s p e c i a l i z e d p r o d u c t s , w h i c h c o u l d be

l o n g as the o n e w h o s h o o t s first h a s a g o o d

b e t t e r p r o d u c e d in s m a l l f a c t o r i e s , g r e w m u c h

chance

faster. T h e e c o n o m i c s o f s c a l e and the p r o -

tipped in f a v o r o f war; w h e r e a s i f the o n e who

of winning

the war, the b a l a n c e

is

tected d o m e s t i c market w e r e o f less i m p o r t a n c e

s h o o t s first is m u c h m o r e l i k e l y to l o s e the war,

in m a n y s e c t o r s o f the s e r v i c e industry. T h e

the b a l a n c e is tipped in f a v o r o f p e a c e and sta-

economic

bility. Personally, I b e l i e v e that m o d e r n military

balance

between

small

and

large

xiv

t e c h n o l o g y f a v o r s the d e f e n d e r , but it is a very d i f f i c u l t a n d s l o w p r o c e s s to c h a n g e m i l i t a r y thinking. Whenever military leaders applied s o m e type of guerrilla strategy, they w e r e able to d e f e a t t h e s u p e r p o w e r s , a l t h o u g h at high c o s t — s u c h as in V i e t n a m , A f g h a n i s t a n , a n d , perhaps o n e day, C h e c h n y a . T h e r e can be m u c h r o o m f o r i m p r o v e m e n t if m o d e r n t e c h n o l o g y w o u l d be a p p l i e d m o r e c o n s i s t e n t l y to this strategy. E v e n if a m i l i t a r y s o l u t i o n can be f o u n d and i m p l e m e n t e d s o o n , I am c o n v i n c e d that it is m o r e i m p o r t a n t to look f o r a p o l i t i c a l solution on h a n d l i n g the c h a n g i n g size of states in a p e a c e f u l way and not on the battlefield, for t w o reasons: First, t e c h n o l o g y t o d a y g i v e s us w e a p o n s that are far m o r e d e s t r u c t i v e and d a n g e r o u s than t h o s e in the past, and there is g o o d reason to believe that m a n k i n d will be able to d e v e l o p even m o r e terrible w e a p o n s in the f u t u r e . Military t e c h n o l o g y is very d i f f i c u l t to c o n t r o l . Most of o u r t e c h n o l o g y can be u s e d in a dual way, e i t h e r p e a c e f u l l y or for war. T h e last f o u r h u n d r e d y e a r s w e r e b l o o d y e n o u g h w h e n the b a l a n c e w a s t i p p e d in o n l y o n e d i r e c t i o n . We d o not w a n t to test w h e r e the m i l i t a r y b a l a n c e is n o w or g u e s s w h e r e it will be in t w e n t y or forty years. At any rate, leaders w h o start a war are u s u a l l y c o n v i n c e d that the b a l a n c e is in their favor. S e c o n d , w a r in the past w a s a very localized b u s i n e s s : it w a s terrible f o r t h o s e directly a f f e c t e d , but the rest of the w o r l d c o u l d g o on as usual. G l o b a l i z a t i o n of c o m m u n i c a t i o n and transportation will m a k e war not m e r e l y a local p r o b l e m . Unrest in o n e part of the M i d d l e East can bring b o m b s , terror, and r e f u g e e s to E u r o p e or the U n i t e d S t a t e s . P u b l i c p r e s s u r e will inc r e a s e in t h o s e parts of the w o r l d to i n f l u e n c e other c o u n t r i e s to intervene in the conflict. T h i s will a c c e l e r a t e the trend t o w a r d g l o b a l i z a t i o n of local c o n f l i c t s . A p o l i t i c a l s o l u t i o n c a n n o t s i m p l y be to f r e e z e the p r e s e n t b o r d e r s of t h e e x i s t i n g states w o r l d w i d e . S i m i l a r s o l u t i o n s h a v e f a i l e d in the past, and there is n o reason to b e l i e v e that they will w o r k in the f u t u r e . T h e p r e s e n t p o l i c y of t h e i n t e r n a t i o n a l c o m m u n i t y is n o t m u c h better. P e o p l e s of t h e w o r l d are told that they h a v e a right to selfd e t e r m i n a t i o n , and if this right is s u p p r e s s e d by

Prince Hans Adam II of

Liechtenstein

a state, t h e i n t e r n a t i o n a l c o m m u n i t y will support their territorial integrity until a war of ind e p e n d e n c e is s u c c e s s f u l . A s it w a s in the past, the entire p r o b l e m is still settled on the battlefield. A s long as civil w a r s r e m a i n local affairs and m i l i t a r y t e c h n o l o g y f a v o r s the large state, this policy is rather c y n i c a l — b u t it m a i n t a i n s a certain stability in the world. T h e r e are indications, h o w e v e r , that military technology, if correctly a p p l i e d , can shift the b a l a n c e toward the small state, w h i c h i n c r e a s e s t h e c h a n c e f o r a b r e a k a w a y r e g i o n to be s u c c e s s f u l in a civil war. If t h e i n t e r n a t i o n a l c o m m u n i t y d o e s not c h a n g e its p r e s e n t policy, w e will p r o b a b l y s o o n see the c o l l a p s e of m o r e large states in civil wars. In my o p i n i o n , the ideal and most d e m o c ratic s o l u t i o n w o u l d be that the p e o p l e t h e m selves, d o w n to the smallest c o m m u n i t y , should decide if they want to h a v e m o r e autonomy, belong to a n o t h e r state, or b e c o m e i n d e p e n d e n t . A r e not states c r e a t e d by p e o p l e in o r d e r to serve the p e o p l e and not the other w a y a r o u n d ? Is it not m u c h s a f e r and m o r e h u m a n e to replace the p o w e r of the w e a p o n by the p o w e r of the vote, and the d e c i s i o n of the battlefield by that of the ballot b o x ? Ten y e a r s a g o I s t a r t e d to work on a first d r a f t f o r a c o n v e n t i o n on s e l f - d e t e r m i n a t i o n . W i t h the h e l p of Sir A r t h u r Watts and o t h e r s , this first d r a f t w a s m u c h i m p r o v e d and w e dec i d e d to p u b l i s h it n o w so that it can be disc u s s e d . Sir A r t h u r Watts c o m m e n t s on the d r a f t c o n v e n t i o n in m o r e d e t a i l , but p e r h a p s it is of interest to e x p l a i n w h y I h a v e c h o s e n this app r o a c h for a d r a f t c o n v e n t i o n . A s m u c h as I h o p e that t h e vision of f u l l s e l f - d e t e r m i n a t i o n will be r e a l i z e d o n e d a y w o r l d w i d e , at the m o m e n t this is not a realistic goal. A c o n v e n t i o n on s e l f - d e t e r m i n a t i o n h a s to be a c o m p r o m i s e ; o t h e r w i s e , it h a s n o c h a n c e of b e i n g a c c e p t e d by the international c o m m u nity. F o r m a n y states, the present d r a f t will alr e a d y o f f e r f a r t o o m u c h s e l f - d e t e r m i n a t i o n to their p o p u l a t i o n ; but f o r the p e o p l e f i g h t i n g f o r i n d e p e n d e n c e now, such a c o n v e n t i o n will be a disappointment. T h e r e is r o o m f o r a c o m p r o m i s e o n l y if one a c c e p t s the idea of a u t o n o m y as a solution to the p r o b l e m . In m a n y c a s e s , n e i t h e r the e n f o r c e m e n t of m i n o r i t y r i g h t s nor d e m o c r a t i c r i g h t s n o r o t h e r h u m a n rights are s u f f i c i e n t to

Foreword

xv

s o l v e the p r o b l e m . E v e n a d e m o c r a c y c a n b e -

the e x c e p t i o n o f S l o v e n i a , all o f the states that

c o m e a d i c t a t o r s h i p b y the m a j o r i t y and c a n

e m e r g e d a f t e r the c o l l a p s e o f Y u g o s l a v i a h a v e

lead to c i v i l war. A d e c e n t r a l i z a t i o n o f p o w e r is

large m i n o r i t i e s that p r o b a b l y would h a v e pre-

often

f e r r e d to stay i n s i d e a m o d e r n

the

only

solution

to

bring

decisions

decentralized

n e a r e r to the p e o p l e and m a k e the s t a t e i t s e l f

Y u g o s l a v i a , rather than e x p e r i e n c e the present

m o r e e f f i c i e n t . A large s t a t e ' s c h a n c e s o f sur-

situation with its p o l i t i c a l and e c o n o m i c p r o b -

vival within its borders are not o n l y b e t t e r with

l e m s . S m a l l c o m m u n i t i e s q u i c k l y r e a l i z e that

a f e d e r a l s y s t e m such as t h o s e o f the U n i t e d

t h e y c a n n o t s o l v e all t h e i r p r o b l e m s a l o n e but

States,

those

that they h a v e to c o o p e r a t e with other c o m m u -

states also s e e m to be m o r e s u c c e s s f u l e c o n o m -

n i t i e s and d e l e g a t e s o m e o f t h e i r a u t h o r i t y to

ically. Different levels o f autonomy can give

h i g h e r l e v e l s . It is u n f o r t u n a t e l y quite easy for

the state and the people t i m e to adapt to a new

n a t i o n a l i s t i c leaders to c o n v i n c e m a s s e s o f peo-

s t r u c t u r e . P o l i t i c a l l e a d e r s w h o ask f o r m o r e

ple w h o are i n e x p e r i e n c e d in s e l f - g o v e r n m e n t

self-determination

that i n d e p e n d e n c e is the o n l y solution.

Switzerland,

or Germany,

but

or e v e n i n d e p e n d e n c e

for

their p e o p l e h a v e to first prove at d i f f e r e n t levels

of autonomy

that

they can

fulfill

their

p r o m i s e s and m e e t the e x p e c t a t i o n s o f the p e o ple. A g r a d u a l a p p r o a c h to s e l f - d e t e r m i n a t i o n avoids the p r o b l e m o f new states b e i n g c r e a t e d with no e x p e r i e n c e in s e l f - g o v e r n m e n t .

T h e r e is a n o t h e r r e a s o n to g i v e c o m m u n i ties the right to s e l f - d e t e r m i n a t i o n . C o m m u n i ties and their inhabitants are m u c h e a s i e r to define

than

the

rather

theoretical

concept

of

c i t i z e n s . T h e inhabitants o f S a r a j e v o are registered and the c i t y l i m i t s h a v e p r o b a b l y b e e n

A m a j o r p r o b l e m in the past was the c r e -

d r a w n q u i t e s o m e t i m e a g o . but w h e r e d o e s

ation o f new states with new m i n o r i t i e s , w h o s e

s o m e o n e b e l o n g if his m o t h e r is S e r b , his fa-

re-

ther M u s l i m , and his spouse C r o a t i a n ? T h e var-

s p e c t e d and w h o w o u l d h a v e p r e f e r r e d to re-

ious e t h n i c o r cultural m i x t u r e s in a city or vil-

m a i n in the old state or to c r e a t e t h e i r o w n

lage c a n g i v e its e n t i r e p o p u l a t i o n an identity

right o f s e l f - d e t e r m i n a t i o n

had not b e e n

state. G e r m a n m i n o r i t i e s , w h o s e right to s e l f -

and c u l t u r a l r i c h n e s s that is d e s t r o y e d

d e t e r m i n a t i o n w a s not r e s p e c t e d a f t e r W o r l d

borders are drawn a c c o r d i n g to a theoretical de-

when

War I, were integrated into newly c r e a t e d states

finition o f p e o p l e h o o d , rather than a c c o r d i n g to

and were o n e m a j o r reason why Hitler was able

the wishes o f the population in each community.

to lead G e r m a n y into World War II. C r o a t i a and Bosnia-Herzegovina

are

other

examples

in

For quite some time, I have been asking m y s e l f w h e t h e r a s m a l l c o u n t r y such as the

w h i c h m i n o r i t i e s w e r e c r e a t e d , l e a d i n g to fur-

Principality

ther military c o n f l i c t s . It is t h e r e f o r e e x t r e m e l y

v o l v e d in this very difficult q u e s t i o n o f s e l f - d e -

important

termination.

to b r i n g s e l f - d e t e r m i n a t i o n

to the

of Liechtenstein Consequently,

s h o u l d get I discussed

inthis

s m a l l e s t c o m m u n i t y . T o grant the right o f self-

with our g o v e r n m e n t and s e v e r a l p u b l i c fig-

d e t e r m i n a t i o n e x c l u s i v e l y to those p e o p l e

ures. W e c a m e to the c o n c l u s i o n that for a very

who

h a v e a d i s t i n c t e t h n i c , r e l i g i o u s , or c u l t u r a l

s m a l l c o u n t r y with n o a r m y to d e f e n d

b a c k g r o u n d not o n l y c r e a t e s the d a n g e r o f eth-

( s u c h as L i e c h t e n s t e i n ) , it is m o r e

nic or r e l i g i o u s c l e a n s i n g but also i n c r e a s e s the

that s o l u t i o n s b e f o u n d than it is f o r larger and

d a n g e r that e x i s t i n g s t a t e s will be d e s t r o y e d

m o r e p o w e r f u l c o u n t r i e s that c a n better defend

rather than d e c e n t r a l i z e d .

itself

important

t h e i r i n d e p e n d e n c e and i n t e r e s t s . S u c h a tiny

T h e old w i s d o m o f s u c c e s s f u l e m p i r e s in

c o u n t r y h a s the a d d i t i o n a l a d v a n t a g e o f pre-

the past, " d i v i d e and r u l e , " has b e e n s o m e w h a t

senting no threat to a n o t h e r state when it raises

forgotten

states.

q u e s t i o n s and m a k e s p r o p o s i t i o n s on self-deter-

C r o a t i a m i g h t not h a v e c h o s e n the path o f in-

m i n a t i o n . W h e n larger states raise the q u e s t i o n

d e p e n d e n c e i f the right o f s e l f - d e t e r m i n a t i o n

o f s e l f - d e t e r m i n a t i o n , they o f t e n h a v e d i f f i c u l -

had b e e n e s t a b l i s h e d on the c o m m u n i t y l e v e l ,

ties with their n e i g h b o r s o r e x p e r i e n c e internal

r a t h e r than in a l i m i t e d way on a m u c h l a r g e r

problems.

regional

by

many

level. T h e

elites

in m o d e r n

inside

It b e c a m e c l e a r that w e s h o u l d b e g i n o u r

C r o a t i a w o u l d h a v e c h o s e n to r e m a i n in Y u -

Serbian

minority

e n d e a v o r s in the U n i t e d N a t i o n s as s o o n as

g o s l a v i a , and C r o a t i a w o u l d h a v e lost a large

Liechtenstein b e c a m e a member, because self-

part o f its territory through i n d e p e n d e n c e . W i t h

d e t e r m i n a t i o n is not o n l y o f interest to E u r o p e

xvi

Prince Hans Adam

but also to the entire world. We felt that it would also be an advantage to have other countries' viewpoints f r o m the inception. Since we first raised the matter at the United Nations in 1991, we have received valuable contributions f r o m m e m b e r states of all continents. We were even able to organize a small c o n f e r e n c e on self-determination in Liechtenstein in spring 1993. What resistance we encountered more or less met our expectations. Personally, I was even more pessimistic and feared that we might be faced with diplomatic pressure against pursuing the matter further.

II of

Liechtenstein

not only the diplomatic, but also the academic, world in the discussion on s e l f - d e t e r m i n a t i o n and to publish for the first time our d r a f t convention on s e l f - d e t e r m i n a t i o n through selfadministration. If we want to m a k e progress on the subject, we need broad discussion and additional research. I am very grateful to Princeton University for deciding to get involved in this research task, and I am c o n f i d e n t that we will make progress. Nevertheless, I have no illusions and know that it will take m a n y years and much effort before a solution to these problems is found and implemented.

We feel that the time has c o m e to include Prince

Hans Adam Schloss

II

Vaduz

Preface

T

here is much w i s d o m and e v e n greater e x -

k e e p on trying, and therein lies the drama that

perience contained in the pages that f o l l o w

w e strive to understand.

this brief p r e f a c e , but none greater, I dare say, than that c o n t a i n e d

in Prince Hans

Adam's

f o r e w o r d . Not m a n y can c l a i m with a straight

T h e r e is a d e l i c i o u s irony to this undertaking. A

tiny

principality

with d e e p roots

in

European history j o i n s f o r c e s with a university

f a c e to h a v e s e n s e d a direction to the tide of

in a s p r a w l i n g , rootless North A m e r i c a n polity

w o r l d e v e n t s , but L i e c h t e n s t e i n w o u l d not be

to address nothing less than the r e s h a p i n g o f

w h a t it is today had Prince Hans A d a m II not

the

g u e s s e d right.

P r i n c e t o n U n i v e r s i t y has no position on what

international

order.

As

an

institution,

M y instincts l e a v e me pretty m u c h naked

that order should look like, but e a c h of us, as

in the face of the n e w m i l l e n n i u m , of w h i c h , I

scholars, practitioners, and statespersons have,

note with s o m e r e l i e f , 1 w i l l live to see only

and e x p r e s s , our v i e w s . T h e university and the

nanoseconds, relatively speaking. O f one thing

Liechtenstein Research Program o f f e r a physi-

I am sure, h o w e v e r . T h e agenda w e have set in

c a l and an intellectual v e n u e f o r the f o r m u l a -

the L i e c h t e n s t e i n R e s e a r c h P r o g r a m on S e l f -

tion, o p e n d e b a t e , and r e f i n e m e n t of our best

Determination and S e l f - A d m i n i s t r a t i o n will ad-

j u d g m e n t s and our p a s s i o n a t e l y held prefer-

dress m a j o r issues that w i l l c h a r a c t e r i z e the

ences. That this alliance b e t w e e n Liechtenstein

next thousand y e a r s as m u c h as they h a v e the

and P r i n c e t o n w o u l d c o m e to pass w a s not an

last. Human c o m m u n i t i e s constantly reinvent

a c c i d e n t or an act o f fate: it took a f a r s i g h t e d

themselves; it is the v e r y stuff of politics. S o m e

prince of L i e c h t e n s t e i n , a d y n a m i c

politicians and s o m e jurists want to f r e e z e that

with a large ( B e l g i a n ) d o g , and a university

p r o c e s s , to put p e o p l e in their proper b o x e s

that generally answers the question " W h y not?"

o n c e and f o r all. T h e y w i l l fail, but they w i l l

with " L e t ' s do it." A n d so w e shall. John

Waterbury

Director

of the Center

International Woodrow Princeton

xvii

Austrian

Wilson

of

Studies School

University

Acknowledgments

T

he size and s h a p e of this u n u s u a l p r o j e c t

w a r r a n t s the e x p r e s s i o n of our appreciation to several c o n t e m p o r a r i e s and institutions without w h o s e f a r s i g h t e d n e s s , s u p p o r t , and d e v o tion n e i t h e r this b o o k , nor the L i e c h t e n s t e i n Research Program on Self-Determination ( L R P S D ) at the C e n t e r of International Studies at P r i n c e t o n U n i v e r s i t y ' s W o o d r o w W i l s o n S c h o o l , nor the L i e c h t e n s t e i n Initiative at the United N a t i o n s w o u l d h a v e ever taken shape. First a n d f o r e m o s t , w e w o u l d like to express our g r a t i t u d e and a p p r e c i a t i o n to H . S . H . Prince H a n s A d a m II of L i e c h t e n s t e i n , w h o s e g e n e r o s i t y , v i s i o n , and true d e v o t i o n to the issue of s e l f - d e t e r m i n a t i o n w a s critical to g e t ting this p r o j e c t started and to c o n t i n u i n g it with energy and p u r p o s e f u l n e s s . M a n y of P r i n c e t o n U n i v e r s i t y ' s f a c u l t y were openly e n c o u r a g i n g and s u p p o r t i v e of the e s t a b l i s h m e n t of L R P S D and the o r g a n i z a t i o n of the t w o i n t e r n a t i o n a l panel c o n f e r e n c e s that led to this p r e s e n t v o l u m e . T h e y i n c l u d e e s p e cially H e n r y S. B i e n e n , f o r m e r d e a n of the W o o d r o w W i l s o n S c h o o l , n o w p r e s i d e n t of N o r t h w e s t e r n U n i v e r s i t y ; M i c h a e l D o y l e , the n e w d i r e c t o r of the C e n t e r of I n t e r n a t i o n a l Studies; Professors Richard Falk, Jeffrey H e r b s t , and A t u l K o h l i ; M i c h a e l R o t h s c h i l d ,

d e a n of the W o o d r o w W i l s o n S c h o o l ; J a m e s T r u s s e l l , the S c h o o l ' s a s s o c i a t e d e a n ; and particularly John Waterbury, the o u t g o i n g d i r e c t o r of the C e n t e r of I n t e r n a t i o n a l S t u d i e s , w h o is l e a v i n g to b e c o m e p r e s i d e n t of the A m e r i c a n University in Beirut. We g r a t e f u l l y a c k n o w l e d g e the w o n d e r f u l h e l p and s u p p o r t that w e h a v e at all t i m e s rec e i v e d f r o m the P e r m a n e n t M i s s i o n of L i e c h tenstein to the United Nations, especially f r o m H.E. Ambassador Claudia Fritsche, Christian W e n a w e s e r , and C h a n t a l P h i l i p o n a - Y o u n g . A m o n g the m a n y s u p p o r t e r s and c o l l a b o rators, w e s p e c i f i c a l l y wish to thank M a r i a n n e D o n a t h for the e v e r y d a y a d m i n i s t r a t i o n and e d itorial w o r k , as well as M a r g o t Siek and J a m e s Gillespie III f o r research and editorial s u p p o r t . We a l s o a p p r e c i a t e t h e a s s i s t a n c e and a d v i c e f r o m Lynne R i e n n e r and Steve Barr in the p u b lication phase. Finally, W o l f g a n g D a n s p e c k g r u b e r w o u l d like to a c k n o w l e d g e t h e g r e a t interest a n d ent h u s i a s m he has r e c e i v e d in the c o u r s e of this p r o j e c t f r o m his s t u d e n t s at P r i n c e t o n U n i v e r sity. A n d , e s p e c i a l l y , he w a n t s to t h a n k his wife, Annegret Dettwiler-Danspeckgruber, for h e r l o v i n g s u p p o r t , e n c o u r a g e m e n t , and partn e r s h i p in this a l l - e n c o m p a s s i n g e n d e a v o r .

Princeton,

xix

The

Editors

New

Jersey

Introduction 1 Wolfgang Danspeckgruber

with Sir Arthur

D

Watts

ble i m p l i c a t i o n s f o r t h e m s e l v e s . T h e d i s c u s s i o n

u r i n g the past d e c a d e , m a n y s t r u g g l e s that

h a v e o c c u r r e d w i t h i n states h a v e , sadly,

a l s o s h e d light on the t r e m e n d o u s s u f f e r i n g a n d

d e m o n s t r a t e d that the p r i n c i p l e of s e l f - d e t e r m i -

d e s t r u c t i o n c a u s e d by the o n g o i n g s t r u g g l e s f o r

n a t i o n a n d its a s s o c i a t e d i d e a s of a u t o n o m y and

i n d e p e n d e n c e a n d s o v e r e i g n t y in A f r i c a , E u r a -

s e l f - a d m i n i s t r a t i o n are still r e l e v a n t to, a n d are

sia, a n d the A m e r i c a s .

having a renewed impact upon, contemporary

R e n e w e d c o n c e r n w i t h the c o n c e p t of s e l f -

i n t e r n a t i o n a l a f f a i r s . P r i n c e H a n s A d a m II of

d e t e r m i n a t i o n a n d t h e i m p o r t a n c e of a d a p t i n g

L i e c h t e n s t e i n r e l a u n c h e d the i n t e r n a t i o n a l d e -

its s c o p e a n d r e q u i r e m e n t to c u r r e n t n e e d s h a v e

b a t e on s e l f - d e t e r m i n a t i o n in 1991, w h e n h e

b e c o m e urgent. Historically, the Liechtenstein

announced

initiative c a m e at a t i m e w h e n b o t h s h o r t - t e r m

to t h e G e n e r a l A s s e m b l y

of

the

U n i t e d N a t i o n s his intention of s e e k i n g to estab-

and long-term developments

lish a n e w legal f r a m e w o r k w i t h i n w h i c h s e l f -

tional c o m m u n i t y , at m i c r o a n d m a c r o l e v e l s of

d e t e r m i n a t i o n m i g h t b e p u r s u e d ; 2 by r e f o c u s i n g

c o n c e r n , c a l l e d f o r a r e c o n s i d e r a t i o n of the role

that n o t i o n , and e n v i s a g i n g the a c h i e v e m e n t by

of s e l f - d e t e r m i n a t i o n ,

local c o m m u n i t i e s of d e g r e e s of internal self-

s e l f - g o v e r n a n c e , a n d a u t o n o m y in the m o d e r n

in the

interna-

self-administration

or

administration, s e l f - d e t e r m i n a t i o n m i g h t be m o r e

world.

e f f e c t i v e l y used in a w a y that w o u l d h e l p a v o i d

W i l s o n in t h e a f t e r m a t h of W o r l d W a r I. t h e

s u f f e r i n g of the k i n d that h a s so r e g r e t t a b l y be-

c o n c e p t of s e l f - d e t e r m i n a t i o n w a s f o r m a l l y e n -

c o m e c o m m o n p l a c e w h e n c o m m u n i t i e s feel that

s h r i n e d in t h e i n t e r n a t i o n a l o r d e r , t h r o u g h t h e

their o n l y o p t i o n is to " f i g h t for i n d e p e n d e n c e . " The ensuing discussion has shown

Promulgated

by P r e s i d e n t

Woodrow

U n i t e d N a t i o n s C h a r t e r , f i f t y y e a r s a g o at t h e e n d of W o r l d W a r II.

that

m a n y states, w h i l e i n t e r e s t e d in L i e c h t e n s t e i n ' s

F o l l o w i n g t h e d e m i s e of t h e m a j o r c o l o -

i n i t i a t i v e on s e l f - d e t e r m i n a t i o n t h r o u g h s e l f -

nial e m p i r e s a n d t h e e n d of t h e C o l d W a r , t h e

a d m i n i s t r a t i o n , w e r e c o n c e r n e d a b o u t its p o s s i -

c o n c e p t ' s initial i m p e t u s

(in t h e c o n t e x t

of

1. Assistance by Margot Siek is gratefully a c k n o w l e d g e d . 2. UN Doc.A/46/Pv. 10. T h e Principality of Liechtenstein b e c a m e a m e m b e r of the United Nations in 1990, during the 45th session of the General Assembly. It was therefore not until the 46th session, in 1991, that Liechtenstein was able to contribute to the General D e b a t e which traditionally opens each annual session of the General Assembly. The Liechtenstein initiative has been further elaborated in subsequent statements in the General Assembly and its Third C o m m i t t e e . See, particularly, the statement of the Head of G o v e r n m e n t of A m b a s s a d o r Fritsche in the A s s e m b l y ' s Third C o m m i t t e e later in that session (UN Doc A / C . 3 / 4 7 / S R . 5 ) , the statement by His Serene Highness in the Third C o m m i t t e e on 25 O c t o b e r 1993 (UN D o c A/48/PV.36), and the statement by the Foreign Minister in the General A s s e m bly on X X X X 1994 ( U N Doc A/48/PV....). See also the terms of L i e c h t e n s t e i n ' s request for the addition of an item on the General A s s e m b l y ' s agenda for its 48th session, covering the Liechtenstein initiative (UN Doc A / 4 8 / 1 4 7 ) of 16 July 1993; the S u m m a r y Report of the Chair of a M e e t i n g of Experts convened in Schaan, Liechtenstein, and circulated as U N Doc A / 4 8 / 1 4 7 Add. 1 of 29 S e p t e m b e r 1993; and the Report on t w o C o n f e r e n c e s held at Princeton in 1995 (UN Doc. A / 5 0 / 4 9 2 of 2 O c t o b e r 1995. A n d consult the A p p e n d i x below.

1

2 d e c o l o n i z a t i o n ) has b e e n largely s p e n t ; but its f u t u r e d i r e c t i o n r e m a i n s unclear. Its c l o s e link w i t h h u m a n rights w a s initially a s o u r c e of s t r e n g t h , at the time w h e n , a f t e r World War II, " f i r s t g e n e r a t i o n " h u m a n rights f o r i n d i v i d u a l s were e v o l v i n g . Yet in the light of social, industrial, and t e c h n o l o g i c a l e v o l u t i o n , and g r e a t e r i n t e r d e p e n d e n c e w i t h i n the i n t e r n a t i o n a l c o m munity, the g r o w i n g p r e s s u r e to d e v e l o p h u m a n r i g h t s so as to e n c o m p a s s c e r t a i n r i g h t s f o r g r o u p s , as well as f o r i n d i v i d u a l s w i t h i n t h o s e g r o u p s or c o m m u n i t i e s , w a s a s o u r c e of c o n cern in s o m e quarters. T h e i d e n t i f i c a t i o n of the " s e l f , " w h o s e c h o i c e was to be the d e t e r m i n i n g f a c t o r in the g r o u p ' s f u t u r e path of political dev e l o p m e n t , also raised p r o b l e m s that w e r e part i c u l a r l y a c u t e in a w o r l d that w a s s h o w i n g s i g n s of m o v i n g a w a y f r o m the r e l a t i v e l y tidy s y s t e m of n a t i o n - s t a t e s in w h i c h the p r i n c i p l e of s e l f - d e t e r m i n a t i o n w a s first a p p l i e d , t o w a r d a m o r e uncertain world in w h i c h n a t i o n a l s o v e r e i g n t y w a s at least in part b e i n g e r o d e d t h r o u g h the gradual g r o w t h of p o w e r and i n f l u e n c e both a b o v e it (at the level of r e g i o n a l int e g r a t i o n ) and b e l o w it (at the level of s m a l l e r scale political units d r a w i n g their c o h e s i o n f r o m such f a c t o r s as religious, e t h n i c , cultural, and linguistic values). O n the o t h e r h a n d , h o w ever, n a t i o n a l i s m and e x t r e m e l e v e l s of i d e n tity, populist politics, and their e m p l o y m e n t for rather selfish and s o m e t i m e s limited o b j e c t i v e s , e m p h a s i z e d the d e s t r u c t i v e d i m e n s i o n s of a concept originally conceived for the furthera n c e of positive s e l f - r e a l i z a t i o n of the individual c i t i z e n . A d d i t i o n a l t e n s i o n s a p p e a r bet w e e n , on the o n e h a n d , t r e n d s f o r d e e p e r i n t e g r a t i o n and c o o p e r a t i o n — t h e g l o b a l vill a g e — a n d , on t h e o t h e r , t h e p e r s i s t e n c e of strong n a t i o n a l s e n t i m e n t s w i t h i n m a n y states, i n c l u d i n g s o m e highly i n d u s t r i a l i z e d o n e s . Part of this v o l u m e ' s p u r p o s e is to d e m o n s t r a t e the v a r i o u s i n t r i c a c i e s and c a p a c i t i e s of t h e c o n cepts of s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s t r a tion in our time and the c h a n g i n g i n t e r n a t i o n a l and national f r a m e w o r k within w h i c h they fall. T h o u g h the L i e c h t e n s t e i n i n i t i a t i v e o r i g i nally d i d not d i r e c t l y a d d r e s s t h o s e w i d e r iss u e s but r a t h e r c o n c e n t r a t e d on t h e e v e n t u a l a d o p t i o n of a p r a c t i c a l a n d e f f e c t i v e i n t e r n a t i o n a l c o n v e n t i o n , they w e r e i n h e r e n t in t h e Liechtenstein initiative, and Prince H a n s A d a m II saw value in h a v i n g t h e m e x p l o r e d and studied

Wolfgang

Danspeckgruber

with Sir Arthur

Watts

further, so that the intellectual u n d e r p i n n i n g s of that initiative m i g h t be s t r e n g t h e n e d . Such d e e p e n i n g of the u n d e r s t a n d i n g of self-determin a t i o n , its c a u s e s , c h a r a c t e r , and v a r i a b i l i t i e s , as well as the role of state, society, and d e m o c racy at large, c o u l d o f f e r a way to lessen some of the t e n s i o n s that w e r e l e a d i n g to so m u c h c o n f l i c t and s u f f e r i n g in the world. A c c o r d i n g l y , t w o c o n f e r e n c e s w e r e held at P r i n c e t o n U n i v e r s i t y in M a r c h and J u n e 1995, at w h i c h t h e s e issues w e r e e x p l o r e d : the papers, c o m m e n t s , and d i s c u s s i o n s p r e s e n t e d at those c o n f e r e n c e s f o r m the base for this present v o l u m e , together with s o m e additional material. T h i s v o l u m e tries to a c c o m p l i s h t w o obj e c t i v e s : to a n a l y z e and d e b a t e the n o t i o n s of s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s t r a t i o n f r o m v a r i o u s c o n c e p t u a l points of view, such as law, d i p l o m a c y , political e c o n o m y , strategy, and international i n v o l v e m e n t ; and to d i s c u s s practical d e v e l o p m e n t s in a global context. T h e book is t h e r e f o r e divided into f o u r parts. At the outset the L i e c h t e n s t e i n D r a f t C o n v e n t i o n on SelfD e t e r m i n a t i o n T h r o u g h S e l f - A d m i n i s t r a t i o n is p r e s e n t e d and e x p l a i n e d . In t h e s e c o n d part separate chapters discuss self-determination u n d e r v a r i o u s a s p e c t s , such as i n t e r n a t i o n a l law, e c o n o m i c viability, its role in s t a t e - c o n traction, and its limits. For each c h a p t e r d i f f e r e n t e x p e r t s o f f e r their c o m m e n t s f r o m a primarily practical standpoint. This interaction b e t w e e n a n a l y s i s and p r a c t i c a l d i s c u s s i o n is p a r t i c u l a r l y i m p o r t a n t in the third p a r t , w h e r e i s s u e s of s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s tration are d i s c u s s e d in separate c h a p t e r s in the context of certain difficult regions of the world. T h e f o u r t h and last part c o n t a i n s a n n e x e s and lists m a j o r r e l e v a n t i n t e r n a t i o n a l a g r e e m e n t s and r e s o l u t i o n s , as well as international organiz a t i o n s t h a t , at least in part, deal w i t h m a t t e r s of s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s t r a t i o n . In the belief that t h e m a t e r i a l in this v o l u m e will m a r k b o t h t h e s i g n i f i c a n c e of t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n f o r t h e U n i t e d N a t i o n s ' first f i f t y y e a r s and its great p o t e n t i a l f o r p e a c e in the w o r l d of the t w e n t y - f i r s t c e n tury, it is o u r h o p e that it will c o n t r i b u t e to t h e f u t u r e d e v e l o p m e n t of the p r i n c i p l e of s e l f d e t e r m i n a t i o n and so m a k e that p r i n c i p l e as b e n e f i c i a l f o r the t w e n t y - f i r s t c e n t u r y as it h a s h i t h e r t o b e e n f o r the t w e n t i e t h , t h o u g h l e s s destructive.

Introduction

3

Self-Determination and Self-Administration in Our Time— A Summary

ders o f an already e x i s t i n g sovereign state. He

S i r Arthur Watts offers a detailed c o m m e n t a r y

m o v e m e n t s o f the f o r m e r U S S R and f o r m e r

level o f p o l i t i c a l p a r t i c i p a t i o n within the borcontends that the c i r c u m s t a n c e s o f secessionist

on the L i e c h t e n s t e i n Draft C o n v e n t i o n on S e l f -

Yugoslavia highlight opposite interpretations o f

Determination

the law. T h e y represent, on the o n e hand, the

Through

Self-Administration.

T h e Draft Convention c o n s i s t s o f twenty-three

s u c c e s s f u l liberation o f i l l e g a l l y a c q u i r e d and

articles in five separate sections. T h e articles o f

c o e r c i v e l y held territories and, on the other, a

S e c t i o n I d e f i n e the c o n c e p t and restate the

direct c h a l l e n g e to the territorial integrity o f

right to s e l f - d e t e r m i n a t i o n . S e c t i o n II e n u m e r -

sovereign states. In also discussing the theoret-

ates the substantive obligations o f the parties to

ical debate over the right o f self-determination

the C o n v e n t i o n . T h e next section provides for

as it may pertain to indigenous peoples and in-

institutional matters, including the e s t a b l i s h -

habitants o f p o s t c o l o n i a l territories, F a l k ar-

ment o f a Foundation for S e l f - A d m i n i s t r a t i o n

gues that this right may be legally or politically

and S e l f - D e t e r m i n a t i o n , to be m a n a g e d by a

upheld, c o n s e n s u a l l y or n o n c o n s e n s u a l l y ,

board and supported by a secretary. T h e r e is

s y m b o l i c or substantive t e r m s . In this c o n t e x t

also to be a c e n t e r established for international

several recent

research on

tions, such as t h o s e o f the B a d i n t e r C o m m i s -

self-determination,

and a court

international

legal

in

interpreta-

with jurisdiction over the interpretation and ap-

sion or the Pellet R e p o r t on the doctrine

plication o f the c o n v e n t i o n . Under S e c t i o n IV,

self-determination, show that the Liechtenstein

the secretary has an important role in rendering

C o n v e n t i o n provides an appropriate legal pro-

good o f f i c e s or acting as m e d i a t o r in relevant

posal o f s y m b o l i c f l e x i b i l i t y c o u n t e r b a l a n c e d

cases regarding

by a lack o f "state-shattering s u b s t a n c e . "

self-determination. The

last

section provides for the inadmissibility o f reservations and sets out the usual " f i n a l c l a u s e s " c o n c e r n i n g such matters as signature, a c c e s sion, and entry into force.

of

In her c o m m e n t s on R i c h a r d F a l k ' s paper, Ruth Lapidoth offers an analysis and survey o f contemporary interpretations o f self-determination doctrine and reiterates F a l k ' s c r i t i c i s m o f

T r a c i n g the e v o l u t i o n o f the right o f s e l f -

the a m b i g u i t i e s inherent in t h e m . S h e e m p h a -

d e t e r m i n a t i o n within the d o m a i n o f interna-

sizes that the idea o f self-determination has lost

tional law, R i c h a r d F a l k f o c u s e s in C h a p t e r 1

s o m e o f its original appeal due to the v i o l e n c e

on the m o r e controversial aspect o f self-deter-

that has o c c u r r e d and b e e n j u s t i f i e d on the

mination, the desire o f peoples to establish in-

grounds o f self-determination in the former S o -

dependent sovereign states, and argues that the

viet U n i o n and f o r m e r Y u g o s l a v i a . S h e c i t e s

idea o f s e l f - d e t e r m i n a t i o n has proved subver-

the L i e c h t e n s t e i n proposal as a viable means o f

sive to the l e g i t i m a c y o f all p o l i t i c a l arrange-

peaceful

ments b e t w e e n distinct peoples that do not flow

granting o f a u t o n o m y or

from g e n u i n e and continuing c o n s e n t . He des-

without allowing violations o f the territorial in-

ignates morality, politics, and law as the three

tegrity or political unity o f sovereign and inde-

paths a l o n g w h i c h the right o f s e l f - d e t e r m i n a -

pendent states.

tion has matured and maintains that moral and

self-determination,

supporting

the

self-administration

In C h a p t e r 3 , on " G l o b a l C h a n g e and the

political weight must be measured c a s e by c a s e

Future

and that legal interpretation is dependent on the

Herbst defines the twentieth century as a period

a m i c a b l e o r antagonistic nature o f the situation

o f the fracturing o f large p o l i t i c a l u n i t s — f o r

within the state.

e x a m p l e , the c o l l a p s e o f the Austro-Hungarian,

C i t i n g the c o l l a p s e o f the S o v i e t

Union

and Y u g o s l a v i a , F a l k contrasts the practical application o f s e l f - d e t e r m i n a t i o n c l a i m s leading to the e s t a b l i s h m e n t o f new states with the legal

precept

of

self-determination,

which,

given the p o s t - W o r l d War I origins o f the idea, was designated as a " p r i n c i p l e " so as legally to entitle p e o p l e s to certain ( h u m a n ) rights and a

German,

of

Existing

Nation-States,"

Italian, Japanese,

Ottoman,

Jeffrey

Portu-

g u e s e , R u s s i a n , S o v i e t , and S p a n i s h e m p i r e s , as well as the breakdown o f other, f o r m e r l y national, entities. He argues the advantages o f nation-statehood and small statehood, loosely def i n e d , in this t i m e o f relative

international

p e a c e . He c o n c e d e s the potential vulnerability o f " s m a l l " states in terms o f security, but citing

4

e x p o r t - o r i e n t a t i o n , the c o m p u t e r r e v o l u t i o n , and i m p r o v e d t e l e c o m m u n i c a t i o n , H e r b s t e m p h a s i z e s the d i m i n i s h i n g value of size for econ o m i c s u c c e s s . H e c i t e s the s u c c e s s e s of the Baltic R e p u b l i c s , S l o v e n i a , E r i t r e a , a n d the A s i a n T i g e r s . H e r b s t b e l i e v e s that the shattering of states will i n e v i t a b l y c o n t i n u e in the light of these c o n t e m p o r a r y s u c c e s s e s , as well as t h e c o n t i n u e d political will a n d e c o n o m i c m o t i v a t i o n in f a v o r of g r e a t e r a u t o n o m y or ind e p e n d e n c e e v i d e n c e d by s u b n a t i o n a l entities, and the c o n s e q u e n t i n e f f e c t i v e n e s s of international s a n c t i o n s ; t h o u g h he d o e s not see the trend t o w a r d a substantial increase in the n u m b e r of c o u n t r i e s as a s e r i o u s c h a l l e n g e to the p r e d o m i n a n t political f o r m of the nation-state. H e notes a general dearth of alternatives to i n d c p e n d c n c c in the f o r m of the n a t i o n - s t a t e and sees r e a s o n s f o r this in the i n t e r n a t i o n a l c o m m u n i t y ' s i n c e n t i v e s for p e o p l e s w h o continue to organize t h e m s e l v e s a c c o r d i n g to intern a t i o n a l o r g a n i z a t i o n a l t r a d i t i o n , the lack of political t h e o r y s u g g e s t i n g political a l t e r n a tives, and the r e p l a c e m e n t of n a t i o n a l i s m by s o m e o t h e r u n i f y i n g ideal. H e r b s t r e c o g n i z e s the a l t e r n a t i v e s p r o v i d e d by the L i e c h t e n s t e i n D r a f t C o n v e n t i o n , n o t a b l y in its c o n c e p t i o n of s h a r e d s o v e r e i g n t y and c o n c e s s i o n of n a t i o n a l p o w e r s to international agencies, and cites dual j u r i s d i c t i o n , as m i g h t o c c u r with j o i n t Israeli and Palestinian control over J e r u s a l e m . In his c o m m e n t a r y Sir J o h n T h o m s o n s u m m a r i z e s J e f f r e y H e r b s t ' s m a i n p o i n t s , that d e v e l o p m e n t of i n t e r n a t i o n a l f i n a n c e , t e c h n o logical m a n u f a c t u r i n g , and w o r l d m a r k e t s has n o w m a d e the small size of states irrelevant, or s o m e t i m e s e v e n b e n e f i c i a l , to t h e e c o n o m i c s u c c e s s of states; that e c o n o m i e s of scale in military, e c o n o m i c , and p o l i t i c a l a f f a i r s no l o n g e r lead to u n i v e r s a l e c o n o m i c a d v a n t a g e ; that the nation-state is a currently p o p u l a r f o r m of g o v e r n m e n t , that n a t i o n a l i s m p l a y s a m a j o r role in the f o r m a t i o n of states; that the n u m b e r of states is likely to i n c r e a s e ; a n d that f e w alt e r n a t i v e s to the n a t i o n - s t a t e as a political system have been developed. Thomson observes that t h e possibility f o r the e c o n o m i c s u c c e s s of s m a l l states is not e n t i r e l y n e w , as d e m o n strated by the e x a m p l e of S c o t l a n d , s u c c e s s f u l f r o m 1750 o n w a r d , and also that t h e e d u c a tional s o p h i s t i c a t i o n of citizens p l a y s a role in the e c o n o m i c s u c c e s s of the c o u n t r y . Sir J o h n c o m m e n t s that H e r b s t did not e l a b o r a t e on the

Wolfgang

Danspeckgruber

ivith Sir Arthur

Watts

issue of military insecurity of small states, like East T i m o r and S i k k i m , which the international c o m m u n i t y did not feel o b l i g e d to r e s c u e as it did K u w a i t . S u c h p r o b l e m s are likely to be m o r e the r u l e than the e x c e p t i o n , a n d — a s in the case of I s r a e l — w i l l p r o m p t n u c l e a r d e f e n s e e f f o r t s on the part of the small nations. Sir J o h n , h o w e v e r , d o e s not a g r e e that any d i s t i n c t g r o u p s s h o u l d or will e l e c t to s e c e d e f r o m their c u r r e n t state. R a t h e r , he s u g g e s t s that r e g i o n s / s t a t e s such as Q u e b e c m a y s i m p l y seek e n h a n c e d a u t o n o m y t h r o u g h r e v i s e d c o n s t i t u t i o n a l a r r a n g e m e n t s , and he t h u s b e l i e v e s that political and constitutional i n n o v a t i o n will be r e q u i r e d . Sir John f u r t h e r m o r e criticizes the p h r a s e " n a t i o n - s t a t e , " w h i c h t e n d s to p r o m o t e the n e g a t i v e idea that nations s h o u l d h a v e their o w n states and that states should be c o m p r i s e d of only o n e n a t i o n , and he s e a r c h e s f o r s o m e term that w o u l d allow the c o n c e p t s of state and nation to r e m a i n distinct. In a n o t h e r c o m m e n t to H e r b s t ' s p a p e r o n the f u t u r e of the n a t i o n - s t a t e , D a n i e l E l a z a r states that the time f o r a u t o n o m y as a recognized f o r m of s e l f - d e t e r m i n a t i o n h a s c o m e , but that the t i m e f o r p r o v i d i n g s e l f - d e t e r m i n a t i o n t h r o u g h the e s t a b l i s h m e n t of n e w states is at a n end. H e a r g u e s that state i n d e p e n d e n c e has b e c o m e i n c r e a s i n g l y l i m i t e d since W o r l d War II b e c a u s e of the g r o w i n g regional and w o r l d int e r d e p e n d e n c e . He illustrates his point by citing the Bretton W o o d s A g r e e m e n t of 1994, the d e v e l o p m e n t of the E u r o p e a n U n i o n and other regional a s s o c i a t i o n s or trade a g r e e m e n t s such as the G e n e r a l A g r e e m e n t on T a r i f f s a n d T r a d e ( G A T T ) , t o d a y the World T r a d e O r g a n i z a t i o n ( W T O ) , and t h e N o r t h A m e r i c a n F r e e T r a d e A s s o c i a t i o n ( N A F T A ) as e v i d e n c e for the p a r a d i g m shift. Elazar discusses the p h e n o m e n o n of f e d e r a t i o n a n d its f o r m s , c o n f e d e r a t i o n , i n t e r n a t i o n a l a s s o c i a t i o n , and l e a g u e a f f i l i a t i o n s , w h i c h i n v o l v e s 4 0 p e r c e n t of t h e w o r l d ' s p o p u l a t i o n , as f u r t h e r e v i d e n c e of s u c h a g l o b a l trend to integration. H e believes that f e d e r a l i s m h a s p l a y e d a role in r e s t o r i n g d e m o c r a c y in v a r i o u s states, i n c l u d i n g S p a i n , A r g e n t i n a , a n d Brazil, and e x t e n d i n g d e m o c r a c y in V e n e z u e l a , w h i l e p r o t e c t i n g d e m o c r a c y in M e x i c o . Q u o t ing A m b a s s a d o r M a x K a m p e l m a n , E l a z a r s u g g e s t s that r e g i o n a l c o n f e d e r a t i o n s m a y e l i m i nate the contradiction between a politically f r a g m e n t e d w o r l d that exists a l o n g s i d e an e c o n o m i c a l l y i n t e g r a t e d o n e and that s c i e n t i f i c ,

5

Introduction

t e c h n o l o g i c a l , and c o m m u n i c a t i o n s

advances

an a c c e p t a b l e permanent status that would en-

daily

able people o f small, relatively independent po-

lives, now much more c o n n e c t e d with those in

litical e n t i t i e s to live apart f r o m , yet interde-

all other parts o f the world than b e f o r e . T h i s

pendentlv with, the p e o p l e o f larger

means that the political and s o c i a l m a k e u p o f

R i g g s refers to the s u c c e s s stories o f the Isle o f

will n e c e s s i t a t e

basic c h a n g e s

in our

states.

our world will have to c h a n g e to fit the new

M a n , the Islands o f J e r s e y and G u e r n s e y , and

reality.

the Principality o f L i e c h t e n s t e i n .

E l a z a r therefore e n v i s i o n s a newly ordered world o f interdependent

In his c o m m e n t a r y on Ian L u s t i c k ' s paper,

states as part o f a

M i c h a e i W a l z e r a p p r o a c h e s the issue o f self-

multicentered network that is increasingly non-

determination from a m o r a l - p h i l o s o p h i c a l per-

c e n t r a l i z e d in order to assure survival in the

spective. He sees the critical issues involved in

new world and sees p o l i t i c a l

developments

the potential c o n t r a c t i o n o f states as being the

from the idea o f autonomy as the means to this

w i l l i n g n e s s o f those in p o w e r at the c e n t e r to

new world. It is to be hoped that autonomy will

argue in favor o f the contraction and the impli-

be internationally r e c o g n i z e d , both as a legiti-

cations for those at the periphery. He does not

mate form o f self-determination as well as a set

see any virtue in small states but rather high-

o f guidelines defining relationships and powers

lights the ambiguities involved in self-determi-

that will contribute to institutionalize the idea

nation. He n o t e s that s e l f - d e t e r m i n a t i o n for a

even further.

group may not mean the s a m e for its m e m b e r s ,

In his chapter, " T h e Other Side o f S e l f -

let alone for the m e m b e r s o f minority groups

Determination: State Contraction in Theory and

that fall under the rule o f this group. W a l z e r

P r a c t i c e — L e s s o n s from Britain-Ireland, France-

asks whether there has ever been a c a s e o f ille-

Algeria, and I s r a e l - W e s t B a n k / G a z a . " Ian Lu-

gitimate demand for self-determination and an-

stick details the phenomenon o f the contraction

swers a f f i r m a t i v e l y , c i t i n g B r i t i s h withdrawal

of states by illustrating the existence o f the phe-

from R h o d e s i a in f a v o r o f the settlers rather

nomenon, touching upon its difficulties, and fur-

than the R h o d e s i a n A f r i c a n s , the C o n f e d e r a t e

ther commenting on the general dearth o f studies

rebellion, and the K a t a n g a n s e c e s s i o n . He also

recognizing it. He suggests that state contraction

sees legitimate demands that have been denied

can actually have benefits for the contracting

and argues that the s e l f - p e r c e p t i o n s o f the peo-

state and outlines three primary issues involved:

ple involved have more value in the c o n t e x t o f

politically relevant hegemonic cost/benefit calcu-

self-determination than the opinions o f radical

lations or beliefs preventing them from being

m i l i t a n t s . W a l z e r c i t e s the Welsh and S c o t t i s h

posed as pertinent to public policy, and whether

majorities, not in f a v o r o f self-determinist mil-

qualitatively larger fears about the stability o f the

itancy against B r i t a i n , as e x a m p l e s o f p e o p l e s

regime inhibit elites from acting on calculations

w h o have decided that they do not need to be

o f cost and benefit, for them and their con-

any m o r e s e l f - d e t e r m i n e d than they currently

stituencies. Within the realm o f state contraction,

are. T h u s , he s u g g e s t s e x p e r i m e n t a t i o n with a

Lustick distinguishes international

(interstate)

variety o f constitutional arrangements in s i t u a -

and intranational (internal) decolonization, the

tions where the ideological location o f men and

latter o f which may even include the cases o f the

women "on the other s i d e " is undetermined followed by a series o f p r o p o s a l s — s t a r t i n g with

French Bretons and Spanish Basques. Fred R i g g s f o c u s e s on the relation

be-

tween autonomy and secession as suggested in

d e v o l u t i o n and m o v i n g gradually toward the most satisfactory c o n c l u s i o n .

L u s t i c k ' s paper, h i g h l i g h t i n g the e x t e n s i o n o f

In Chapter 5, on " T h e United Nations and

autonomy as a m e c h a n i s m useful for mediating

National Self-Determination," Michael Doyle

relations between m i n o r i t i e s and their h o m e -

points to the f r e e d o m o f interpretation regard-

lands or host states and b e t w e e n the m e m b e r s

ing humanitarian c o n c e r n s , troubled

o f a C o m m o n w e a l t h , as in the c a s e o f Puerto

racy, and failure to extradite c r i m i n a l s in the

R i c o . R i g g s asks that a u t o n o m y may prevent

c o n t e x t o f m o v e m e n t s toward g l o b a l i s m and

democ-

territorial losses, civil wars, g e n o c i d e , and the

s h r i n k i n g s o v e r e i g n t y o f states s i n c e the C o l d

marginalization o f settlers/colonists and reiter-

War. He attributes the origin o f these p h e n o m -

ates that an autonomous status could e a s e ten-

ena to a heightened international concern for the

sions o f retrenchment or succession and provide

protection o f human rights and to the argument

6

Wolfgang

Danspeckgruber

with Sir Arthur

Watts

t h a t U N i n t e r v e n t i o n is w a r r a n t e d in c a s e s of

in the o p p o s i t e d i r e c t i o n — n a m e l y , t o w a r d a UN

t h r e a t s to i n t e r n a t i o n a l p e a c e .

military f o r c e c o m p o s e d , at least, of a single ten

D o y l e c i t e s t h e o r i g i n a l l e g i t i m a c y of U N

t h o u s a n d - m a n , r e a d y - t o - o p e r a t e brigade. H e ar-

a c t i o n in the light of its m u l t i l a t e r a l n a t u r e a n d

g u e s that h a v i n g such m e a n s to e n f o r c e U N deci-

d e p l o r e s that m u l t i l a t e r a l i s m h a s n o t b e e n f u l l y

sions and U N Security Council Resolutions is es-

employed, while even some United S t a t e s - and

sential to the credibility of the o r g a n i z a t i o n and

F r a n c e - l e d U N i n i t i a t i v e s h a v e , in f a c t , b e e n

to the attainment of U N goals.

veiled e x a m p l e s of u n i l a t e r a l a c t i o n ; the a v a i l -

Danilo Tiirk's

commentary

on

Doyle's

a b l e p o l i t i c a l r e s o u r c e of r e g i o n a l g r o u p s h a s

p a p e r d e f i n e s t h e p r i n c i p l e of s e l f - d e t e r m i n a -

largely b e e n i g n o r e d . H e a t t r i b u t e s the i n e f f e c -

tion a n d c i t e s c o n f l i c t i n g i n t e r p r e t a t i o n s , m i s -

t i v e n e s s , o r at least t h e less t h a n o p t i m a l o u t -

u n d e r s t a n d i n g s , a n d d i s c r e p a n c i e s of d e f i n i -

c o m e s , of U N i n t e r v e n t i o n s in B o s n i a and S o -

t i o n s as m a j o r i m p e d i m e n t s to p e a c e p r o c e s s e s

m a l i a b o t h to the o v e r l y r e s t r i c t i v e n a t u r e of

g e n e r a l l y , a n d m o r e particularly, in the c o n t e x t s

U N a c t i o n , as d e l i m i t e d by U N m e m b e r s t a t e s

of B o s n i a a n d S o m a l i a . In the light of D o y l e ' s

t h e m s e l v e s , as well as to t h e U N ' s t e n d e n c y to

p a p e r h e n o t e s d i m i n i s h i n g state s o v e r e i g n t y ,

o v e r c o m m i t , b e y o n d the b o u n d s of w h a t the o r -

w h i l e r e i t e r a t i n g t h e n e e d f o r c a u t i o n in inter-

ganization

member

n a t i o n a l i n t e r v e n t i o n a n d the r e q u i r e m e n t of le-

s t a t e s a n d r u l i n g e l i t e s will p e r m i t it to u n d e r -

g i t i m a c y of m u l t i l a t e r a l a c t i o n . Tiirk f u r t h e r -

t a k e . T h e U N h a s f u r t h e r m o r e p r e v e n t e d states

m o r e s u g g e s t s that f u t u r e d i s c u s s i o n of

from upholding their own sovereignty through

military o p e r a t i o n s should envision two cate-

t h e m e d i u m of e m b a r g o e s , d i s a r m a m e n t , a n d

g o r i e s of p e a c e k e e p i n g — n a m e l y , p e a c e o p e r a -

revocation

c a n h a n d l e , o r of

of

the

right

to

what

receive

UN

foreign

t i o n s b a s e d on t h e c o n s e n t of t h e p a r t i e s and

a s s i s t a n c e , and the U N ' s i m p e r f e c t i n t e r v e n t i o n

c o e r c i v e o p e r a t i o n s . H e t h e r e f o r e s u g g e s t s the

s t r a t e g y has f a c i l i t a t e d , if not p r e c i p i t a t e d , re-

n e e d f o r p r e v e n t i v e o p e r a t i o n s as w e l l as the

n e w e d c o n f l i c t . T h e i n a d v e r t e n t m i s d i r e c t i o n of

c o m m i s s i o n i n g of i n t e r n a t i o n a l j u d i c i a l a n d po-

U N p u n i t i v e a c t i o n s , w h i c h h a v e f a i l e d to i m -

litical r e v i e w s of all o p e r a t i o n s led by the S e -

pact on ruling elites but h a v e w o r s e n e d the c o n -

curity Council.

d i t i o n of n o n - r u l i n g p o p u l a t i o n s or h e i g h t e n e d

Emilio Cárdenas and María Cañas discuss

b e l l i g e r e n c y in t e r m s of t h e r e g i o n s i n v o l v e d ,

t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n in its l e g a l

are c a s e s in p o i n t , as are s e v e r a l s e v e r e l i m i t a -

a n d i n t e r p r e t a t i v e d i m e n s i o n , t o u c h i n g o n the

tions and d e f i c i e n c i e s of the U N i n t e r v e n t i o n s .

s p l i n t e r i n g c o n c e p t of " e x t e r n a l s e l f - d e t e r m i n a -

second-

t i o n , " or t h e r i g h t to c l a i m p o l i t i c a l i n d e p e n -

generation, multidimensional peacekeeping op-

d e n c e a n d s e c e d e , a n d the r i g h t to " i n t e r n a l

e r a t i o n s in N a m i b i a , C a m b o d i a , a n d El S a l v a d o r

s e l f - d e t e r m i n a t i o n . " T h i s r e l a t e s m o r e t o the

as e f f o r t s that g a i n e d the s u b s t a n t i v e support and

f u n d a m e n t a l r i g h t to c h o o s e o n e ' s g o v e r n m e n t ,

c o o p e r a t i o n of f a c t i o n l e a d e r s ; t h e y t h e r e f o r e

that is, the r i g h t of p e o p l e to a s s e r t t h e i r w i l l ,

r e p r e s e n t s u c c e s s f u l m o d e l s f o r e m u l a t i o n in f u -

w h i l e d o w n p l a y i n g t h e n o t i o n of s o v e r e i g n t y .

Doyle

cites

the

compromise,

ture U N e n g a g e m e n t s . D i s c u s s i n g t h e c a s e of

In so d o i n g , C á r d e n a s a n d C a ñ á s relate the ori-

C a m b o d i a in detail, h e s u g g e s t s a n e w f o c u s on

g i n s of s e l f - d e t e r m i n a t i o n as an i n s t r u m e n t f o r

those operations including local-level coopera-

d e c o l o n i z a t i o n , a n d t h e y p r o p o s e a b r a n d of

tion-based reform toward the reestablishment

s e l f - d e t e r m i n a t i o n that is, t h u s far, o r i g i n a l in

a n d m a i n t e n a n c e of p e a c e , t h r o u g h the m e d i u m

the c o n t e x t of t h i s b o o k .

of U N p e a c e m a k i n g , p e a c e k e e p i n g , a n d p e a c e -

T h e a u t h o r s a s s e r t that s u b n a t i o n a l g r o u p s

building activities, while he advises the dis-

or m i n o r i t i e s d o not h a v e — i n p r i n c i p l e — a legal

m i s s a l of U N p e a c e e n f o r c e m e n t a c t i v i t i e s in

entitlement

v i e w of their w i d e s p r e a d lack of s u p p o r t .

d e t e r m i n a t i o n " ) but r a t h e r to a u t o n o m y ( e x p r e s -

In his c o m m e n t a r y , G e n e r a l J e a n Cot sec-

to i n d e p e n d e n c e

s i o n of " i n t e r n a l

("external

self-determination").

selfThey

o n d s D o y l e ' s v i e w that the r e c e n t e x t e n s i o n s of

agree with the general idea that the e x c e s s i v e

the U N m a n d a t e represent progress but e x p r e s s e s

p u s h f o r s e l f - d e t e r m i n a t i o n c a n lead to " i n n e r

d i s a p p o i n t m e n t at the U N Secretary G e n e r a l ' s in-

isolation," fragmentation, increased interethnic

t e n t i o n to d i m i n i s h the U N ' s c o e r c i v e m e a n s to

strife, and

p e a c e e n f o r c e m e n t . C o t s u g g e s t s action l e a d i n g

peace and security. T h e y praise decentralized

concrete

threats

to

international

Introduction

forms of g o v e r n m e n t and self-administration, including the concept of " c o n s o c i a t i o n a l i s m . " Referring to the cases of the Aaland Islands, and the islands of Faroe, Greenland, Madeira, and Azores, they suggest legal measures such as international guarantees of autonomy, demilitarization, neutralization, and granting greater political autonomy within an existing state— that is, better internal political representation, without necessarily o f f e r i n g full independence, combined with guarantees of continued cultural autonomy. Both authors stress tolerance and cite as support the " D e c l a r a t i o n on the Rights of Persons Belonging to National, or Ethnic, Religious and Linguistic Minorities'" adopted by the United Nations General A s s e m b l y in D e c e m b e r 1992, granting minorities the right to enjoy their own culture. This declaration also provides for the right to profess and practice o n e ' s own religion; to use o n e ' s o w n language; to participate effectively in public life, as well as in all decisions having to do with the minority to which one belongs; and to establish and monitor o n e ' s own associations, including the right to establish and m a i n t a i n — w i t h o u t any discrimination—free and peaceful contacts with other m e m b e r s of the c o m m u n i t y or citizens of other states. C á r d e n a s and Cañás also c o m m e n t on the Liechtenstein Draft Convention, by expressing concern about the convenience of the draft convention at this point in time in international relations, and express the need for the convention to be amended so as to d o w n g r a d e in a timely fashion the u n j u s t i f i e d expectations of those who strive for greater self-determination. T h e authors perceive the c o n v e n t i o n ' s notion of self-determination as too imprecise and its beneficiaries too ill-defined f o r successful implemenation. Apparently, the concept is too readily associated with i n d e p e n d e n c e , an idea correlated with the decolonization process. They attribute "countless wars and conflicts" to the misuse of self-determination. T h e draft c o n v e n t i o n ' s assurances of territorial integrity are not sufficiently clear. Definitions of the "distinct group" and "sufficient degree of organization" are also unclear. While the concept of " c o m m u n i t y " is a step forward, it does not explain the idea of " p e o p l e " or resolve the problem attributed to the determination of the "limited area." Also in need of much more precise

7

d e f i n i t i o n are the c o n v e n t i o n ' s " a p p r o p r i a t e " degree of s e l f - d e t e r m i n a t i o n , " r e a s o n a b l e per i o d , " and " s a t i s f a c t o r y e x p e r i e n c e . " T h e Liechtenstein Draft Convention further fails to state that its implementation must be peaceful; it should declare u n l a w f u l the use of armed force and should e m p h a s i z e more strongly the need f o r d e v e l o p m e n t of the concept of "community." In his critique of the C á r d e n a s and Cañás paper, G i d o n Gottlieb identifies several bases for creating states in the modern Western standard—namely, the relations between territories and a central government, between individuals and the state, and the c o m m u n a l basis, linking people according to national, religious, or ethnic identity. Citing the carnage spawned by both territorial and nonterritorial approaches, he highlights the need for compromise. Repeating the a u t h o r s ' a r g u m e n t s against self-determination, he criticizes their lack of attention to g e n o c i d e e f f e c t e d against groups such as the Kurds in northern Iraq and argues that independence m a y be the only viable option f o r this p e o p l e ' s security. He f u r t h e r criticizes their lack of appreciation for the efforts of the Liechtenstein initiative, asserting that the draft convention does not presume to solve all existing conflicts but rather serves to address group rights and the claims of c o m m u n i t i e s as such, which action is in itself pathbreaking. Gottlieb rejects C á r d e n a s ' and C a ñ á s ' redefinition of s e l f - d e t e r m i n a t i o n , stating rather that a "juridical f o g " has been deliberately m a i n t a i n e d by the international c o m m u n i t y in regard to s e l f - d e t e r m i n a t i o n . He asserts that neither g o v e r n m e n t s nor individuals have the right to e x c l u d e i n d e p e n d e n c e and secession categorically f r o m the concept of self-determination; he believes that limiting self-determination to internal self-determination would render the concept i n e f f e c t i v e in preventing violent ethnic c o n f l i c t . He c o n v e y s the opinion that limitations on the concept and application of self-determination are not conducive to the international goal of maintaining peace. Stephen M a r k s recapitulates the C á r d e n a s and Cañás arguments, that is, the lack of precision in the legal f o r m u l a t i o n s of s e l f - d e t e r m i nation; current trends in international relations that challenge the norm; moral d i m e n s i o n s of the problem; a proposed reformulation; a general

8

Wolfgang Danspeckgruber

c r i t i q u e o f the L i e c h t e n s t e i n

project,

with Sir Arthur Watts

which

and L a d i n o populations. S h e e n u m e r a t e s the

s e e m s to e n c o u r a g e s e c e s s i o n ; and a p r o p o s a l

dramatic p r o b l e m s o f illiteracy and lack o f edu-

o f alternative mechanisms for accommodating

c a t i o n b e y o n d the first years o f primary school

p e o p l e s by c o n s i d e r i n g t h e m m i n o r i t i e s

a m o n g indigenous populations, the total lack of

and

granting them a u t o n o m y rights.

rights to political participation for indigenous

I n c l u d i n g his o w n e x a m p l e s to support the a r g u m e n t s , M a r k s a g r e e s with the

language speakers, the nearly c o m p l e t e absence

Cárdenas

o f e c o n o m i c opportunity, and the continued gov-

and C a ñ á s a p p r o a c h starting j u s t a f t e r W o r l d

e r n m e n t a l suppression o f the M a y a n language

W a r I, with the c r i t i q u e s on the a m b i g u i t y o f

and culture by the L a d i n o ,

the U N l a n g u a g e and the p e r c e p t i o n o f s i m u l t a -

state. S h e centers her study on language as a key

n e o u s t r e n d s o f f r a g m e n t a t i o n and g l o b a l i z a -

determinant o f cultural, political, and e c o n o m i c

t i o n , as w e l l as the f u n d a m e n t a l

e n f r a n c h i s e m e n t within G u a t e m a l a n society and

observation

Spanish-speaking

that the d e f i n i t i o n o f s e l f - d e t e r m i n a t i o n as ap-

m a k e s her a r g u m e n t s on the b a s i s o f the lan-

plied to d e c o l o n i z a t i o n is o u t d a t e d . H e e l a b o -

g u a g e s in w h i c h c h i l d r e n are taught in public

r a t e s the m o r a l d i m e n s i o n s o f s e l f - d e t e r m i n a -

s c h o o l s , h i g h l i g h t i n g the arguments and efforts

tion by o u t l i n i n g the b a s i c v a l u e s o f identity,

o f the M a y a n culturalist elites.

cultural survival, and v i o l e n c e reduction, w h e r e he d e f i n e s e a c h value. M a r k s t a k e s his ideas a step further and applies them to the situation o f f o r m e r Y u g o s l a v i a , arguing that where v i o l e n c e is used to d e s t r o y

identity, there m a y be a

strong m o r a l a r g u m e n t against the p r e s e r v a t i o n o f the d o m i n a t i n g and r e p r e s s i v e state. He further s u g g e s t s that the C á r d e n a s and C a ñ á s c a l l f o r the e x t e n s i o n o f " m o d e r n i t y " s h o u l d m o r e p r e c i s e l y be d e f i n e d as a c a l l for " t h e right o f e f f e c t i v e p a r t i c i p a t i o n in the political and e c o n o m i c p r o c e s s . " M a r k s interprets their paper as bringing the W i l s o n i a n c o n c e p t o f s e l f - d e t e r m i nation full c i r c l e , in that it assures the right o f p e o p l e within a state to c h o o s e the structures o f government

and p o l i t i c a l

l e a d e r s and

offers

s p e c i a l p r o v i s i o n for cultural, linguistic, e t h n i c , o r r e l i g i o u s m i n o r i t i e s to e n j o y protection f r o m d i s c r i m i n a t i o n , i f they s e e k e q u a l i t y and a u t o n o m y and i f t h e y do not w i s h to

assimilate.

M a r k s a g r e e s to the c a s e - b y - c a s e a p p r o a c h f o r j u d g i n g c l a i m s f o r g r e a t e r a u t o n o m y and a c k n o w l e d g e s the a u t h o r s ' r e s e r v a t i o n s about the l e n g t h o f , and the a m b i g u i t i e s i n h e r e n t in, the draft c o n v e n t i o n . H e asserts that C á r d e n a s and C a ñ á s h a v e raised the hardest issues o f the l i m its o f s e l f - d e t e r m i n a t i o n w h i l e c o n f i r m i n g h i s b e l i e f that the L i e c h t e n s t e i n D r a f t C o n v e n t i o n is a step in the right d i r e c t i o n .

handling

o f the

situation:

F i r s t , the status q u o , that is, c o n t i n u e d efforts to a s s i m i l a t e the adherents o f M a y a n culture to the L a d i n o , S p a n i s h - s p e a k i n g c u l t u r e c o u p l e d with c o n t i n u e d e c o n o m i c , p o l i t i c a l , and cultural d i s e n f r a n c h i s e m e n t ; s e c o n d , the culturalist a r g u m e n t in favor o f e s t a b l i s h i n g all-indigen o u s - l a n g u a g e s c h o o l s , and the d e v e l o p m e n t of an i n d i g e n o u s s o c i e t y and p o l i t i c s as s u c h , in o r d e r to p r e s e r v e M a y a n c u l t u r e ; and

third,

h a v i n g m a d e a r g u m e n t s a g a i n s t the first two approaches,

Warren

proposes

Guatemalan

cultural

identity

to by

reinvent providing

m i x e d language and cultural e d u c a t i o n , instruction in the indigenous l a n g u a g e o f the region as well as in S p a n i s h , as well as the o p t i o n o f m o n o l i n g u a l education f o r the stubborn few. M i g u e l C e n t e n o ' s c o m m e n t s on K a y Warr e n ' s p a p e r s u g g e s t f u r t h e r c o n s i d e r a t i o n and d e e p e r a n a l y s i s o f the i s s u e s i n d i r e c t l y raised. Of

those

topics

Warren

discusses,

Centeno

w o u l d like to see e l a b o r a t i o n o f the c o n c e p t o f the pluricultural state and s u g g e s t s the possibility f o r c o m p a r i s o n o f the M a y a n c a s e to the realities of M e x i c o . Centeno questions whether l i t e r a c y c o n n o t e s c i t i z e n s h i p and w h e t h e r lang u a g e and identity s h a p e o n e a n o t h e r and in w h i c h r e l a t i o n s h i p . He is struck by the facility

In Chapter 7, K a y Warren writes on " M a y a n Self-Determination: Multicultural Models and Educational C h o i c e for G u a t e m a l a . " S h e details the current unequally distributed educational

and

cultural s y s t e m s , e s p e c i a l l y

and

in e d u c a t i v e

S h e d i s c u s s e s three primary a p p r o a c h e s to the c o n t e m p o r a r y

with w h i c h a c a d e m i c s , j o u r n a l i s t s , and p o l i c y m a k e r s a c c e p t c l a i m s to e t h n i c

separateness

and e x p r e s s e s c o n c e r n o v e r this p o l i c y , c i t i n g the e a s e with w h i c h the d o m i n a n t c l a s s e s can use n a t i o n a l i s m as a m a n i p u l a t i v e tool.

governmental institutions, as typical for the c o n -

He cites the ambiguity involved in defining

t e m p o r a r y situation o f G u a t e m a l a ' s i n d i g e n o u s

distinct groups and mentions that a people's self-

Introduction

determination can easily be interpreted as that p e o p l e ' s i m p e r i a l i s m . C e n t e n o e x p r e s s e s disagreement with the Liechtenstein Draft C o n v e n tion's willingness to accept ambiguities of all kinds and indicates the need for limitations on the degree to which identity can be legitimately specified. H e also suggests the thorough discussion of nationalism in the context of s e l f - d e t e r m i n a t i o n . In h e r c o m m e n t a r y , D e b o r a h L e v e n s o n Estrada d e s c r i b e s the W a r r e n p a p e r as p r e s e n t ing " t h e v i e w s of a g r o u p of G u a t e m a l a n M a y a n i n t e l l e c t u a l s . " S h e s u m m a r i z e s the goal of this g r o u p as increasing the equality b e t w e e n S p a n i s h and t h e m o r e than t w e n t y M a y a n lang u a g e s s p o k e n in G u a t e m a l a and f o s t e r i n g the n o t i o n of a s i n g l e a n d u n i f i e d M a y a n p e o p l e and a real M a y a n n a t i o n . L e v e n s o n - E s t r a d a criticizes this m o v e m e n t b e c a u s e traditionally, local identities in G u a t e m a l a p r e d o m i n a t e o v e r any f o r m of P a n - M a y a n identity and g r a s s r o o t s movements and indigenous peoples' organizations h a v e not b e e n P a n - M a y a n but r a t h e r interethnic. M o s t L a d i n o s , of m i x e d Spanish and i n d i g e n o u s d e s c e n t , are e q u a l l y as p o o r and without land as the purely i n d i g e n o u s p e o p l e s . L a d i n o s d o not c h a r a c t e r i z e t h e m s e l v e s as L a d i n o , but r a t h e r as p e o p l e of m i x e d S p a n i s h and r e g i o n a l i n d i g e n o u s d e s c e n t , and L a d i n o s as well as M a y a n s s t r u g g l e p r i m a r i l y not against each other but e q u a l l y against " a terrorist state," w h o s e elites s e l f - i d e n t i f y as w h i t e or as E u r o p e a n ( B e l g i a n , G e r m a n , or S p a n i s h ) . Levenson-Estrada views Pan-Mayanism as a r t i f i c i a l a n d e x t e r n a l a n d f e e l s that P a n M a y a n i s m s i m p l y e x a c e r b a t e s the e x i s t i n g cultural split, f o r c i n g a L a d i n o i d e n t i t y on n o n s e l f - i d e n t i f i e d L a d i n o s . S h e c o m m e n t s o n the w i d e l y v a r y i n g c o n c e n t r a t i o n s and m i x e s of L a d i n o and p u r e l y i n d i g e n o u s p o p u l a t i o n s and on the d i f f i c u l t i e s of s e l f - d e t e r m i n a t i o n e n g e n d e r e d by a m b i g u i t i e s a b o u t w h o the " s e l f ' is a n d w h o h a s t h e p o w e r to d e c i d e ; b u t she a g r e e s to the n e c e s s i t y of t e a c h i n g M a y a n lang u a g e s and a r g u e s that m o s t i n d i g e n o u s c h i l d r e n , like m o s t p o o r G u a t e m a l a n c h i l d r e n , will e v e n t u a l l y h a v e to s e e k w o r k in G u a t e m a l a City, " a m o n s t e r of f a i l e d m o d e r n i t y , " to w h i c h problem the culturalist a r g u m e n t does not speak. That city's y o u n g people, the d e m o g r a p h i c m a j o r i t y , are m o r e interested in w o r l d y o u t h c u l t u r e l i f e - s t y l e s t h a n in t r a d i t i o n a l ones.

9 In the n e x t c h a p t e r , " T h e F r o n t i e r s of O u r D r e a m s Are No Longer the S a m e , " Michele L a m o n t e x a m i n e s t h r e e v a r i e t i e s of c l a s s i s m a m o n g interethnic g r o u p s e x i s t i n g in m a j o r i t y m i n o r i t y r e l a t i o n s h i p s . S h e d i s c u s s e s the antiM u s l i m s e n t i m e n t s of white F r e n c h people and attributes these f e e l i n g s b o t h to s o c i o e c o n o m i c d i s c r e p a n c i e s , as well as to the r o l e of c r i m i nality, p r e s u m a b l y c o m m i t t e d by p e o p l e of N o r t h A f r i c a n d e s c e n t , and to cultural d i s c r e p a n c i e s p e r p e t u a t e d by this p o p u l a t i o n ' s resistance to a s s i m i l a t i o n of F r e n c h societal n o r m s . In the U . S . c o n t e x t , L a m o n t d e s c r i b e s the white m i d d l e - c l a s s p r e j u d i c e a g a i n s t b l a c k s in t e r m s of a lack of w o r k e t h i c in b l a c k s a n d governmentally inspired favoritism toward blacks w h o , w h i t e s b e l i e v e , are not r e q u i r e d to m e e t the s a m e s t a n d a r d s of w o r k and social c o n d u c t ; the g o v e r n m e n t a l f a v o r i t i s m , in turn, is s p a w n e d by retrospective f e e l i n g s of guilt for historical d i s c r i m i n a t i o n and r e p r e s s i o n . In the c a s e of C a n a d a , L a m o n t d i s c u s s e s the d i v i d e b e t w e e n French Q u e b e c and the E n g l i s h - s p e a k ing rest of C a n a d a , d r a w i n g the distinction bet w e e n the p o p u l a t i o n s a l o n g l i n g u i s t i c lines, n o t i n g that F r e n c h s p e a k e r s f r o m any e t h n i c b a c k g r o u n d integrate better into F r e n c h - s p e a k ing C a n a d a than d o w h i t e E n g l i s h s p e a k e r s . S h e c o n c l u d e s that virtually any d i f f e r e n c e can be u s e d as a basis f o r d i s c r i m i n a t i o n a g a i n s t i d e n t i f i a b l e p o p u l a t i o n s and c o r r e s p o n d i n g f e e l i n g s of s u p e r i o r i t y in the m a j o r i t y g r o u p . Her f i n d i n g s are b o t h t e x t u a l l y b a s e d and drawn from interviews. R o b e r t P u t n a m ' s c o m m e n t a r y on L a m o n t ' s c h a p t e r places h e r work within the tradition of studies of c o m m u n i t y and e x c l u s i o n . O n e c o n clusion he f i n d s striking is the i m p a c t of tradition itself on the logic of social s e g m e n t a t i o n , as seen in t h e F r e n c h J a c o b e a n t r a d i t i o n , the U . S . ideals of liberty and o p p o r t u n i t y in c o n trast with the f o r m e r institution of slavery, and the Q u e b e c n a t i o n a l t r a d i t i o n . H e o u t l i n e s the criteria f o r s e g m e n t a t i o n a l o n g the lines of citizenship, i m m i g r a t i o n , and p e r h a p s religion f o r France, language for Quebec, and economic class f o r the U n i t e d States. P u t n a m c o n s i d e r s L a m o n t ' s a p p r o a c h to the study, b a s e d in part on i n t e r v i e w s with U . S . and F r e n c h w o r k e r s , as u n u s u a l and i n t r o d u c e s s o m e a d d i t i o n a l a p p r o a c h e s that m i g h t h a v e b e e n u s e d . H e p o i n t s to m o r e c o n v e n t i o n a l

10

m e a n s , i n c l u d i n g study of b e h a v i o r a l s i m i l a r i ties such as v o t i n g t e n d e n c i e s a n d i n t e r p r e t a tive r e a c t i o n s to e m o t i o n a l l y l o a d e d n e w s e v e n t s like the O.J. S i m p s o n trial and the study of n e t w o r k c o n n e c t i o n s — i n other w o r d s , d e f i n ing an i n d i v i d u a l ' s c o m m u n i t y a c c o r d i n g to w h o m h e likes, w h o m he a c t s like, and with w h o m h e interacts. H e s u g g e s t s that L a m o n t ' s c h o i c e of national t y p o l o g y — r a c e and c l a s s in the U n i t e d States, i m m i g r a t i o n in F r a n c e , lang u a g e and culture in Q u e b e c — m a y be too s i m ple, i g n o r i n g F r e n c h and U . S . e t h n o c e n t r i s m . P u t n a m also points to the m o d e r n t e c h n o l o g i c a l r e v o l u t i o n that has d r a m a t i c a l l y r e d u c e d the s i g n i f i c a n c e of p h y s i c a l d i s t a n c e and p r o p o s e s t h r e e h y p o t h e s e s f o r p o s s i b l e e f f e c t s of this p h e n o m e n o n : first, the e m e r g e n c e of a g l o b a l c o m m u n i t y ; s e c o n d , the i n t e n s i f i c a t i o n of c l a i m s of p r i m o r d i a l b l o o d - a n d - c u l t u r e c o m m u n i t y ; and third, n e a r - t o t a l n o n c o m m u n i t y , c o m p o s e d of " i s o l a t e d i n d i v i d u a l s f a c i n g a m e d i a - c r e a t e d " v i r t u a l " world in an a n o n y m o u s and s o m e w h a t f r i g h t e n e d w a y . " W o l f g a n g D a n s p e c k g r u b e r , in the c h a p t e r on " S e l f - D e t e r m i n a t i o n , S u b s i d i a r i t y , and R e g i o n a l i z a t i o n in C o n t e m p o r a r y E u r o p e , " disc u s s e s s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s t r a tion p e r t a i n i n g to c o n t e m p o r a r y E u r o p e and Western European institutions. The chapter c o m p r i s e s f o u r parts: the theoretical, historical, and c o n t e m p o r a r y c h a r a c t e r i z a t i o n r e l a t i n g to the r e l e v a n c e of s e l f - d e t e r m i n a t i o n and selfg o v e r n a n c e in t o d a y ' s E u r o p e — b o t h East and West; an e x a m i n a t i o n of r e g u l a t i o n s f o r s e l f d e t e r m i n a t i o n and s e l f - a d m i n i s t r a t i o n as c o n t a i n e d w i t h i n and o f f e r e d by E u r o p e a n o r g a n i z a t i o n s , s u c h as the O r g a n i z a t i o n f o r S e c u r i t y a n d C o o p e r a t i o n in E u r o p e ( f o r m e r l y C S C E ) and the C o u n c i l of E u r o p e ( C o E ) ; a d i s c u s s i o n of the r o l e and s u c c e s s of s e l f - d e t e r m i n a t i o n initiatives in three cases: B e l g i u m , S o u t h Tyrol, a n d C a t a l o n i a ; and the s u g g e s t i o n of i m p l e m e n t a t i o n of an a c c e p t a b l e , f e a s i b l e , a n d e f f e c tive international structure g u a r a n t e e i n g certain f u n d a m e n t a l rights and p a r a m e t e r s of s e l f a d m i n i s t r a t i o n and s e l f - r e a l i z a t i o n a n d t h e i r execution. T h i s c h a p t e r a r g u e s that on the E u r o p e a n c o n t i n e n t the search for i n c r e a s e d s e l f - d e t e r m i n a t i o n , s e l f - r e a l i z a t i o n , and s e l f - a d m i n i s t r a t i o n is not l i m i t e d — a s is c o m m o n l y a s s u m e d — m e r e l y to c o m m u n i t i e s , g r o u p s , and r e g i o n s in

Wolfgang Danspeckgruber

with Sir Arthur

Watts

E u r o p e ' s central, eastern, or southeastern parts. R a t h e r , interest in g r e a t e r a u t o n o m y also perm e a t e s regions of E U m e m b e r s B e l g i u m , Italy, Spain, and the U K , as well as Switzerland. Western E u r o p e ' s drive t o w a r d d e e p e r e c o n o m i c i n d u s t r i a l , a n d p o l i t i c a l - s t r a t e g i c , integration and w i d e r c o o p e r a t i o n h a s — a s c o u n t e r r e a c t i o n — i n t e n s i f i e d the a p p e a l of s e l f - d e t e r m i n a tion and s e l f - r e a l i z a t i o n . T e n s i o n s have thus e m e r g e d f r o m the e v e r - i n c r e a s i n g r e q u i r e m e n t s f o r d i m i n i s h i n g s o v e r e i g n t y on E U m e m b e r states and p e r s i s t e n t interest in a u t o n o m y on the c o m m u n a l and regional p l a n e . Regionalization and s u b s i d i a r i t y — d e v e l o p e d within the f r a m e w o r k of the E U ' s M a a s t r i c h t A g r e e m e n t — p r o v i d e a m e a n s of c o n t i n u e d self-realization on the c o m m u n a l level, in spite of int e n s i f i e d e c o n o m i c and industrial integration. Three m a j o r a r g u m e n t s surface: (1) Interest in increased s e l f - a d m i n i s t r a t i o n in Western Europe e s p e c i a l l y c o n c e r n s areas of linguistics, culture, e d u c a t i o n , and related administrative, e c o n o m i c , and f o r e i g n policy d i m e n s i o n s , but d o e s not n e c e s s a r i l y involve industrial-technological, e c o n o m i c , or security policy matters, w h e r e the need for central g u i d a n c e is clearly a c k n o w l e d g e d . (2) S e l f - d e t e r m i n a t i o n and selfadministration ought not necessarily to result in classical sovereignty and full independence, but rather should a u g m e n t levels of autonomy or selected s e l f - g o v e r n a n c e . Electorates or c o m m u n i ties that d o not want to e f f e c t the e x p e c t e d c h a n g e s c o n c o m i t a n t with E u r o p e a n integration will naturally be less ready for further transfer of p o w e r s to Brussels on all levels. (3) T h e process of o b t a i n i n g h i g h e r levels of self-determination has to be u n d e r s t o o d in f o u r d i m e n s i o n s — v e r tical, h o r i z o n t a l , bilateral, and internal. On the vertical level, t h e r e e x i s t s a m u l t i - a c t o r situation w h e r e i n a u t h o r i t y t r a v e l s and is i m p l e m e n t e d t h r o u g h state, c o m m u n a l , regional, and s u p r a n a t i o n a l organs; third-party o u t s i d e p o w e r interests in the c o m m u n a l strive f o r s e l f - d e t e r m i n a t i o n m a y be of d e c i s i v e i m p a c t but m a y d e p e n d on the p a r t i c u l a r s of the i n t e r n a t i o n a l s y s t e m . O n the h o r i z o n t a l p l a n e , i n c r e a s e d rights and f r e e d o m s , that is, s e l f - a d m i n i s t r a t i o n or a u t o n o m y , o b t a i n e d by o n e c o m m u n i t y within a m u l t i e t h n i c state, is mostly a c h i e v e d at the e x p e n s e of the o t h e r c o m m u n i t i e s w i t h i n the s a m e state: this m a y i n d u c e bilateral interc o m m u n a l , or interregional a n t a g o n i s m , rivalry,

Introduction

11

and t e n s i o n s . F i n a l l y , g r e a t e r s e l f - g o v e r n a n c e

s e l f - d e t e r m i n a t i o n , and d e c e n t r a l i z e d or l o c a l

by o n e c o m m u n i t y e n t a i l s s t r i n g e n t r i g h t s and

forms o f governments as possibly helpful m e c h -

obligations

a n i s m s that states can use to i m p r o v e the situa-

for

other

ethnic

groups

living

within the territory o f that c o m m u n i t y . T h e case studies o f B e l g i u m ,

tion o f national minorities within territories and

Catalonia,

reiterates " the right o f persons belonging to na-

and S o u t h T y r o l ( A l t o A d i g e ) d e m o n s t r a t e that

tional m i n o r i t i e s to e x e r c i s e and e n j o y

c o n t i n u o u s n e g o t i a t i o n and r e a d i n e s s to c o m -

rights alone or in c o m m u n i t y with o t h e r s . " Z a a g -

their

p r o m i s e , the a b s e n c e o f a b s o l u t e

objectives

man c o n c l u d e s that the O S C E is strongly skepti-

n o t w i t h s t a n d i n g , provide a c c e p i a b l e results and

cal toward the s u b j e c t o f s e l f - d e t e r m i n a t i o n , let

c o n t r i b u t e to both e c o n o m i c and s o c i a l s u c c e s s ,

a l o n e s e p a r a t i s m and e f f o r t s to p r o m o t e s e c e s -

as w o u l d an e n c o u r a g i n g , o r p r e d i c t a b l e and

sion, both b e c a u s e o f r e s t r i c t i v e v i e w s held b y

stable, international e n v i r o n m e n t . T h e R e g i o n s

m e m b e r states and s t a t e s ' disinterest in further-

o f B e l g i u m ( e f f e c t e d by the n e w federal struc-

ing the issue after recent e x p e r i e n c e s . He f o r e -

ture o f the K i n g d o m o f B e l g i u m in 1 9 9 3 ) , C a t -

s e e s that p r u d e n c e will prevail in t r i c k y situa-

a l o n i a . and the S o u t h T y r o l P a c k e t are all c o n -

tions,

temporary

support o f territorial integrity, r e c o g n i z i n g that

examples

of

a

working

modus

that

OSCE

states

will

come

out

in

c h a n g i n g borders s e l d o m s o l v e p r o b l e m s d e f i n -

vivendi within E U territory. In " T h e O S C E , S e l f - D e t e r m i n a t i o n ,

and

A u t o n o m y , " R o b Z a a g m a n a d d r e s s e s the inv o l v e m e n t o f the O S C E ( O r g a n i z a t i o n f o r S e curity and C o o p e r a t i o n in E u r o p e ) in issues o f national m i n o r i t i e s . D e s c r i b i n g t h e m as h i g h l y

i t i v e l y ; and that it is u n l i k e l y that an

OSCE

a r r a n g e m e n t will be m a n d a t e d to p r o m o t e the principle o f self-determination o f peoples or territorial a u t o n o m y a r r a n g e m e n t s for national minorities.

political in nature, he e x p l a i n s , first, that O S C E

Z a a g m a n relates that the O S C E r e c o g n i z e s

c o m m i t m e n t s are the d i r e c t p r o d u c t s o f p o l i t i -

that c o m p l i a n c e with i n t e r n a t i o n a l o b l i g a t i o n s

cal d i p l o m a t i c n e g o t i a t i o n s and a r e f l e c t i o n o f

and c o m m i t m e n t s c o n c e r n i n g the rights o f per-

p o l i t i c a l interests, not l e g a l l y b i n d i n g but g e n -

sons b e l o n g i n g to national m i n o r i t i e s is a m a t -

e r a l l y a c c e p t e d by O S C E m e m b e r states. S e c -

ter o f l e g i t i m a t e international c o n c e r n and c o n -

ond, O S C E a c t i v i t y has led to c o n c e s s i o n s on

s e q u e n t l y d o e s not d e f i n e it as an e x c l u s i v e l y

national m i n o r i t y i s s u e s , a l s o in Western E u r o -

internal affair. A c t i n g as a d i s i n t e r e s t e d third

pean states; and third, s i n c e 1 9 8 9 - 1 9 9 0 . there

party, the High C o m m i s s i o n e r for N a t i o n a l M i -

has b e e n a very c l e a r o v e r a l l d e c r e a s e in the

norities is the only s p e c i f i c a l l y m i n o r i t y - r e l a t e d

w i l l i n g n e s s o f states to adopt further c o m m i t -

b o d y o f the O S C E ; h e is f r e e to d e c i d e w h e r e

m e n t s . T h e c o m m i t m e n t s to s e l f - d e t e r m i n a t i o n

and w h e n he will b e c o m e i n v o l v e d but is not

and minorities are h e n c e essentially nonbinding.

m a n d a t e d to p r o t e c t p e r s o n s b e l o n g i n g to m i -

Z a a g m a n d e s c r i b e s the H e l s i n k i F i n a l A c t

n o r i t i e s o r to p r o m o t e m i n o r i t y - r e l a t e d r i g h t s .

o f 1 A u g u s t 1 9 7 5 , c o n t a i n i n g the ten p r i n c i p l e s

T h e H i g h C o m m i s s i o n e r e n d e a v o r s to p r e v e n t

concerning human rights, fundamental freedoms,

c o n f l i c t b y trying to c o n t a i n and r e d u c e ten-

equal rights, s e l f - d e t e r m i n a t i o n o f p e o p l e s , ter-

s i o n s and by alerting the O S C E w h e n e v e r t e n -

of

sions threaten to d e v e l o p to a level at which h e

p e r s o n s b e l o n g i n g to n a t i o n a l m i n o r i t i e s . F u r -

c a n n o t c o n t a i n t h e m with the m e a n s at his dis-

t h e r m o r e , the J u n e

posal. In almost all c a s e s , a r r a n g e m e n t s i n v o l v -

ritorial i n t e g r i t y o f s t a t e s , and p r o t e c t i o n 1990 Copenhagen

Docu-

ment c a u t i o u s l y a c k n o w l e d g e s i n c r e a s e d auton-

ing or e v e n a p p r o a c h i n g t e r r i t o r i a l a u t o n o m y

o m y as a p o s s i b l e m e a n s to m e d i a t e r e l a t i o n s

are p o l i t i c a l l y not v i a b l e , a s the g o v e r n m e n t s

b e t w e e n c e r t a i n m i n o r i t i e s and the state c o n -

c o n c e r n e d interpret m o v e s t o w a r d g r e a t e r a u -

cerned. T h e N o v e m b e r 1 9 9 0 Charter o f Paris

t o n o m y a s the first steps to s e c e s s i o n , thus e x -

r e i t e r a t e s the O S C E m e m b e r s ' c o m m i t m e n t to

acerbating tensions. Issues o f autonomy may

protect the identity o f m i n o r i t i e s and their right

o n l y be d i s c u s s e d a f t e r r e l a t i o n s h a v e b e c o m e

to e x p r e s s and p r o m o t e that identity, the c o m -

more relaxed.

m i t m e n t to the p r i n c i p l e s o f e q u a l rights p e o p l e s , p e o p l e s ' right to

of

self-determination,

and the territorial integrity o f states. T h e G e n e v a Report o f J u l y

1991 l i k e w i s e lists

autonomy,

Z a a g m a n s u g g e s t s s t r e n g t h e n i n g the d e m o c r a t i c f r a m e w o r k to p r o v i d e the vital b a s i s for the prevention o f v i o l a t i o n s o f h u m a n rights and t h e i r r e d r e s s in all c o n t e x t s , as w e l l

as

12 those of national minorities. Rather than seeking territory, minorities could more successfully self-realize through legislation promoting the d e v e l o p m e n t of the m i n o r i t y ' s identity in various fields—for instance, culture, education, and local government, possibly via independent local g o v e r n m e n t , decentralization, devolution of powers, and enhanced powers and financial resources in certain fields. Hence, threatening terms like self-determination and territorial aut o n o m y could be avoided, and g o v e r n m e n t s might be more open to change. Henry Bienen, in "Self-Determination and S e l f - A d m i n i s t r a t i o n in the F o r m e r Soviet U n i o n , " discusses its collapse. Describing a "situation of ethnic violence, even anarchy, and where the potential for further violence exists," he argues that "creating more s e l f - d e t e r m i n a tion within states is not likely to provide a succ e s s f u l m e c h a n i s m f o r representation, ethnic harmony, or p e a c e f u l resolution of conflict. Rather, an e m p h a s i s on individual rights, democracy and perhaps a m e a n i n g f u l reconstitution of the C o m m o n w e a l t h of Independent States (CIS), if not a reconstruction of a unitary state, will provide a more hopeful base for the f u t u r e evolution of the f o r m e r Soviet U n i o n . " To make this argument, he examines situations and sources of conflict in the f o r m e r U S S R ; conflicts between states, C h e c h n y a , Tatarstan, and Russia; and interethnic conflicts, as in the case of Georgia, and b e t w e e n states, as in the case of Azerbaijan and Armenia. Bienen f i n d s that ethnic mixes p r e d o m i nate in the states of the f o r m e r Soviet Union and that c o m m u n a l b o u n d a r i e s are not necessarily territorial borders; however, most outsiders are m i s i n f o r m e d about the realities of any given situation. With strong persuasive evidence he argues that a supracommunal, territorially based, democratic state or association of states, devoid of ethnic, religious, or linguistic national c o n s c i o u s n e s s , or at least incorporating all varieties of c o m m u n a l factors in a nonexclusionist " s t e w " rather than a melting pot, will f u n c t i o n most e f f e c t i v e l y and p e a c e f u l l y and with the most respect for human rights. In the context of complex ethnic fragmentation and nonterritorially defined diasporas, Bienen relates that self-identifications vary according to many factors and acknowledges that any political center may persecute some c o m m u n i t i e s . He

Wolfgang Danspeckgruber

with Sir Arthur

Watts

suggests that such a center may, however, also protect minorities f r o m local or regional majorities. Bienen proposes a c o m p a r i s o n with Western E u r o p e , w h o s e integration may have led to reductions of ethnic conflict within and a m o n g E u r o p e a n states. M i n d f u l of p r o b l e m s that would accompany the creation of the CIS, Bienen speaks to the need for great p o w e r intervention, to potentially serve as police and mitigators of abuses of human rights involving all people, as well as c o m u n a l l y defined groups, and r e c o m m e n d s self-administration that falls short of self-rule, much less independence, and that threatens constituted states less than does a call for federation. Bienen also addresses the practical issues: first, that s y s t e m s of d e m o c r a t i c s e l f - g o v e r n ment and self-adminstration may not be easily based on the f o u n d a t i o n of centralized rule built on the corpses of c o m m u n i s t regimes; second, that international intervention has been unreliable, even in cases of e g r e g i o u s violations of human rights; and finally, that no provisions of international law, no charter, and no m e c h a n i s m put in place can substitute for great power agreement and consensus when it c o m e s to human rights. He thus argues for a focus on individuals rather than on groups. International institutions should avoid precise definitions of self-administration and the formulation of policies solely on the basis of c o m m u n a l identities. T h e y should see regional o r g a n i z a t i o n s as m e c h a n i s m s created to mitigate political tensions or to intervene against communally based g e n o c i d e and should e x p r e s s a p r e f e r e n c e for territorially defined citizenship rather than ethnically based citizenship, pressing f o r the rights of m i n o r i t i e s w h i l e also p r e s s i n g f o r a secular and n o n c o m m u n a l basis f o r citizenship. Georgiy Mirsky concurs with all of Biene n ' s theses except in the case of the alleged Iranian and R u s s i a n support for A r m e n i a and the concept of a "Greater A z e r b a i j a n . " He elaborates on the c i r c u m s t a n c e s of ethnic conflict, writing that the most difficult to settle are those c o m b i n i n g age-old animosity, territorial dispute, and minority grievances caused by real or perceived injustice, inequality, and discrimination, and pointing to A r m e n i a versus A z e r b a i j a n , Bosnian Serbs versus M u s l i m s , and Iraqi Kurds versus Arabs as the most o b v i o u s cases. In these instances, Mirsky identifies a difference

13

Introduction

of m e n t a l i t i e s , w h i c h p s y c h o l o g i c a l l y r u l e s out

Africa:

c o e x i s t e n c e , as t h e root of t h e p r o b l e m . U s i n g

Gambari

Problems

o t h e r e x a m p l e s , M i r s k y s u g g e s t s territorial d i -

n u m b e r of h i s t o r i c a l e v e n t s i n f l u e n c i n g s e l f -

and

and

Martin

Prospects," Uhomoibhi

Ibramin present

a

v i s i o n as a v i a b l e o p t i o n in s o m e , if not in all,

d e t e r m i n a t i o n in A f r i c a . T h e y s p e a k to the a f -

c a s e s . H e c i t e s t h e R u s s i a n s c h o l a r N. P e t r o v as

t e r m a t h of W o r l d W a r I, t h e p r i n c i p l e d p o s i -

h a v i n g l i s t e d 168 v a r i o u s e t h n i c c l a i m s m a d e

t i o n s t a k e n by C h u r c h i l l a n d R o o s e v e l t , t h e

p u b l i c a f t e r t h e c o l l a p s e of t h e S o v i e t U n i o n .

birth of the U n i t e d N a t i o n s a n d its d e c l a r a t i o n

H e r e c o n f i r m s t h e n e e d to d r a w a t t e n t i o n to the

on the u n i v e r s a l p r i n c i p l e of s e l f - d e t e r m i n a t i o n

p r o b l e m s of R u s s i a n s living in the " n e a r a b r o a d , "

in I 9 6 0 , a n d the c r e a t i o n of the O r g a n i z a t i o n of

not citing d i s c r i m i n a t i o n but r a t h e r the lack of

A f r i c a n U n i t y in 1963, w h i c h led to the r e s t o r a -

o p p o r t u n i t i e s , and underlines the relevance of the

tion of A f r i c a n c o l o n i e s a n d the e v e n t u a l d e -

former USSR

c o l o n i z a t i o n of A f r i c a . H a v i n g i n t r o d u c e d their

as a potential

Pandora's

box.

w h i c h s h o u l d be treated with caution. In h i s

commentary

on

Bienen's

article w i t h a d o c t r i n a l r e f e r e n c e s u p p o r t i n g the paper,

right of s e l f - d e f i n e d c o m m u n i t i e s or n a t i o n s to

points,

s e l f - d e t e r m i n e , t h e a u t h o r s a r g u e that b o u n d -

n a m e l y . B i e n e n ' s i m p l i c i t d i s m i s s a l of t h e In-

aries within A f r i c a have been drawn irrespec-

Hurst

Hannum

disagrees

with

two

d i a n a n d C h i n e s e m u l t i e t h n i c e m p i r e s and t h e

tive of l o c a l r e a l i t i e s a n d s u g g e s t that a d h e r -

degree

e n c e to t h e i n t e r n a t i o n a l n o r m of m a i n t a i n i n g

to w h i c h

Bienen

identifies

national

i d e n t i t y as fluid. T h e b u l k of the c o m m e n t a r y

the s t a t u s q u o m a y be i n a p p r o p r i a t e in t h i s

f o c u s e s o n t h e r e c e n t e x p e r i e n c e of o n e a u -

case. Outlining commonly perceived economic

t o n o m o u s r e p u b l i c . T a t a r s t a n , w i t h i n the R u s s -

and e t h n i c p r o b l e m a r e a s , they point to the lack

ian F e d e r a t i o n . T a t a r s t a n ' s initial r e f e r e n d u m

of c l a r i t y in t h e U N c h a r t e r ' s m e c h a n i s m s f o r

d i d not m e n t i o n the w o r d " i n d e p e n d e n c e , " but

facilitating internal self-determination and the

t h e first e c o n o m i c " t r e a t y " w a s s i g n e d in J a n u -

U N a n d its m e m b e r s j e a l o u s g u a r d i n g of s o v e r -

ary 1992, a n d in N o v e m b e r T a t a r s t a n a d o p t e d a

eignty. D e s p i t e the O A U ' s lack of clarity of in-

c o n s t i t u t i o n r e f e r r i n g to itself as a " s o v e r e i g n

terpretation and application, and having agreed

democratic"

to n o n i n t e r f e r e n c e in m e m b e r s t a t e s ' i n t e r n a l

r a t h e r t h a n as an

independent,

state. Tatar and Russian were both recognized

a f f a i r s , t h e o r g a n i z a t i o n is p a r t i a l l y c o m p r i s e d

national languages, and Tatarstan was declared

of m e m b e r s o p p o s e d to internal s e l f - d e t e r m i n a -

to e x p r e s s t h e will "of t h e w h o l e m u l t i n a t i o n a l

tion. T h e authors r e c o g n i z e the need for clarifica-

p e o p l e of t h e r e p u b l i c , " a n d the r e l a t i o n s h i p

tion of w h a t constitutes h u m a n rights, secession,

b e t w e e n the e n t i t i e s w a s d e f i n e d as an " a s s o c i -

liberation, dissent, and legitimacy. C o n t r i b u t i n g

a t i o n . " N e g o t i a t i o n s in 1 9 9 3 a n d 1994 c u l m i -

f a c t o r s to the salience of the s e l f - d e t e r m i n a t i o n

n a t e d in a t r e a t y o u t l i n i n g a " d e l i m i t a t i o n of j u -

issue include the declining p o w e r of A f r i c a n cen-

r i s d i c t i o n a l s u b j e c t s a n d m u t u a l d e l e g a t i o n of

tral g o v e r n m e n t s .

a u t h o r i t y b e t w e e n the state b o d i e s of the R u s s -

G a m b a r i and U h o m o i b h i a c k n o w l e d g e that

ian F e d e r a t i o n a n d the s t a t e b o d i e s of the R e -

a d m i n i s t r a t i v e d e c e n t r a l i z a t i o n a n d cultural, or

p u b l i c of T a t a r s t a n , " by w h i c h t r e a t y T a t a r s t a n

even economic, autonomy may provide avenues

a l s o has t h e p o w e r to " p a r t i c i p a t e in i n t e r n a -

f o r g r e a t e r s e l f - d e t e r m i n a t i o n in A f r i c a but a l s o

t i o n a l a f f a i r s . " O v e r a l l , t h e T a t a r s t a n e f f o r t has

that political a u t o n o m y f o r s u b n a t i o n a l g r o u p s

b e e n a s u c c e s s , a i d e d by the u n q u e s t i o n a b l e sit-

will generally r e m a i n u n a c c e p t a b l e . T h e c o n t e m -

u a t i o n , g e o g r a p h i c a l a n d h i s t o r i c a l , of Tatarstan

p o r a r y d e b a t e , on the o n e h a n d , d e c l a r e s self-de-

w i t h i n R u s s i a , t h e p o l i t i c a l a d e p t n e s s of t h e

t e r m i n a t i o n a n o n i s s u e since the c o m p l e t i o n of

l e a d e r s i n v o l v e d , t h e aid of i n t e r n a t i o n a l n o n -

decolonization, and, on the other hand, highlights

g o v e r n m e n t a l organizations, and the presence

the c o n t i n u e d r e l e v a n c e of the issue in interna-

of the n e c e s s a r y a m b i g u i t y w i t h i n political a n d

tional t h o u g h t , as d e m o n s t r a t e d by the L i e c h t e n -

legal p a r a m e t e r s . H a n n u m h o p e s that T a t a r s t a n

stein initiative. T h e y a l s o u r g e c o n s i d e r a t i o n of

will p r o v i d e a realistic a l t e r n a t i v e to the e x p e r i -

territorial c o m p r o m i s e o p t i o n s , s u c h as f e d e r a l -

e n c e of C h e c h n y a , as w e l l as a m e a n i n g f u l e x -

ism, d e c e n t r a l i z a t i o n a n d d e v o l u t i o n of p o w e r ,

a m p l e of s e l f - d e t e r m i n a t i o n short of s e c e s s i o n .

p r o m o t i o n of d e m o c r a c y , and e f f o r t s t o w a r d re-

In t h e n e x t c h a p t e r , o n " S e l f - D e t e r m i n a tion and N a t i o n - B u i l d i n g

in P o s t - C o l d

War

v e r s i n g A f r i c a ' s e c o n o m i c a n d social d e c l i n e , stressing protection of minorities in e v e r y c a s e .

14

Wolfgang

Lionel

Hurst c o n c i s e l y

summarizes

Danspeckgruber

with Sir Arthur

Watts

the

constraints. S h e m a i n t a i n s that both the feder-

G a m b a r i and U h o m o i b h i paper as having de-

alism and decentralization options require con-

fined two forms o f self-determination, external

struction o f a larger and more sectarian bureau-

and internal. T h e f o r m e r a c c o m p l i s h e d , the lat-

cracy,

ter provides a new c h a l l e n g e for the A f r i c a n

potential

c o n t i n e n t . Hurst a g r e e s that e t h n i c

which

dramatically

for corruption

increases

and ethnic

the

conflict.

loyalties

Q u e s t i o n i n g the viability o f any solution for

may hold a stronger claim o n — o r elicit a more

building peaceful states in contemporary Africa,

deeply rooted e m o t i o n a l bond f r o m — c i t i z e n s

she c o n c l u d e s by asking whether a peaceful

than a nonnational state. He groups the five op-

multiethnic state can exist within the context o f

tions the authors present into two

underdevelopment and e c o n o m i c scarcity.

sections,

namely methods (including territorial c o m p r o -

Minxin Pei, in his chapter " F r o m Nominal

mise, federalism, decentralization, and devolu-

A u t o n o m y to G e n u i n e S e l f - A d m i n i s t r a t i o n : A

tion o f p o w e r ) and o b j e c t i v e s ( i n c l u d i n g ad-

Strategy

vancing

reversing

C h i n a , " states that genuine self-administration

e c o n o m i c and social decline). He also points to

in C h i n a f a c e s not only serious political oppo-

democratic

values

and

for

Improving

Minority

Rights

in

ethnic warfare as a cost o f s e l f - d e t e r m i n a t i o n

sition from the center, which is d e t e r m i n e d to

and suggests that such cases o f outright conflict

maintain

are the only c l e a r time when the UN should as-

political sovereignty at all c o s t s , but also enor-

sume its position as arbiter. He takes a position

m o u s structural e c o n o m i c p r o b l e m s (the in-

supporting d e m o c r a c y and s e l f - d e t e r m i n a t i o n

t e n s e l y b a c k w a r d state o f e c o n o m i c d e v e l o p -

the P R C ' s

territorial

integrity

and

in g e n e r a ! and implies that the broader spread

ment o f the m i n o r i t y - d o m i n a t e d j u r i s d i c t i o n s ) .

o f working d e m o c r a c y , s o m e t i m e s n e c e s s a r i l y

T h e C h i n e s e c o n s t i t u t i o n p r o v i d e s greater au-

coupled with territorial separation, will eventu-

tonomy

ally help prevent the kind o f c o n f l i c t the UN

terms o f local administration and taxes, but lit-

seeks to avoid.

tle o f what is written translates into real auton-

Movindri Reddy addresses several points made by G a m b a r i and U h o m o i b h i ,

stressing

for

minority-dominated

regions

in

omy. A c k n o w l e d g i n g the e n o r m o u s costs o f political repression

o f m i n o r i t i e s , violation

of

first the African c o n c e p t o f c o m m u n i t y and de-

human rights, destruction o f cultural heritages

bating the a p p l i c a b i l i t y o f the

o f minority groups, and inefficient uses o f e c o -

governmental

m e c h a n i s m s proposed to c o n t e m p o r a r y A f r i c a .

n o m i c r e s o u r c e s , Pei d e s c r i b e s C h i n a ' s three-

Criticizing the paper's lack o f attention to some

pronged realist strategy for dealing with

key factors in A f r i c a ' s d e v e l o p m e n t

process,

ethnic p r o b l e m s as " q u i t e e f f e c t i v e " in m a i n -

its

she argues that the i n f l u e n c e o f l o c a l leaders

taining d o m i n a n c e by the C h i n e s e majority. Pei

equipped with their own political agendas and

warns that the strategy has b e c o m e e x h a u s t e d ;

p r e c o l o n i a l , c o l o n i a l , and p o s t c o l o n i a l history

for instance, Peking no longer has the c o e r c i v e

and e x p e r i e n c e with g o v e r n m e n t cannot be dis-

p o w e r to c o m m a n d m a s s m i g r a t i o n s f r o m the

counted in the context o f state building. Reddy

c e n t e r to the periphery and, indeed, in m a n y

also c h a r g e s that the U N principle o f halting

m i n o r i t y - i n h a b i t e d areas the s p a c e n e e d e d to

organized, g o a l - o r i e n t e d aid to c o u n t r i e s after

a c c o m m o d a t e settlers is lacking. T h e decentral-

the first d e m o c r a t i c election leaves new d e m o -

ization o f public finance has further diminished

cratic states vulnerable and c a u s e s s o m e o f the

the central g o v e r n m e n t ' s c a p a c i t y to s u b s i d i z e

numerous

m i n o r i t y - i n h a b i t e d areas, w h i c h will, in turn,

problems

of

African

states

and

limit its p o l i t i c a l c o n t r o l . T h e g r o w i n g m a r k e t

would-be states. O f the options p r o p o s e d , R e d d y

argues

that the best intentions o f f e d e r a l i s m m a y be subverted. L o c a l c h i e f s , h e a d m e n , and bureaucrats would vehemently resist federalist changes, taking pains to maintain control o v e r resources and to perpetuate their p o w e r b a s e , fed by a s y s t e m o f p a t r o n a g e and e t h n i c

allegiances.

Even if federalism did ensue, some groups would necessarily be disfavored due to g e o g r a p h i c a l

orientation e n h a n c e s interdependence b e t w e e n c e n t e r and periphery and will reduce the c e n ter's ability to control the administration o f the periphery. W h i l e the option o f selective r e p r e s sion is still available, increased external, m o r a l , and material support f o r m i n o r i t y groups demanding s e l f - d e t e r m i n a t i o n and increasing c a pabilities o f some minority-dominated may prove to be limiting factors.

areas

15

Introduction

Pei

recognizes

that

precipitous

moves

d i s c r e p a n c i e s with founding principles o f the

threatening the h e g e m o n y o f the c e n t e r would

U N Charter. S h e c o m m e n t s that a c c o r d i n g to

only prompt violent reprisals and suggests e v o -

the U N , the world is divided a m o n g states de-

lutionary d e v e l o p m e n t toward g r e a t e r auton-

fined by r e f e r e n c e to territory. T a k e n as a de-

o m y for minorities as the most sustainable and

mand for s e c e s s i o n and independence, self-de-

peaceful means o f achieving c h a n g e . He relates

termination

that Han Chinese demographically dominate all

f o r m e r political unit carried out by an entity

means

the

disappearance

of

a

C h i n e s e r e g i o n s e x c e p t X i n j i a n and T i b e t and

with no legal status in the present international

that this m a k e s self-admininistration at the re-

framework, which could be equated with revo-

gional level unlikely to work for most minority

lution. H o w e v e r , the legal f r a m e w o r k and in-

groups. Pei proposes " a

ternal d y n a m i c s f o r entities such as groups

more

practical

less a m b i t i o u s

alternative,"

striving

but

toward

formed

by

shared

interests

rather

than

by

self-administration, to include s e m i - o p e n local

shared territory have not yet been devised. If

elections and e c o n o m i c federalism "in prefects

that happens, efforts toward realizing political

and counties where minority groups are d e m o -

alternatives, perhaps someday applicable to en-

graphically predominant."

tities like T i b e t , will b e c o m e m o r e a c c e p t a b l e

In a three-part c o m m e n t a r y on P e i ' s paper, Daniel B e l l criticizes the author's conservative approach, that is, the n o n i n c l u s i o n o f d i s c u s sion on Taiwan and on e c o n o m i c developments that could lead to diminishing central control o v e r noncentral areas o f C h i n a . B e l l furthermore cites P e i ' s adherence to o f f i c i a l C h i n e s e formulations of "minority rights"

categories

and " m i n o r i t y z o n e s , " which neither include all rights normally c o n s i d e r e d — i n c l u d i n g right to life, in the c a s e o f T i b e t a n s — n o r all

those

to the powers that be. T h e r e f o r e , in M a c a u and Hong K o n g , for m i n o r i t i e s that are e c o n o m i cally defined, assurances o f a degree o f continued a u t o n o m y f o r the next fifty years have already been made. P l a c e d in the p e r s p e c t i v e o f C h i n a ' s e n o r m o u s s u c c e s s as an e m p i r e , the country will gradually enlarge its e f f e c t i v e sove r e i g n t y o v e r the two entities via short-term concessions, whereas other central governments are losing ground. In " T h e B e l l C u r v e o f E t h n i c

Politics,''

m e m b e r s o f minority groups living outside the

Atul K o h l i analyzes the m o v e m e n t s for greater

designated zones. Bell also feels that thought is

s e l f - g o v e r n a n c e in India. He specifically looks

needed on the possibility that China, "in a state

at the Tamilnadu Tamils, the Punjabi S i k h s , and

o f dramatic flux," will rapidly undergo c h a n g e ,

the K a s h m i r i M u s l i m s in the c o n t e x t o f the

m a k i n g less c o n s e r v a t i v e approaches

governments

viable.

of

Jawaharlal

Nehru.

Indira

A l o n g the lines o f the less c o n s e r v a t i v e v i e w -

Gandhi, R a j i v Gandhi, and Narasimha R a o . At

points o f Yan Jia Qi, Bell proposes planning for

the outset, K o h l i d i s c u s s e s politicization in fol-

a C h i n e s e " f e d e r a t i o n with the c h a r a c t e r i s t i c s

lower d e m o c r a c i e s , institutionalization, leader-

o f a c o n f e d e r a t i o n , " suggesting that political

ship, and m o v e m e n t organization.

realities may soon change, making this solution a good fit for the China o f the near future.

He s u g g e s t s that e t h n i c c o n f l i c t s are, in e s s e n c e , power c o n f l i c t s developed along class,

Paula E s c a r a m e i a sees Pei's chapter as re-

c a s t e , or party lines, incited by groups seeking

alistic and points toward what needs to be done

greater power and control to secure a s o c i e t y ' s

to restructure b a s i c institutional

frameworks

other valued r e s o u r c e s . A s such, they are not

from the legal and organizational perspectives.

emblematic

S h e argues that self-determination means inde-

a n o m i c responses to the " d i s e q u i l i b r i u m " gen-

pendence and that self-administration

erated by " m o d e r n i z a t i o n , " or even

means

of

primordial

ethnic

conflict, causally

forms o f governance by ethnic minorities. S e l f -

linked to the f o r m a t i o n o f e t h n i c identity. A s

determination has many more m e a n i n g s than

m o v e m e n t s f o r g r e a t e r a u t o n o m y are deeply

mere independence, and forms o f self-adminis-

threatening to w e a k l y institutionalized states,

tration have been developed for different types

threatened leaders often repress them, provok-

by

ing them to be m o r e e x t r e m e and t e m p o r a r i l y

their e c o n o m i c status. E s c a r a m e i a notes the

w o r s e n i n g the situation, h e n c e e s c a l a t i n g the

wide range o f interpretation available to s e l f -

conflict

determination,

When

o f C h i n e s e minorities, m o s t l y identified

arguing

that

there

are

legal

to s e v e r e

repression

and

violence.

states and leaders o f d e m o c r a c i e s

in

16

Wolfgang

Danspeckgruber

with Sir Arthur

Watts

developing countries are institutionally secure

p o l i t i c a l , s o c i o l o g i c a l , and e c o n o m i c

and a c c o m m o d a t i n g , ethnic group mobilization

e n c e s among m e m b e r s o f each group and that

differ-

o c c u r s according to the pattern o f a bell curve,

such findings may be immaterial. Rudolph con-

first m o b i l i z i n g , then entering a prolonged pe-

cludes by reframing the question at hand, from

riod o f n e g o t i a t i o n s , and then d e c l i n i n g in in-

what she p e r c e i v e s to be an e x p o s i t i o n o f fac-

tensity as e x h a u s t i o n sets in, s o m e leaders are

tors that stymie the import o f d e m o c r a c y to an

c o - o p t e d , and a d e g r e e o f p o w e r sharing and

inquiry into how European countries reworked

mutual a c c o m m o d a t i o n between the m o v e m e n t

their f a m i l i a r social and political institutions

and central government is reached. B e y o n d this

and whether and how other countries will make

g e n e r a l i z a t i o n , c l o s e r a n a l y s e s o f the c o n d i -

similar adaptations.

tions contributing to the rise and decline o f ethnic m o v e m e n t s are best derived from a direct

Addressing Walt

van

Kohli's

Praag

paper,

reiterates

the

Michael

van

International

m a c r o f o c u s on state and s o c i e t a l c o n d i t i o n s .

Human Rights C o v e n a n t s ' stipulations that "all

S i n c e ethnic c o n f l i c t s are power c o n f l i c t s , it is

p e o p l e s have the right to s e l f - d e t e r m i n a t i o n . "

often difficult to c h o o s e true heroes and vil-

He accepts the equal importance o f states' right

lains and much depends on whether national

to continued territorial integrity and e x i s t e n c e

leaders

movements

and distinct groups' right to self-determine, not

c h o o s e to be a c c o m m o d a t i n g or u n a c c o m m o -

and

leaders

of

ethnic

n e c e s s i t a t i n g but also not e x c l u d i n g the possi-

dating, thus leading either to peaceful c o n f l i c t

ble e x e r c i s e o f their right to s e c e d e . Van Walt

resolution or to more destructive ends.

van Praag o b s e r v e s that when d e m o c r a c y rep-

In her c o m m e n t a r y on K o h l i ' s paper, Su-

resents the will o f the n u m e r i c a l majority, it

self-

cannot at the same time serve the interests o f

administration in multinational states as being

the nonmajority. D e m o c r a c y , therefore, can be

less nationally and internationally destabilizing

a d i v i s i v e rather than unifying f o r c e , and he

than its p r e d e c e s s o r c o n c e p t ,

e m p h a s i z e s the need to find c o m p r o m i s e solu-

sanne

Rudolph

addresses

the

idea o f

self-determina-

tion. W h e r e a s s e l f - d e t e r m i n a t i o n s e e m s to en-

tions. He e s p e c i a l l y

courage secession, self-administration

those groups affected by colonial redrawing o f

move-

f o c u s e s on the c a s e

of

m e n t s aim for d e c e n t r a l i z a t i o n and devolution

b o u n d a r i e s and p o s t c o l o n i a l nation

o f powers and f u n c t i o n s . S h e m e n t i o n s that

g e a r e d toward a r t i f i c i a l l y suppressing

building,

India and E u r o p e have much in c o m m o n , that

identification along ethnic, religious, and social

group

Europe developed differently during its Renais-

lines. He argues that nonrepresentation o f c o n -

s a n c e and is returning to the path not taken,

stituent peoples leads to the delegitimization o f

that is, to the path India never abandoned.

governments

Rudolph e l a b o r a t e s on the legal

nonculturally

institu-

tions and party systems affecting and e f f e c t i n g s e l f - a d m i n i s t r a t i o n in India under Nehru, who c h o s e to further the policy o f self-administered federal units and the use o f the party system by Indira Ghandi as a m e c h a n i s m for disabling s e l f - a d m i n i s t r a t i o n and f o r r e c e n t r a l i z i n g the government. S h e d i s c u s s e s the bell curve as an o v e r l y o p t i m i s t i c m e t a p h o r , too c o n f i d e n t o f

in those p e o p l e s ' e y e s ; based

territorial

people are e m b l e m a t i c

hence,

groupings

of cosmetic

of

change,

though both p h e n o m e n a do nothing to assure the rights o f the peoples involved or to promote peace and stability. He suggests that a readjustment o f the existing political relationships between m a n y parties m a y be in order and that the Liechtenstein proposal may eventually provide the necessary f r a m e w o r k for this.

the p r e s e n c e o f the n e c e s s a r y w e l l - e s t a b l i s h e d

In " S u d a n : T h e C h a l l e n g e o f N a t i o n h o o d , "

central authority and firm but c o m p r o m i s i n g

Francis Deng outlines the origins and history o f

leaders. Overall, she rejects K o h l i ' s categoriza-

the

tion

and

c l o s e attention to diverse perceptions and defi-

s t r e s s e s that r e p r e s s i o n , rather than a c h i e v e d

nitions o f culture and identity, he a l s o e l a b o -

s e l f - a d m i n i s t r a t i o n , is a likely o u t c o m e . S h e

rates on the question o f m i x e d identity, e x e m -

describes the suggested d i c h o t o m y as a recapit-

plified by the North

ulation o f " t h e n o r m a t i v e and e m p i r i c a l bina-

i n f l u e n c e s and attachments to the M i d d l e E a s t

r i s m s o f m o d e r n i z a t i o n t h e o r y " and s u g g e s t s

and by the South with its Christian, Western in-

that such groupings allow analysts to overlook

f l u e n c e s and attachments to East A f r i c a . D e n g

of

leader

and

follower

countries

Sudanese

North-South

with

conflict.

Paying

its I s l a m i c

Arab

17

Introduction

relates the E g y p t i a n and B r i t i s h c o n t r i b u t i o n s

states, the core problem lies in the educated po-

to the p r o b l e m o f N o r t h - S o u t h mutual distrust

litical e l i t e s ' competition for s c a r c e but allocat-

and hatred. He e x a m i n e s the issues at hand

able r e s o u r c e s and values. T h e s e elites are the

from M i d d l e Eastern, British. North S u d a n e s e ,

ideological and military m o b i l i z e r s o f their fel-

and S o u t h e r n S u d a n e s e p e r s p e c t i v e s and dis-

low g e o e t h n i c , religious, and/or racial c o m p a -

cusses possible policy c o n c l u s i o n s to the prob-

triots. T h e y use e m o t i v e issues o f primordial

l e m , as a d v a n c e d by e a c h o f the

interested

groups and by disinterested p o l i c y m a k e r s .

identity to m a n i p u l a t e their r e s p e c t i v e m a s s e s to a c h i e v e their desired political ends. E l a i g w u

In the c o n t e x t o f the Northern desire to Is-

raises six o p t i o n s a v a i l a b l e to the S u d a n e s e :

l a m i c i z e the S o u t h and the S o u t h e r n desire to

first, the apparently untenable option o f South-

d e m o c r a t i z e and s e c u l a r i z e the country, D e n g

ern a c c e p t a n c e

d e s c r i b e s the relative levels o f p o l i t i c a l , e c o -

policies o f Arabization and Islamicization; s e c -

n o m i c , and institutional d e v e l o p m e n t o f the

ond, the territorial and political division

North and S o u t h , and the past and present bal-

North and South ( w h i c h might lead to further

ances o f power and the respective goals o f each

disintegration o f the politically divided S o u t h ) ;

of assimilation

to

Northern of

group. He presents the political options o f ter-

third, the federalization o f the Sudan (a favored

ritorial division into two Sudanese states: terri-

option); fourth. Northern a c c e p t a n c e o f an ec-

torial u n i f i c a t i o n o f the North with a m e m b e r

umenical polity permitting the c o h a b i t a t i o n o f

o f the Arab Middle East and unification o f the

m e m b e r s o f diverse religions and a u t o n o m o u s

unified

subnational state d e c i s i o n as to the nature o f

S u d a n , a c o n f e d e r a t e d Sudan with North and

the subnational court s y s t e m , to be either a

South

with

other A f r i c a n

states,

a

S o u t h sharing varying d e g r e e s o f a u t o n o m y ,

S h a r i a court s y s t e m or a c u s t o m a r y court sys-

and other p o s s i b l e c o n f e d e r a t i o n s linking the

tem, and national provision o f a m i x e d S h a r i a

North to the A r a b Middle East and the South to

and c u s t o m a r y federal court o f appeal: fifth, a

the rest o f b l a c k A f r i c a . He further s u g g e s t s

new S u d a n e s e state c h a r a c t e r i z e d by g e n u i n e

cultural o p t i o n s , including c o n t i n u e d division

Northern and S o u t h e r n elite c o o p e r a t i o n ; and

o f the A r a b - i n f l u e n c e d Northern and Western-

sixth, the development o f " a spirit o f tolerance,

influenced Southern groups: the c o e x i s t e n c e o f

a c c o m m o d a t i o n , fairness and j u s t i c e " adopted

the two, linked with the g r o u p s ' mutual toler-

by all Sudanese groups.

a n c e : and the d e v e l o p m e n t o f a new national

In the final chapter, " A v o i d i n g the Iron

Sudanese identity to be shared by all Sudanese,

C a g e o f L e g i s l a t e d I d e n t i t y , " J o h n Waterbury

irrespective o f their current Northern or South-

argues that the issue o f self-determination best

ern identities. D e n g b e l i e v e s that only "mutual

be treated with caution; that current guidelines

r e c o g n i t i o n , r e s p e c t , and h a r m o n i o u s interac-

to the definition o f distinct groups are w e a k ;

tion

populations

that such identities are often artificially or his-

throughout the c o u n t r y " can ensure a j u s t and

torically grounded and g e n e r a l l y f l e x i b l e ; that

lasting peace for the Sudan.

honoring s e l f - d e t e r m i n a t i o n c l a i m s is not al-

among

African

and

Arab

C o m m e n t i n g on the D e n g paper,

Isawa

ways p o l i t i c a l l y f e a s i b l e or attentive to the

Elaigwu cites the t e c h n o l o g i c a l revolution as a

rights o f all involved; that e f f e c t i v e , just politi-

f a c t o r in the new trend toward

simultaneous

cal systems must be c o n s e n t - b a s e d and impar-

national and c o m m u n i t y fracturing and supra-

tially j u s t to m e m b e r s o f all groups and to each

national o r g a n i z a t i o n .

In the c o n t e x t o f the

group as a w h o l e ; and that national p o w e r is

S u d a n , he r a i s e s a n u m b e r o f q u e s t i o n s en-

best won by parties via c r o s s - e t h n i c and c r o s s -

d e m i c to the c o n c e p t

of

self-determination,

state- and n a t i o n - b u i l d i n g , and national iden-

lingual c o a l i t i o n s . W a t e r b u r y d i s c u s s e s

con-

trasting malleable and fixed definitions o f iden-

tity. He d i s c u s s e s the splintering e f f e c t o f the

tity,

n i n e t e e n t h - c e n t u r y G e r m a n partition o f A f r i c a

nefarious property o f making people vulnerable

and stresses the need f o r " s e n s i t i v e , c o r r e c t i v e

by forcing them to self-identify as m e m b e r s o f

and purposeful l e a d e r s h i p " in order to avert vi-

distinct groups.

o l e n c e and disintegration and to strike relevant c o m p r o m i s e s . E l a i g w u c o m p a r e s the Sudanese c a s e to that o f N i g e r i a , o b s e r v i n g that in both

arguing

that

fixing

identity

has

the

He asserts that c o m m u n i t i e s constantly dissolve and redefine t h e m s e l v e s . A c k n o w l e d g i n g the b e n e v o l e n c e o f c o n s e n t - b a s e d c o m m u n i t y ,

18

Wolfgang

Danspeckgruber

with Sir Arthur

Watts

he points out the d a n g e r o f b e c o m i n g an easy

m e a s u r e s to protect them and preserve their

target that c o m m u n i t i e s face. In this context, he

cultures and rights were not presently needed,

recognizes

Etzioni's

and that affirmative action to the benefit o f mi-

c o m m u n i t a r i a n theory but argues that defini-

norities, not mere tolerance o f minorities, must

tion o f distinct c o m m u n i t i e s almost inevitably

be undertaken by states. A y a l a - L a s s o c h e c k s

leads to a n i m o s i t y between the groups. Water-

Waterbury's statement that the issue o f autonomy

bury maintains that near total freedom should

may lose its relevance when mechanisms o f rep-

be granted to groups desiring to organize non-

resentation and instruments o f accountability are

s o m e merits o f A m i t a i

violently on any p r e m i s e in states c a p a b l e o f

functioning properly; he c o m m e n t s that people

drafting and implementing laws and o f govern-

are currently looking to provide adequate pro-

ing effectively. His c a s e studies concern South-

tection

ern Sudan. L e b a n o n , and the Kurds. In the c a s e

structures are not in g o o d working order now.

for

minorities

because

the

existing

o f Sudan, he h i g h l i g h t s the high toll o f vio-

In light o f perception o f identity, c o m m u n i t y ,

lence

and m i n o r i t i e s within m i n o r i t i e s , A y a l a - L a s s o

associated

with

strict

Northern

and

Southern identities and more m i c r o l e v e l can-

encourages

tonization. In the L e b a n e s e c a s e , he cites the

through the p e r s p e c t i v e o f international

s u c c e s s f u l e f f e c t s o f proportional representa-

and standard-setting, including the precept that

tion and o f Christian and M u s l i m vows not to

national law should provide for c i t i z e n s , as

seek outside international intervention o f like

should international law and international c o m -

religious powers. Regarding the Kurds, he cites

m u n i t i e s , nearly c o m p l e t e freedom for groups

their historic, e t h n i c , cultural, and linguistic

to o r g a n i z e n o n v i o l e n t l y along w h a t e v e r lines

" r i g h t s " to s e l f - d e t e r m i n a t i o n :

discusses

the

m e a n s they use to a c h i e v e various levels o f representation in the c o u n t r i e s where they are most prominent (Iraq, Turkey, and Iran); and reveals the i m p r a c t i c a l i t y o f Kurdish bids for political autonomy as a national state. He c o n c l u d e s by asserting that the legal n a m i n g o f n a m e s should, in most c a s e s , be avoided; that the law should remain p e r m i s s i v e and neutral toward all groups residing within a state; and that cross-ethnic and crosslinguistic coalitions will provide stability, peace, and just governance. In

his

commentary

on

the

Waterbury

consideration

of

these

issues law

they c h o o s e , so long as no groups receive preferential treatment. In " T h e End o f S e l f - D e t e r m i n a t i o n , " Amitai Etzioni argues that e x c e p t in a few

rare

c a s e s , today's self-determination serves to und e r m i n e the potential for d e m o c r a t i c development in n o n d e m o c r a t i c countries and threatens the foundations o f d e m o c r a c i e s already extant and that self-determination has exhausted its leg i t i m a c y and b e c o m e a destructive f o r c e , leading toward fragmentation, interethnic strife, and unproductive s e c e s s i o n i s m . Efforts should now be made toward c o m m u n i t y building, fostering

paper, J o s é A y a l a - L a s s o w e l c o m e s Waterbury's

full representation o f peoples, responsiveness o f

a n a l y s i s and responds to f o u r points. Ayala-

government,

L a s s o r e c o m m e n d s that the Capotorti defini-

within unity, t o l e r a n c e , national and interna-

tion, the presently a c k n o w l e d g e d loose defini-

tional political stability, and peace.

economic

efficiency,

pluralism

tion o f "distinct g r o u p s " entitled to the right o f

Arguing his point with e x a m p l e s from E u -

self-determination, c o n t i n u e s to be used in the

rope, A f r i c a , and the United States, Etzioni be-

a b s e n c e o f a c o m m o n l y a c c e p t e d legal defini-

gins by r e c a l l i n g that the rise o f nation states,

tion. W h i l e r e c o g n i z i n g the grounds for Water-

o f entities n e w l y p o s s e s s e d o f a c o n c e p t

bury's c o n c e r n about the potential proliferation

" s e l f , " was really m o t i v a t e d by suppressed, or

of

o f new states, he s t r e s s e s the continued need

ill-represented,

f o r protection o f m i n o r i t i e s . A y a l a - L a s s o also

t h e m s e l v e s r e s p o n s i v e g o v e r n m e n t . A s in the

relates that he has m i x e d feelings about Water-

e x a m p l e o f the f o r m e r U S S R , h o w e v e r , e m -

b u r y ' s r e c o m m e n d a t i o n that s t a t e s ' legislation

pires sometimes disintegrate into even more re-

should remain neutral toward groups

pressive,

whose

p e o p l e s ' desire to attain

autocratic,

and

belligerent

for

smaller

m e m b e r s c h o o s e to ally t h e m s e l v e s but should

parts. He argues that groups could better serve

not e n c o u r a g e the f o r m a t i o n o f groups qua

t h e m s e l v e s through seeking greater a u t o n o m y

groups. Implicitly, he argues that discussion o f

within the g o v e r n m e n t s under which they live,

m i n o r i t i e s would not be in progress if special

citing the example o f the Kurds and the possible

19

Introduction

e x c e p t i o n o f the P a l e s t i n i a n s , who m i g h t , in-

resented in B e l g i u m , c o e x i s t fairly well, and

stead o f b e c o m i n g yet another micro-state, j o i n

the S w i s s e x a m p l e , he again forwards the ideal

an e x p a n d e d J o r d a n . He points out that the

o f searching for greater autonomy within estab-

g o v e r n m e n t s o f the c o u n t r i e s c o m p r i s i n g the

lished systems. He shows that initial splintering

dismembered

be-

has led and can again lead to greater, nonsensi-

c o m e less d e m o c r a t i c to their own peoples and

cal f r a g m e n t a t i o n : reductio ad a b s u r d u m . He

murderous to all others, f o r e s h a d o w i n g future

argues that m o r a l support for s e l f - d e t e r m i n a -

elaboration o f the idea that s e l f - d e t e r m i n a t i o n

tion should be withheld, e x c e p t in dire c a s e s ,

ends, today,

and warns that s e l f - d e t e r m i n i s t efforts toward

Yugoslav

are

Federation

undesirable

have

indeed.

Citing

Q u e b e c a n p o l i c i e s as a n t a g o n i s t i c and c o m -

independence can spell e c o n o m i c disaster, thus

mending the working relationship o f the B e l -

c o n d e m n i n g separatism for its own sake while

gian F l e m i n g s and W a l l o o n s , who, equally rep-

raising the ideals o f d e m o c r a t i c government.

CHAPTER

1

The Liechtenstein Draft Convention on Self-Determination Through Self-Administration Sir Arthur

Watts

L

t e r s e l a n g u a g e a n d t h e t h i n k i n g u n d e r l y i n g it,

i e c h t e n s t e i n ' s p r o p o s a l s f o r w a y s in w h i c h

the g e n e r a l p r i n c i p l e of s e l f - d e t e r m i n a t i o n ,

to d r a w a t t e n t i o n to t h e i n t e r r e l a t i o n s h i p s be-

a n d in p a r t i c u l a r the idea of s e l f - a d m i n i s t r a t i o n ,

t w e e n v a r i o u s p r o v i s i o n s , a n d to i d e n t i f y t h e

might

o r i g i n s of s o m e of the l a n g u a g e used.

he d e v e l o p e d

have been

described—

t h o u g h n e c e s s a r i l y in relatively general t e r m s —

The Liechtenstein

in the U n i t e d N a t i o n s G e n e r a l A s s e m b l y a n d its

Draft Convention

on

Self-Determination Through Self-Administra-

T h i r d C o m m i t t e e . F r o m the o u t s e t , h o w e v e r , it

t i o n , w h i c h is set out in t h e A p p e n d i x to this

w a s e n v i s a g e d that the L i e c h t e n s t e i n i n i t i a t i v e

c h a p t e r , a n d w h i c h is the s u b j e c t of the p r e s e n t

m i g h t result in an i n t e r n a t i o n a l c o n v e n t i o n and

c o m m e n t a r y , is t h e text as it s t o o d in 1994 at

that the p r o p o s a l s t h e r e f o r e n e e d e d to be g i v e n

t h e b e g i n n i n g of t h e w o r k u n d e r t a k e n

the s t r u c t u r e and detail a p p r o p r i a t e for a f o r m a l

t h e f r a m e w o r k of t h e P r i n c e t o n P r o g r a m ; it is

i n t e r n a t i o n a l legal i n s t r u m e n t .

the text that the w r i t e r s of the v a r i o u s p a p e r s in

A d r a f t of a c o n v e n t i o n e m b o d y i n g

t h i s v o l u m e had b e f o r e t h e m w h e n p r e p a r i n g

the

their c o n t r i b u t i o n s .

L i e c h t e n s t e i n p r o p o s a l s h a s b e e n in e x i s t e n c e (although

not

publicly

available)

since

within

the

The Draft Convention

early s t a g e s of the L i e c h t e n s t e i n initiative. T h i s h e l p e d in d e v e l o p i n g i d e a s in s u f f i c i e n t d e t a i l to p r o d u c e a c o h e r e n t a n d p r a c t i c a b l e set of

Preamble

p r o p o s a l s a n d f o c u s e d a t t e n t i o n on t h e p o l i t i -

T r e a t i e s d o not n e e d a p r e a m b l e , a n d m a n y d o

c a l , p r a c t i c a l , a n d t e c h n i c a l r e q u i r e m e n t s of a

not h a v e a n y i n t r o d u c t o r y w o r d s b e y o n d a bold

t e x t t h a t w o u l d h a v e to b e a c c e p t a b l e to g o v -

statement

e r n m e n t s a f t e r a p r o c e s s of d i p l o m a t i c c o n s i d -

a g r e e d as f o l l o w s . " E v e n w h e r e t h e r e is a p r e -

eration and negotiation—considerations

that

the

states

concerned

"have

that

a m b l e , it is o f t e n o n e of t h e last p a r t s of t h e

are p a r t i c u l a r l y w e i g h t y , g i v e n that t h e L i e c h t -

text to b e s e t t l e d . N e v e r t h e l e s s , p a r t i c u l a r l y at

e n s t e i n p r o p o s a l s t o u c h o n m a t t e r s that are p o -

the p r e s e n t e x p l o r a t o r y s t a g e , t h e r e is v a l u e in

l i t i c a l l y s e n s i t i v e f o r s o m e s t a t e s a n d at t h e

s e t t i n g d o w n in a p r e a m b l e t h e g e n e r a l c o n t e x t

same

time

seek

to e s t a b l i s h

a regime

that

in w h i c h t h e c o n v e n t i o n h a s b e e n p r e p a r e d a n d

w o u l d h a v e s o m e d e g r e e of p r e c i s e c o n t e n t as

the m o t i v a t i o n u n d e r l y i n g it.

w e l l as b e i n g p r a c t i c a l a n d e f f e c t i v e .

In d o i n g so, w e m u s t r e c o g n i z e the e f f e c t

A d r a f t c o n v e n t i o n h a s the d i s a d v a n t a g e of

of a p r e a m b l e o n t h e l e g a l r i g h t s a n d o b l i g a -

its t r e a t y f o r m . T h e s t r u c t u r e of a t r e a t y , as a

t i o n s to w h i c h t h e t r e a t y will g i v e rise. T h e

legal

p r o v i s i o n s of a p r e a m b l e d o not

instrument,

reflects drafting

practices

themselves

t h a t , a l t h o u g h t h e y g i v e it an i n t e r n a l l o g i c of

e m b o d y the legal r i g h t s a n d o b l i g a t i o n s a r i s i n g

its o w n , d i s a b l e its p r o v i s i o n s f r o m g i v i n g a

f o r the p a r t i e s by v i r t u e of t h e t r e a t y ,

s t r a i g h t f o r w a r d n a r r a t i v e a c c o u n t of its c o n -

in that r e s p e c t t h e y are to b e

and

distinguished

tents. T h e Liechtenstein Draft C o n v e n t i o n , to

f r o m t h e s u b s t a n t i v e p r o v i s i o n s of t h e t r e a t y

be p r o p e r l y u n d e r s t o o d , a c c o r d i n g l y n e e d s s o m e

c o n t a i n e d in its n u m b e r e d a r t i c l e s . T h e p r e a m -

f u r t h e r c o m m e n t a r y , to e x p l a i n its s o m e t i m e s

b l e , h o w e v e r , is p a r t of t h e c o n t e x t of

21

the

22

Sir Arthur

Watts

treaty1 and h a s an e f f e c t as such on the m e a n -

g u a g e of s e l f - d e t e r m i n a t i o n in o t h e r t h a n t r a d i -

i n g a t t r i b u t a b l e to its t e r m s ; a n d i n s o f a r a s t h e

tional colonial contexts.

p r e a m b l e explains the parties' motivation

in

T h e o t h e r p o i n t — t h a t s e l f - d e t e r m i n a t i o n is

c o n c l u d i n g t h e t r e a t y , it m a y i n d i c a t e its o b j e c t

not c o t e r m i n o u s with i n d e p e n d e n c e — i s

a n d p u r p o s e , w h i c h a r e a l s o r e l e v a n t t o t h e in-

i m p o r t a n t , b o t h b e c a u s e it is o f t e n o v e r l o o k e d

t e r p r e t a t i o n of t h e t r e a t y ' s t e r m s .

and because

T h e first four substantive paragraphs

of

it e s t a b l i s h e s t h e

also

Liechtenstein

p r o p o s a l f o r s e l f - a d m i n i s t r a t i o n as a p e r m i s s i -

t h e p r e a m b l e — t h o s e l e t t e r e d ( b ) to ( e ) 2 — r e l a t e

b l e o p t i o n w i t h i n t h e b r o a d f r a m e w o r k of s e l f -

in a g e n e r a l w a y t o t h e p r i n c i p l e of s e l f - d e t e r -

d e t e r m i n a t i o n . It is c l e a r t h a t i n d e p e n d e n c e is

mination.

n o t t h e o n l y o u t c o m e of t h e e x e r c i s e o f s e l f - d e -

Successively,

they recognize

self-

d e t e r m i n a t i o n t o b e p a r t o f t h e b r o a d f i e l d of

termination:

h u m a n rights and f u n d a m e n t a l f r e e d o m s , ac-

t e r m itself ( w h i c h s u g g e s t s o n l y that t h e b e n e -

this f o l l o w s not only

k n o w l e d g e t h e i m p o r t a n t r o l e it h a s p l a y e d in

f i c i a r y h a s t h e r i g h t t o c h o o s e its o w n d e s t i n y ,

r e l a t i o n to t e r r i t o r i e s n o t e n j o y i n g f u l l s e l f - g o v -

b u t n o t t h a t t h a t c h o i c e h a s t o b e e x e r c i s e d in

e r n m e n t (i.e., t h e d e c o l o n i z a t i o n p r o c e s s ) , n o t e

any

t h a t t h e p r i n c i p l e is n o t l i m i t e d t o s u c h t e r r i t o -

w i t h i n t h e U N . T h e p e r m i s s i b i l i t y of s e l f - d e t e r -

particular

way)

but

also

from

from

the

practice

ries, and note f u r t h e r that while s e l f - d e t e r m i n a -

m i n a t i o n leading to situations o t h e r than full

t i o n h a s o f t e n l e d t o i n d e p e n d e n c e , t h i s is n o t

i n d e p e n d e n c e is, in p a r t i c u l a r , e x p r e s s l y r e c o g -

the only o u t c o m e to w h i c h s e l f - d e t e r m i n a t i o n

n i z e d in G e n e r a l A s s e m b l y R e s o l u t i o n s

m a y l e a d . T h e last t w o of t h e s e p o i n t s c a l l f o r

(XV)( I960)

some comment.

called "Friendly Relations" Declaration). The

and

2 6 2 5 ( X X V ) ( 1970)

(the

1541 so-

There has been considerable debate whether

l a t t e r , in its f i f t h p r i n c i p l e , s t i p u l a t e d (in p a r a -

s e l f - d e t e r m i n a t i o n a p p l i e s o n l y in r e l a t i o n to

g r a p h 1) that " a l l p e o p l e s h a v e t h e r i g h t f r e e l y

colonial

t o d e t e r m i n e . . . t h e i r p o l i t i c a l s t a t u s . " a n d (in

territories,

or

whether,

particularly

n o w that t h e c o l o n i a l c o n t e n t of t h e p r i n c i p l e

paragraph

h a s b e c o m e l a r g e l y a m a t t e r of h i s t o r y , it is a

p e o p l e ' s r i g h t of s e l f - d e t e r m i n a t i o n w e r e t h e

c o n c e p t of c o n t i n u i n g and universal

e s t a b l i s h m e n t of a s o v e r e i g n a n d

applica-

t i o n . A l t h o u g h t h e m a t t e r is d e a l t w i t h

more

4 ) t h a t m o d e s of i m p l e m e n t i n g

a

independent

s t a t e , t h e f r e e a s s o c i a t i o n or i n t e g r a t i o n w i t h an

f u l l y in t h e c o n t e x t of A r t i c l e 1, it m u s t h e r e b e

i n d e p e n d e n t state, " o r the e m e r g e n c e into any

o b s e r v e d t h a t t h i s q u e s t i o n is l i n k e d t o t h a t of

other

the entity that m a y b e n e f i t f r o m s e l f - d e t e r m i -

[ t h a t ] p e o p l e . " W h i l e in d i r e c t t e r m s t h o s e p a s -

political

status

freely

determined

nation. T h a t " p e o p l e s " h a v e the right to self-

s a g e s r e l a t e t o t h e right

d e t e r m i n a t i o n is n o w c l e a r , as is ( p r o b a b l y ) t h e

t e r m i n a t i o n , it w o u l d s e e m t o b e an a f o r t i o r i

inclusion within that term of the local inhabi-

p r o p o s i t i o n in r e l a t i o n t o t h e b r o a d e r , u n d e r l y -

tants of colonial territories. F r o m this,

i n g p r i n c i p l e of s e l f - d e t e r m i n a t i o n .

how-

of a people

by

to self-de-

e v e r , it d o e s n o t n e c e s s a r i l y f o l l o w e i t h e r that it

This leads naturally to the question of self-

is o n l y s u c h c o l o n i a l p e o p l e s w h o m a y b e c o n -

a d m i n i s t r a t i o n a n d to p r e a m b u l a r p a r a g r a p h ( f ) .

s i d e r e d b e n e f i c i a r i e s of t h a t r i g h t , o r t h a t t h a t

S e l f - a d m i n i s t r a t i o n is, f i r s t , s t a t e d to b e c o n s i s -

right,

w h o e v e r m a y b e its b e n e f i c i a r i e s , is t h e

c o m p l e t e m a n i f e s t a t i o n of t h e principle

of s e l f -

t e n t w i t h t h e r i g h t of s e l f - d e t e r m i n a t i o n : " c o n s i s t e n c y , " it m a y b e n o t e d , is n o t n e c e s s a r i l y

d e t e r m i n a t i o n . W h i l e in t h e e a r l i e r d a y s of t h e

the s a m e as "in i m p l e m e n t a t i o n o f

U N , t h e a t t e n t i o n of s t a t e s w a s , in t h i s c o n t e x t ,

t h a t w o u l d , of c o u r s e , e x e m p l i f y c o n s i s t e n c y ) .

almost exclusively

of

T h e s e c o n d p r o p o s i t i o n in p a r a g r a p h ( f ) is a s

c o l o n i a l i s m , a n d in d o i n g s o f l e s h e d o u t t h e

i m p o r t a n t as c o n s i s t e n c y , n a m e l y , t h a t in m a n y

f o c u s e d on q u e s t i o n s

(although

c h a r t e r p r i n c i p l e of s e l f - d e t e r m i n a t i o n s o a s t o

(i.e., n o t n e c e s s a r i l y in a l l ) c i r c u m s t a n c e s s e l f -

e s t a b l i s h a r i g h t o f s e l f - d e t e r m i n a t i o n , t h e r e is

a d m i n i s t r a t i o n b y itself m a y b e a s u f f i c i e n t e x -

no suggestion that they thereby e x h a u s t e d the

e r c i s e of t h e r i g h t of s e l f - d e t e r m i n a t i o n , w i t h o u t

c o n t e n t of t h e u n d e r l y i n g p r i n c i p l e . State p r a c t i c e

the need to m o v e on to full i n d e p e n d e n c e . In-

in r e c e n t y e a r s h a s f r e q u e n t l y u s e d t h e

d e p e n d e n c e , which can be a c o m p l i c a t e d

lan-

and

1. V i e n n a C o n v e n t i o n on the L a w of T r e a t i e s 1969, Art. 31.2. 2. T h e lettering of the p a r a g r a p h s of the p r e a m b l e is solely f o r e a s e of r e f e r e n c e : in a n y final text of the c o n v e n t i o n , the lettering w o u l d not a p p e a r .

The Liechtenstein

Draft Convention

on Self-Determination

t r a u m a t i c p r o c e s s , is f o r m a n y c o m m u n i t i e s not

Through

Self-Administration

23

they are wholly d e p e n d e n t u p o n ) individuals'

a l w a y s the best s o l u t i o n . T h e r e is n o a d v a n t a g e

a b i l i t y to e x p r e s s v i e w s t h r o u g h

to b e g a i n e d by i n s i s t i n g o n i n d e p e n d e n c e a n d

p r o c e d u r e s a n d the s t a n d i n g w i t h i n states of the

thus excluding

c o m m u n i t i e s of w h i c h they f o r m a part.

o t h e r k i n d s of s t a t u s

if, in

democratic

particular circumstances, they would grant a

It is a s t r o n g f e a t u r e of the t h i n k i n g u n d e r -

c o m m u n i t y all it w a n t s in o r d e r to b e a b l e to

l y i n g t h e L i e c h t e n s t e i n p r o p o s a l s that m o r e is

acknowledge

n e e d e d than j u s t f i n e - s o u n d i n g w o r d s a n d d e c -

its

distinctive

characteristics

w i t h o u t f o r c i n g it to a s s u m e t h e a d d i t i o n a l b u r -

larations

d e n s of a w h o l l y i n d e p e n d e n t e x i s t e n c e .

n e e d e d to p r o d u c e r e s u l t s that a r e e f f e c t i v e in

of

principles:

measures

are

also

T h i s l e a d s to p a r a g r a p h (g) ( w h i c h itself

p r a c t i c e . 5 If s t a t e s are to a c k n o w l e d g e a d e g r e e

l o o k s a h e a d to A r t i c l e 3). T h e p r i n c i p l e s of self-

of s e l f - a d m i n i s t r a t i o n f o r c o m m u n i t i e s w i t h i n

d e t e r m i n a t i o n a n d of the t e r r i t o r i a l i n t e g r i t y of

their t e r r i t o r i e s , a n d if s u c h c o m m u n i t i e s are to

states are i n e v i t a b l y p o t e n t i a l l y in c o n f l i c t , and

be able effectively to seek self-administration,

r e a s s u r a n c e to states that t h e i r t e r r i t o r i a l

in-

they may need international support and assis-

tegrity is not t h r e a t e n e d h a s b e c o m e an a l m o s t

t a n c e in their e f f o r t s . P a r a g r a p h s (j) and (k) a c -

invariable balancing provision whenever con-

k n o w l e d g e the d e s i r a b i l i t y of this.

s i d e r a t i o n s of s e l f - d e t e r m i n a t i o n are a d v a n c e d . 1

The

absence

of s u i t a b l e

internationally

In the c o n t e x t of s e l f - a d m i n i s t r a t i o n , h o w e v e r ,

a g r e e d - u p o n a r r a n g e m e n t s in this area h a s h a d

this r e a s s u r a n c e is i n h e r e n t l y s t r o n g , since it is

c o n s e q u e n c e s that a m p l y d e m o n s t r a t e the n e e d

of the v e r y e s s e n c e of the L i e c h t e n s t e i n p r o p o s -

f o r t h e m . W h i l e , in p r i n c i p l e , states a c c e p t self-

als that w h i l e i n d e p e n d e n c e c a n n e v e r b e c o m -

d e t e r m i n a t i o n , they a r e o f t e n less r e a d y to a c -

pletely e x c l u d e d , it is not their c e n t r a l a i m . O n

k n o w l e d g e it in p r a c t i c e , e v e n in limited f o r m s

the c o n t r a r y , it is felt that by m a k i n g p r a c t i c a l

s u c h as s e l f - a d m i n i s t r a t i o n . F u r t h e r m o r e , al-

and effective provision for self-administration,

t h o u g h in c e r t a i n a r e a s p r o c e d u r e s are a v a i l a b l e

c o m m u n i t i e s m a y f e e l t h a t their a s p i r a t i o n s to

to a s s i s t w i t h t h e r e a l i z a t i o n of t h e p r i n c i p l e

s e l f - d e t e r m i n a t i o n will t h e r e b y be a d e q u a t e l y

( s u c h as the U N G e n e r a l A s s e m b l y ' s " C o m m i t -

m e t so that they no l o n g e r feel any c o m p u l s i o n

tee of T w e n t y - F o u r " ) , n o g e n e r a l l y a p p l i c a b l e

to seek full i n d e p e n d e n c e .

r u l e s and p r o c e d u r e s are a v a i l a b l e to s e c u r e its

P a r a g r a p h s (h) a n d (i) m a r k a r e t u r n to the

e f f e c t i v e i m p l e m e n t a t i o n . W h e r e the right of

h u m a n r i g h t s c o n s i d e r a t i o n s that p e r m e a t e the

s e l f - d e t e r m i n a t i o n is d e n i e d , or w h e r e e v e n an

L i e c h t e n s t e i n p r o p o s a l s , e m p h a s i z i n g that at

a d e q u a t e d e g r e e of s e l f - a d m i n i s t r a t i o n h a s not

t h e e n d of t h e d a y s t a t e s t r u c t u r e s a r e e s s e n -

b e e n a c k n o w l e d g e d , t h e a b s e n c e of r e c o g n i z e d

t i a l l y a m e a n s t o w a r d t h e r e a l i z a t i o n of t h e

r u l e s a n d p r o c e d u r e s to deal w i t h the s i t u a t i o n

n e e d s of h u m a n b e i n g s 4 a n d t h a t s t a t e s h a v e a

h a s o f t e n r e s u l t e d in w a r or o t h e r f o r m s of c o n -

d u t y to s e c u r e to all i n d i v i d u a l s the e n j o y m e n t

flict leading

human

suffering.

of h u m a n r i g h t s a n d f u n d a m e n t a l

W i t h an e c h o of G A R e s o l u t i o n

1514(XV)

freedoms.

to e x t e n s i v e

T h e f u r t h e r c o n s i d e r a t i o n is a d d e d t h a t t h e i r

( I 9 6 0 ) , 6 p a r a g r a p h (1) n o t e s t h i s t r a g i c state of

a b i l i t y to e n j o y t h o s e r i g h t s a n d f r e e d o m s is

affairs; and the final p a r a g r a p h (m) states the

c l o s e l y c o n n e c t e d w i t h ( w h i c h is not to say that

r e s o l v e t o i m p r o v e m a t t e r s b y s e e k i n g to g o

3. See, for e x a m p l e , G A Res. 1 5 1 4 ( X V ) ( 1 9 6 0 ) , 2 6 2 5 ( X X V ) ( 1970), and p a r a g r a p h 2 of Section 1 of the Vienna Declaration and P r o g r a m m e of Action (on H u m a n Rights) of 25 June 1993. A notable exception, however, is Article 1 of the Covenant on Civil and Political Rights 1966. 4. C o m p a r e the s e c o n d p r e a m b u l a r p a r a g r a p h of the Vienna Declaration and P r o g r a m m e of A c t i o n , adopted on 25 June 1993: " R e c o g n i z i n g and affirming that all h u m a n rights derive f r o m the dignity and worth inherent in the h u m a n person, and that the h u m a n person is the central subject of h u m a n rights and fundamental f r e e d o m s , and consequently should be the principal beneficiary and should participate actively in the realization of these rights and f r e e d o m s . " 5. A point emphasized by His Serene Highness H a n s A d a m II in his initial statement in the General Assembly in 1991: see n. 1. 6. The fourth preambular paragraph reads: "Aware of the increasing conflicts resulting f r o m the denial of or impediments in the way of the f r e e d o m of such peoples in the attainment of their i n d e p e n d e n c e . " The reference to "such p e o p l e s " is a reference back to "all d e p e n d e n t p e o p l e s " in the preceding paragraph; and the resolution as a whole is, of course, concerned only with questions of colonialism.

24

Sir Arthur

Watts

s o m e w a y a n d to m a k i n g the p e a c e f u l a p p l i c a -

s h o w , a l t h o u g h it m a y be not at all easy to f i n d

tion of the p r i n c i p l e of s e l f - d e t e r m i n a t i o n m o r e

g e n e r a l l y a c c e p t a b l e d e f i n i t i o n s of central c o n -

truly e f f e c t i v e , at least in the l i m i t e d c o n t e x t of

c e p t s , d i f f i c u l t i e s of d e f i n i t i o n are n o n e c e s s a r y

s e l f - a d m i n i s t r a t i o n , by f a c i l i t a t i n g t h e e x e r c i s e

b a r to p r o g r e s s on m a t t e r s of s u b s t a n c e .

of s e l f - a d m i n i s t r a t i o n a n d by p r o v i d i n g p r o c e d u r e s to r e s o l v e d i f f e r e n c e s that m i g h t arise.

N e v e r t h e l e s s , at t h e p r e s e n t

exploratory

s t a g e a d e f i n i t i o n of " c o m m u n i t y " m a y

be

h e l p f u l in o r d e r to c l a r i f y at the o u t s e t this im-

Preliminary

Provisions

p o r t a n t c o m p o n e n t in the L i e c h t e n s t e i n p r o p o s als. A r t i c l e 1(a) e s t a b l i s h e s a d e f i n i t i o n w i t h

1. T h e o p e r a t i o n of the c o n v e n t i o n turns

t h r e e e s s e n t i a l e l e m e n t s . T h e s e are that t h e r e

o n t w o p a r t i c u l a r l y i m p o r t a n t c o n c e p t s , "'com-

s h o u l d be a " d i s t i n c t g r o u p , " that it s h o u l d " i n -

munity" and "self-administration." The

latter

habit a l i m i t e d area w i t h i n a S t a t e , " and that it

d o e s not call for d e f i n i t i o n , a n d in the context of

s h o u l d h a v e " a s u f f i c i e n t d e g r e e of o r g a n i z a t i o n

the c o n v e n t i o n is g i v e n m e a n i n g by the p r o v i -

as s u c h a g r o u p f o r the e f f e c t i v e a p p l i c a t i o n of

sions of Articles 4, 5, and 6. " C o m m u n i t y " d o e s ,

the r e l e v a n t p r o v i s i o n s of [the] C o n v e n t i o n . "

Article

h o w e v e r , call for p a r t i c u l a r c o n s i d e r a t i o n . " C o m m u n i t y " is n o t a c o n c r e t e l y l i s h e d t e r m of art w i t h a u n i v e r s a l

T h e r e q u i r e m e n t that a c o m m u n i t y s h o u l d estab-

c o n s t i t u t e a distinct

group

d o e s not s p e c i f y any

meaning.

p a r t i c u l a r basis f o r the g r o u p ' s distinctive c h a r -

T h e t e r m is u s e d in t h e c o n v e n t i o n p r e c i s e l y

acteristics. If the other t w o essential e l e m e n t s of

f o r this r e a s o n a n d , in p a r t i c u l a r , t o u n d e r l i n e

the d e f i n i t i o n are p r e s e n t , the d i s t i n c t i v e n e s s of

the fact that the u n d e r l y i n g c o n c e p t is d i f f e r e n t

the g r o u p will, in all probability, be s u f f i c i e n t l y

f r o m c e r t a i n o t h e r s u s e d in t h i s g e n e r a l f i e l d ,

e s t a b l i s h e d on g r o u n d s that will be r e l e v a n t in

s u c h as " p e o p l e , " " m i n o r i t y , " and " i n d i g e n o u s

the p a r t i c u l a r c o n t e x t . R e l e v a n c e of that practi-

p e o p l e , " a l t h o u g h t h e r e is c l e a r l y a d e g r e e of

cal kind, and flexibility, are p r o b a b l y m o r e im-

o v e r l a p w i t h t h o s e c o n c e p t s . T h e use of t h e

p o r t a n t than the n e e d to s a t i s f y f i x e d , p r e d e t e r -

t e r m " c o m m u n i t y " e n a b l e s a n e w look to be

m i n e d criteria. It w o u l d , of c o u r s e , be p o s s i b l e

taken at w h a t s h o u l d be the p r o p e r sociopolitical

to i d e n t i f y s p e c i f i c b a s e s f o r the g r o u p ' s dis-

unit as the b e n e f i c i a r y of s e l f - a d m i n i s t r a t i o n .

tinctive c h a r a c t e r i s t i c s by r e f e r e n c e to c o n s i d e r -

In t h e final a n a l y s i s , a d e f i n i t i o n of " c o m -

a t i o n s that are c o m m o n l y i n v o k e d in this sort of

m u n i t y " could be dispensed with. The United

c o n t e x t , s u c h as c u l t u r a l ( i n c l u d i n g l i n g u i s t i c ) ,

N a t i o n s c h a r t e r itself d i d n o t d e f i n e t h e " p e o -

r e l i g i o u s , o r e t h n i c q u a l i t i e s , or to a s e n s e of

p l e s " to w h o m t h e p r i n c i p l e of s e l f - d e t e r m i n a -

solidarity

tion applied, nor have subsequent U N resolu-

g r o u p ' s cultural, r e l i g i o u s , or e t h n i c t r a d i t i o n s : 9

directed

toward

preserving

the

tions been concerned with the implementation

such qualifications, however, might prove too

of that p r i n c i p l e a n d its a s s o c i a t e d r i g h t : e v e n

l i m i t i n g in p a r t i c u l a r c o n t e x t s and c o u l d w o r s e n

t h e m o r e legally f o r m a l C o v e n a n t on Civil a n d

religious and other divisions within a

7

state

d i d n o t , in e s t a b l i s h i n g

r a t h e r than d i m i n i s h t h e m . W h a t s e e m s i m p o r -

a c l e a r legal right to s e l f - d e t e r m i n a t i o n , d e f i n e

tant to a c k n o w l e d g e is that m a n y g r o u p s f r e -

t h e " p e o p l e s " w h o w e r e its b e n e f i c i a r i e s . S i m -

q u e n t l y see t h e m s e l v e s as distinct and c o h e r e n t

ilarly, t h e r e c e n t D e c l a r a t i o n

social u n i t s m o r e on t h e b a s i s of t h e i r d e e p -

Political Rights 1966

on

Minorities

a d o p t e d by the G e n e r a l A s s e m b l y in 1 9 9 2 8 did

s e a t e d tribal, c u l t u r a l , or o t h e r o r i g i n s t h a n be-

not define a "minority." As those

c a u s e of the i m p a c t of b o u n d a r i e s s u b s e q u e n t l y

examples

7. G A Res. 2200(XXI)( 1966). 8. Res. 47/135. 9. Thus, the definition of a " m i n o r i t y " was tentatively formulated in 1977 by the special rapporteur of the S u b - C o m m i s s i o n on the Prevention of Discrimination and the Protection of Minorities ( P r o f e s s o r Capotorti) as meaning " a g r o u p numerically inferior to the rest of the population of a State, in a n o n d o m i n a n t position, w h o s e m e m b e r s — b e i n g nationals of the State—possess ethnic, religious or linguistic characteristics different f r o m those of the rest of the population and show, if only implicitly, a sense of solidarity, directed towards preserving their culture, traditions, religion or language": UN Doc. E / C N 4/Sub/2/384.

The Liechtenstein

Draft Convention

on Self-Determination

Through

Self-Administration

25

s u p e r i m p o s e d — s o m e t i m e s a r b i t r a r i l y so f a r as

s o m e a d v a n t a g e in a c k n o w l e d g i n g t h a t e v e n

they are c o n c e r n e d — o n the a r e a s they inhabit.

q u i t e s m a l l g r o u p i n g s m a y q u a l i f y as a c o m -

T h e g r o u p m u s t n o t o n l y b e d i s t i n c t i v e but

m u n i t y , s i n c e it u n d e r l i n e s t h e i n a p p r o p r i a t e -

state,

n e s s in s u c h c a s e s of a n y f u l l y s o v e r e i g n a n d

t h u s — f o r p u r p o s e s of t h e c o n v e n t i o n — l i m i t i n g

i n d e p e n d e n t s t a t u s . Q u e s t i o n s of territorial size

a " c o m m u n i t y " to one with essentially

are less r e l e v a n t t o the e x i s t e n c e of a g r o u p as

m u s t inhabit

a limited

area

within

a

local

territorial characteristics. Such a requirement

a " c o m m u n i t y " t h a n t o t h e d e g r e e of s e l f - a d -

f o r a c o m m u n i t y to h a v e a d e g r e e of t e r r i t o r i -

m i n i s t r a t i o n that w o u l d b e a p p r o p r i a t e f o r it.

ality is, in p r a c t i c e , e s s e n t i a l w i t h i n the f r a m e -

T h e c o n v e n t i o n d o e s n o t a p p l y to g r o u p s

w o r k of t h e p r o p o s a l s c o n c e r n e d w i t h s e l f - a d -

whose members

ministration

state a n d w h o t h e r e f o r e i n h a b i t n o p a r t i c u l a r

of

the

kind

envisaged

in

the

are d i s p e r s e d t h r o u g h o u t

a

c o n v e n t i o n . T h e l e v e l s of s e l f - a d m i n i s t r a t i o n

l i m i t e d a r e a w i t h i n it; n o r d o e s it a p p l y

that are o p t i o n a l a r e . in A r t i c l e s 5 a n d 6, e x -

g r o u p s i n s o f a r as their m e m b e r s i n h a b i t t r a n s -

to

p r e s s l y t e r r i t o r i a l in t h a t c e r t a i n of t h e e n t i t l e -

f r o n t i e r a r e a s in t w o o r m o r e a d j a c e n t s t a t e s

m e n t s of c o m m u n i t i e s u n d e r t h o s e a r t i c l e s a r e

( a l t h o u g h t h e m e m b e r s in o n e state m a y q u a l i f y

d i r e c t l y l i n k e d to t h e t e r r i t o r i a l a r e a in w h i c h

as a " c o m m u n i t y "

the c o m m u n i t y exists. O t h e r entitlements are

T h e i r e x c l u s i o n f r o m t h e s c o p e of this p a r t i c u -

within

that state

alone).

not i n h e r e n t l y o r e x p r e s s l y territorial, a l t h o u g h

lar c o n v e n t i o n d o e s n o t m e a n ( a n d ,

m o s t are m o r e r e a d i l y u n d e r s t o o d a n d a p p l i e d

c o u l d not m e a n ) that t h e y a r e a l s o b e i n g e x -

in a t e r r i t o r i a l c o n t e x t : t h i s is p a r t i c u l a r l y so

c l u d e d f r o m the b e n e f i t s of t h e r i g h t of s e l f -

w i t h the m a n d a t o r y e l e m e n t s of s e l f - a d m i n i s -

d e t e r m i n a t i o n g e n e r a l l y : in t h a t r e s p e c t t h e i r

tration set out in A r t i c l e 4. S i n c e the p r o p o s a l s

p o s i t i o n is p r o t e c t e d by A r t i c l e 2.3. N o r d o e s it

e n v i s a g e a p r o g r e s s i o n f r o m the b a s i c , m a n d a -

m e a n that t h e s e g r o u p s a r e to b e e x c l u d e d f r o m

t o r y level of s e l f - a d m i n i s t r a t i o n in A r t i c l e 4

t r e a t m e n t in the c o n t e x t of m i n o r i t i e s :

t h r o u g h t h e f u r t h e r , o p t i o n a l l e v e l s in t h e t w o

d i s p e r s e d g r o u p s w i l l p r o p e r l y fail t o b e d e a l t

f o l l o w i n g a r t i c l e s , t h e e x p r e s s t e r r i t o r i a l i t y of

w i t h in that c o n t e x t (or o t h e r s i m i l a r c o n t e x t s ) .

c e r t a i n of t h e p r o v i s i o n s n e c e s s a r i l y i n f o r m s that g r o u p of a r t i c l e s t a k e n as a w h o l e .

many

T h e third r e q u i r e m e n t of the d e f i n i t i o n is that there has to be a sufficient

It m a y n o t , of c o u r s e , b e e a s y to d e t e r m i n e

indeed,

zation

degree

as such a group for the effective provisions

of the

of

organiapplica-

t h e p r e c i s e a r e a that a c o m m u n i t y m a y be said

tion of the relevant

to inhabit. It is f o r this r e a s o n that in r e l a t i o n to

Self-administration involves responsibilities for

convention.

t h e o p t i o n a l l e v e l s of s e l f - a d m i n i s t r a t i o n p r o -

c o m m u n i t i e s , as w e l l as r i g h t s . If t h e v a r i o u s

v i d e d f o r in A r t i c l e s 5 a n d 6, it is p r o v i d e d in

l e v e l s of s e l f - a d m i n i s t r a t i o n e n v i s a g e d in t h e

A r t i c l e 8 . 1 ( b ) t h a t the d e c l a r a t i o n s by w h i c h a

d r a f t c o n v e n t i o n are to b e a p p l i e d e f f e c t i v e l y , a

contracting party exercises those options must

c o m m u n i t y m u s t b e s u f f i c i e n t l y c o h e r e n t l y or

i d e n t i f y t h e a r e a w i t h i n its t e r r i t o r y t h a t t h e

g a n i z e d f o r t h e p u r p o s e . T h i s n o t i o n is f l e x i b l e ,

c o m m u n i t y in q u e s t i o n i n h a b i t s .

a n d the n a t u r e and d e g r e e of o r g a n i z a t i o n called

A l t h o u g h m e m b e r s of the g r o u p m u s t , to c o m e within the d e f i n i t i o n , inhabit a p a r t i c u l a r

f o r is e s s e n t i a l l y r e l a t i v e to the level of s e l f - a d m i n i s t r a t i o n in q u e s t i o n in any p a r t i c u l a r case.

area, it d o e s not f o l l o w that they must be its sole

E v e n w i t h a d e f i n i t i o n (and e v e n m o r e so if

inhabitants. T h e extent to w h i c h others a l s o in-

a d e f i n i t i o n is d i s p e n s e d with), d i f f e r e n c e s m a y

habit the a r e a is s o m e t h i n g to be t a k e n

into

arise o v e r w h e t h e r a p a r t i c u l a r g r o u p c o n s t i t u t e s

self-administration

a " c o m m u n i t y . " In the c o n t e x t of the s e t t l e m e n t

a r r a n g e m e n t s w h i c h are m a d e for the c o m m u n i t y .

of d i f f e r e n c e s that m i g h t arise, A r t i c l e 16 (par-

T h e l o c a l i t y that t h e m e m b e r s of t h e g r o u p

ticularly p a r a g r a p h 3(b)) p r o v i d e s that an a d v i -

account

in

the

particular

m u s t i n h a b i t h a s to b e a " l i m i t e d " a r e a w i t h i n

s o r y o p i n i o n on t h i s i s s u e m a y b e s o u g h t f r o m

the state; t h i s s i g n i f i e s t h a t t h e a r e a s h o u l d b e

t h e c o u r t e s t a b l i s h e d u n d e r the c o n v e n t i o n .

d e t e r m i n a t e a n d , r e l a t i v e to the size of t h e state

Article 1 also contains a second definition,

as a w h o l e , s h o u l d n o t b e d i s p r o p o r t i o n a t e l y

t h a t of " s e l f - d e t e r m i n a t i o n " ( A r t i c l e 1(b)). A s

large; but it d o e s not h a v e to b e of any p a r t i c u l a r

t h e title of t h e c o n v e n t i o n , its p r e a m b l e , a n d

size in a b s o l u t e t e r m s a n d m a y in p r a c t i c e b e

t h e o p e n i n g w o r d s of A r t i c l e 2 . 2 m a k e c l e a r ,

q u i t e s m a l l o r q u i t e l a r g e . T h e r e is, in f a c t ,

t h e e s s e n t i a l idea u n d e r l y i n g t h e c o n v e n t i o n is

26 that of s e l f - d e t e r m i n a t i o n , even though the detailed proposals concern only that aspect of selfdetermination that is c o m p r i s e d in the notion of self-administration. At the present stage there is thus merit in recalling, in Article 1(b), what is meant by the right of self-determination and, in particular, that it not only e n v i s a g e s i n d e p e n dence but m a y also involve other f o r m s of freely c h o s e n political status: eventually, h o w e v e r , such a d e f i n i t i o n m a y be d i s p e n s e d with. T h e terms of Article 1(b) are d r a w n f r o m Article 1.1 of the C o v e n a n t on Civil and Political Rights 1966, and p a r a g r a p h 4 of the f i f t h principle of the "Friendly R e l a t i o n s " Declaration 1970. Article 2. T h e o p e n i n g p a r a g r a p h , in asserting the g e n e r a l right of s e l f - d e t e r m i n a t i o n , s i m p l y r e p e a t s l a n g u a g e taken f r o m A r t i c l e 1.1 of the C o v e n a n t on Civil and Political Rights 1966. P a r a g r a p h 2, w h i c h is still in very general t e r m s , p l a c e s the goal of s e l f - a d m i n i s t r a t i o n within the broad f r a m e w o r k of s e l f - d e t e r m i n a tion. T h e substantive obligation that a state will u n d e r t a k e by virtue of this p r o v i s i o n is to " r e spect the a s p i r a t i o n s " of all c o m m u n i t i e s within its territory to " a n a p p r o p r i a t e d e g r e e " of selfadministration and to secure that degree of selfa d m i n i s t r a t i o n to t h e m . T h i s is a very f l e x i b l e c o m m i t m e n t , since the d e g r e e of s e l f - a d m i n i s tration " a p p r o p r i a t e " in any particular case will, of course, d e p e n d on the c i r c u m s t a n c e s . S e l f - a d m i n i s t r a t i o n is not the w h o l e c o n tent of s e l f - d e t e r m i n a t i o n but o n l y one w a y of a c h i e v i n g it. O t h e r w a y s in w h i c h the right of s e l f - d e t e r m i n a t i o n m a y p r o p e r l y be e x e r c i s e d are not in a n y w a y p r e j u d i c e d by the c o n v e n tion, and if a c o m m u n i t y is entitled to e x e r c i s e a right of s e l f - d e t e r m i n a t i o n in s o m e other w a y it r e m a i n s f r e e to d o so. P a r a g r a p h 3 of Article 2 m a k e s this clear. It a l s o m a k e s it c l e a r that w h a t e v e r r i g h t s of s e l f - d e t e r m i n a t i o n m a y be p o s s e s s e d by g r o u p s that d o not c o m e w i t h i n the d e f i n i t i o n of a " c o m m u n i t y " are u n t o u c h e d by the present p r o v i s i o n s on s e l f - a d m i n i s t r a t i o n for communities.

Sir Arthur

Watts

T h e " e x e r c i s e " of t h e right of s e l f - d e t e r m i n a t i o n is not j u s t a m a t t e r of the g o a l s that m a y be s o u g h t , but also c o n c e r n s the m e a n s by w h i c h t h o s e g o a l s m a y be a t t a i n e d . A s p a r a g r a p h s (k) and ( m ) of the p r e a m b l e m a k e clear, the c o n v e n t i o n is c o n c e r n e d with e n h a n c i n g the peaceful a p p l i c a t i o n of the p r i n c i p l e of s e l f - d e t e r m i n a t i o n . T h i s is i n t e n d e d s o l e l y to q u a l i f y the a s s u m p t i o n on w h i c h t h e p r o v i sions of the c o n v e n t i o n are based, including, in particular, the essential p r e c o n d i t i o n f o r access by s t a t e s a n d c o m m u n i t i e s to the s u p p o r t and a s s i s t a n c e p r o v i d e d u n d e r it; it is not intended to assert the u n l a w f u l n e s s of resort to a r m e d f o r c e by g r o u p s s e e k i n g to exercise the right of s e l f - d e t e r m i n a t i o n . T h e r e is m u c h r o o m for d e b a t e as to the c i r c u m s t a n c e s in w h i c h such resort to f o r c e is l a w f u l as a m a t t e r of general i n t e r n a t i o n a l law, but to the e x t e n t that it m a y be l a w f u l , p a r a g r a p h 3 l e a v e s it also untouched. Article 3. S e l f - d e t e r m i n a t i o n is o n e of the m o s t i m p o r t a n t p r i n c i p l e s of c o n t e m p o r a r y int e r n a t i o n a l law and internal ional relations; without it, h u m a n rights and f u n d a m e n t a l freed o m s s u f f e r . E q u a l l y i m p o r t a n t is r e s p e c t f o r the territorial integrity and political unity of states: w i t h o u t it, a c o r n e r s t o n e of the international order is d e s t r o y e d , and states f r a g m e n t — a d a n g e r to which the S e c r e t a r y - G e n e r a l of the U n i t e d N a t i o n s d r e w p r o p e r a t t e n t i o n in his " A g e n d a f o r P e a c e . " 1 0 A b a l a n c e has to be struck b e t w e e n t h e m . T h e need for s u c h a bala n c e is r e c o g n i z e d in m a n y i n t e r n a t i o n a l ins t r u m e n t s , w h i c h m a t c h d e c l a r a t i o n s on t h e right of s e l f - d e t e r m i n a t i o n with r e m i n d e r s of the i m p o r t a n c e of territorial integrity. 1 1 A g a i n s t this b a c k g r o u n d , and e x p a n d i n g u p o n p a r a g r a p h (g) of the p r e a m b l e , A r t i c l e 3 — w h i c h a p p l i e s b o t h to the c o n t r a c t i n g parties and to the i n s t i t u t i o n s to be e s t a b l i s h e d u n d e r the c o n v e n t i o n — e s t a b l i s h e s a p p r o p r i a t e respect f o r the territorial integrity and political unity of states. 1 2

10. UN Doc A/47/277, of 17 June 1992: paragraph 17. 11. See above, n. 5. 12. It may be noted that the relevant language of the UN charter is "territorial integrity or political independence": Art. 2(4). While "political independence" is appropriate for a provision concerned with the prohibition of the threat or use of force, it is less so in the context of the possible breakup of states. Accordingly, in that context the usual and more appropriate term is now "political unity" or "national unity" (as, e.g., in the last two paragraphs of the fifth principle of the "Friendly Relations" Declaration of 1970 [(GA Res. 2625(XXV)]).

The Liechtenstein

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on Self-Determination

T h e p r e c i s e c o m m i t m e n t s f o r s t a t e s and c o n v e n t i o n i n s t i t u t i o n s u n d e r this a r t i c l e are three: they m u s t , first, a c k n o w l e d g e the i m p o r t a n c e of t h e territorial i n t e g r i t y and p o l i t i c a l unity of states; s e c o n d , they m u s t s e e k , to the f u l l e s t e x t e n t p o s s i b l e (and in c o n f o r m i t y with the c o n v e n t i o n ) , to s u p p o r t p e a c e f u l e f f o r t s to p r e s e r v e t h e m ; a n d , third, they m u s t s i m i l a r l y seek to a v o i d any a c t i o n that w o u l d i m p a i r t h e m . W h i l e t h e s e legal o b l i g a t i o n s are f a r r e a c h i n g , they fall short of an a b s o l u t e o b l i g a tion to give priority in all c i r c u m s t a n c e s to the territorial integrity and political unity of states o v e r the r e q u i r e m e n t s of t h e right of s e l f - d e t e r m i n a t i o n . T h e r e is, in f a c t , a c l a s s i c c a s e here of a c o n f l i c t b e t w e e n t w o legal n o r m s of e q u i v a l e n t w e i g h t , and there is no clear, t h e o retical s o l u t i o n f o r the r e s o l u t i o n of that c o n flict. Both n o r m s are c h a r t e r - b a s e d ; both h a v e g o o d c l a i m s to n o w b e i n g rules of ins cogens: and b o t h s e r v e e q u a l l y i m p o r t a n t e n d s in securing a politically acceptable international legal order. In large part this c o n f l i c t m a y be t h o u g h t to be e x t r a n e o u s to the p r i n c i p a l a i m s of the c o n v e n t i o n . Its e m p h a s i s , as a l r e a d y n o t e d , is on s e l f - a d m i n i s t r a t i o n rather than i n d e p e n d e n c e , and a c o m m u n i t y h a v i n g a d e g r e e of s e l f - a d m i n i s t r a t i o n r e m a i n s part of the state to w h i c h the c o m m u n i t y b e l o n g s . T h u s , s e l f a d m i n i s t r a t i o n itself, by d e f i n i t i o n , d o e s not violate t h e territorial integrity of the state or its unity as a p o l i t i c a l s t r u c t u r e . To that e x t e n t , t h e r e f o r e . Article 3 might be c o n s i d e r e d u n n e c essary. N e v e r t h e l e s s , w h i l e s e l f - a d m i n i s t r a t i o n is at t h e h e a r t of the c o n v e n t i o n , it is p l a c e d w i t h i n the o v e r a l l f r a m e w o r k of s e l f - d e t e r m i n a t i o n , and that p r i n c i p l e c a n n o t e x c l u d e e v o lution t o w a r d i n d e p e n d e n c e ; this is r e c o g n i z e d in A r t i c l e 7. To that e x t e n t at least, A r t i c l e 3 s e r v e s a n e c e s s a r y p u r p o s e in laying d o w n a g u i d i n g principle f o r the application of the convention. E v e n b e y o n d that, h o w e v e r , states m a y h a v e r e a s o n a b l e c o n c e r n s lest s e l f - a d m i n i s t r a tion e n c o u r a g e s their f r a g m e n t a t i o n , and f i r m

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r e a s s u r a n c e that the c o n v e n t i o n is not to be und e r s t o o d in that w a y is of c o n s i d e r a b l e political value. Self-Administration Articles 4 to 8. T h i s g r o u p of articles sets out the c o n t e n t of the c o n c e p t of s e l f - a d m i n i s t r a tion as it is used in the c o n v e n t i o n . Articles 4 to 6 c o v e r the p r o g r e s s i v e levels of s e l f - a d m i n i s tration that m a y be a p p r o p r i a t e for the stage of political and a d m i n i s t r a t i v e d e v e l o p m e n t attained by the c o m m u n i t y in q u e s t i o n , Article 7 a c k n o w l e d g e s the possibility of i n d e p e n d e n c e , while Article 8 covers certain procedural matters. W h i l e the m o r e a d v a n c e d levels of self-adm i n i s t r a t i o n are o p t i o n a l , the initial level dealt with in Article 4 is m a n d a t o r y for all c o n t r a c t ing parties ( g i v e n , of c o u r s e , that a " c o m m u nity," as d e f i n e d in the c o n v e n t i o n , exists in its territory). T h i s article p r o v i d e s for the c o m m u nity and its m e m b e r s to e n j o y c e r t a i n very basic rights, which are set out in s u b p a r a g r a p h s (a) to (g). N o n e of these rights is f u n d a m e n t a l l y novel or o n e r o u s for states to accord; to a c o n s i d e r a b l e e x t e n t they r e f l e c t o b l i g a t i o n s that states h a v e a l r e a d y a s s u m e d u n d e r v a r i o u s h u m a n rights i n s t r u m e n t s a n d will a l r e a d y be the practice a d o p t e d in m a n y states. T h u s , the basic right in s u b p a r a g r a p h ( a ) — to be able to e n j o y the c o m m u n i t y ' s distinctive culture, religion, and l a n g u a g e — i s m o d e l e d on Article 27 of the C o v e n a n t on Civil and Political R i g h t s 1 9 6 6 . 1 1 S u b p a r a g r a p h (b) p r o v i d e s for participation in the c o n d u c t of public a f f a i r s and v o t i n g and b e i n g e l e c t e d at p e r i o d i c elections: it is d r a w n f r o m A r t i c l e 25 of t h e c o v e n a n t , w h i c h it a m p l i f i e s by s p e c i f y i n g that the p o s s i b i l i t y of b e i n g e l e c t e d a p p l i e s to the c e n t r a l , r e g i o n a l , and local e l e c t e d institutions of the state. 1 4 S u b p a r a g r a p h s (c) and (d) build, in w a y s a p p r o p r i a t e f o r the c o n v e n t i o n , on the p r o v i s i o n in A r t i c l e 2 5 ( a ) of the c o v e n a n t that c i t i z e n s h a v e the right to t a k e part in the c o n d u c t of p u b l i c a f f a i r s d i r e c t l y or " t h r o u g h

13. That article relates to "States in which ethnic, religious or linguistic minorities exist." On the interpretation of that article, see General Comment No. 23(50), adopted on 6 April 1994 by the Human Rights Committee under Article 40.4 of the covenant: CCPR/C/21/Rev. 1/ Add.5, of 26 April 1994. 14. Article 25 applies to "every citizen," and thus will, in any case, already apply to members of c o m munities if (as in most cases they will be) they are citizens of the state. Most states are already committed by that article to allowing periodic elections on the basis of "universal and equal s u f f r a g e " and "secret ballot, guaranteeing the free expression of the will of the electors."

28 freely chosen representatives." This provision f o r r e p r e s e n t a t i v e p a r t i c i p a t i o n in p u b l i c a f f a i r s w o u l d s e e m i m p l i c i t l y to a l l o w f o r t h e e s t a b l i s h m e n t of o r g a n i z a t i o n s to r e p r e s e n t c o m m u n i t y interests (as s u b p a r a g r a p h [c] prov i d e s ) , and for the m e m b e r s of the c o m m u n i t y f r e e l y to elect their r e p r e s e n t a t i v e s in s u c h org a n i z a t i o n s (as s u b p a r a g r a p h fd] p r o v i d e s ) . It is, of c o u r s e , i m p o r t a n t to note that the " o r g a n i z a t i o n " r e f e r r e d to is o n e of " a n a p p r o p r i a t e f o r m " (thus a l l o w i n g f l e x i b i l i t y to fit v a r i e d c i r c u m s t a n c e s ) and that it is an o r g a n i z a t i o n "to represent the c o m m u n i t y ' s i n t e r e s t s " and is c o n c e i v e d m o r e as a f o r m of p r e s s u r e g r o u p or p o l i t i c a l p a r t y r a t h e r t h a n as, in a n y s e n s e , a f o r m of local g o v e r n m e n t . S u b p a r a g r a p h (e) r e q u i r e s s t a t e s to e s t a b l i s h o r g a n s of c e n t r a l , r e g i o n a l , and local g o v e r n m e n t a n d a d m i n i s tration to look a f t e r m a t t e r s a f f e c t i n g the c o m m u n i t y ' s i n t e r e s t s and to p r o m o t e t h o s e interests. T h i s c o m m i t m e n t is q u a l i f i e d by requiring such o r g a n s to be e s t a b l i s h e d " t o the f u l l e s t e x t e n t p o s s i b l e " ; and it is c l e a r that w h a t is r e q u i r e d is the e s t a b l i s h m e n t not of a local g o v e r n m e n t f o r the c o m m u n i t y but rather, in practice, s o m e t h i n g m o r e like a special d e p a r t m e n t of the central g o v e r n m e n t or a special administrative body operating within the s t a t e ' s g o v e r n m e n t a l s t r u c t u r e . In a d d i t i o n to h a v i n g s o m e o r g a n of g o v e r n m e n t s p e c i f i cally c o n c e r n e d w i t h the c o m m u n i t y ' s a f f a i r s , there is also value in e n s u r i n g that the c o m m u n i t y ' s i n t e r e s t s are t a k e n into a c c o u n t w h e n c e r t a i n d e c i s i o n s that d i r e c t l y a f f e c t t h e c o m m u n i t y are t a k e n , and it is the p u r p o s e of s u b p a r a g r a p h ( f ) to p r o v i d e f o r this; a g a i n , t h e c o m m i t m e n t f o r s t a t e s is q u a l i f i e d b o t h by b e i n g " t o the f u l l e s t e x t e n t p o s s i b l e " and by, in s u b s t a n c e , b e i n g o n l y to " i n v o l v e " e l e c t e d c o m m u n i t y r e p r e s e n t a t i v e s in t h e d e c i s i o n s in q u e s t i o n , b u t not to g i v e t h e m a n y v e t o o v e r t h o s e d e c i s i o n s . F i n a l l y , s u b p a r a g r a p h (g) a d o p t s the p r i n c i p l e p r e s c r i b e d in m a n y h u m a n r i g h t s i n s t r u m e n t s , to t h e e f f e c t that d i s c r i m i n a t i o n a g a i n s t the c o m m u n i t y or its m e m b e r s is p r o h i b i t e d . G i v e n that, as e x p l a i n e d , 1 5 A r t i cle 1(a) is not s p e c i f i c a b o u t t h e p a r t i c u l a r b a s i s or b a s e s f o r the c o m m u n i t y ' s d i s t i n c t i v e characteristics, the prohibition of d i s c r i m i n a t i o n

15. See p. 24.

Sir Arthur

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is r e l a t e d s i m p l y to w h a t e v e r g r o u n d (or g r o u n d s ) m a y in a p a r t i c u l a r c a s e be d i r e c t l y a s s o c i a t e d w i t h the c o m m u n i t y ' s d i s t i n c t i v e characteristics. T h e r e is. of c o u r s e , c o n s i d e r a b l e r o o m for d i s c u s s i o n a b o u t w h i c h rights are s u f f i c i e n t l y b a s i c to be p r o p e r f o r i n c l u s i o n in a list of rights that it should be obligatory for contracting parties to c o n f e r on any c o m m u n i t y within their territories. T h o s e prescribed in Article 4.1 of the c o n v e n t i o n are p r o b a b l y an e s s e n t i a l m i n i m u m and ( w h i c h is e q u a l l y i m p o r t a n t in practice) least likely to meet with strong legitim a t e o b j e c t i o n f r o m states that are going to be a s k e d to a d o p t a c o n v e n t i o n on the lines proposed. T h o s e o b l i g a t o r y rights, h o w e v e r , are not i n t e n d e d to be an e x h a u s t i v e c a t a l o g u e of the rights that a c o m m u n i t y may h a v e , even b e f o r e m o v i n g on to o n e of the m o r e a d v a n c e d , and o p t i o n a l , levels of s e l f - a d m i n i s t r a t i o n . O t h e r (i.e.. a d d i t i o n a l ) r i g h t s m a y a l w a y s be a g r e e d u p o n b e t w e e n the state and the c o m m u n i t y in q u e s t i o n : that is a m a t t e r for t h e m to d e c i d e for t h e m s e l v e s and is a n e c e s s a r y part of the flexibility that n e e d s to be built into the p r o p o s a l s to take a c c o u n t of t h e i n f i n i t e l y v a r i a b l e circ u m s t a n c e s that m a y arise. T h e s e "other r i g h t s " that m a y thus be agreed upon m a y even include s o m e of t h o s e s p e c i f i c a l l y m e n t i o n e d in the later articles that i d e n t i f y rights that w o u l d be a p p r o p r i a t e for s u b s e q u e n t , o p t i o n a l , levels of s e l f - a d m i n i s t r a t i o n , e v e n w h e n the s i t u a t i o n has not p r o g r e s s e d f o r m a l l y to t h o s e levels by action u n d e r Article 5 or 6. P a r a g r a p h 2 of Article 4 m a k e s this f l e x i b i l i t y e x p l i c i t , and it is also m a d e clear in Articles 5.4 and 6.4. O n the a s s u m p t i o n that the very b a s i c , m a n d a t o r y level of s e l f - a d m i n i s t r a t i o n h a s been a c c o r d e d to c o m m u n i t i e s w i t h i n states, m o v e m e n t b e y o n d that level is optional. T h e f r a m e w o r k for these further, optional levels is set out in A r t i c l e s 5 a n d 6. T h e p a t t e r n , a n d in s o m e r e s p e c t s e v e n the t e r m s , of t h e s e t w o a r t i c l e s are the s a m e and to s o m e e x t e n t t h e y m a y t h e r e f o r e be taken together. There is, however, a question whether a total of three levels of self-administration is enough, or whether additional stages might be better so as to

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allow for a m o r e gradual progression to the m o s t a d v a n c e d level. 1 6 T h a t could certainly be done. But, p r a c t i c a l l y s p e a k i n g , to d o so w o u l d f u r ther c o m p l i c a t e the c o n v e n t i o n , with o n l y limited a d v a n t a g e s in return. A s long as the t h r e e levels are not rigidly s e p a r a t e d and s e l f - c o n tained but a l l o w f o r c o n s i d e r a b l e f l e x i b i l i t y in their application (as they do), it s e e m s sufficient to p r o v i d e for a basic (and m a n d a t o r y ) level of s e l f - a d m i n i s t r a t i o n at one end of the scale (i.e., Article 4), a full (and optional) level a m o u n t i n g virtually to internal s e l f - g o v e r n m e n t at the other (Article 6), and just one i n t e r m e d i a t e (and also optional) level b e t w e e n the t w o (Article 5). T h e o p t i o n a l c h a r a c t e r of the levels of s e l f - a d m i n i s t r a t i o n set out in Articles 5 and 6 is e s t a b l i s h e d in each case by the first p a r a g r a p h . P r o g r e s s o n w a r d to these f u r t h e r levels o n l y ' 7 takes p l a c e if a state so c h o o s e s , in w h i c h case it must m a k e an e x p r e s s d e c l a r a t i o n to that effect: the p r o c e d u r a l a s p e c t s of such d e c l a r a tions are dealt with in Article 8 . 1 8 H e r e it m a y j u s t be n o t e d that the d e c l a r a t i o n has to relate to a s p e c i f i e d c o m m u n i t y in the s t a t e ' s territory: so if t h e r e are several c o m m u n i t i e s within a state, it is o p e n to it to deal with t h e m d i f f e r ently if the c i r c u m s t a n c e s so require. F u r t h e r m o r e , it is i m p o r t a n t that the m o r e a d v a n c e d levels of s e l f - a d m i n i s t r a t i o n s h o u l d only be e n j o y e d by t h o s e c o m m u n i t i e s that m a y r e a s o n a b l y be e x p e c t e d to be able to ass u m e the responsibilities that g o with the rights of s e l f - a d m i n i s t r a t i o n to be e n j o y e d . An a p p r o priate basis for m a k i n g that kind of a s s e s s m e n t is the c o m m u n i t y ' s p e r f o r m a n c e in the r e c e n t past. P a r a g r a p h 1 of Article 5 (and, mutatis m u t a n d i s . of A r t i c l e 6) a c c o r d i n g l y r e q u i r e s that the c o m m u n i t y m u s t h a v e , o v e r a r e a s o n a b l e period, a c q u i r e d s a t i s f a c t o r y e x p e r i e n c e in f u l filling its role u n d e r the m a n d a t o r y , basic level of self-administration provided for under Article 4. " R e a s o n a b l e p e r i o d " and "satisfactory experie n c e " allow the necessary flexibility in a p p l y i n g this r e q u i r e m e n t to particular c i r c u m s t a n c e s . If the o p t i o n a l d e c l a r a t i o n e n v i s a g e d by this article has been m a d e , the c o m m u n i t y is to

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h a v e the rights s p e c i f i e d in p a r a g r a p h 2. S i n c e the rights set out in A r t i c l e 4.1 are m a n d a t o r y , t h o s e set out in p a r a g r a p h 2 of Article 5 are in addition to t h o s e set out in A r t i c l e 4. T h e s e add i t i o n a l r i g h t s c o n c e r n the a d m i n i s t r a t i o n of state f u n d s allocated f o r the c o m m u n i t y ' s benefit, c o m m u n i t y p o l i c i n g , the n o m i n a t i o n of j u d g e s in certain l o w e r courts, and the a d m i n i s tration of c o m m u n i t y s c h o o l s . In the e x e r c i s e of these rights the c o m m u n i t y acts t h r o u g h its e l e c t e d r e p r e s e n t a t i v e s — a n implicit r e f e r e n c e b a c k to A r t i c l e 4 . 1 ( c ) a n d (d). T w o of the r i g h t s — c o n c e r n i n g j u d i c i a l a p p o i n t m e n t s and s c h o o l i n g — e x p r e s s l y r e l a t e to m a t t e r s a r i s i n g in " t h e c o m m u n i t y ' s a r e a " : this n e e d s to be read with Article 8.1(b). which requires that the declaration by w h i c h the option to m o v e to this level of s e l f - a d m i n i s t r a t i o n is e x e r c i s e d m u s t identify the area within the s t a t e ' s territory that the c o m m u n i t y inhabits. T h e c h o i c e of these s p e c i f i e d rights is, in a s e n s e , a r b i t r a r y : they h a v e no inherent or ine s c a p a b l e c o n n e c t i o n w i t h a s e c o n d stage of s e l f - a d m i n i s t r a t i o n . O t h e r rights could well be t h o u g h t m o r e a p p r o p r i a t e for that stage, either in a d d i t i o n to, or i n s t e a d of, t h o s e that h a v e b e e n s p e c i f i e d . W h a t is i m p o r t a n t , h o w e v e r , is the s e l e c t i o n of rights that can r e a s o n a b l y be c o n s i d e r e d to be a p p r o p r i a t e f o r a h a l f w a y stage b e t w e e n the b a s i c , m a n d a t o r y level of s e l f - a d m i n i s t r a t i o n and the virtually full internal s e l f - g o v e r n m e n t p r o v i d e d f o r in Article 6. T h e r i g h t s listed in A r t i c l e 5 u n d o u b t e d l y t o u c h on m a t t e r s t h a t , w h i l e of c o n s i d e r a b l e i m p o r t a n c e for c o m m u n i t i e s in their search f o r w a y s to g i v e e x p r e s s i o n to their d i s t i n c t i v e qualities, are c o m m e n s u r a t e l y sensitive for states: this is i n e v i t a b l e w i t h a n y set of r i g h t s that m a r k s a s i g n i f i c a n t p r o g r e s s b e y o n d t h e initial and very b a s i c level of s e l f - a d m i n i s t r a tion. R e a s s u r a n c e ( o v e r and a b o v e t h e i n h e r ently optional c h a r a c t e r of the w h o l e p r o v i s i o n ) is p r o v i d e d by the r e q u i r e m e n t of p a r a g r a p h 3(a) that t h e s e a d d i t i o n a l rights of s e l f - a d m i n istration o p e r a t e within the basic c o n s t i t u t i o n a l structure of the state. T h a t p r o v i s i o n also d r a w s

16. As to whether three levels are too many, see the discussion beginning on page 24 above. 17. Subject, as already noted, to the possibility that a state may voluntarily choose to grant to a community certain of the more "advanced" rights and benefits even when the community is, formally, still only at the mandatory level of self-administration. 18. See below, p. 32.

30 attention to the fact that, from a practical point o f view, the state and the community will in any case need to comc to various agreements and arrangements in connection with the way in which the rights and responsibilities granted under this article are to be exercised. It will be for the parties concerned to determine precisely what those agreements and arrangements should provide for. One important matter that will, however, clearly need spelling out is the financial relationship between the state and the community. Paragraph 3(b) accordingly provides that the arrangements to be concluded between the state and the community must cover this matter. Just as at the initial mandatory level, the state and the community are free to agree on other rights that the community may possess, in addition to those specified in the article, 1 9 so, too, at this optional level paragraph 4 provides that they may similarly agree on additional rights to be enjoyed by the community. That paragraph, however, only allows for rights additional to ("other than") those specified in paragraph 2 to be agreed upon by the state and the community. If they could only reach agreement on extending some, but not all, of those specified rights to the community, or on extending them only subject to substantive amendment, they are, of course, free to do so on the basis of their right to agree upon "other rights" under paragraph 4 of the preceding article. Article 6 follows the pattern established in Article 5, in that its paragraph 1 establishes that the article is also optional, on the basis o f a declaration to be made in accordance with Article 8, and similarly requires that before moving on to this yet more advanced level of self-administration, the community must have shown itself reasonably likely to be able to satisfactorily exercise the rights and responsibilities in question. Once the option to move to this yet more advanced level of self-administration has been exercised, the rights and responsibilities of the community will be as set out in the second paragraph of the article. These rights are expressly

19. See pp. 27 and 38. 20. See p. 40. 21. See pp. 39 and 40.

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stated to be in addition to those identified for the first optional level of self-administration (Article 5); and since the rights set out in the article before that are mandatory, these new rights are also additional to the rights set out there. The rights set out in paragraph 2 (affecting the creation o f a representative legislature for the community, the right to enact laws and to raise taxes, and the administration of state functions other than matters of foreign affairs and defense) virtually amount to rights (and responsibilities) of internal self-government, with the reference to "the community's area" needing, again, to be read with Article 8.1(b). As set out, the rights affect only the community and its members. In practice, such a strict limitation is unlikely to be workable in all situations—for example, those in which powers need to apply throughout the community's area, including even those individuals who may not be members of the community in question. These probably necessary extensions of the rights set out can best be dealt with in the agreements and arrangements that will in any case need to be concluded between the state and the community and for which provision is again made (see below). Paragraph 3 repeats the reassurances given in the equivalent provision of the preceding article, 2 0 that this further level of self-administration still exists within the constitutional structure of the state and that additional agreements and arrangements between the state and the community will be needed in order to ensure the effective implementation of the rights and responsibilities in question, particularly in relation to financial matters. The final paragraph repeats the equivalent provisions in paragraph 4 o f each of the two preceding articles, 2 1 giving the state and the community freedom to agree upon other (i.e., additional) rights. By the time a community has moved to this very advanced level of selfadministration, it is likely to be necessary for many other rights to be agreed upon under this provision. To that extent, the specific rights identified in paragraph 2 o f the article must be

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regarded as representing only the key elements of this advanced level of self-administration and not as an exhaustive enumeration. T h e nature and extent of any additional rights will be determined by the particular circumstances and will be likely to vary considerably from case to case. T h e flexibility that is, in practice, necessary and is built into the draft c o n v e n t i o n as each of the three levels of self-administration invites the question whether there is any need f o r an e l a b o r a t e specification of rights appropriate to various levels of self-administration. 2 2 S i n c e — a p a r t f r o m the initial mandatory rights—all others are optional and may be flexibly agreed upon, adapted, and applied by states and communities on the basis of what is best for their infinitely variable circumstances, it might seem enough to simply allow for this to happen on a completely o p e n - e n d e d basis. There is s o m e weight in that view, but at the present stage three considerations in particular have i n f l u e n c e d the structure that has been adopted: first, the division of the process into three stages of self-administration clearly illustrates the step-by-step character of the overall concept; s e c o n d , the formal three-stage structure establishes a f r a m e w o r k in which the operation of the institutional elements set up by the convention can more easily be understood; and third, in particular, that structure gives the secretary guidance for the exercise of his functions under later articles to assist in cases in which his good o f f i c e s are invoked. Although it is self-administration, and not i n d e p e n d e n c e , that is at the heart of the convention, the eventual evolution of a c o m m u n i t y to full i n d e p e n d e n c e cannot be e x c l u d e d . Instead, h o w e v e r , of establishing i n d e p e n d e n c e as a further option in accordance with the same basic pattern as that established in the three preceding articles, Article 7, which introduces the possibility of i n d e p e n d e n c e primarily f o r the sake of completeness, is much more limited. Its o p e n i n g paragraph, in e f f e c t , simply provides that when a c o m m u n i t y seeks indep e n d e n c e , the matter shall first be discussed between the state concerned and the c o m m u nity. As much as anything, this is a description of what would be likely to happen in any event.

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The orderliness of the m o v e to i n d e p e n d e n c e within the c o n v e n t i o n ' s f r a m e w o r k is underpinned by the stipulations that the c o m m u n i t y must have s h o w n itself, over a reasonable period of time, to have satisfactorily fulfilled its role at the preceding levels of self-administration; that its f u r t h e r progress is within the f r a m e w o r k of s e l f - d e t e r m i n a t i o n (and is thus subject to the general considerations attaching to it); and that it must be acting through its elected representatives. T h e s e stipulations d o not purport to prohibit independence if they are not satisfied, but merely establish that in that event the m o v e to independence is outside the ambit of the convention. T h e second paragraph notes that the parties in any such d i s c u s s i o n s "should bear in m i n d " f o u r matters in which there "could b e " value, including any i n d e p e n d e n c e arrangements. T h e r e is thus no obligation on the parties to include those matters in their arrangements, nor even a categorical statement that the matters are of value in this context; the provision is thus primarily an a i d e - m é m o i r e of certain potentially important topics. T h e f o u r matters that are brought in this way to the parties' attention are the holding of a r e f e r e n d u m on the question of moving to independence (the referendum being held a m o n g "all inhabitants" of the c o m m u n i t y ' s area), the d e m o c r a t i c basis of the f u t u r e state's g o v e r n ment, the f u t u r e state's participation in h u m a n rights treaties, and the orderly determination of issues that usually arise in cases of state succession on independence (including the allocation of state property and of the state's financial resources and liabilities, and the f u t u r e state's position under treaties other than the h u m a n rights treaties already mentioned). T h e choice of these f o u r broad topics is in no way e x h a u s t i v e of all the matters that will need to be considered, but in the present climate of international relations they would seem to be f o u r that w o u l d generally be perceived to be important for a lasting and orderly transition to independence. T h e levels of self-administration under Articles 5 and 6 are, as explained, optional. Each of those articles provide that a state that wishes

22. As to whether, alternatively, more than three levels might be better, see the discussion above.

32

to e x e r c i s e t h o s e o p t i o n s m u s t do so by m a k i n g d e c l a r a t i o n s in t h e m a n n e r set out in A r t i c l e 8: this a r t i c l e is t h u s e s s e n t i a l l y procedural. T h e declaration has, first, to be c o m m u n i c a t e d to the s e c r e t a r y ( f o r w h o m p r o v i s i o n is m a d e in Article 12) and m u s t s p e c i f y the c o m m u n i t y to w h i c h it relates and i d e n t i f y the area w i t h i n the s t a t e ' s territory that t h e c o m m u n i t y inhabits ( p a r a g r a p h 1). T h e s e t w o facts are important for the p r o p e r o p e r a t i o n of other provisions of the c o n v e n t i o n . W h e n the secretary has r e c e i v e d t h e d e c l a r a t i o n , he m u s t i n f o r m the other c o n t r a c t i n g parties ( p a r a g r a p h 2). In o r d e r to e n s u r e a n e c e s s a r y e l e m e n t of stability in the levels of s e l f - a d m i n i s t r a t i o n attained by c o m m u n i t i e s , d e c l a r a t i o n s once m a d e m a y not, in p r i n c i p l e , be w i t h d r a w n and are thus c o n c e i v e d to be e s s e n t i a l l y p e r m a n e n t . H o w e v e r , an e x c e p t i o n p r o b a b l y has to be recognized where there has been a fundamental c h a n g e in the c i r c u m s t a n c e s that were essential to the m a k i n g of the d e c l a r a t i o n in the first p l a c e . 2 1 If s u c h a c h a n g e has o c c u r r e d , p a r a g r a p h 3 a l l o w s a d e c l a r a t i o n to be w i t h d r a w n on g i v i n g six m o n t h s ' n o t i c e . T h e c o n v e n t i o n d o e s not a t t e m p t to spell out what the c o n s e q u e n c e s of such a w i t h d r a w a l m i g h t be, but they will clearly operate at t w o distinct l e v e l s — that of the c o n v e n t i o n and that of the internal law of the state c o n c e r n e d . At the international level of the c o n v e n t i o n , the w i t h d r a w a l of a dec l a r a t i o n will relieve t h e state m a k i n g it f r o m such obligations as might f l o w f r o m it under the c o n v e n t i o n ; but in n o c a s e , of c o u r s e , will the withdrawal affect the state's obligations to c o m ply with the basic, m a n d a t o r y level of s e l f - a d m i n i s t r a t i o n , since they are i n d e p e n d e n t of the m a k i n g of any d e c l a r a t i o n by the state. At the internal level, it will essentially be a matter for the s t a t e ' s o w n l a w s to d e t e r m i n e the c o n s e q u e n c e s , e s p e c i a l l y f o r any a g r e e m e n t s or a r r a n g e m e n t s m a d e with the c o m m u n i t y in connection with the w a y in w h i c h the various rights and responsibilities are to be exercised. A f u r t h e r e x c e p t i o n is n e e d e d to c o v e r situations in that there is a public e m e r g e n c y w h i c h

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t h r e a t e n s the life of the nation. P a r a g r a p h 4 ( d r a w i n g on Article 4 of the C o v e n a n t on Civil and Political R i g h t s 1 9 6 6 ) 2 4 a c c o r d i n g l y permits a c o n t r a c t i n g party in such c i r c u m s t a n c e s to d e r o g a t e f r o m its o b l i g a t i o n s u n d e r Article 5 or 6 on a t e m p o r a r y and n o n d i s c r i m i n a t o r y basis. T h e s e c r e t a r y m u s t be n o t i f i e d of such d e r o g a t i o n s w h e n they are m a d e and w h e n they are s u b s e q u e n t l y lifted. Institutional

Provisions

Articles 9 to 14. T h e f o r e g o i n g p r o v i s i o n s for d i f f e r e n t levels of s e l f - a d m i n i s t r a t i o n m i g h t be left as they s t a n d , as s t a t e m e n t s of w h a t c o n t r a c t i n g p a r t i e s s h o u l d d o in v a r i o u s c i r c u m stances. E x p e r i e n c e s u g g e s t s that a c o n v e n t i o n limited to such p r o v i s i o n s w o u l d run a serious risk of b e c o m i n g little m o r e than a f o r m a l set of a s p i r a t i o n s but without real practical e f f e c t . To be truly e f f e c t i v e , s o m e m e c h a n i s m s are n e e d e d to e n s u r e that the system e s t a b l i s h e d by the c o n v e n t i o n o p e r a t e s p r o p e r l y . It is, h o w ever, i m p o r t a n t that the i n s t i t u t i o n a l a r r a n g e m e n t s u n d e r t h e c o n v e n t i o n should be l i m i t e d to the m i n i m u m n e c e s s a r y to e n s u r e its p r o p e r implementation. A r t i c l e s 9 to 14 a c c o r d i n g l y p r o v i d e that for the e f f e c t i v e i m p l e m e n t a t i o n of the c o n v e n tion, c e r t a i n i n s t i t u t i o n s n e e d to be set up. T h e s e are listed in Article 9 as: a f o u n d a t i o n (to be m a n a g e d by a b o a r d ) , a secretary, a c o u r t , and ( p o s s i b l y ) an a d v i s o r y c o u n c i l . T h e detailed a r r a n g e m e n t s f o r t h e s e i n s t i t u t i o n s are set out in the i m m e d i a t e l y f o l l o w i n g articles. T h e f o u n d a t i o n ( A r t i c l e 10) is c o n c e i v e d to be an i m p e r s o n a l f u n d , h a v i n g a legal personality of its o w n . T h e f o u n d a t i o n will n e e d a starting capital a m o u n t , and t h e r e a f t e r its assets will c o n s i s t of that c a p i t a l s u m , f u r t h e r a d d i tions to capital f r o m t i m e to t i m e , and i n c o m e f r o m such i n v e s t m e n t s as it m a y be p r o p e r f o r the f o u n d a t i o n to m a k e . P a r a g r a p h 1 p r o v i d e s f o r c o n t r i b u t i o n s to c a p i t a l to b e m a d e by c o n t r a c t i n g p a r t i e s a n d by p r i v a t e c o n t r i b u t o r s . T h e i n v o l v e m e n t of p r i v a t e c o n t r i b u t o r s in t h e f i n a n c i n g of t h e

23. Compare the terms of Article 62 of the Vienna Convention on the Law of Treaties 1969, allowing fundamental change of circumstances as a ground for terminating or withdrawing from a treaty. 24. See also Article 15 of the European Convention on Human Rights and Fundamental Freedoms 1950 and Article 27 of the American Convention on Human Rights 1969.

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f o u n d a t i o n , and by extension in (at least to s o m e extent, see below) the r u n n i n g of its affairs, introduces a s o m e w h a t hybrid public/ private character to the f o u n d a t i o n , which, although perhaps adding s o m e c o m p l i c a t i o n s , may benefit its early establishment. The basis on which contributions are made is not specified. Contributions by private individuals will, however, presumably be voluntary. Contributions by contracting parties may need to be at least in part obligatory, although voluntary contributions from them need not be excluded. Insofar as they are to be obligatory, the basis on which the contributions are due will need to be elaborated. The underlying assumption is that if the contracting parties wish the system established by the convention to be a working reality, they will need to be prepared to provide the necessary finances. The financial requirements for the convention system seem likely to be relatively modest; and, as paragraph 2 requires, the foundation's resources are to be devoted only to purposes directly related to those of the convention. T h e foundation will need to have legal personality and the necessary legal capacities to enable it to perform its functions (which are essentially to hold and deal with f u n d s for purposes associated with the implementation of the c o n v e n t i o n , to hold and acquire property for those purposes, and to enter into contracts for those purposes). Paragraph 3(a) provides f o r this, and paragraph 3(b) provides for the secretary to represent the foundation in the exercise of its legal personality and capacities. That paragraph does not, however, state how the f o u n d a t i o n ' s legal personality is to be established or u n d e r what system of l a w — whether international law or some particular state law. The obligation to provide for the foundation's legal personality will be an international obligation flowing f r o m this article of the convention; that legal personality will need also to be reflected in the laws of the various contracting parties, and it may even be desirable for the foundation to be established as a legal personality primarily under a particular state's law. T h e r e is no need for the f o u n d a t i o n to e n j o y a wide range of privileges and i m m u n i ties. However, given the nature of the f o u n d a t i o n ' s f u n c t i o n s and purposes, it would seem necessary (particularly to the extent that private contributions are to be attracted, thus lessening the need f o r c o n t r i b u t i o n s f r o m contracting

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parties) that contracting parties should not tax either the f o u n d a t i o n ' s assets or transfers of capital to the f o u n d a t i o n by private contributors. Paragraph 4 so provides. T h e f o u n d a t i o n is to be m a n a g e d by a board, as provided in Article 11. Paragraph 1 provides that attendance at meetings of the board is by representatives of each contracting party. No limit to the n u m b e r of m e m b e r s of the board is prescribed: if the n u m b e r of contracting parties b e c o m e s too great, there may be a need to m a k e f u r t h e r provision to ensure that the m a n a g e m e n t of the foundation remains e f f e c t i v e . No provision is m a d e , however, for private contributors to have m e m b e r s h i p of the board. It may be desirable to find some way of associating them with the b o a r d ' s activities. They may. however, be included in the advisory council, if one is set up (see below). Paragraph 2 provides for the convening of the first meeting of the board, paragraph 3(a) provides for a president of the board to be elected at the first meeting, and paragraph 4(b) provides an initial rule for the taking of decisions until such time as rules of procedure are adopted providing otherwise. T h e s e arrangements for a first meeting are necessary in order to start the system operating. S u b s e q u e n t a r r a n g e m e n t s for officers, meetings, decisionm a k i n g rules, and so on, can be left for the board to decide at its first meeting, as provided for in paragraph 3(b), or later in a c c o r d a n c e with w h a t e v e r rules of p r o c e d u r e the board may adopt under paragraph 4(a). This leaves the board complete flexibility to make such decisions in the light of the circumstances at the time. Paragraph 5 e n v i s a g e s the possibility of the board setting up an advisory council, whose function is to give advice to the board and the secretary. If an advisory council is set up, the board can d e t e r m i n e its m e m b e r s h i p within certain specified limits. These are that the total m e m b e r s h i p should not be m o r e than twenty (plus the president of the board) and that not more than twelve of those twenty m e m b e r s can be representatives of contracting parties. T h e provenance of the other eight is not laid down, and thus if an advisory council were set up with a full m e m b e r s h i p , at least eight could be representatives of private contributors or of other relevant interests outside the contracting parties.

34 For day-to-day purposes the foundation will in effect be run by a secretary. This person's role is vitally important, not only in administering the foundation but particularly in operating the provisions of Articles 15 and 16 concerning the settlement of differences that might arise in the implementation of the convention (as to which, see below). The secretary is appointed by the board, for four years, and the appointment is renewable (paragraphs 1 and 2). The secretary's functions, in general, are to serve the board and the advisory council, to administer the foundation, and to do such other things as are entrusted to him (paragraph 3). Two functions are important enough to need specifying, namely, to submit to the board an annual budget and an annual report on activities under the convention (paragraph 4). A further specific function is envisaged in paragraph 5, although it may prove only temporary. This provision requires the secretary to act as an International Research and Advisory Center on Self-Administration and SelfDetermination. The center's functions are indicated by its title. Use of its services is open not only to contracting parties but also to other states, communities, international organizations, and other interested persons and bodies. It is envisaged that in the first place the center's activities would simply form part of the secretary's functions, assisted by such staff as may be needed (see below). But circumstances may make it desirable to expand the center's role, so that it ceases to be run by the secretary and becomes instead a separate agency with its own director and staff: paragraph 5(c) makes provision for this eventuality. A limited staff will be needed to assist the secretary, and provision is made for their recruitment, due regard being paid to "the need for efficiency and economy" (paragraph 6). The board authorizes the establishment of staff, and the secretary appoints and directs them. The later articles that deal with the settlement of differences 2 5 envisage the possibility of recourse to a court if there are allegations of a breach of the convention. Although such allegations will probably be rare, contingent provision for a court needs to be made, and this is done by Articles 13 and 14. 25. See pp. 43 and 44.

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The court has seven members (Article 13, paragraph 1), elected by the board (paragraph 2). The president of the court is initially elected by the Board, and subsequently by the court (paragraph 3). When it is operational, the court will need a registrar, who will be appointed by the board (paragraph 4); but it may well be some time before the court needs to function, and in order to avoid appointing a registrar before it is necessary to have one, it is laid down that initially the secretary will perform such administrative functions in support of the court as are necessary. The rules governing the court's operations, and the procedure to be adopted in cases before it, are matters for the court to lay down (paragraph 5). Article 14 sets out the court's jurisdiction and powers. It has jurisdiction over all cases concerning the interpretation or application of the convention (paragraph 1). Cases may be submitted to the court by any contracting party, and, in certain circumstances envisaged in Article 16.6, by a community (paragraph 2[a]). The secretary cannot submit a case to the court for decision but may request an advisory opinion (paragraph 2[b]). Paragraph 3 identifies the conclusions to which the court may come in deciding cases submitted to it—in effect, it may reject the complaint, uphold the complaint, refer the complaint to the secretary with a recommendation for further action, or any combination of these in respect of different parts of the case. The court's judgments are final, and the judges may deliver separate opinions if they are not unanimous (paragraph 4). Settlement

of

Differences

Articles 15 and 16. The evolution of communities at their various levels of self-administration may well sometimes give rise to differences between them and the states concerned, or between two or more States with interests in the matter, and occasionally those differences may be serious. An essential part of the convention is that it should provide procedures whereby these differences may be resolved peacefully. Two means of achieving this are set out in Articles 15 and 16: the first envisages

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Draft Convention

on Self-Determination

assistance being given by the secretary, and the second e n v i s a g e s action by the court and the secretary in those cases where a breach of the draft convention is alleged. Under Article 15 the secretary may volunteer assistance by way of good offices or mediation, or such assistance may be requested, or the secretary may be under an obligation in certain circumstances to offer assistance. Under paragraph 1 the Secretary may volunteer assistance, if circumstances develop that threaten, or have already given rise to, a breach of the C o n v e n t i o n . This assistance may be offered to contracting parties or to c o m m u n i t i e s within their territories. It is for the secretary to " o f f e r " assistance: it is for the parties concerned to decide whether to accept the offer. Under paragraph 2 the secretary's assistance may be requested. This may happen "in respect of matters falling within the scope of the C o n v e n t i o n . " The requests may come f r o m contracting parties or communities within their territories. If such requests are made, the secretary is obliged to respond affirmatively, subject to two exceptions. T h e first is where it would be c o u n t e r p r o d u c t i v e to the m a i n t e n a n c e of peace and security to do so: the j u d g m e n t whether it would be c o u n t e r p r o d u c t i v e is a matter for the secretary. Second, the secretary is relieved of any obligation to respond affirmatively to a request if it has c o m e f r o m a c o m m u n i t y and the state concerned does not agree to the secretary's assistance being given. Under paragraph 3 the secretary is obliged to offer assistance if circumstances within the scope of the convention give rise to the outbreak of armed conflict. The obligation is to "offer" assistance: if the offer is rejected, there is no continuing obligation to nevertheless extend assistance. In any of these c i r c u m s t a n c e s , the way in which the s e c r e t a r y ' s assistance is given is to be agreed upon b e t w e e n the secretary and the parties concerned (paragraph 4). W h e r e a s Article 15 is concerned with situations in which a breach of the convention is not necessarily an issue, but where c i r c u m stances nevertheless m a k e it appropriate for the secretary to be involved in the search for a solution to differences that have arisen, Article 16 is c o n c e r n e d with, and is limited to, action to be taken where a breach of the convention has occurred or is alleged.

Through

Self-Administration

35

The articles that are at the heart of the convention are those concerning the various levels of self-administration, that is, Articles 4, 5, and 6. Disputes about these provisions are likely to be as m u c h about political relations as about strictly legal differences; furthermore, they will almost inevitably involve communities as well as contracting parties. It is with this in mind that Article 16 distinguishes between breaches of the "self-administration Articles" and breaches of the other articles. In respect of b r e a c h e s of these other articles, any contracting party alleging a breach by any other contracting party may refer the matter to the court (paragraph 1). These would be normal interstate proceedings. The court would render a "decision." Breaches of the "self-administration Artic l e s " raise d i f f e r e n t considerations. Disputes about such breaches are appropriate for the inv o l v e m e n t , in the first place, of the secretary rather than for judicial decision by the court. A l l e g a t i o n s of such breaches by one contracting party against another are to be notified by the f o r m e r to the secretary, in accordance with paragraph 2. It may, however, be a c o m m u n i t y that alleges that a breach of the "self-administration Articles" has occurred. It would be w r o n g for the c o m m u n i t y to be deprived of s o m e third-party p r o c e d u r e for the resolution of the issue. Paragraph 3(a) accordingly provides that where a c o m m u n i t y alleges a breach on the part of " i t s " contracting party, it, too, may have recourse to the secretary. There may, of course, be an important preliminary issue to determine, namely, whether a body submitting such a notification is truly a " c o m m u n i t y " as d e f i n e d in the c o n v e n t i o n : paragraph 3(b) accordingly provides that if discussions fail to resolve the q u e s t i o n , the secretary may seek an advisory opinion f r o m the court. Allowing a c o m m u n i t y access to an international procedure of the kind envisaged is to a c k n o w l e d g e that it has at least that degree of limited international procedural capacity. This is likely to be a sensitive matter in s o m e contexts, but a c k n o w l e d g m e n t of that limited international capacity on the part of c o m m u n i ties is both unavoidable in the interest of effective i m p l e m e n t a t i o n of the principle of selfdetermination and j u s t i f i a b l e given the f r a m e w o r k of the c o n v e n t i o n . Even so, it is a

Sir Arthur

36

Watts

capacity o f very limited scope: it is limited to

The secretary's conclusion is not necessar-

those provisions o f the convention that directly

ily final. If a contracting party or a community

concern

disagrees with the secretary's conclusion as to

communities,

it allows

complaints

only against the state o f which the community

whether or not a breach o f the convention had

forms part, and it involves in the first instance

occurred, it may refer the matter to the court

recourse only io the secretary for investigation

(paragraph 6). The Court will render a "deci-

by him. Such capacity is consistent with the

sion" on the matter.

general trend o f accepting that beneficiaries o f the right o f self-determination have a limited degree of international capacity. Where the secretary has been notified by a

Final

Clauses

Articles

17 to 23.

This group of articles are

contracting party or by a community of an al-

the traditional "final c l a u s e s " that determine

leged breach o f one o f the

'self-administration

the inadmissibility of reservations (Article 17);

Articles." the secretary must investigate the al-

signature, ratification, and accession (Article

legation and is given considerable flexibility as

18); entry into force (Article 19); territorial ap-

to how to do so (paragraph 4). The result may

plication (Article 20); amendment (Article 21);

be that the secretary concludes that a breach

depositary functions (Articles 22 and 23); and

has occurred, or that no breach has occurred

authentic texts (Article 2 3 ) . They follow pro-

(paragraph 5). It the former, the secretary is

visions that are quite normal in these contexts,

obliged to make recommendations to the par-

although precise precedents vary from treaty to

ties concerned for remedying the breach and

treaty. These articles are included in the Con-

preventing any repetition.

vention at this stage primarily for completeness.

Draft Convention on Self-Determination Through S elf-Administration Preamble (a)

The

self-determination, and may in many circumstances be a sufficient exercise of that right; States

Parties

to

the

(g) Noting also that the possession by

present

communities within States o f a degree of self-

Convention, (b) Recognizing the right o f self-determi-

administration is consistent with the territorial

nation as one o f the human rights and funda-

integrity o f States and thus avoids the risks o f

mental freedoms;

conflict often associated with the fragmentation

(c)

Noting

with

satisfaction

the

great

o f States; (h) Recognizing that States are created by

achievements o f the United Nations in securing the exercise o f the right o f self-determination

humans for humans; (i) Recognizing also the duty resting on all

by the inhabitants o f territories not formerly enjoying full self-government; (d) Recognizing that the principle o f selfdetermination applies not only to such territories; (e) Recognizing also that while the attainment of independence is one possible outcome o f the exercise o f the right o f self-determination it is not the only possible outcome;

States to secure the enjoyment o f human rights and fundamental freedoms by all individuals, whose enjoyment of which is closely connected with their ability to express their views through democratic procedures and with the standing within the State o f the communities o f which they form part;

( f ) Noting that the possession by c o m -

(j) Desiring to support States in their ef-

munities within States o f a degree o f self-

forts to realize the principle o f self-determina-

administration is consistent with the right o f

tion

through

the recognition

of a

suitable

The Liechtenstein

Draft Convention

on Self-Determination

Through

37

Self-Administration

d e g r e e of s e l f - a d m i n i s t r a t i o n o n t h e p a r t of

a c c e p t s t h a t i n d e p e n d e n c e is not t h e o n l y p o s -

c o m m u n i t i e s w i t h i n their t e r r i t o r i e s ;

sible o u t c o m e of s e l f - d e t e r m i n a t i o n . P a r a g r a p h

(k) D e s i r i n g f u r t h e r to e s t a b l i s h p r o c e d u r e s

(e) r e f l e c t s this.

w h i c h c a n assist c o m m u n i t i e s in their q u e s t f o r

(6) P a r a g r a p h ( f ) n o t e s that the p o s s e s s i o n

s e l f - a d m i n i s t r a t i o n in p u r s u i t of the p e a c e f u l

of a d e g r e e of s e l f - a d m i n i s t r a t i o n is c o n s i s t e n t

e x e r c i s e of t h e right of s e l f - d e t e r m i n a t i o n ;

w i t h the r i g h t of s e l f - d e t e r m i n a t i o n . T h e p a r a -

(1) N o t i n g that v i o l a t i o n s of t h e r i g h t of

g r a p h f u r t h e r n o t e s that in m a n y c i r c u m s t a n c e s

s e l f - d e t e r m i n a t i o n , the a b s e n c e of an a d e q u a t e

t h e a t t a i n m e n t of a d e g r e e of s e l f - a d m i n i s t r a -

m e a s u r e of s e l f - a d m i n i s t r a t i o n , a n d the lack of

tion m a y b e felt to b e s u f f i c i e n t e x e r c i s e of t h e

relevant internationally recognized rules and

right of s e l f - d e t e r m i n a t i o n , w i t h o u t a n y n e e d to

p r o c e d u r e s h a v e led t o c o u n t l e s s

and

m o v e to f u l l i n d e p e n d e n c e : see a l s o (8) b e l o w .

( m ) B e i n g r e s o l v e d to t a k e s t e p s to s e c u r e

" c o m m u n i t i e s w i t h i n S t a t e s . " T h i s is c o n s i d -

the e f f e c t i v e a n d p e a c e f u l a p p l i c a t i o n of t h e

e r e d f u r t h e r in A r t i c l e 1(a). a n d p a r a g r a p h s (2)

principle

to (11) of t h e a s s o c i a t e d C o m m e n t .

wars

other conflicts;

of

self-determination

(7) P a r a g r a p h ( f ) i n t r o d u c e s the c o n c e p t of

through

the

a d o p t i o n of m e a s u r e s to f a c i l i t a t e the e x e r c i s e

(8) A s a l r e a d y n o t e d in (6) a b o v e , a c o m -

of s e l f - a d m i n i s t r a t i o n by c e r t a i n c o m m u n i t i e s ,

m u n i t y g r a n t e d a s u i t a b l e d e g r e e of s e l f - a d m i n -

a n d to p r o v i d e p r o c e d u r e s f o r the r e s o l u t i o n of

istration m a y feel that its a s p i r a t i o n s to s e l f - d e -

d i f f e r e n c e s w h i c h m i g h t arise in that c o n t e x t ;

termination have thereby been adequately met. a n d m a y n o l o n g e r f e e l any c o m p u l s i o n to seek full

HAVE A G R E E D AS F O L L O W S :

independence.

Thus

self-administration

a v o i d s the f r a g m e n t a t i o n of S t a t e s , the d a n g e r s of w h i c h h a v e b e e n i d e n t i f i e d by the S e c r e t a r y -

Comment

G e n e r a l of t h e U n i t e d N a t i o n s in h i s " A g e n d a (1) A P r e a m b l e is not s t r i c t l y n e c e s s a r y .

for Peace' (1992). Self-administration poses no

ex-

threat to the territorial integrity of States. P a r a -

p l o r a t o r y s t a g e , t h e r e is v a l u e in e s t a b l i s h i n g in

g r a p h (g) r e f l e c t s t h e s e c o n s i d e r a t i o n s , w h i c h

a P r e a m b l e t h e g e n e r a l c o n t e x t in w h i c h the

are f u r t h e r d e v e l o p e d in A r t i c l e 3.

N e v e r t h e l e s s , p a r t i c u l a r l y at t h e p r e s e n t

draft C o n v e n t i o n has been prepared and the

(9) P a r a g r a p h (h) e m p h a s i z e s the e s s e n -

m o t i v a t i o n u n d e r l y i n g it. F o r c o n v e n i e n c e t h e

tially h u m a n b a s i s of S t a t e s t r u c t u r e s a n d re-

v a r i o u s p a r a g r a p h s of t h e P r e a m b l e h a v e b e e n

f l e c t s the n e e d to g i v e p r i o r i t y to human

given an i d e n t i f y i n g letter.

needs.

( 1 0 ) S t a t e s h a v e a d u t y to s e c u r e t h e e n -

(2) P a r a g r a p h ( b ) a c k n o w l e d g e s that t h e

joyment

of

human

rights

and

fundamental

right of s e l f - d e t e r m i n a t i o n is o n e of the h u m a n

f r e e d o m s by all i n d i v i d u a l s . T h e e x t e n t

rights and f u n d a m e n t a l f r e e d o m s .

w h i c h i n d i v i d u a l s c a n d o so is l i n k e d to t h e i r

to

has

standing within their States, particularly the

h i t h e r t o b e e n a p p l i e d p r i m a r i l y in s i t u a t i o n s in-

a v a i l a b i l i t y of d e m o c r a t i c p r o c e d u r e s t h r o u g h

(3) T h e

right of s e l f - d e t e r m i n a t i o n

v o l v i n g territories not e n j o y i n g full s e l f - g o v e r n -

which they can make their views known and

m e n t — i n e f f e c t , s i t u a t i o n s of d e c o l o n i z a t i o n .

t h e d e g r e e to w h i c h c o m m u n i t i e s w i t h i n S t a t e s

P a r a g r a p h (c) a c k n o w l e d g e s the great a c h i e v e -

c a n s e r v e as a f o c u s f o r i n d i v i d u a l s ' a s p i r a -

m e n t s of the U n i t e d N a t i o n s in this field.

t i o n s . P a r a g r a p h (i) g i v e s e x p r e s s i o n t o t h e s e

(4) P a r a g r a p h (d) r e c o g n i z e s that the p r i n c i p l e of s e l f - d e t e r m i n a t i o n is n o t l i m i t e d to s u c h s i t u a t i o n s of d e c o l o n i z a t i o n .

considerations. (11) T h o s e S t a t e s w h i c h w i s h to g r a n t a d e g r e e of s e l f - a d m i n i s t r a t i o n as a w a y of g i v -

(5) S e l f - d e t e r m i n a t i o n h a s in the past u s u -

ing e f f e c t t o t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n

a l l y — a l t h o u g h n o t i n v a r i a b l y — l e d t o t h e at-

m a y n e e d i n t e r n a t i o n a l s u p p o r t in their e f f o r t s ;

t a i n m e n t of i n d e p e n d e n c e . P a r a g r a p h 4 of t h e

similarly, c o m m u n i t i e s s e e k i n g s e l f - a d m i n i s t r a -

5th P r i n c i p l e of t h e D e c l a r a t i o n o n P r i n c i p l e s

tion m a y n e e d t h e a s s i s t a n c e of i n t e r n a t i o n a l

of I n t e r n a t i o n a l L a w c o n c e r n i n g F r i e n d l y R e l a -

procedures through which they can peacefully

t i o n s a n d C o - o p e r a t i o n a m o n g S t a t e s in a c c o r -

p u r s u e t h e i r a i m s . P a r a g r a p h s ( j ) a n d (k) a c -

d a n c e w i t h t h e C h a r t e r of t h e U n i t e d N a t i o n s

k n o w l e d g e t h e d e s i r a b i l i t y of p r o v i d i n g s u c h

(General Assembly Res. 2625 (XXV) (1970))

support and assistance.

Sir Arthur

38

(12)

States

accept

self-determination

in

principle. However, in practice they are s o m e times less ready to a c k n o w l e d g e it, even in the limited form o f self-administration.

Further-

Watts

self-administration and shall secure that degree o f self-administration to them. 3. T h e application o f this C o n v e n t i o n is without prejudice to the e x e r c i s e o f the right of

more, while the principle o f self-determination

s e l f - d e t e r m i n a t i o n to w h a t e v e r further extent

is universally accepted and in certain areas pro-

may be j u s t i f i e d .

cedures are available to assist with its realization (e.g., the U N General A s s e m b l y ' s

'Committee

o f T w e n t y - F o u r ' ) , no generally applicable rules

Article 3 In the i m p l e m e n t a t i o n o f this C o n v e n t i o n the

and procedures are available to secure its e f f e c -

S t a t e s Parties to the present C o n v e n t i o n , and

tive implementation. S u c h inadequacies in the

the institutions e s t a b l i s h e d under it, shall ac-

realization o f the principle o f self-determination

k n o w l e d g e the importance o f the territorial in-

have resulted in much conflict, human suffering

tegrity and political unity o f sovereign and in-

and loss o f life. Paragraph (I) notes this tragic

dependent States. T h e y shall accordingly seek,

state o f affairs, and paragraph ( m ) states the re-

to the fullest extent possible and in conformity

solve to improve matters by seeking to go some

with the provisions o f this C o n v e n t i o n , to sup-

way to making the peaceful application o f the

port peaceful efforts to preserve the territorial

principle o f self-determination more truly e f f e c -

integrity and political unity o f S t a t e s and to

tive, at least in the limited c o n t e x t o f self-ad-

avoid any action which would impair their ter-

ministration, by facilitating the exercise o f self-

ritorial integrity and political unity.

administration and by providing procedures to resolve differences which might arise.

SECTION II

SECTION I

Article 4

Article 1

1. Each State Party to the present C o n v e n -

F o r the purposes o f the present C o n v e n t i o n :

tion shall, in relation to c o m m u n i t i e s in its territory:

( a ) " c o m m u n i t y " m e a n s the m e m b e r s o f a

(a) allow m e m b e r s o f the c o m m u -

distinct group w h i c h inhabits a limited area

nity the right, together with the other m e m b e r s

within a State and p o s s e s s e s a sufficient degree

o f their group, to e n j o y their own culture, to

o f o r g a n i z a t i o n as such a group for the e f f e c -

profess and practice their o w n religion, and to

tive application o f the relevant p r o v i s i o n s o f

use their own language;

this C o n v e n t i o n ;

( b ) allow m e m b e r s o f the c o m m u -

(b) "right o f s e l f - d e t e r m i n a t i o n " involves

nity to take part in the c o n d u c t o f p u b l i c af-

the free determination by those possessing that

fairs, and to vote and be e l e c t e d at p e r i o d i c

right o f their political status and their free pur-

e l e c t i o n s by free and s e c r e t ballot to the c e n -

suit o f their e c o n o m i c , social and cultural devel-

tral, regional and local e l e c t e d institutions o f

opment, and may be implemented by establish-

the State;

ment as a sovereign and independent State, free

( c ) a l l o w the c o m m u n i t y to estab-

association or integration with an independent

lish an appropriate form o f organization to rep-

State, or e m e r g e n c e into any other political sta-

resent

tus freely determined by the people concerned.

affairs;

Article 2

munity to elect, by free and secret ballot, their

the

community's

interests

in

public

(d) a l l o w the m e m b e r s o f the c o m representatives in such an organization; 1. All

peoples

have

the

right

of

self-

2. Within the f r a m e w o r k o f that right, each S t a t e Party to the present C o n v e n t i o n respect

the

aspirations

( e ) e s t a b l i s h , to the fullest

extent

p o s s i b l e , organs o f c e n t r a l , regional and local

determination.

of

all

shall

communities

within its territory to an appropriate d e g r e e o f

g o v e r n m e n t and administration c o n c e r n e d primarily with matters a f f e c t i n g the c o m m u n i t y ' s interests, and in particular c h a r g e d with the promotion o f those interests;

The Liechtenstein

Draft Convention

on Self-Determination

Through

Self-Administration

39

( f ) i n v o l v e , to t h e f u l l e s t e x t e n t p o s s i -

account the i n c o m e and administrative func-

ble, t h e e l e c t e d r e p r e s e n t a t i v e s of t h e c o m m u n i t y

tions and responsibilities of the State and the

in d e c i s i o n s c o n c e r n i n g t h e a d m i n i s t r a t i o n

community.

of

S t a t e f u n d s a l l o c a t e d f o r t h e b e n e f i t of t h e c o m -

4 . N o t h i n g in t h e p r e c e d i n g p a r a g r a p h s of

m u n i t y a n d in a n y o t h e r d e c i s i o n s w h i c h d i r e c t l y

this article shall prevent a State and a c o m m u -

affect the c o m m u n i t y ;

nity

(g) refrain f r o m any d i s c r i m i n a t i o n

agreeing

that

a community

shall

have

r i g h t s o t h e r t h a n t h o s e s p e c i f i e d , o r t h a t , in t h e

a g a i n s t t h e c o m m u n i t y o r its m e m b e r s o n a n y

a b s e n c e of a d e c l a r a t i o n u n d e r p a r a g r a p h 1 of

ground dircctly associated with the distinctive

t h i s a r t i c l e , a c o m m u n i t y s h a l l h a v e a n y o r all

c h a r a c t e r i s t i c s of t h e c o m m u n i t y .

of t h e r i g h t s s p e c i f i e d in t h i s a r t i c l e o r a n y

2. N o t h i n g in t h e p r e c e d i n g p a r a g r a p h of

other rights.

this Article shall prevent a State and a c o m m u nity

agreeing

that

a community

shall

have

Article

6

r i g h t s o t h e r t h a n t h o s e s p e c i f i e d , e v e n in t h e a b s e n c e of a n y d e c l a r a t i o n a l l o w i n g f o r t h e a p -

1. A S t a t e P a r t y t o t h e p r e s e n t C o n v e n t i o n

p l i c a t i o n of A r t i c l e s 5 o r 6 of t h i s C o n v e n t i o n .

m a y at a n y t i m e m a k e a d e c l a r a t i o n in a c c o r d a n c e w i t h A r t i c l e 8 of this C o n v e n t i o n that it a c -

Article

c e p t s t h e a p p l i c a t i o n of this article to a s p e c i f i e d

5

c o m m u n i t y in its t e r r i t o r y , b e i n g a c o m m u n i t y 1. A S t a t e P a r t y t o t h e p r e s e n t C o n v e n t i o n

w h i c h h a s o v e r a r e a s o n a b l e p e r i o d a c q u i r e d sat-

m a y at a n y l i m e m a k e a d e c l a r a t i o n in a c c o r -

i s f a c t o r y e x p e r i e n c e in f u l f i l l i n g its r o l e u n d e r

d a n c e w i t h A r t i c l e 8 of t h i s C o n v e n t i o n t h a t it

t h e p r e c e d i n g a r t i c l e of this C o n v e n t i o n .

a c c e p t s t h e a p p l i c a t i o n of t h i s a r t i c l e t o a s p e c -

2. W h e n s u c h a d e c l a r a t i o n h a s b e e n m a d e ,

i f i e d c o m m u n i t y in its t e r r i t o r y , b e i n g a c o m -

t h e c o m m u n i t y s o s p e c i f i e d , a c t i n g t h r o u g h its

munity

e l e c t e d r e p r e s e n t a t i v e s , s h a l l h a v e , in a d d i t i o n

which

has over a reasonable

period

a c q u i r e d s a t i s f a c t o r y e x p e r i e n c e in f u l f i l l i n g

to the

its r o l e

Agreement:

under

the

preceding

article of

this

rights

Convention.

specified

in A r t i c l e

(a) the right to e s t a b l i s h ,

2. W h e n s u c h a d e c l a r a t i o n h a s b e e n m a d e , t h e c o m m u n i t y s o s p e c i f i e d , a c t i n g t h r o u g h its

resentative

c o m m u n i t y a n d its m e m b e r s ;

(a)

the

allocated

right for

to the

administer benefit

State

of

the

community;

this

through

elections held by free and secret ballot, a rep-

elected representatives, shall have: funds

5 of

legislature

with p o w e r s over

(b) the right to enact laws

the

having

effect within the c o m m u n i t y ' s area and relating to t h e a f f a i r s of t h e c o m m u n i t y ;

( b ) t h e r i g h t t o h a v e its o w n p o l i c e

(c) the right to raise taxes p a y a b l e b y m e m b e r s of t h e c o m m u n i t y , t o m e e t t h e e x -

force; (c) the right to n o m i n a t e j u d g e s for

p e n s e s of t h e c o m m u n i t y ;

t h e l o w e r c o u r t s s i t t i n g in t h e c o m m u n i t y ' s a r e a

( d ) t h e r i g h t to a s s u m e r e s p o n s i b i l i t y

and d e a l i n g with matters directly affecting the

for the a d m i n i s t r a t i o n

c o m m u n i t y ' s interests;

within the c o m m u n i t y ' s area, with the e x c e p t i o n

( d ) t h e r i g h t t o a d m i n i s t e r s c h o o l s in the c o m m u n i t y ' s area f o r use by children

of

m e m b e r s of the community.

of all S t a t e

functions

of m a t t e r s of f o r e i g n a f f a i r s o r d e f e n s e w h i c h shall r e m a i n t h e r e s p o n s i b i l i t y of t h e S t a t e . 3. ( a ) T h e c o m m u n i t y s h a l l e x e r c i s e t h e s e

3. ( a ) T h e c o m m u n i t y s h a l l e x e r c i s e t h e s e

r i g h t s w i t h i n t h e l i m i t s of t h e C o n s t i t u t i o n a n d

r i g h t s w i t h i n t h e l i m i t s of t h e C o n s t i t u t i o n a n d

laws of

laws

with

a g r e e m e n t s and a r r a n g e m e n t s to be m a d e be-

a g r e e m e n t s a n d a r r a n g e m e n t s to be m a d e be-

t w e e n t h e S t a t e a n d t h e c o m m u n i t y in c o n n e c -

t w e e n t h e S t a t e a n d t h e c o m m u n i t y in c o n n e c -

tion with these rights.

of

the

State,

and

in

accordance

tion with these rights.

the

State,

and

in a c c o r d a n c e

with

( b ) T h e s e a r r a n g e m e n t s shall i n c l u d e in-

such adaptations to the financial c o m p e n s a t i o n

clude a financial compensation plan agreed be-

p l a n r e f e r r e d t o in p a r a g r a p h 3 ( b ) of A r t i c l e 5 as

t w e e n the State and the c o m m u n i t y , taking into

m a y be required to meet the n e w circumstances.

(b) T h e s e

arrangements

shall

Sir Arthur

40

Watts

4. N o t h i n g in the p r e c e d i n g p a r a g r a p h s of

(iii) t h e f u t u r e p o s i t i o n u n d e r

this article shall p r e v e n t a S t a t e a n d a c o m m u -

t r e a t i e s ( o t h e r t h a n t h o s e r e f e r r e d to in s u b -

nity

paragraph

agreeing that a c o m m u n i t y

shall

have

rights o t h e r t h a n t h o s e s p e c i f i e d , or t h a t , in the

[c]) a p p l y i n g to the

community's

area.

a b s e n c e of a d e c l a r a t i o n u n d e r p a r a g r a p h 1 of t h i s a r t i c l e , a c o m m u n i t y shall h a v e a n y o r all

Article

8

of t h e r i g h t s s p e c i f i e d in t h i s A r t i c l e or a n y other rights.

1. (a) A State Party to the p r e s e n t C o n v e n tion w i s h i n g to m a k e a d e c l a r a t i o n p u r s u a n t to

Article

7

A r t i c l e s 5 o r 6 of t h i s C o n v e n t i o n shall c o m m u n i c a t e its d e c l a r a t i o n to the s e c r e t a r y .

1. W h e r e a c o m m u n i t y w h i c h h a s o v e r a

(b) T h e d e c l a r a t i o n shall state t h e

reasonable period acquired satisfactory experi-

article p u r s u a n t to w h i c h it is b e i n g m a d e , shall

e n c e in f u l f i l l i n g its role u n d e r t h e p r e c e d i n g

s p e c i f y the c o m m u n i t y to w h i c h it relates, a n d

a r t i c l e of t h i s C o n v e n t i o n s e e k s , w i t h i n

shall i d e n t i f y the limited area w i t h i n the S t a t e ' s

f r a m e w o r k of s e l f - d e t e r m i n a t i o n a n d

the

acting

t h r o u g h its e l e c t e d r e p r e s e n t a t i v e s , to e s t a b l i s h

territory w h i c h the c o m m u n i t y i n h a b i t s . 2. T h e s e c r e t a r y shall i n f o r m the

other

itself as a s o v e r e i g n a n d i n d e p e n d e n t S t a t e , the

S t a t e s P a r t i e s to the p r e s e n t C o n v e n t i o n of all

m a t t e r shall in the f i r s t p l a c e be d i s c u s s e d be-

s u c h d e c l a r a t i o n s as soon as p o s s i b l e a f t e r they

t w e e n the State Party c o n c e r n e d a n d the e l e c t e d

have been made.

r e p r e s e n t a t i v e s of the c o m m u n i t y .

3. A d e c l a r a t i o n m a d e by a S t a t e Party to

2. T h e p a r t i e s p a r t i c i p a t i n g in s u c h d i s c u s -

the p r e s e n t C o n v e n t i o n m a y not be w i t h d r a w n

sion s h o u l d b e a r in m i n d that t h e r e c o u l d be

u n l e s s t h e r e has b e e n a f u n d a m e n t a l c h a n g e of

v a l u e in a n y a r r a n g e m e n t s f o r the p e a c e f u l at-

c i r c u m s t a n c e s e s s e n t i a l to the m a k i n g of t h e

t a i n m e n t of i n d e p e n d e n c e i n c l u d i n g

d e c l a r a t i o n , so as to m a k e it no l o n g e r p o s s i b l e

(a) the h o l d i n g of a r e f e r e n d u m of

to c o n t i n u e to a c c o r d to the c o m m u n i t y

in

all i n h a b i t a n t s in the c o m m u n i t y ' s a r e a o n the

q u e s t i o n the rights e n v i s a g e d in the article p u r -

q u e s t i o n w h e t h e r that a r e a s h o u l d b e c o m e an

s u a n t to w h i c h t h e d e c l a r a t i o n w a s m a d e . In s u c h s i t u a t i o n s , the w i t h d r a w a l of a d e c l a r a t i o n

i n d e p e n d e n t State; (b) the c o m m u n i t y ' s s y s t e m of g o v e r n m e n t u p o n i n d e p e n d e n c e b e i n g s u c h as to s e c u r e t h e p r o p e r o b s e r v a n c e of d e m o c r a c y in the c o m m u n i t y ;

o n l y t a k e s e f f e c t a f t e r six m o n t h s ' n o t i c e in w r i t i n g to the s e c r e t a r y . 4. (a) In t i m e of p u b l i c e m e r g e n c y w h i c h t h r e a t e n s the life of the nation a n d the e x i s t e n c e

to

of w h i c h is o f f i c i a l l y p r o c l a i m e d a S t a t e P a r t y

b e c o m e a p a r t y to t h o s e t r e a t i e s a n d o t h e r e n -

to the present C o n v e n t i o n w h i c h has m a d e a d e -

g a g e m e n t s f o r the p r o t e c t i o n of h u m a n r i g h t s

c l a r a t i o n p u r s u a n t to A r t i c l e s 5 o r 6 m a y . on a

a n d f u n d a m e n t a l f r e e d o m s to w h i c h t h e S t a t e

non-discriminatory and temporary basis, take

(c) the c o m m u n i t y u n d e r t a k i n g

which

m e a s u r e s d e r o g a t i n g f r o m its o b l i g a t i o n s u n d e r

a p p l y to the c o m m u n i t y ' s a r e a , i n c l u d i n g t h o s e

the A r t i c l e in q u e s t i o n , to the e x t e n t strictly re-

p r o t e c t i n g the right of s e l f - d e t e r m i n a t i o n ;

q u i r e d by the e x i g e n c i e s of the s i t u a t i o n .

P a r t y c o n c e r n e d is itself a p a r t y a n d

(d) a r r a n g e m e n t s b e i n g a g r e e d be-

(b) A State Party to the p r e s e n t C o n -

t w e e n the State Party to the p r e s e n t C o n v e n -

v e n t i o n a v a i l i n g itself of the right of d e r o g a t i o n

tion and the c o m m u n i t y for the orderly

and

shall i m m e d i a t e l y i n f o r m t h e s e c r e t a r y of t h e

p e a c e f u l a l l o c a t i o n , as b e t w e e n t h e m , of r e l e -

p r o v i s i o n s f r o m w h i c h it has d e r o g a t e d a n d of

vant

the r e a s o n s by w h i c h it w a s a c t u a t e d , a n d shall

rights,

responsibilities,

functions

and

powers, including: (i) t h e a l l o c a t i o n of S t a t e p r o p -

m a k e a f u r t h e r c o m m u n i c a t i o n to t h e s e c r e t a r y on the d a t e on w h i c h it t e r m i n a t e s s u c h d e r o g a -

erty, b o t h in the S t a t e a n d a b r o a d , i n c l u d i n g the

t i o n . T h e s e c r e t a r y shall i m m e d i a t e l y

a l l o c a t i o n of the S t a t e ' s f i n a n c i a l r e s o u r c e s ;

t h e o t h e r S t a t e s P a r t i e s to the p r e s e n t C o n v e n -

(ii) the a l l o c a t i o n of t h e S t a t e ' s f i n a n c i a l a n d o t h e r liabilities;

inform

tion of all c o m m u n i c a t i o n s r e c e i v e d u n d e r t h i s provision.

The Liechtenstein

Draft Convention

on Self-Determination

Through

Self-Administration

41

SECTION III

Article

Article 9 To provide for the effective implementation of this Convention there shall be established: (a) the Foundation for S e l f - A d m i n istration and Self-Determination (referred to as " t h e F o u n d a t i o n " ) which shall be m a n a g e d by the Board of the Foundation (referred to as "the Board");

1. The Foundation shall be managed by a Board. Each State Party to the present Convention shall appoint a representative to attend meetings of the Board on its behalf. Representatives may be accompanied by experts and advisers.

(b) a secretary of the C o n v e n t i o n (referred to as "the secretary"); (c) a Court of the C o n v e n t i o n (referred to as "the Court"); and (d) if so decided by the Board, an Advisory Council. Article

10

1. T h e Foundation shall be established by contributions to capital made by (a) the States Parties to the present Convention; (b) private contributors. 2. T h e resources of the Foundation shall be devoted to m e e t i n g costs necessarily incurred in the implementation of this Convention, and to supporting research and other activities dedicated to the achievement of the purposes of this Convention. 3. (a) The Foundation shall have legal personality, and shall e n j o y in the territory of each State Party to the present Convention the legal capacity to hold and acquire property and enter into contracts, and such other legal capacity as may be necessary to p e r f o r m its functions. (b) The F o u n d a t i o n , in the exercise of its legal personality and capacities, shall be r e p r e s e n t e d by the secretary. Save with the c o n s e n t of the B o a r d , the secretary m a y not c o m m i t the F o u n d a t i o n to any contract which will be b i n d i n g on the F o u n d a t i o n a f t e r the e x p i r y of the s e c r e t a r y ' s current term of office. 4. T h e States Parties to the present C o n vention shall grant the Foundation i m m u n i t y f r o m taxation on its assets, and shall not impose taxes on transfers of capital to the Foundation by private contributors under paragraph 1 of this article.

11

2. T h e first meeting of the Board shall be c o n v e n e d by [State/organization] at [name of place] within three months after the entry into force of this Convention. 3. (a) At that meeting the Board will elect a President of the Board for a period of two years. The President cannot be re-elected. (b) At the same meeting the Board will decide the timing and location of subsequent meetings. 4. (a) The Board shall, by a majority of the States Parties to the present Convention attending the meeting, adopt and later amend as necessary its rules of procedure, including provisions for the majorities required for the taking of decisions. (b) Unless o t h e r w i s e stipulated in this Convention or in the Board's rules of procedures, each decision of the Board shall require the f a v o r a b l e vote of a majority of the States Parties to the present Convention attending the meeting at which the decision is taken. 5. (a) The Board may set up an Advisory Council, composed of the President of the Board and not more than twenty other persons, not more than twelve of w h o m may be representatives of States Parties to the present Convention. The President of the Board will also take the chair at meetings of the Advisory Council. (b) The Advisory Council shall give advice to the Board, and to the secretary, on any matters with which the Board or the secretary may be c o n c e r n e d , including the conduct and publication of research into matters relating to s e l f - d e t e r m i n a t i o n , and the raising of f u n d s f o r the F o u n d a t i o n and the administration of those funds. The Advisory Council may act on the request of the Board or the secretary, or on its own initiative. Article

12

1. T h e Board shall appoint the secretary on such terms and conditions as it may determine.

42 2. The secretary shall be appointed for a period of four years, and may be reappointed. 3. The secretary shall serve the Board and the Advisory Council, shall administer the Foundation, and shall perform such other functions as are entrusted to the secretary by this Convention or by the Board. 4. (a) The secretary shall submit an annual budget to the Board, for its approval, by a two thirds majority of the States Parties to the present Convention attending the meeting, before the beginning of the year to which it relates. (b) The secretary shall submit to the Board an annual report on activities under this Convention during the preceding year, including a report on: (i) the secretary's activities in relation to the resolution of any disputes or differences within the scope of this Convention; (ii) the Foundation's income and expenditure; (iii) the performance of the Foundation's investments; and (iv) the Foundation's fundraising activities. 5. (a) The secretary shall act as an International Research and Advisory Center on SelfAdministration and Self-Determination (referred to as "the Center"), until such time as action is taken pursuant to subparagraph (c) of this paragraph. (b) The Center shall be open to States, communities, international governmental and nongovernmental organizations, and other interested persons and bodies, for research and advice on matters related to self-administration and the exercise of the right of self-determination. (c) If the activities of the Center make it desirable, the secretary may, with the approval of the Board, establish the Center as an agency with its own Director and staff, under the overall authority of the secretary. The detailed terms and conditions on which Center, and its Director and staff, will operate as such an agency shall be determined by the secretary, with the approval of the Board. 6. The Board, with due regard to the need for efficiency and economy, shall authorize such staff establishment for a Secretariat to assist the secretary as it considers necessary for the performance of his functions, and the secretary shall appoint, direct and supervise such staff according

Sir Arthur

Watts

to such rules and procedures and on such terms and conditions as the Board may determine. Article

13

1. The Court shall consist of seven members, who shall be nationals of States Parties to the present Convention. 2. (a) Subject to subparagraph (b), the members of the Court shall be elected by the Board for a period of seven years. They may be re-elected. (b) Of the members elected at the first election, the terms of six members shall expire after, respectively, one, two, three, four, five and six years. Immediately after the first election, those six members and the term for which each of them is elected, will be chosen by the President of the Board by lot. (c) A member of the Court elected to replace a member whose term of office has not expired shall hold office for the remainder of his predecessor's term. 3. The President of the Court after the first election shall be elected by the Board for a period of [one] year. After that period, the President of the Court shall be elected by the members of the Court in accordance with such procedures as the Court may determine, for a period of [three] years. The President of the Court may be re-elected. 4. The Board shall appoint a Registrar when such an appointment becomes necessary, on such terms and conditions as it may determine. Until then, the secretary shall perform such administrative functions as may be necessary in support of the Court. 5. The Court shall draw up its own rules and shall determine its own procedure. Article

14

1. (a) The jurisdiction of the Court shall extend to all cases concerning the interpretation or application of this Convention. (b) In the event of a dispute as to whether the Court has jurisdiction, the matter shall be settled by decision of the Court. 2. (a) Cases may be submitted to the Court by any State Party to the present Convention, and, in the circumstances envisaged in paragraph 6 of Article 16, by any community.

The Liechtenstein

Draft Convention

on Self-Determination

Through

Self-Administration

43

( b ) R e q u e s t s f o r an a d v i s o r y o p i n -

3. If c i r c u m s t a n c e s w i t h i n t h e s c o p e of t h i s

ion on a m a t t e r of law a r i s i n g out of t h e inter-

C o n v e n t i o n g i v e rise to t h e o u t b r e a k of an

p r e t a t i o n o r a p p l i c a t i o n of this C o n v e n t i o n m a y

a r m e d conflict, the secretary shall offer assis-

a l s o b e s u b m i t t e d to the C o u r t by t h e s e c r e t a r y .

t a n c e , by w a y of g o o d o f f i c e s or m e d i a t i o n , to

3. U n l e s s the C o u r t f i n d s that it is w i t h o u t

t h e p a r t i e s i n v o l v e d in t h e c o n f l i c t , a n d s h a l l

j u r i s d i c t i o n o v e r a c a s e s u b m i t t e d to it u n d e r

m a i n t a i n t h e o f f e r f o r so l o n g as t h e c o n f l i c t

p a r a g r a p h 2 ( a ) of this a r t i c l e , or that t h e c a s e is

continues.

o t h e r w i s e i n a d m i s s i b l e , it shall e i t h e r :

4 . If t h e s e c r e t a r y ' s o f f e r of

(a) r e j e c t , as u n f o u n d e d , t h e c o m plaint on w h i c h the c a s e w a s b a s e d ; or

assistance

u n d e r t h i s A r t i c l e is a c c e p t e d , o r he r e s p o n d s a f f i r m a t i v e l y to a r e q u e s t f o r a s s i s t a n c e , t h e

(b) d e c i d e t h a t t h e c o m p l a i n t is to

w a y in w h i c h t h e a s s i s t a n c e is g i v e n shall b e a m a t t e r for a g r e e m e n t b e t w e e n the s e c r e t a r y a n d

be u p h e l d ; o r (c) r e f e r the c o m p l a i n t to the secre-

the parties concerned.

tary with a r e c o m m e n d a t i o n for f u r t h e r action; or (d) c o m b i n e

a n y o r all of

those

Article

16

c o u r s e s of a c t i o n , in r e s p e c t of d i f f e r e n t p a r t s of the c a s e .

1. A n y S t a t e P a r t y to p r e s e n t C o n v e n t i o n

4. (a) T h e j u d g m e n t of the C o u r t on a c a s e

w h i c h a l l e g e s that any o t h e r S t a t e P a r t y to t h e

s u b m i t t e d to it u n d e r p a r a g r a p h 2 ( a ) of this ar-

p r e s e n t C o n v e n t i o n is a c t i n g , or h a s a c t e d , in

ticle shall b e f i n a l . (b) !f the j u d g m e n t or o p i n i o n of the C o u r t d o e s not r e p r e s e n t in w h o l e or in part the u n a n i m o u s o p i n i o n of t h e j u d g e s , a n y j u d g e shall be entitled to d e l i v e r a s e p a r a t e o p i n i o n .

b r e a c h of t h e p r o v i s i o n s of t h i s

Convention

o t h e r than A r t i c l e s 4 to 6 i n c l u s i v e m a y r e f e r t h e m a t t e r t o the C o u r t f o r d e c i s i o n . 2. A n y State P a r t y to the p r e s e n t C o n v e n tion w h i c h a l l e g e s that a n y o t h e r State Party to t h e p r e s e n t C o n v e n t i o n is a c t i n g , or has a c t e d ,

SECTION IV

in b r e a c h of A r t i c l e s 4 to 6 i n c l u s i v e of t h i s C o n v e n t i o n , m a y r e f e r t h e m a t t e r to the s e c r e -

Article

tary by a n o t i f i c a t i o n in w r i t i n g w h i c h shall set

15

out t h e d e t a i l s of the a l l e g a t i o n ; it shall s e n d a 1. T h e s e c r e t a r y m a y at any t i m e o f f e r his

c o p y of t h e n o t i f i c a t i o n to the o t h e r Party. T h e

a s s i s t a n c e , by w a y of g o o d o f f i c e s or m e d i a -

s e c r e t a r y shall n o t i f y t h e m e m b e r s of the B o a r d

tion, to S t a t e s Parties to the present C o n v e n t i o n

that a n o t i f i c a t i o n has b e e n r e c e i v e d .

or to c o m m u n i t i e s w i t h i n their t e r r i t o r i e s if cir-

3. (a) A n y c o m m u n i t y m a y s i m i l a r l y r e f e r

c u m s t a n c e s d e v e l o p w h i c h in t h e s e c r e t a r y ' s

to t h e s e c r e t a r y a n y a l l e g a t i o n that t h e S t a t e

o p i n i o n t h r e a t e n to g i v e rise to, or h a v e a l r e a d y

P a r t y to t h e p r e s e n t C o n v e n t i o n part of w h o s e

g i v e n rise to, a b r e a c h of this C o n v e n t i o n .

t e r r i t o r y t h e c o m m u n i t y i n h a b i t s is a c t i n g in

2. (a) S t a t e s P a r t i e s to t h e p r e s e n t C o n v e n -

b r e a c h of A r t i c l e s 4 to 6 i n c l u s i v e of this C o n -

tion m a y at a n y t i m e r e q u e s t t h e s e c r e t a r y to

v e n t i o n ; it shall s e n d a c o p y of the n o t i f i c a t i o n

r e n d e r a s s i s t a n c e by w a y of g o o d o f f i c e s o r

t o t h a t S t a t e P a r t y . T h e s e c r e t a r y shall n o t i f y

m e d i a t i o n in r e s p e c t of m a t t e r s f a l l i n g w i t h i n

t h e B o a r d that a n o t i f i c a t i o n h a s b e e n r e c e i v e d .

the s c o p e of this C o n v e n t i o n .

( b ) If t h e r e is a n y d i s p u t e w h e t h e r

(b) C o m m u n i t i e s within the territo-

t h e b o d y r e f e r r i n g t h e a l l e g a t i o n to t h e s e c r e -

ries of S t a t e s P a r t i e s to t h e p r e s e n t C o n v e n t i o n

t a r y is a c o m m u n i t y as d e f i n e d in A r t i c l e 1 of

m a y s i m i l a r l y r e q u e s t t h e a s s i s t a n c e of t h e s e c -

t h i s C o n v e n t i o n , t h e s e c r e t a r y will s e e k to r e -

retary in r e s p e c t of s u c h m a t t e r s .

s o l v e t h e m a t t e r in d i s c u s s i o n w i t h t h e r e p r e -

(c) T h e secretary shall r e s p o n d a f f i r -

s e n t a t i v e s of that b o d y a n d t h e S t a t e P a r t y in

m a t i v e l y to all such r e q u e s t s unless, in the secre-

q u e s t i o n ; if s u c h d i s c u s s i o n f a i l s to r e s o l v e t h e

t a r y ' s o p i n i o n , it w o u l d b e c o u n t e r - p r o d u c t i v e to

m a t t e r , t h e s e c r e t a r y m a y r e q u e s t an a d v i s o r y

the m a i n t e n a n c e of peace a n d security to d o so or

o p i n i o n f r o m the C o u r t .

u n l e s s , in t h e c a s e of a r e q u e s t f r o m a c o m m u -

4 . O n r e c e i p t of n o t i f i c a t i o n f r o m a S t a t e

nity, the c o n t r a c t i n g p a r t y c o n c e r n e d d o e s not

P a r t y to t h e p r e s e n t C o n v e n t i o n o r a c o m m u -

agree to the secretary's assistance b e i n g g i v e n .

n i t y a l l e g i n g a b r e a c h of t h i s C o n v e n t i o n , t h e

44

Sir Arthur

s e c r e t a r y shall i n v e s t i g a t e t h e a l l e g a t i o n . F o r

Watts

4. A c c e s s i o n shall be e f f e c t e d by t h e d e -

this p u r p o s e h e m a y h o l d d i s c u s s i o n s w i t h the

posit

parties concerned or any other persons or bod-

Depositary.

of

an

instrument

accession

with

the

ies w h o in the s e c r e t a r y ' s o p i n i o n m a y be able

5. T h e D e p o s i t a r y shall n o t i f y all S t a t e s

to assist, and m a y visit a n y r e l e v a n t a r e a w i t h i n

w h i c h h a v e s i g n e d this C o n v e n t i o n or a c c e d e d

t h e t e r r i t o r y of a S t a t e P a r t y to t h e

present

Convention.

to it of the d e p o s i t of e a c h i n s t r u m e n t of r a t i f i cation or accession.

5. (a) If the s e c r e t a r y , in the light of the inv e s t i g a t i o n s , c o n c l u d e s t h a t a b r e a c h of this

Article

19

C o n v e n t i o n has o c c u r r e d , the s e c r e t a r y shall so n o t i f y the p a r t i e s c o n c e r n e d , shall m a k e r e c o m -

1. T h i s C o n v e n t i o n shall e n t e r into f o r c e

m e n d a t i o n s to t h e m f o r r e m e d y i n g t h e b r e a c h

t h r e e m o n t h s a f t e r the d e p o s i t with the D e p o s i -

a n d p r e v e n t i n g a n y r e p e t i t i o n , a n d shall n o t i f y

tary of the [ t e n t h ] i n s t r u m e n t of r a t i f i c a t i o n or

t h e B o a r d that t h e r e c o m m e n d a t i o n s h a v e b e e n

i n s t r u m e n t of a c c e s s i o n .

made.

2. F o r e a c h

S t a t e r a t i f y i n g the

present

(b) If t h e s e c r e t a r y , in t h e light of

C o n v e n t i o n o r a c c e d i n g to it a f t e r the d e p o s i t

t h e i n v e s t i g a t i o n s , c o n c l u d e s that n o b r e a c h of

of t h e [ t e n t h ] i n s t r u m e n t of r a t i f i c a t i o n o r in-

this C o n v e n t i o n has occurred, the

secretary

s t r u m e n t of a c c e s s i o n , t h i s C o n v e n t i o n

shall

shall so n o t i f y t h e p a r t i e s c o n c e r n e d a n d the

e n t e r i n t o f o r c e t h r e e m o n t h s a f t e r t h e d a t e of

Board.

the d e p o s i t of its o w n i n s t r u m e n t of r a t i f i c a t i o n

6. A n y S t a t e P a r t y t o t h e p r e s e n t

Con-

or i n s t r u m e n t of a c c e s s i o n .

v e n t i o n or c o m m u n i t y w h i c h d i s a g r e e s with t h e c o n c l u s i o n of t h e s e c r e t a r y as t o w h e t h e r

Article

o r n o t a b r e a c h of t h i s C o n v e n t i o n h a s o c -

T h e p r o v i s i o n s of this C o n v e n t i o n shall e x t e n d

20

c u r r e d m a y r e f e r t h e m a t t e r to t h e C o u r t f o r

to all p a r t s of f e d e r a l S t a t e s w i t h o u t any l i m i t a -

decision.

t i o n s or e x c e p t i o n s .

SECTION V

Article

21

1. A n y S t a t e P a r t y to t h e p r e s e n t C o n v e n -

Article

17

tion, the s e c r e t a r y , or the A d v i s o r y C o u n c i l act-

N o r e s e r v a t i o n s to t h i s C o n v e n t i o n shall be

ing by a m a j o r i t y of t h e m e m b e r s p r e s e n t , m a y

made.

p r o p o s e an a m e n d m e n t to t h i s C o n v e n t i o n a n d f i l e it w i t h t h e P r e s i d e n t of t h e B o a r d . T h e

Article

18

P r e s i d e n t of t h e B o a r d shall t h e r e u p o n c o m m u n i c a t e a n y p r o p o s e d a m e n d m e n t s to the S t a t e s

1. T h i s C o n v e n t i o n is o p e n f o r s i g n a t u r e at

P a r t i e s to t h e p r e s e n t C o n v e n t i o n w i t h a r e -

. . . [ p l a c e ] . . . until . . . [date] . . . by a n y State

q u e s t that t h e y n o t i f y h i m w h e t h e r they f a v o r a

M e m b e r of t h e U n i t e d N a t i o n s o r m e m b e r of

c o n f e r e n c e of S t a t e s P a r t i e s to the p r e s e n t C o n -

a n y of its s p e c i a l i z e d a g e n c i e s , b y a n y S t a t e

v e n t i o n f o r the p u r p o s e of c o n s i d e r i n g a n d v o t -

P a r t y to t h e S t a t u t e of t h e I n t e r n a t i o n a l C o u r t

i n g u p o n t h e p r o p o s a l s . If at least o n e t h i r d of

of J u s t i c e , a n d by a n y o t h e r S t a t e w h i c h h a s

the States Parties to the present

b e e n invited by the B o a r d to b e c o m e a Party to

f a v o u r s s u c h a c o n f e r e n c e , t h e D e p o s i t a r y shall

this C o n v e n t i o n .

a r r a n g e f o r t h e c o n v e n i n g of t h e c o n f e r e n c e .

Convention

2. T h i s C o n v e n t i o n is s u b j e c t t o r a t i f i c a -

A n y a m e n d m e n t a d o p t e d by a m a j o r i t y of t h e

t i o n . I n s t r u m e n t s of r a t i f i c a t i o n s h a l l b e de-

S t a t e s P a r t i e s to the p r e s e n t C o n v e n t i o n p r e s e n t

posited

the

a n d v o t i n g at t h e c o n f e r e n c e shall b e r e g a r d e d

U n i t e d N a t i o n s ] [the G o v e r n m e n t of . . . ] (re-

as a d o p t e d , a n d s h a l l b e s u b m i t t e d to all t h e

with

[the

Secretary-General

of

f e r r e d to as t h e D e p o s i t a r y ) . 3. A f t e r t h e d a t e r e f e r r e d t o in p a r a g r a p h

S t a t e s P a r t i e s to t h e p r e s e n t C o n v e n t i o n

for

their further consideration and approval.

1 of this article, t h i s C o n v e n t i o n shall b e o p e n

2. A m e n d m e n t s w h i c h a r e a p p r o v e d b y a

t o a c c e s s i o n by a n y S t a t e r e f e r r e d t o in that

t w o t h i r d s m a j o r i t y of t h e S t a t e s P a r t i e s to t h e

paragraph.

p r e s e n t C o n v e n t i o n b y n o t i f i c a t i o n in w r i t i n g

The Liechtenstein

Draft Convention

to the secretary

on Self-Determination

shall c o m e into force

three

m o n t h s a f t e r t h e d a t e of r e c e i p t b y t h e s e c r e t a r y

Through

Self-Administration

45

d a t e o f t h e e n t r y i n t o f o r c e of a n y a m e n d m e n t under Article 21.

of t h e last n o t i f i c a t i o n n e c e s s a r y to c o n s t i t u t e the required two thirds majority. The secretary

Article

23

s h a l l i n f o r m all S t a t e s P a r t i e s t o t h e p r e s e n t C o n v e n t i o n of t h e r e c e i p t b y h i m of n o t i f i c a t i o n s of a p p r o v a l of a m e n d m e n t s . 3. W h e n

amendments

come

1. T h i s C o n v e n t i o n , of w h i c h t h e A r a b i c , Chinese, English, French, Russian and Spanish

into

force,

they shall be b i n d i n g on those States Parties to the present C o n v e n t i o n which have

texts are equally authentic, shall be deposited in t h e a r c h i v e s of . . .

accepted

2. T h e D e p o s i t a r y s h a l l t r a n s m i t c e r t i f i e d

t h e m , o t h e r States Parties to the p r e s e n t C o n -

c o p i e s o f t h i s C o n v e n t i o n t o all S t a t e s P a r t i e s

v e n t i o n still b e i n g b o u n d b y t h e p r o v i s i o n s of

to t h e p r e s e n t C o n v e n t i o n .

the present C o n v e n t i o n and earlier a m e n d m e n t s w h i c h a r e in f o r c e f o r t h e m .

3. T h e D e p o s i t a r y s h a l l r e g i s t e r t h i s C o n v e n t i o n p u r s u a n t t o A r t i c l e 102 of t h e C h a r t e r of t h e U n i t e d N a t i o n s .

Article

22

In a d d i t i o n

to the n o t i f i c a t i o n s m a d e

under

D o n e at

p a r a g r a p h 5 of A r t i c l e 18 of t h i s C o n v e n t i o n , t h e D e p o s i t a r y s h a l l i n f o r m all s i g n a t o r y

and

this d a y of

199

a c c e d i n g S t a t e s of t h e f o l l o w i n g p a r t i c u l a r s : (a) s i g n a t u r e s u n d e r A r t i c l e 18;

In w i t n e s s w h e r e o f , t h e u n d e r s i g n e d , d u l y a u -

(b) the date of the entry into f o r c e

thorized. have signed this C o n v e n t i o n :

of this C o n v e n t i o n u n d e r Article

19 a n d

the

CHAPTER 2

The Right of Self-Determination Under International Law: The Coherence of Doctrine Versus the Incoherence of Experience Richard A. Falk The Context of Contemporary Controversy About the Scope and Application of the Right of Self-Determination

Soviet and Yugoslav states, generating a series of violent ruptures arising from contradictory claims of self-determination put forward by antagonistic nationalist groups. Such experience has been most vividly embodied in the wars fought over the shape of political arrangements in Croatia and Bosnia. Earlier, a consensus had held in international society that the right of self-determination was a matter to be resolved within existing international boundaries, no matter how ethnically artificial or nationalistically oppressive. This consensus was generally upheld, despite several prominent secessionist challenges in sub-Saharan Africa, throughout the post-1945 decades of decolonization. International law doctrine, as we shall discuss, confirmed this political and moral consensus that the " s e l f ' in self-determination was to signify in all circumstances the existing states constituting international society, and that the only acceptable exceptions to this norm of limitation relate to secession by agreement, between the parties, as in the case of Czechoslovakia voluntarily splitting in two: the Czech Republic and Slovakia. Canada and Quebec have also proceeded on the basis that a voluntary accommodation would emerge, including respect for a referendum on the future of Quebec.

The right of self-determination has at least two. mostly separate, lives in international law. One is unproblematic. associated with the acknowledged status of self-determination as the underpinning for all individual claimants for the legal protection of human rights, expressed in Article 1 of both the Covenant on Civil and Political Rights and the Covenant on Economic, Social, and Cultural Rights. 1 The other role has recently become problematic, involving claims by peoples as peoples to establish independent sovereign states. It is this second dimension of self-determination that is the focus of inquiry in this chapter, although with some consideration of the human rights dimension as being relevant. Aside from the ending of the Cold War and the related Soviet collapse, the most astonishing feature o f the past decade has been the expanded scope o f successful claims o f secessionist political movements leading to the emergence of new and additional sovereign states. That these claims have been vindicated by reference to the right of self-determination has both strained prior conceptual boundaries and created an increasingly awkward gap between doctrinal and experiential accounts o f the right.

There have been several forces converging to erode and, possibly, undermine this always fragile, somewhat arbitrary, doctrinal clarity about the right of self-determination. There was, first of all, a broad moral and political sympathy in the West for the Baltic peoples

Such strains have been particularly associated with the traumatic disintegration o f the

1. See Burns H. Weston, Richard A. Falk, and Anthony D'Amato, eds., Basic Documents tional Law and World Order, 2d ed. (St. Paul, Minn.: West Publishing, 1990).

47

in

Interna-

48

that had been f o r c i b l y a n n e x e d by the Soviet U n i o n in a w a y that e x t i n g u i s h e d their external s t a t u s as states. A s the G o r b a c h e v l e a d e r s h i p s o f t e n e d the Soviet a p p r o a c h to i m p o s e d control o v e r subject p e o p l e s , the r e s u r g e n c e of Baltic n a t i o n a l i s m s u c c e e d e d in r e e s t a b l i s h i n g the i n d e p e n d e n t states of L a t v i a , E s t o n i a , and Lithuania. In one sense, this particular o u t c o m e c o u l d be p e r c e i v e d in n o n t h r e a t e n i n g t e r m s as r e e s t a b l i s h i n g the s o v e r e i g n rights of e x i s t i n g states that had t e m p o r a r i l y been s u p p r e s s e d by " i l l e g a l " Soviet a n n e x a t i o n , and t h u s their r e e m e r g e n c e w o u l d not r e p r e s e n t an e x t e n s i o n of the right of s e l f - d e t e r m i n a t i o n . Yet in another sense, the prior unity of the Soviet Union was being s u c c e s s f u l l y c h a l l e n g e d on m a n y add i t i o n a l , m o r e a m b i g u o u s f r o n t s by the c o u pling of a range of n a t i o n a l i s m s with assertions of the right of s e l f - d e t e r m i n a t i o n as entailing a n e w and separate state. W h a t m a d e political ind e p e n d e n c e for the Baltic states relatively unp r o b l e m a t i c w a s less so with r e g a r d to the o t h e r constituent r e p u b l i c s . Not o n l y w a s their assertion of s o v e r e i g n rights and political indep e n d e n c e of a s t a t e - s h a t t e r i n g c h a r a c t e r , but a collision of national and e t h n i c a m b i t i o n s prod u c e d civil v i o l e n c e of c o n s i d e r a b l e ferocity in Georgia, Azerbaijan, Armenia, Tadzhikistan, and e l s e w h e r e . In these c i r c u m s t a n c e s of a nat i o n a l i s t c l a i m f o r s e l f - d e t e r m i n a t i o n , the t h r e a t e n e d m i n o r i t y t e n d s to opt f o r the old o r d e r or for an additional cycle of s e l f - d e t e r m i nation that s h i f t s a d h e r e n t s to a m o r e c o n g e n i a l and less v u l n e r a b l e c i r c u m s t a n c e . T h e n , ironically, it is the original h e g e m o n i c c l a i m a n t that c h a n g e s roles and is n o w p r o t e c t i v e of territorial unity, resisting any f u r t h e r f r a g m e n t a t i o n . T h i s s e c o n d - o r d e r t y p e of s e l f - d e t e r m i n a tion i n v o l v e s c o n s t i t u e n t p e o p l e s , e n t r a p p e d w i t h i n new political b o u n d a r i e s , w h o insist on their distinct right to be i n d e p e n d e n t . T h e i r c l a i m r e s e m b l e s the other c l a i m s to s e c e d e exc e p t f o r their i n t e r n a l b o u n d a r i e s . T h e b l o o d y s u p p r e s s i o n of s u c h c l a i m s p o s i t e d by C h e c h n y a to b r e a k off f r o m R u s s i a is i l l u s t r a t i v e of this d o w n w a r d d i s i n t e g r a t i v e spiral and the c o n s e q u e n t b a c k l a s h initiated by M o s c o w ' s r e f u s a l to c o u n t e n a n c e a n y territorial d i s m e m b e r m e n t of R u s s i a . T h e arbitrariness of the d o c t r i n a l a p p r o a c h a r i s e s b e c a u s e the b a s i s f o r c l a i m i n g t h e right is s i m i l a r in each of these settings, but the val-

Richard A. Fnlk

idation of the claim is routine only at the level of the state. U n d e r s o m e c i r c u m s t a n c e s , e s p e cially d u r i n g the last s e v e r a l y e a r s , v a l i d a t i o n has been e x t e n d e d to internal federalist boundaries. T h i s leaves out in the cold t h o s e peoples w h o q u a l i f y as " n a t i o n s " and yet are t r a p p e d within these internal b o u n d a r i e s . What the Soviet experience suggested, and the Yugoslav sequel c o n f i r m e d , is that claims of s e l f - d e t e r m i n a t i o n in situations of ethnic, religious, and national diversity are o c c a s i o n s for bitter warfare if the attempted result is the articulation of new states. Slovenia has avoided such a bloody fate largely because its f o r m e r boundaries e n c o m p a s s e d a generally h o m o g e n e o u s p o p u l a t i o n , in contrast to Croatia and Bosnia. T h u s , the challenge to traditional doctrine is not necessarily attributable to state-shattering alone. Both Slovenia and Slovakia emerged peacefully, if amid controversy, as to the p r u d e n c e and overall e f f e c t s of their c l a i m s of sovereignty. W h a t is most d a m a g i n g and d a n g e r o u s is stateshattering in c i r c u m s t a n c e s of h e t e r o g e n e o u s populations, especially if substantial minorities feel e n t r a p p e d , are m a d e a n x i o u s by historical recollections of abuse, and are then manipulated and i n f l a m e d by o p p o r t u n i s t i c politicians w h o play on such m e m o r i e s and fears. T h e tragic, still unresolved fates of Croatia and Bosnia are illustrative of torment brought about by such claims of self-determination. And yet the denial of such c l a i m s is not an a t t r a c t i v e s o l u t i o n in m a n y i n s t a n c e s . C h e c h n y a , K a s h m i r , and T i b e t are e x a m p l e s of e n t r a p p e d p e o p l e s for w h o m the legal and political ideal of territorial unity c a u s e s m o r a l h a v o c , p r o d u c i n g great s u f f e r i n g and e n d l e s s s t r i f e for t h e s e p e o p l e s . S u c h " o p p r e s s i o n " s e e m s s a n c t i o n e d by the stricter i n t e r n a t i o n a l law a c c o u n t s of the d o c t r i n e of s e l f - d e t e r m i n a tion as limited to r e p u d i a t i o n of alien rule only at t h e level of the state. T h e s e a c c o u n t s s u p press contrary p r a c t i c e s — t h a t is, de f a c t o indep e n d e n c e — b y t r e a t i n g t h e m as " f a c t s " r a t h e r than " l a w , " a j u r a l f i c t i o n that f o r m a l i s t i c a l l y r e c o n c i l e s d o c t r i n e with e x p e r i e n c e , b u t at the e x p e n s e of r e l e v a n c e . W o r s e still, t h e v a l i d a tion of s u c c e s s f u l c l a i m s t e n d s to r e w a r d rec o u r s e to v i o l e n c e by s e p a r a t i s t or a n t i s e p a ratist m o v e m e n t s and p r o v i d e s n o p r o c e d u r e by w h i c h to a s s e s s s e p a r a t i s t c o n t r o v e r s i e s f r o m the s t a n d p o i n t of n o n v i o l e n c e .

The Right of Self-Determination

Under International

Not all c l a i m s p o s s e s s the s a m e m o r a l and political weight. F o r instance, a separatist claim in a d e e p l y d i v i d e d societal unit is f a r m o r e likely to p r o d u c e d i s a s t e r than if the c l a i m i n g unit is h o m o g e n e o u s . T h e r e are other c h a l l e n g e s , as well, to the s t a n d a r d legal s o l u t i o n : l i m i t i n g t h e right of s e l f - d e t e r m i n a t i o n to the level of the state unless the f i s s i o n of an e x i s t i n g state is a m i c a b l y a r r a n g e d . T h i s m e a n s that other t y p e s of political evolution are not treated as p r o p e r instances of s e l f - d e t e r m i n a t i o n , but m u s t s o m e h o w be h a n d l e d e x t r a l e g a l l y as political f a c t s . It a l s o m e a n s that the s t r u g g l e of i n d i g e n o u s p e o p l e s to h a v e their o w n right of s e l f - d e t e r m i n a t i o n a c k n o w l e d g e d in i n t e r n a t i o n a l law is in d e e p j e o p a r d y d e s p i t e b e i n g e n s h r i n e d in A r t i c l e s 3 a n d 31 of t h e D r a f t D e c l a r a t i o n on the R i g h t s of I n d i g e n o u s P e o p l e s . It is in j e o p a r d y partly b e c a u s e it w o u l d not be f o r m a l l y r e c o n c i l a b l e with the U N - e r a c o n c e p t u a l i z a t i o n of s e l f - d e t e r m i n a t i o n d e s p i t e the colonialist b a c k g r o u n d in m a n y instances, w h i c h is ignored b e c a u s e its g e o g r a p h i c s c o p e did not c o r r e s p o n d to the c o l o n i a l units. T h i s r e s i s t a n c e is r e i n f o r c e d by political w o r r i e s that e n d o w i n g i n d i g e n o u s p e o p l e s with such a right of s e l f - d e t e r m i n a t i o n could validate e x t r e m e scenarios of f r a g m e n t a tion, there b e i n g s e v e r a l t h o u s a n d p o t e n t i a l c l a i m a n t s on a global scale. S u c h a s c e n a r i o is i n v o k e d to j u s t i f y r e s i s t i n g the a c k n o w l e d g m e n t of a right of s e l f - d e t e r m i n a t i o n of indigen o u s p e o p l e s even t h o u g h it is w i d e l y a p p r e c i ated that the g o a l s of such c l a i m a n t s is " a u t o n o m y " in an economically, politically, and culturally m e a n i n g f u l f o r m , rather than an effort to be a separate state in the international sense. But the i m p a s s e p e r s i s t s , b e c a u s e r e p r e s e n t a t i v e s of i n d i g e n o u s p e o p l e s insist on the full dignity of their status as a p e o p l e , and this dignity has b e c o m e irreversibly f u s e d n o w with an u n c o n d i t i o n a l , first-class right of self-determ i n a t i o n , w h i c h i m p l i e s a theoretical option to c l a i m s o v e r e i g n t y and political i n d e p e n d e n c e . S u c h a p o s t u r e is t h e n i n t e r p r e t e d by t h o s e in control of m o d e r n society as a plan to break up e x i s t i n g states into f r a g m e n t s and is s t u b b o r n l y r e s i s t e d , k e e p i n g r e l a t i o n s b e t w e e n s t a t e s and i n d i g e n o u s p e o p l e s at a low boil. At s e v e r a l r e c e n t i n t e r n a t i o n a l m e e t i n g s I h a v e h e a r d e x p l i c i t s u g g e s t i o n s put f o r w a r d that insist on c l o s i n g d o w n s e l f - d e t e r m i n a t i o n

Law

49

as a collective legal, political, and moral right, and l i m i t i n g its r e l e v a n c e in the p o s t c o l o n i a l setting to its h u m a n rights role of e m p o w e r i n g i n d i v i d u a l s to act w i t h i n e x i s t i n g state struct u r e s of a u t h o r i t y . S u c h an a p p r o a c h u r g e s c l a i m a n t s to a b a n d o n the d i s c o u r s e of s e l f - d e t e r m i n a t i o n in f a v o r of s p e c i f i c c o n s t i t u e n t rights concerning resources, self-government, and territorial d e l i m i t a t i o n . S u c h a d v o c a c y g e n e r a l l y f a l l s on deaf e a r s , or w o r s e , e n g e n d e r s a hostile r e s p o n s e that a g g r a v a t e s d i s c o r d . It r e m i n d s o n e of the early N o r t h / S o u t h e n v i r o n m e n t a l d i a l o g u e s in w h i c h the n e w l y i n d e p e n d e n t c o u n t r i e s felt they were b e i n g told to f o r g o a f f l u e n c e to avoid c a u s i n g f u r t h e r p o l l u t i o n of the p l a n e t . At this s t a g e , it is t o o late to put the g e n i e of s e l f - d e t e r m i n a t i o n b a c k in its c o l o n i a l i s t bottle. T o o m a n y a d d i t i o n a l c l a i m s h a v e n o w been valid a t e d , too large a m e a n i n g has been invested in the l a n g u a g e of s e l f - d e t e r m i n a t i o n . It is too late f o r a rhetorical, or e v e n a doctrinal, retreat. T h e s y m b o l i c battle lines h a v e been i n d i s s o l u b l y drawn. For these reasons the Liechtenstein Conv e n t i o n p r o p o s a l s are e s p e c i a l l y a p r o p o s . T h e f r a m e w o r k validates e x t e n s i o n of rights of selfd e t e r m i n a t i o n but a s s o c i a t e s its n o r m a l a p p l i c a t i o n w i t h s e l f - a d m i n i s t r a t i o n . A s s u c h , it a l l o w s symbolic flexibility while avoiding s t a t e - s h a t t e r i n g substance. Of c o u r s e , there are s o m e p o s s i b l e t r a p s : the c o n v e n t i o n can be seen as an e m p t y s y m b o l i c g e s t u r e that e f f e c tively d e p r i v e s s e l f - d e t e r m i n a t i o n of content or, c o n t r a r i w i s e , as a p l e d g e that k e e p s o p e n the f l o o d g a t e s of e x p a n d e d self-determination w i t h o u t p r o v i d i n g a n y r e l i a b l e a s s u r a n c e that r e s t r a i n t at t h e level of a p p l i c a t i o n will really occur. A g a i n s t this b a c k g r o u n d of c o n t r o v e r s y , this c h a p t e r traces the e v o l u t i o n of the right of s e l f - d e t e r m i n a t i o n w i t h i n t h e d o m a i n of intern a t i o n a l law, i n c l u d i n g r e s p o n s e s to the t w o sets of r e c e n t c h a l l e n g e s m o u n t e d by n o n c o l o nial s e p a r a t i s t c l a i m s in E u r o p e and A s i a and by the international m o v e m e n t on behalf of ind i g e n o u s p e o p l e s . It b r i e f l y s u g g e s t s , on this basis, t h e p r o b l e m a t i c c h a l l e n g e s p o s e d by the K u r d i s h c i r c u m s t a n c e in t h e M i d d l e East and by the interplay in C a n a d a b e t w e e n c o n f l i c t i n g e n a c t m e n t s of s e l f - d e t e r m i n a t i o n by i n d i g e n o u s p e o p l e s and by Q u e b e c separatists.

50

Richard A. Falk

A Brief Discussion of the Historical Background and Evolution Under International Law of the Right of Self-Determination

L a n s i n g , s e e m e d d i s t u r b e d by t h e w i d e r i m p l i c a t i o n s of s u c h a f o r m u l a t i o n of s e l f - d e t e r m i n a t i o n a n d m a d e an e f f o r t to d i s t i n g u i s h W i l son's

views

from

those

of

Lenin.

Lansing

T h e r i g h t of s e l f - d e t e r m i n a t i o n e m e r g e d as a

i n s i s t e d that W i l s o n ' s a d v o c a c y be u n d e r s t o o d

s e r i o u s e l e m e n t in i n t e r n a t i o n a l life d u r i n g the

as i n t e n d i n g o n l y the p r o m o t i o n of s e l f - g o v e r n -

latter s t a g e s of W o r l d W a r I. It e m e r g e d in t w o

m e n t within

f o r m s that p r e f i g u r e d , in their e s s e n c e , t h e ide-

tion of the o r d e r itself, a p r o s p e c t that L a n s i n g

the c o l o n i a l order, not the d i s s o l u -

o l o g i c a l r i v a l r y b e t w e e n E a s t a n d W e s t that

(and Wilson) believed would be d a n g e r o u s for

d e c a d e s l a t e r r i p e n e d into t h e C o l d War. T h e

" t h e s t a b i l i t y of t h e f u t u r e w o r l d . " 1 T h i s re-

m o r e r a d i c a l , but less o v e r t l y i n f l u e n t i a l , v e r -

s t r i c t i v e v i e w w a s a l s o e x p r e s s e d by W i l s o n ' s

sion w a s a r t i c u l a t e d

s t e a d f a s t r e f u s a l at Versailles to m e e t w i t h r e p -

p r i o r to t h e

Bolshevik

R e v o l u t i o n by L e n i n , w h o in his w r i t i n g s as a

resentatives.

r e v o l u t i o n a r y p r o c l a i m e d s e l f - d e t e r m i n a t i o n to

M i n h , of a n t i c o l o n i a l m o v e m e n t s of n a t i o n a l

be an i n d i s p e n s a b l e c o n d i t i o n f o r p e a c e in t h e

independence.

w o r l d and m e a n t it to a p p l y u n c o n d i t i o n a l l y to

including

a

youthful

Ho

Chi

In e f f e c t , as w e n o w k n o w , t h e r e s t r i c t i v e

the n o n - E u r o p e a n p e o p l e s b e i n g h e l d in the

W i l s o n i a n v e r s i o n of s e l f - d e t e r m i n a t i o n

thralldom

Lenin's

v a i l e d at first. T h e l e g i t i m a c y of c o l o n i a l rule

w o r d s , " t h e l i b e r a t i o n of all c o l o n i e s , the liber-

w a s not c h a l l e n g e d a f t e r W o r l d W a r 1, a n d the

of the c o l o n i a l

o r d e r . In

pre-

ation of all d e p e n d e n t , o p p r e s s e d , and n o n - s o v -

victorious colonial power acquired

e r e i g n p e o p l e s " is n e c e s s a r y f o r t h e m a i n t e -

a b l e c o n t r o l o v e r a d d i t i o n a l p e o p l e s by w a y of

n a n c e of i n t e r n a t i o n a l p e a c e . -

the m a n d a t e s s y s t e m e s t a b l i s h e d in c o n n e c t i o n

T h e m o r e m o d e r a t e v e r s i o n of the right of

w i t h the c r e a t i o n of t h e L e a g u e of

consider-

Nations,

s e l f - d e t e r m i n a t i o n , the o n e m o r e p r o m i n e n t l y

which lawfully incorporated the f o r m e r colo-

a s s o c i a t e d with the s u b s e q u e n t d e v e l o p m e n t of

nial p e o p l e s of t h e l o s i n g side in W o r l d W a r 1

with

into the r e m a i n i n g c o l o n i a l e m p i r e s . T h i s m a n -

W o o d r o w W i l s o n a n d e s p e c i a l l y with his F o u r -

dates system rested on a variable fiction, de-

t e e n P o i n t s , put f o r w a r d as an

the r i g h t , is, of c o u r s e , that a s s o c i a t e d

authoritative

p e n d i n g on p r a c t i c e a n d the c l a s s i f i c a t i o n g i v e n

s t a t e m e n t of the U . S . a p p r o a c h to t h e p e a c e

to a p a r t i c u l a r m a n d a t e , that t h e a d m i n i s t e r i n g

p r o c e s s in 1918. W i l s o n i n t e n d e d the p r i n c i p l e

s t a t e s w e r e a c c o u n t a b l e to the l e a g u e f o r t h e

of s e l f - d e t e r m i n a t i o n to a p p l y i m m e d i a t e l y a n d

w e l l - b e i n g of the p e o p l e s i n v o l v e d as a " s a c r e d

u n c o n d i t i o n a l l y to the p e o p l e s of E u r o p e , with

trust of c i v i l i z a t i o n , " as this latter idea w a s e x -

p a r t i c u l a r r e f e r e n c e to t h o s e p e o p l e s w h o f o r -

p r e s s e d in A r t i c l e 22 of the c o v e n a n t . T h e o p -

m e r l y h a d b e e n r u l e d by the O t t o m a n E m p i r e ,

erational

and to a lesser e x t e n t by the A u s t r o - H u n g a r i a n

power; the paternalistic language stressing the

E m p i r e . W i l s o n a l s o i n t e n d e d , but in an a m -

d u t y to p r o m o t e w e l l - b e i n g o f t e n m e a n t little in

biguous and halfhearted manner, self-determi-

p r a c t i c e , a l t h o u g h t h e r e w a s a c o m m i t m e n t to

n a t i o n to h a v e an u n c e r t a i n but e v e n t u a l a p p l i -

work toward independence for mandated peo-

c a t i o n in n o n - E u r o p e a n s e t t i n g s . W i l s o n ' s f i f t h

ples, a n d there w a s a s h a r p set of d i f f e r e n c e s in

authority

rested

with

the

colonial

point e m b o d i e s this a s p e c t of his a p p r o a c h : " A

l e g a l c o n c e p t i o n b e t w e e n the t h r e e c l a s s e s of

f r e e , o p e n - m i n d e d , a n d a b s o l u t e l y i m p a r t i a l ad-

mandates, with Class A m a n d a t e s being v i e w e d

j u s t m e n t of all c o l o n i a l c l a i m s , b a s e d u p o n a

as t e m p o r a r y a n d b e i n g c l e a r l y e x p e c t e d t o b e

strict o b s e r v a n c e of t h e p r i n c i p l e that in d e t e r -

r e p l a c e d o v e r t i m e by p o l i t i c a l

m i n i n g all s u c h q u e s t i o n s of s o v e r e i g n t y the in-

for the m a n d a t e d

t e r e s t s of the p o p u l a t i o n s c o n c e r n e d m u s t h a v e

s e e m s e v i d e n t that t h e m a n d a t e s s y s t e m w a s a

e q u a l w e i g h t w i t h t h e e q u i t a b l e c l a i m s of t h e

holding

g o v e r n m e n t w h o s e title is t o b e d e t e r m i n e d . "

to varying degrees d e p e n d i n g s u p p o s e d l y

on

T h e U . S . s e c r e t a r y of state at t h e t i m e , R o b e r t

the r e l a t i v e c a p a c i t y of a g i v e n s o c i e t y

for

operation,

independence

peoples. Operationally, delaying

it

decolonization

2. " L e n i n ' s Fourth Letter f r o m A f a r " (25 March 1917), quoted in A n t o n i o Cassese, International in a Divided World ( O x f o r d University Press, 1986), p. 131. 3. Helpful discussion in Cassese, International Law in a Divided World, pp. 132-134.

Law

The Right of Self-Determination

Under International

s e l f - r u l e , but also setting in m o t i o n a p r o c e s s leading e v e n t u a l l y in every i n s t a n c e to political i n d e p e n d e n c e and full s t a t e h o o d . In r e t r o s p e c t , it s e e m s e v i d e n t that the W i l s o n i a n t o p - d o w n a p p r o a c h to s e l f - d e t e r m i nation w a s of limited a p p l i c a t i o n , w h i l e the Leninist a p p r o a c h , although n e v e r designated as such, gradually caught on as a rationale for the e x t e n s i o n of the e t h o s of a n t i c o l o n i a l nationalism that w a s to s w e e p a c r o s s t h e p l a n e t in the a f t e r m a t h of World War II. In its e s s e n c e , despite the e f f o r t s to craft a c o n c e p t i o n of selfd e t e r m i n a t i o n that d o e s not d i s t u r b the established order, the idea itself is s u b v e r s i v e to the legitimacy of all political a r r a n g e m e n t s b e t w e e n distinct p e o p l e s that do not f l o w f r o m g e n u i n e and c o n t i n u i n g c o n s e n t . It is this s u b v e r s i v e f e a t u r e that has been w o r k i n g its w a y t h r o u g h the history of international r e l a t i o n s t h r o u g h o u t the latter part of this century, g i v i n g a variable and e x p a n d i n g content to the right of self-determ i n a t i o n , w h e t h e r the right is c o n s i d e r e d in relation to the identity of its c l a i m a n t s or of the extent of substantive c l a i m s b e i n g a d v a n c e d . A s World War II c a m e to an e n d , there was a r e p e t i t i o n of the split b e t w e e n L e n i n i s t and W i l s o n i a n v i e w s , but it w a s not so labeled. T h e S o v i e t U n i o n s t o o d b e h i n d t h o s e e l e m e n t s in international society that w e r e c h a l l e n g i n g the colonial order. T h e E u r o p e a n p o w e r s , although w e a k e n e d by the d e v a s t a t i o n of war, r e m a i n e d c o m m i t t e d to r e t a i n i n g t h e i r c o l o n i e s by f o r c e if necessary. T h e United States p o s i t i o n e d itself in the m i d d l e , allied w i t h t h e c o l o n i a l p o w e r s in s t r a t e g i c and i d e o l o g i c a l r e s p e c t s , yet norm a t i v e l y s y m p a t h e t i c , in part d u e to its o w n historical legacy, to the c l a i m s of p e o p l e s seeking i n d e p e n d e n c e . T h e U N C h a r t e r , as is wellk n o w n , e m b o d i e d this c o m p r o m i s e in its specification of g u i d i n g principles, especially in the l a n g u a g e of A r t i c l e 1(2): " T o d e v e l o p f r i e n d l y r e l a t i o n s a m o n g n a t i o n s b a s e d on r e s p e c t f o r the p r i n c i p l e of e q u a l r i g h t s and s e l f - d e t e r m i nation of p e o p l e s . " 4 N o t e that the charter deliberately refers to s e l f - d e t e r m i n a t i o n as "a princip l e " rather than "a r i g h t . " It is o n l y later on, in both h u m a n rights and d e c o l o n i z a t i o n settings, that U N official t e r m i n o l o g y c o n f i r m s that p e o ples h a v e a right of s e l f - d e t e r m i n a t i o n . Arguably, this is an i n c o n s e q u e n t i a l distinction as

Law

51

a p r i n c i p l e of i n t e r n a t i o n a l law, to t h e e x t e n t that it exists and is a c t u a l i z e d , implies the e x i s t e n c e of rights and d u t i e s to e n s u r e its a p p l i c a tion, or at least e n c o m p a s s e s the p r o s p e c t that such rights will, as a p p r o p r i a t e , be s p e c i f i e d and realized. T h e limits e n v i s i o n e d for the application of the principle of s e l f - d e t e r m i n a t i o n are also illuminated by r e f e r e n c e to C h a p t e r 11 of the C h a r ter d e a l i n g with " N o n - S e l f - G o v e r n i n g Territor i e s . " On t h e o n e side, in A r t i c l e 73, the w e l l - b e i n g of the i n h a b i t a n t s is a f f i r m e d as " p a r a m o u n t , " but its i m p l e m e n t a t i o n is e s s e n tially left in the h a n d s of the a d m i n i s t e r i n g state, in all i n s t a n c e s a E u r o p e a n or N o r t h A m e r i c a n state (except for the g e o g r a p h i c , yet not political or e t h n i c , e x c e p t i o n of S o u t h A f r i c a ) . T h e central c o m m i t m e n t is e x p r e s s e d in Article 7 3 ( b ) as one of w o r k i n g "to d e v e l o p s e l f - g o v e r n m e n t , " but not n e c e s s a r i l y n a t i o n a l independence. Article 76(b) does anticipate "adv a n c e m e n t of the inhabitants of the trust territories, and their p r o g r e s s i v e d e v e l o p m e n t t o w a r d s s e l f - g o v e r n m e n t or i n d e p e n d e n c e as m a y be a p p r o p r i a t e to the p a r t i c u l a r c i r c u m s t a n c e of each territory and its p e o p l e s and the f r e e l y e x p r e s s e d w i s h e s of the p e o p l e s c o n c e r n e d . " Again, the n o r m a t i v e content is a m b i g u o u s , due partly to the vague textual language. T h e tone is paternalistic with respect to administration, yet s u b v e r s i v e in relation to aspiration. T h i s trust c o n c e p t i n t r o d u c e d into UN o p e r a t i o n s is relevant to the rights and circumstances of dependent p e o p l e s , but not in the category of i n d i g e n o u s p e o p l e s . S u c h p e o p l e s h a v e never been treated, nor have their r e p r e s e n t a t i v e s c l a i m e d , with a trust status as understood in the U N Charter. T h e r i g h t of s e l f - d e t e r m i n a t i o n has m a tured a l o n g t h r e e d i s t i n c t , o f t e n o v e r l a p p i n g , a n d s o m e t i m e s u n e v e n and c o n f u s i n g p a t h s : t h o s e of m o r a l i t y , of p o l i t i c s , and of law. Ind e e d , the i n c o r p o r a t i o n of s e l f - d e t e r m i n a t i o n into i n t e r n a t i o n a l law h a s c o n s i s t e n t l y l a g g e d b e h i n d a d v o c a c y b a s e d on a s p i r a t i o n and c o n s i d e r a t i o n s of j u s t i c e (the m o r a l d e b a t e ) a n d political m o v e m e n t s and their results (the political e x p e r i e n c e ) . T h e d e v e l o p m e n t s of this c e n tury in t h e i r s e v e r a l s t a g e s h a v e w i t n e s s e d an e b b and f l o w with respect to the m u l t i p l e reality of s e l f - d e t e r m i n a t i o n but, c u m u l a t i v e l y , a

4. This language is repeated in Article 55 in the setting of human rights.

52

Richard A. Falk

m o v e m e n t t o w a r d its l e g a l

acknowledgment

a n d a p p l i c a t i o n a c r o s s an e x p a n d e d s p e c t r u m of c i r c u m s t a n c e s . T h i s e x p a n s i o n can be u n d e r -

o r e v e n e x c l u s i v e l y , to c l a i m s p o s i t e d in r e l a tion to c o l o n i a l rule. T h e p r e a m b l e of the d e c l a r a t i o n sets f o r t h a l i t a n y of c o n s i d e r a t i o n s t h a t , by 1 9 6 0 , c a i n e

s t o o d by r e f e r e n c e to t h r e e sets of f a c t o r s :

to e x p r e s s the c o n t e n t of the a n t i c o l o n i a l m o v e •

•

•

t h e w e a k e n i n g of t h e c a p a c i t y of t h e

ment. T h e language recognizes "that the peo-

E u r o p e a n c o l o n i a l p o w e r s as a result of

p l e s of the w o r l d a r d e n t l y d e s i r e t h e e n d of

the t w o w o r l d w a r s ;

c o l o n i a l i s m in all its m a n i f e s t a t i o n s , " and that

t h e r i s e of an i d e o l o g y of n a t i o n a l i s m ,

" t h e p r o c e s s of l i b e r a t i o n is i r r e s i s t i b l e and ir-

r e i n f o r c e d by the b a s i c d e m o c r a t i c p e r -

r e v e r s i b l e a n d that . . . an e n d m u s t b e put to

spective that g o v e r n i n g a r r a n g e m e n t s ,

c o l o n i a l i s m . " Of p a r t i c u l a r r e l e v a n c e to current

to be l e g i t i m a t e , s h o u l d be g e n u i n e l y

c o n c e r n s a b o u t the s c o p e of t h e r i g h t of s e l f -

c o n s e n s u a l a n d p a r t i c i p a t o r y in r e l a t i o n

d e t e r m i n a t i o n is t h e i n c o r p o r a t i o n into this de-

to their c i t i z e n r y ; a n d

c l a r a t i o n on a n t i c o l o n i a l i s m of a p o t e n t i a l l y far

the

unconditional

ideological,

diplo-

m a t i c s u p p o r t e x t e n d e d to a n t i c o l o n i a l s t r u g g l e s by t h e S o v i e t U n i o n a n d its bloc a f t e r 1945, a n d the c o n c e r n by the

broader ethos encompassing

"all

dependent

p e o p l e s " a n d e x t e n d i n g to v e s t i n g p e r m a n e n t sovereignty

over

"natural

wealth

and

re-

s o u r c e s " in s u c h p e o p l e s . 7

U n i t e d S t a t e s that t h e W e s t w o u l d lose

T h e a p p r o a c h t a k e n by t h e 1 9 6 0 d e c l a r a -

out g e o p o l i t i c a l l y in the T h i r d W o r l d if

t i o n to the r i g h t of s e l f - d e t e r m i n a t i o n is in-

it lied its d e s t i n y i n d e f i n i t e l y to the d e -

s t r u c t i v e , b o t h in t e r m s of its a t t e m p t to c o n -

f e n s e of the c o l o n i a l o r d e r .

f i r m t h e right in r e l a t i o n to c o l o n i a l i s m a n d to d e n y s o m e f o r m s of w i d e r a p p l i c a t i o n , k e e p i n g

A g a i n s t this b a c k g r o u n d , the e v o l v i n g d y n a m -

in m i n d the r e l a t i o n s h i p of this right to the par-

ics of d e c o l o n i z a t i o n g r a d u a l l y e x p a n d e d t h e

allel set of c l a i m s a s s o c i a t e d with the territorial

a c k n o w l e d g m e n t of a r i g h t of s e l f - d e t e r m i n a -

i n t e g r i t y of e x i s t i n g a n d e m e r g i n g

tion by stages. T h e g r e a t m o m e n t of a c c e p t a n c e

states. O p e r a t i v e P r o v i s i o n (2) r e a d s :

w i t h i n the U n i t e d N a t i o n s c a m e with the a d o p tion of the f a m o u s D e c l a r a t i o n on the G r a n t i n g of I n d e p e n d e n c e to C o l o n i a l P e o p l e s in t h e f o r m of a G e n e r a l

Assembly

resolution

in

1960.5 T h e t h i n k i n g e x p r e s s e d in R e s o l u t i o n 1514 r e m a i n s i m p o r t a n t in u n d e r s t a n d i n g the m o s t r e c e n t p o s t c o l o n i a l p h a s e s of s t r u g g l e w i t h r e s p e c t to t h e a p p l i c a t i o n of t h e r i g h t of s e l f - d e t e r m i n a t i o n . T h e r e s o l u t i o n d o e s not a t t e m p t to c l a r i f y t h e s p e c i f i c l e g a l c o n t e n t of t h e r i g h t , n o r d o e s it i d e n t i f y t h e c i r c u m s t a n c e s of its a p plication and their limits.6 Indeed, one source of d i f f i c u l t y is that t h e g e n e r a l i t y of the t e x t u a l l a n g u a g e c a n b e r e a d to s u p p o r t a w i d e r a n g e of a s p i r a n t s

seeking

political

independence

e v e n if l e a d i n g g o v e r n m e n t s understood

the

l a n g u a g e m o r e n a r r o w l y as r e f e r r i n g p r i m a r i l y ,

sovereign

All peoples h a v e the right of self-determination; by virtue of that right they freely d e t e r m i n e their political status and freely pursue their e c o n o m i c , social and cultural development. P r o v i s i o n (3) a d d s that " [ ¡ I n a d e q u a c y of politic a l , e c o n o m i c , social or e d u c a t i o n a l p r e p a r e d n e s s s h o u l d n e v e r s e r v e as a p r e t e x t f o r d e l a y ing i n d e p e n d e n c e . " T h e s e a f f i r m a t i o n s are then q u a l i f i e d by t h e n o w f a m i l i a r d e f e r e n c e to the territorial i n t e g r i t y of e x i s t i n g s t a t e s c o n t a i n e d in P r o v i s i o n (6): Any attempt at the partial or total disruption of the national unity and the territorial integrity of a country is incompatible with the purposes and principles of the Charter of the United Nations.

5. G A Res. 1514 (XV); the vote was 8 9 - 0 , with nine significant abstentions, including Portugal, Spain, South Africa, United K i n g d o m , United States, Australia, B e l g i u m , D o m i n i c a n Republic, and France; note that C a n a d a voted with the majority. 6. See also G A Res. 1541 ( X X ) for amplification. 7. This thinking is made manifest and is expressed more fully authoritatively two years later in the G e n eral A s s e m b l y R e s o l u t i o n on P e r m a n e n t S o v e r e i g n t y over Natural R e s o u r c e s , U N G A 1803 ( X V I I ) (1962).

The Right of Self-Determination

Under International

This a p p r o a c h c u l m i n a t e d in the influential Dec l a r a t i o n of P r i n c i p l e s C o n c e r n i n g F r i e n d l y R e l a t i o n s A m o n g S t a t e s a d o p t e d as G e n e r a l A s s e m b l y R e s o l u t i o n 2625 in 1970 that significantly a c c e p t e d the p r i n c i p l e of s e l f - d e t e r m i nation ( l i n k e d to the notion of " e q u a l rights of p e o p l e s " ) as a c o n s t i t u t i v e n o r m of intern a t i o n a l o r d e r in the C o l d War e r a , g i v i n g it m o r a l , p o l i t i c a l , and legal stature all at o n c e . 8 T h i s a p p r o a c h w a s e n d o r s e d by A f r i c a d u r i n g t h e p e a k d e c a d e of d e c o l o n i z a t i o n , the 1960s, via the O r g a n i z a t i o n of A f r i c a n States. T h e O A U . by r e s o l u t i o n in 1964 and f r e q u e n t reiteration t h e r e a f t e r , agreed that c o l o n i a l f r o n tiers. e v e n if arbitrary, were to be the basis for d e l i m i t i n g s o v e r e i g n states in A f r i c a as c o u n tries a c h i e v e d i n d e p e n d e n c e . In e f f e c t , the A f r i c a n c o n s e n s u s on s e l f - d e t e r m i n a t i o n w a s i n t e n d e d to d e n y e t h n i c / t r i b a l c l a i m a n t s any right of s e c e s s i o n in the m i d s t of d e c o l o n i z a tion, thereby validating an a p p r o a c h e q u i v a l e n t to that of uti possidetis. Rosalyn Higgins. comm e n t i n g on this d e v e l o p m e n t , a r g u e s that the O A U a p p r o a c h d o e s not p r o v i d e direct legal authority f o r uti possidetis, but that it r e f l e c t s the A f r i c a n a c c e p t a n c e of " a n u n d e r l y i n g n o r m — t h a t of c o m m i t m e n t to territorial integrity and international stability." 9 But as P r o f e s s o r , n o w J u d g e , H i g g i n s reco g n i z e s , m a t t e r s are not so s i m p l e . S e l f - d e t e r m i n a t i o n as a right also c a m e to be an a n c h o r ing norm for h u m a n rights in settings unrelated to the d e c o l o n i z a t i o n s e t t i n g . S h e a t t e m p t s to r e s o l v e the t e n s i o n by r e f e r e n c e to the World Court t r e a t m e n t of the relationship in the MaliB u r k i n a F a s o c a s e , r e l y i n g on an a s s e r t i o n by P r o f e s s o r G e o r g e s A b i - S a a b , the d i s t i n g u i s h e d j u d g e ad hoc of Mali, to the e f f e c t that " [ w ] i t h o u t stability of f r o n t i e r s , the e x e r c i s e of s e l f - d e t e r m i n a t i o n is in reality a m i r a g e . T u r moil is not c o n d u c i v e to h u m a n r i g h t s . " 1 0 Unfortunately, such an observation is not uniformly h e l p f u l if generalized. Its degree of persuasiveness d e p e n d s c o m p l e t e l y on the context. In some settings, it seems evident that only by perpetuating boundaries can turmoil be overcome and stability restored. T h e effort to maintain

Law

53

an abusive structure of dominance with respect to i n d e p e n d e n c e will o f t e n d e p e n d upon a systematic denial of h u m a n rights, as has been the experience of Tibet or East T i m o r (a Portuguese colony, incorporated by force into Indonesia at the time of its independence in 1975). What may have seemed convincing in Africa as decolonization w a s taking place n o w s e e m s selectively problematic thirty years later when severe ethnic tension p r o d u c e s genocidal onslaughts. Closely related to this political observation is the assertion in this c h a p t e r that the contours of the right of self-determination have never been and are not n o w fixed in the concrete of rigid legal doctrine but have continuously evolved conceptually and experientially in response to the pressure of events, according varying degrees of respect to the prevailing moral and political climate and taking account of the particularities of a given context. This combination of factors tends to produce a confusing pattern of precedents, leaving considerable r o o m for widely disparate interpretations bearing on legal doctrine. E x p r e s s i n g the p o t e n c y of the antia p a r t h e i d m o v e m e n t and the g e n e r a l r e v u l s i o n a g a i n s t r a c i s m , t h e 1970 D e c l a r a t i o n on Friendly Relations g o e s f u r t h e r than Resolution 1514, e x p a n d i n g t h e s c o p e of s e l f - d e t e r m i n a tion in a m a n n e r not e a r l i e r a n t i c i p a t e d . T h e l a n g u a g e u s e d in the d e c l a r a t i o n is a g a i n instructive with r e s p e c t to u n d e r s t a n d i n g the exp a n s i o n i s t h i s t o r y of the right of s e l f - d e t e r m i n a t i o n , and t h e i m p o s s i b i l i t y of p i n n i n g d o w n t h e b o u n d a r i e s of p l a u s i b l e legal c l a i m . T h e p r i n c i p l e of territorial i n t e g r i t y is r e a s s e r t e d , but s i g n i f i c a n t l y in a m o r e c o n d i t i o n a l f o r m . T h e d e c l a r a t i o n insists that n o t h i n g a b o u t t h e right of s e l f - d e t e r m i n a t i o n " s h a l l be c o n s t r u e d as a u t h o r i z i n g or e n c o u r a g i n g any action w h i c h w o u l d d i s m e m b e r or impair, totally or in part, the territorial integrity or political unity of sove r e i g n and i n d e p e n d e n t S t a t e s c o n d u c t i n g t h e m s e l v e s in c o m p l i a n c e with the principle of e q u a l rights a n d s e l f - d e t e r m i n a t i o n of p e o p l e s . . . and thus p o s s e s s e d of a g o v e r n m e n t r e p r e senting the w h o l e p e o p l e b e l o n g i n g to the territory w i t h o u t d i s t i n c t i o n as to race, c r e e d or

8. GA Res. 2625 (XXV). 9. Rosalyn Higgins, Problems and Progress: International Law and How We Use It (Oxford University Press, 1994), pp. 122-123; see also Professor Higgins, discussion in the determination of the boundaries of Guinea-Bissau. 10. Higgins, Problems and Progress, p. 123.

54

Richard A. Falk

color." W h a t is n o t a b l e here is the generality of l a n g u a g e , e n s u r i n g a p o t e n t i a l r e c e p t i v i t y to, and l o o p h o l e s f o r , s e l f - d e t e r m i n a t i o n c l a i m s that are not strictly r e c o n c i l a b l e w i t h the prim a c y p r e v i o u s l y a c c o r d e d u n c o n d i t i o n a l l y to territorial integrity and political unity. There had always been a second, rather b e w i l d e r i n g , d i m e n s i o n to the s t r u g g l e of s e l f - d e t e r m i n a t i o n , not t h e c o l l e c t i v e s t r u g g l e for n a t i o n a l i n d e p e n d e n c e , but i n d i v i d u a l and g r o u p q u e s t s f o r h u m a n r i g h t s . In t h i s l a t t e r s e t t i n g the e x e r c i s e of t h e r i g h t of s e l f - d e t e r m i n a t i o n d i d not n o r m a l l y i m p l y , as it did in the a n t i c o l o n i a l c o n t e x t , an i n s i s t e n c e on the p o t e n t i a l e x e r c i s e of s o v e r e i g n r i g h t s a s s o c i ated with statehood. Such a distinction has led to d i s c u s s i o n s of " i n t e r n a l " s e l f - d e t e r m i nation as a p p r o p r i a t e for the p r o t e c t i o n of min o r i t y r i g h t s , w h i c h a m o u n t e d to t h e a v o i d a n c e of d i s c r i m i n a t o r y a n d e x c l u s i o n a r y p o l i c i e s a r i s i n g in r e l a t i o n to r a c e a n d relig i o n , but a l s o in g r o u p s e t t i n g s , t h e l i n k i n g of m o v e m e n t s for cultural and political autono m y f o r d i s t i n c t p e o p l e s w i t h t h e right of self-determination.11 But. again, even this c o n s t r a i n e d v i e w of s e l f - d e t e r m i n a t i o n c a n n o t be d e r i v e d f r o m the p l a i n m e a n i n g of the t e x tual l a n g u a g e as it a p p e a r s in the c o m m o n Article 1 of t h e t w o c o v e n a n t s on h u m a n r i g h t s , which a f f i r m s the right without placing any l i m i t a t i o n s on its e x e r c i s e . N o r c a n the s c o p e of the right he c o n v i n c i n g l y r e s t r i c t e d to A r t i cle 27 of t h e C o v e n a n t on C i v i l a n d P o l i t i c a l Rights, which declares that individuals bel o n g i n g to " e t h n i c , r e l i g i o u s or l i n g u i s t i c m i n o r i t i e s " s h a l l " n o t b e d e n i e d t h e r i g h t , in c o m m u n i t y w i t h the o t h e r m e m b e r s of t h e g r o u p , to e n j o y t h e i r o w n c u l t u r e , to p r o f e s s and p r a c t i c e t h e i r o w n r e l i g i o n , or to use their own language." S u p p o s e , a f t e r d e c a d e s of r e p r e s s i o n and suffering, a p e o p l e d e m a n d secession as a f o u n dation f o r e x e r c i s i n g their right of s e l f - d e t e r m i n a t i o n . C a n w e say c o n c l u s i v e l y , on the b a s i s of i n t e r n a t i o n a l law d o c t r i n e and p r a c t i c e , that such a d e m a n d is inherently u n a c c e p t a b l e ? T h e position of this c h a p t e r is that we c a n n o t reach such an i n v a r i a b l e c o n c l u s i o n but m u s t a s s e s s

11. Cassese, International 12. ICJ Reports, 1975. 13. Ibid., p. 122.

Law in a Divided

the merits of such a claim in its particular c o n text, and the o u t c o m e will a l m o s t a l w a y s be c o n t r o v e r s i a l . T h e r e is a s p e c i o u s legal clarity insisted u p o n by t h o s e w h o c o n t i n u e to rely u p o n a c a u t i o u s r e a d i n g of the F r i e n d l y Relat i o n s D e c l a r a t i o n and s o m e of the r a t h e r tang e n t i a l f i n d i n g s and a s s e r t i o n s of the Intern a t i o n a l C o u r t of J u s t i c e , e s p e c i a l l y in the Western S a h a r a c a s e . 1 2 In this r e g a r d , this c h a p t e r a d o p t s a v i e w c l o s e to the p o s i t i o n of J u d g e H a r d y D i l l a r d , e s p e c i a l l y as e x p r e s s e d in his o f t - q u o t e d p h r a s e a p p e a r i n g in his s e p a r a t e o p i n i o n in Western Sahara: "It is f o r the p e o p l e to determ i n e the d e s t i n y of the t e r r i t o r y and not the territory the destiny of the p e o p l e . " 1 ' P r o f e s s o r H i g g i n s criticizes D i l l a r d ' s orientation here, by s h o w i n g c l e a r l y that the c o u r t only c o n f i r m e d the r e l e v a n c e of the right of s e l f - d e t e r m i n a t i o n o n c e it c o n c l u d e d that W e s t e r n S a h a r a s h o u l d be r e g a r d e d as a S p a n i s h c o l o n i a l p o s s e s s i o n of s e p a r a t e identity and not b e l o n g i n g w i t h i n the s o v e r e i g n d o m a i n of e i t h e r M o r o c c o or M a u r i t a n i a . S u c h an a s s e s s m e n t is p e r s u a s i v e within the f o u r c o r n e r s of the dispute about the d e l i m i t a t i o n of W e s t e r n S a h a r a , but J u d g e D i l l a r d is both a c c u r a t e and p r o p h e t i c w i t h r e s p e c t to the m o s t a p p r o p r i a t e legal c o m p r e h e n s i o n of the v a r i a b l e c o n t e n t of the right of self-determination. In the i n t e r n a t i o n a l law literature on selfd e t e r m i n a t i o n t w o m a i n t e n d e n c i e s are p u l l i n g in o p p o s i t e d i r e c t i o n s : t h e first is to h o l d the line a g a i n s t e x p a n d i n g the r i g h t of s e l f - d e t e r m i n a t i o n by i n s i s t i n g on a r e s t r i c t i v e v i e w of r i g h t s that m u s t d e f e r to t h e p e r s i s t i n g r e l e v a n c e of t e r r i t o r i a l u n i t y of e x i s t i n g s t a t e s , t h e r e b y still p r o v i d i n g a n u n c o n d i t i o n a l l i m i tation on its e x e r c i s e ; t h e s e c o n d t e n d e n c y ack n o w l e d g e s a n d , to v a r y i n g d e g r e e s , v a l i d a t e s r e c e n t s t a t e - s h a t t e r i n g p r a c t i c e in a r e f o r m u lated legal a p p r o a c h that a d m i t s that t h e c h a r a c t e r and s c o p e of t h e r i g h t is m o r e u n s e t t l e d t h a n e v e r b u t is n e v e r t h e l e s s e x p a n s i o n a r y . T h i s l a t t e r v i e w t a k e s d u e n o t e of t h e d e g r e e to w h i c h d i p l o m a t i c r e c o g n i t i o n a n d a d m i s s i o n to t h e U n i t e d N a t i o n s h a s b e e n g r a n t e d to e n t i t i e s f o r m e r l y e n c o m p a s s e d as

World, p. 134.

The Right of Self-Determination

Under International

n o n s o v e r e i g n c o m p o n e n t s of t h e S o v i e t U n i o n and Y u g o s l a v i a . 1 4 P r o f e s s o r H i g g i n s , in s u p p o r t i n g h e r c o n t i n u i n g a d h e r e n c e to the m o r e restrictive view of s e l f - d e t e r m i n a t i o n , w r i t e s that t h e long s t r u g g l e to e s t a b l i s h t h e right as l e g a l " n o w f a c e s a n e w d a n g e r : that of b e i n g all t h i n g s to all m e n [.?/£•]."15 Yet t h e w h o l e h i s t o r y of the right of s e l f - d e t e r m i n a t i o n is, f o r b e t t e r and w o r s e , t h e story of a d a p t a t i o n to the e v o l v i n g s t r u g g l e s of p e o p l e s v a r i o u s l y s i t u a t e d to a c h i e v e e f f e c t i v e c o n t r o l o v e r their o w n d e s tinies. F o r a p e r i o d , s t a t e s a g r e e d that s e l f - d e t e r m i n a t i o n w o u l d not h a v e s e c e s s i o n i s t implic a t i o n s e x c e p t in c o l o n i a l s e t t i n g s , and e v e n h e r e , it w a s m o r e a m a t t e r of c h a n g e d s t a t u s and only s e c e s s i o n i s t in relation to the c o l o n i a l e m p i r e . T h i s attitude w a s a c c e p t a b l e to the Soviet U n i o n , a p p r e c i a t i n g the e x p l o s i v e d a n g e r of e n c o u r a g i n g e i t h e r c a p t i v e n a t i o n a l i t i e s within its s o v e r e i g n b o u n d a r i e s or the v a r i o u s c a p t i v e p e o p l e s r e s t i v e w i t h i n its East E u r o p e a n bloc of c o u n t r i e s to assert c l a i m s of i n d e p e n d e n c e as a m a t t e r of right. At the s a m e t i m e , as a l r e a d y s u g g e s t e d , the f o r m e r c o l o n i a l p e o p l e s w e r e in g e n e r a l a g r e e m e n t that o p e n i n g up the c o l o n i a l b o u n d a r i e s for rev i s i o n c o u l d c o n t r i b u t e to p o l i t i c a l d i s a r r a y and w i d e s p r e a d w a r f a r e , e s p e c i a l l y in A f r i c a . F u r t h e r m o r e , the U n i t e d States and other c o u n tries in the W e s t e r n H e m i s p h e r e w e r e a w a r e that i n d i g e n o u s p e o p l e s w i t h i n their b o u n d aries c o n t i n u e d to insist on their status as sove r e i g n n a t i o n s , and t h e s e n a t i o n s w e r e r e l u c tant to g i v e a n y c r e d e n c e to such l o n g i n g s . T h e r e w a s thus a political and moral c o n s e n s u s a m o n g g o v e r n m e n t s that s h a p e d the legal c o n c e p t i o n of the right of s e l f - d e t e r m i n a t i o n during the C o l d War, but it w a s a historically c o n d i t i o n e d c o n c e p t i o n that has not held in the period since 1989. In the last f i v e years, the practice of states, the t r a n s n a t i o n a l a s s e r t i v e n e s s of i n d i g e n o u s peoples, and the m o r a l f o r c e of g r o u p s rights in v a r i o u s s i t u a t i o n s h a v e e x p a n d e d the s c o p e of the legal right of s e l f - d e t e r m i n a t i o n , m a k i n g its o p e r a t i o n a l c o n t e n t c l o s e r to that a s s o c i a t e d

Law

55

w i t h J u d g e D i l l a r d ' s d i c t u m than to v a r i o u s p o s i t i v i s t a t t e m p t s to d e n y s e l f - d e t e r m i n a t i o n a n y legal status or grant it only a very restrictive one. T h e m o r e f l e x i b l e i n t e r n a t i o n a l law a p p r o a c h that is s e n s i t i v e to c o n t e x t and t h e t r e n d s in o f f i c i a l p r a c t i c e give a m o r e realistic p i c t u r e of t h e r e l e v a n c e of law to c u r r e n t disc u s s i o n s of s e l f - d e t e r m i n a t i o n than d o e s its restrictive c o u n t e r p a r t , w h i c h p u r p o r t s a clarity and d e f i n i t e n e s s that s e e m s increasingly out of t o u c h with the w a y s in w h i c h s e l f - d e t e r m i n a tion c l a i m s h a v e b e e n v a l i d a t e d by d i p l o m a t i c recognition and UN a d m i s s i o n s p r o c e d u r e s . Arguably, criticisms can be m a d e of this variable legal c o n t e n t a c c o r d e d s e l f - d e t e r m i n a t i o n , but to deny such a content is to attempt by legalistic s l e i g h t - o f - h a n d to k e e p the s e l f - d e t e r m i n a tion g e n i e in t h e d o c t r i n a l box of a statist w o r l d . Yet s u c h a w o r l d has been e r o d e d , and to p r e t e n d o t h e r w i s e is to p l a c e an u n a c c e p t able strain o n the d e s c r i p t i v e and p r e s c r i p t i v e c h a r a c t e r of international law, as well as to finesse the n e e d for a politically e f f e c t i v e way to r e c a p t u r e t h e g e n i e of s e l f - d e t e r m i n a t i o n , or e v e n to a d m i t that r e c a p t u r e is o n l y partially possible at this stage.

Patterns of Practice Since 1989 Versus Doctrinal Developments T h e striking f e a t u r e of r e c e n t p r a c t i c e is both its e x t e n s i o n of t h e right of s e l f - d e t e r m i n a t i o n b e y o n d e a r l i e r c o n c e p t i o n s and the v a r i a b i l i t y of a r r a n g e m e n t s s a t i s f y i n g particular c l a i m s of s e l f - d e t e r m i n a t i o n . In e f f e c t , e a r l i e r d o c t r i n a l c o n c e p t i o n s are n o l o n g e r d e s c r i p t i v e of p r a c tice, but n e i t h e r is it a c c u r a t e to e q u a t e a m o v e m e n t f o r s e l f - d e t e r m i n a t i o n with s e c e s s i o n i s t a m b i t i o n s . In this section, this pattern of states h a t t e r i n g p r a c t i c e is d e p i c t e d in relation to doctrinal e f f o r t s to avoid the legal i m p l i c a t i o n s of s u c h p r a c t i c e , s e e k i n g to a v o i d t r e a t i n g expansionist p r a c t i c e as p o s s e s s i n g any authority as p r e c e d e n t . I n t e r n a t i o n a l p r a c t i c e u p until 1989 had e m p h a s i z e d the U N c o n s e n s u s of an e m e r g e n t r i g h t of s e l f - d e t e r m i n a t i o n f o r p e o p l e s held u n d e r c o l o n i a l , alien, or racist r u l e to b e

14. Some of these issues will be discussed in later sections on the breakup of Yugoslavia and the Soviet Union, and the relevance of diplomatic recognition and admission to the United Nations is a m a j o r theme of Donat Pharand's study. 15. Higgins, Problems and Progress, p. 128.

56

Richard

A

Falk

e x e r c i s e d in a m a n n e r t h a t d i d n o t c h a l l e n g e

state-shattering variety. Nevertheless, the widely

p r i o r external

t h r e a t e n i n g c h a r a c t e r of p o l i t i c a l

b o u n d a r i e s . E v e n in t h i s p e r i o d ,

t h e s e c e s s i o n in 1 9 7 2 o f E a s t P a k i s t a n

from

movements,

w h i c h are not v i e w e d s y m p a t h e t i c a l l y by repre-

P a k i s t a n t o f o r m B a n g l a d e s h , in t h e w a k e o f

s e n t a t i v e l e a d e r s h i p at r e g i o n a l a n d g l o b a l l e v -

a t r o c i t i e s p e r p e t r a t e d b y t h e a r m i e s of t h e c e n -

e l s , is s e e k i n g t o c h a l l e n g e t e r r i t o r i a l u n i t y of

tral g o v e r n m e n t , w a s w i d e l y a n d q u i c k l y rec-

existing

o g n i z e d by other states. Not long a f t e r w a r d s ,

g e n e r a t e s pressure to avoid treating secession-

states. This combination

of

factors

B a n g l a d e s h b e c a m e a U N m e m b e r , a l t h o u g h its

ist r e s u l t s as p r e c e d e n t - s e t t i n g in s i t u a t i o n s t h a t

e m e r g e n c e altered the external b o u n d a r i e s of

have yielded n e w states by diminishing the ter-

t h e f o r m e r P a k i s t a n , as w e l l as g e n e r a t e d a s e c -

r i t o r i a l d o m a i n of a f o r m e r s t a t e . T h i s t e n s i o n

ond

was

between practice and doctrinal preference has

s u b s t a n t i v e l y a n e x e r c i s e o f t h e r i g h t of s e l f -

b e e n c l e a r l y e v i d e n t in t h e o p i n i o n s of t h e B a d -

sovereign

state.

Such

an o u t c o m e

d e t e r m i n a t i o n b y t h e p e o p l e s i n v o l v e d , e v e n if

inter C o m m i s s i o n established by the E u r o p e a n

n o t s o d e s c r i b e d at t h e t i m e . T h e q u e s t f o r a n a -

C o m m u n i t y to e v a l u a t e t h e l e g a l c o n s e q u e n c e s

tional h o m e l a n d by the Palestinians, the vari-

of t h e d i s i n t e g r a t i o n of Y u g o s l a v i a a n d in a

ous Kurdish national m o v e m e n t s , and the vari-

c o m m i s s i o n e d report s u b m i t t e d to the Q u e b e c

o u s s t r u g g l e s of e t h n i c g r o u p s in t h e f o r m e r

A s s e m b l y by five distinguished

Soviet U n i o n are a p p r o p r i a t e l y treated as part

l a w s p e c i a l i s t s to a s s e s s t h e e f f e c t s of Q u e b e c ' s

of the subject

p o s s i b l e a c c e s s i o n to s o v e r e i g n t y

matter

w h e t h e r the o u t c o m e nally

through

of

self-determination,

is c o n s u m m a t e d

autonomy

inter-

arrangements

or

t h r o u g h t h e e s t a b l i s h m e n t of a n e w s t a t e . A

international should

its

s e p a r a t i s t m o v e m e n t s u c c e e d . B o t h of t h e s e e f forts to f o r m u l a t e d o c t r i n a l

c o n t o u r s of

the

r i g h t of s e l f - d e t e r m i n a t i o n in t h e f a c e of a c t u a l

m o v e m e n t d e d i c a t e d t o e x e r c i s i n g its r i g h t of

and potential expansionist practice have pro-

s e l f - d e t e r m i n a t i o n m a y " s u c c e e d ' " e v e n if p o l i t -

d u c e d c o n f u s e d and u n c o n v i n c i n g legal a n a l y -

i c a l i n d e p e n d e n c e is n o t c l a i m e d a n d n o at-

s e s t h a t a r e e x c e e d i n g l y v u l n e r a b l e to t e c h n i c a l

t e m p t is m a d e t o j o i n i n t e r n a t i o n a l i n s t i t u t i o n s

a n d p o l i c y l i n e s of c r i t i c a l r e a c t i o n . S u c h e f -

or establish distinct d i p l o m a t i c relations.

f o r t s at r e c o n c i l i a t i o n h a v e n o t p u t t h e i s s u e s t o

T h e d i s i n t e g r a t i o n of t h e S o v i e t U n i o n a n d Y u g o s l a v i a in 1991 i n v o l v e d e s t a b l i s h i n g a se-

rest, but rather have called further attention to the challenge.

r i e s of n e w , s o v e r e i g n s t a t e s t h a t s o u g h t d i p l o -

A p r i m e e x a m p l e o f t h i s c o n f u s i o n is t h e

m a t i c r e c o g n i t i o n a n d f u l l m e m b e r s h i p in i n t e r -

w o r k of t h e A r b i t r a t i o n C o m m i s s i o n e s t a b l i s h e d

n a t i o n a l i n s t i t u t i o n s . In e f f e c t , t h e s e e m e r g e n t

b y t h e E u r o p e a n C o m m u n i t y in 1991 a s p a r t of

s t a t e s s h a t t e r e d t h e t e r r i t o r i a l u n i t y of t h e f o r -

its e f f o r t t o m i n i m i z e a n d c o n t a i n t h e v i o l e n t

m e r federated entities and departed f r o m the

c o n f l i c t a t t e n d i n g t h e b r e a k u p of Y u g o s l a v i a .

apparent UN guidelines premised on

always

T h e c o m m i s s i o n w a s c o m p o s e d of f i v e p r e s i -

self-determination

d e n t s of c o n s t i t u t i o n a l t r i b u n a l s in t h e r e s p e c -

e x i s t i n g s t a t e s , b e i n g i n a p p l i c a b l e at t h e

tive E u r o p e a n countries, h e a d e d by R o b e r t B a d -

exercising within

the

right

of

l e v e l of t h e f e d e r a l u n i t s t h a t t o g e t h e r c o n s t i -

inter, president of the F r e n c h

t u t e a s t a t e . T h i s r e c e n t p r a c t i c e is a s i g n i f i c a n t

Council. This Arbitration Commission, or Bad-

Constitutional

c o n f i r m a t i o n of t h e e x t e n t t o w h i c h t h e e f f e c -

inter C o m m i s s i o n ,

tive political o u t c o m e s that are w e l c o m e d by

lacked legal authority to d e c i d e but w a s g i v e n

i m p o r t a n t c o u n t r i e s p r o d u c e legal

an advisory

results in-

c o m p a t i b l e with earlier c o n c e p t i o n s of

as it c a m e t o b e

r o l e in r e l a t i o n

to the

known, ongoing

legal

p e a c e d i p l o m a c y ; y e t d e s p i t e its n a m e , it h a d n o

d o c t r i n e . C o m m u n i t y r e s p o n s e s to such state-

arbitration functions. Lord Carrington, president

shattering practice are registered by w a y

of

at t h e t i m e of t h e I n t e r n a t i o n a l C o n f e r e n c e o n

r e c o g n i t i o n a n d a d m i s s i o n t o i n t e r n a t i o n a l in-

Yugoslavia, put several q u e s t i o n s to the c o m -

stitutions, w h i c h are d i p l o m a t i c rituals of legit-

m i s s i o n , as d i d t h e g o v e r n m e n t of S e r b i a . 1 6

imizing impact quite inconsistent with earlier e f f o r t s to reject s e l f - d e t e r m i n a t i o n c l a i m s of a

In O p i n i o n

No.

2

the c o m m i s s i o n

dresses self-determination

in t h e c o n t e x t

adof

16. F o r m o r e d e t a i l s o n the c o m m i s s i o n , see t h e n o t e by M a r i z i o R a g a z z i i n t r o d u c i n g the t e x t s of t h e o p i n i o n s thus f a r r e n d e r e d , International Legal Materials 31 ( 1 9 9 2 ) : 1 4 8 8 - 1 5 1 9 , 1 4 8 8 - 1 4 9 1 .

The Right of Self-Determination

Under International

Law

57

S e r b i a n c l a i m s o n b e h a l f of e t h n i c m i n o r i t i e s in

icy a n d l e g a l a u t h o r i t y . T h e e m e r g e n t

r e l a t i o n to C r o a t i a a n d B o s n i a , c o n c l u d i n g that

authority

a l t h o u g h t h e r i g h t of s e l f - d e t e r m i n a t i o n is n o t

d i r e c t e d at t h e m a i n t e n a n c e of external

s p e l l e d o u t , "it is w e l l e s t a b l i s h e d t h a t , w h a t -

aries. T h e o p i n i o n of the B a d i n t e r C o m m i s s i o n

in t h e d e c o l o n i z a t i o n

legal

setting

was

bound-

e v e r t h e c i r c u m s t a n c e s , t h e r i g h t to s e l f - d e t e r -

i n v o k e s s o m e l a n g u a g e of t h e

m i n a t i o n m u s t not i n v o l v e c h a n g e s t o e x i s t i n g

C o u r t of J u s t i c e in the d i s p u t e b e t w e e n B u r k i n a

f r o n t i e r s at t h e t i m e of i n d e p e n d e n c e (uti sidetis

juris)

pos-

e x c e p t w h e r e the S t a t e s c o n c e r n e d

International

F a s o a n d M a l i to t h e e f f e c t that uti

possidetis

" i s a g e n e r a l p r i n c i p l e , w h i c h is l o g i c a l l y c o n -

a g r e e o t h e r w i s e . " In its tersely w o r d e d o p i n i o n

n e c t e d w i t h t h e p h e n o m e n o n of t h e o b t a i n i n g

the c o m m i s s i o n s a y s that S e r b i a n s are e n t i t l e d

of i n d e p e n d e n c e , w h e r e v e r it o c c u r s . Its o b v i -

to f u l l p r o t e c t i o n as " m i n o r i t i e s " a n d t h a t t h e

o u s p u r p o s e is to p r e v e n t the i n d e p e n d e n c e a n d

right of s e l f - d e t e r m i n a t i o n is a m a t t e r of h u m a n

s t a b i l i t y of n e w S t a t e s b e i n g e n d a n g e r e d

r i g h t s , a l l o w i n g S e r b s a c t i n g as i n d i v i d u a l s , if

fratricidal struggles."20 As H a n n u m points out,

t h e y so w i s h , to i n s i s t u p o n t h e i r d i s t i n c t na-

the c o m m i s s i o n left out the e n d of the s e n t e n c e

by

t i o n a l i d e n t i t y b e i n g r e s p e c t e d by B o s n i a a n d

in t h e ICJ d e c i s i o n , w h i c h r e a d s " p r o v o k e d by

Croatia.

the c h a l l e n g i n g of f r o n t i e r s f o l l o w i n g the w i t h -

The c o m m i s s i o n never discusses the cru-

d r a w a l of t h e a d m i n i s t e r i n g p o w e r . " 2 1 F u r t h e r ,

cial i s s u e r e l a t i n g to w h e n a m i n o r i t y b e c o m e s

t h e c o u r t ' s d i c t u m c o n c e r n i n g uti possidetis

a p e o p l e , a n d t h u s s e e m s to m i s s the

main

e x p l i c i t l y l i m i t e d to s i t u a t i o n s a r i s i n g o u t of

p o i n t : t h e r i g h t of s e l f - d e t e r m i n a t i o n as a c o l -

d e c o l o n i z a t i o n . N o n e of t h e s e c o n s i d e r a t i o n s

is

l e c t i v e right of a p e o p l e , the s c o p e of w h i c h is

s e e m to a p p l y , e v e n i n d i r e c t l y , to t h e c i r c u m -

d e t e r m i n e d by a m i x t u r e of c o n t e x t ( s u p p o s e ,

s t a n c e s of t h e b r e a k u p of f e d e r a t e d s t a t e s in

as in B a n g l a d e s h , t h e c l a i m a n t p e o p l e are b e i n g

w h i c h the f e d e r a l b o u n d a r i e s d o not c o r r e s p o n d

v i c t i m i z e d by s y s t e m a t i c a t r o c i t i e s or, as w a s

w i t h t h e e t h n i c or r e l i g i o u s a f f i l i a t i o n s of t h e

c l o s e r to t h e reality, f e a r e d such a t r o c i t i e s , a n d

p e o p l e s living on the overall, w i d e r territory and

at the v e r y least d i s c r i m i n a t i o n , on the b a s i s of

m a y c o l l i d e b a d l y w i t h t h e i r o w n l o y a l t i e s or

e a r l i e r e x p e r i e n c e s ) a n d by e f f e c t i v e o u t c o m e (the f a c t s c r e a t e d ) .

17

As Hurst H a n n u m aptly

anxieties. T h e f u n d a m e n t a l q u e s t i o n p o s e d is not o n e of f r o n t i e r s , in the first instance, but the re-

p o i n t s o u t , the c o m m i s s i o n m e m b e r s " a p p e a r to

a r r a n g e m e n t of p o w e r a n d authority in a m a n n e r

h a v e b a s e d t h e i r j u d g m e n t s on

geopolitical

that p o s e s s e v e r e t h r e a t s to the s e c u r i t y of e n -

c o n c e r n s a n d i m a g i n a r y p r i n c i p l e s of i n t e r n a -

t r a p p e d m i n o r i t i e s . V a l i d a t i n g s u c h p a t t e r n s of

t i o n a l l a w , r a t h e r t h a n on the u n i q u e s i t u a t i o n

f r a g m e n t a t i o n is n e i t h e r a m a t t e r of m e c h a n i -

H e c o n t e n d s that " | t ] h e p r i n -

cally u p h o l d i n g or r e j e c t i n g c l a i m s of self-deter-

c i p l e that b o r d e r s s h o u l d not be a l t e r e d e x c e p t

m i n a t i o n , n o r is it p r o p e r l y a m a t t e r of a c k n o w l -

by m u t u a l a g r e e m e n t h a s b e e n e l e v a t e d t o a

e d g i n g a de f a c t o set of realities. It is, a b o v e all,

h y p o c r i t i c a l i m m u t a b i l i t y that is c o n t r a d i c t e d

a m a t t e r of d e m o c r a t i c p r o c e d u r e s a n d the se-

by t h e v e r y a c t of r e c o g n i z i n g the s e c e s s i o n i s t

c u r e p r o t e c t i o n of m i n o r i t y a n d g r o u p rights.

in Y u g o s l a v i a . "

states."

18

19

A crucial point here is that the u n c o n d i t i o n -

F u r t h e r m o r e , t h e e x t e n s i o n of the uti sidetis

pos-

a l l y of respect for territorial unity has been deci-

Commis-

sively b r e a c h e d in relation to the f o r m e r Yu-

administra-

g o s l a v i a and that the m o v e m e n t s of s e p a r a t i o n

approach by the Arbitration

sion in O p i n i o n N o . 3 to internal

t i v e b o u n d a r i e s of a f r a g m e n t e d or f e d e r a l i s t

l a u n c h e d by these d e v e l o p m e n t s w e r e

state r e s t s o n e x t r e m e l y s h a k y g r o u n d s of p o l -

tionally invoking their right of s e l f - d e t e r m i n a t i o n

opera-

17. See the devastating critique of the work of the c o m m i s s i o n by Hurst H a n n u m , "Self-Determination, Yugoslavia, and Europe: Old Wine in N e w Bottles?" Transnational Law and Contemporary Problems 3: 5 9 - 6 9 . 18. Ibid., p. 69. 19. Ibid., p. 68. 20. Frontier Dispute (Burkina Faso v. Mali), 1986 ICJ 554 (Dec. 22), at 565. 21. See H a n n u m , " S e l f - D e t e r m i n a t i o n , " pp. 6 6 - 6 7 , for criticism; also Benedict Kingsbury, " C l a i m s by Non-State G r o u p s in International L a w , " Cornell International Law Journal 25 (1992): 481.

Richard A. Falk

58

e v e n if t h e s p e c i f i c l a n g u a g e w a s not e m p h a -

i n t e n d s to s i t u a t e itself s o l e l y w i t h i n t h e f i e l d

s i z e d . T h i s e n t i r e p r o c e s s of c o n s t i t u t i n g n e w

of law." 2 -' If s u c h l a n g u a g e m e a n s o n l y that

states w i t h o u t p r o t e c t i n g the c o n s t i t u e n t p e o p l e s

"[i]n n o w a y d o e s it r e f l e c t any p o l i t i c a l p r e f e r -

or r e s p e c t i n g their w i s h e s w a s i n d i r e c t l y v a l i -

e n c e s " of the a u t h o r s , t h e n it is q u i t e u n e x c e p -

dated

diplomatic

t i o n a l . But if it p u r p o r t s , as d o e s s e e m to be the

r e c o g n i t i o n to t h e s e n e w s t a t e s , as w e l l as by

c a s e t h r o u g h o u t its a n a l y s i s of t h e i s s u e s , that

t h e i r r a p i d a d m i s s i o n to t h e U n i t e d

t h e law is a u t o n o m o u s a n d clear, w i t h o u t tak-

by

according

widespread

Nations,

t h e r e b y l e g i t i m i z i n g these p a r t i c u l a r c h a l l e n g e s

ing into a c c o u n t t h e a l t e r n a t i v e l i n e s of inter-

to t e r r i t o r i a l unity. In e f f e c t , w h a t is a c c e p t e d

p r e t a t i o n b e i n g p o s i t e d by d i v e r s e , o f t e n a n t a g -

as valid by o r g a n i z e d i n t e r n a t i o n a l s o c i e t y c a n -

o n i s t i c . political and m o r a l p e r s p e c t i v e s , then it

not be a d e q u a t e l y u n d e r s t o o d by c o n s u l t i n g ab-

is q u i t e m i s l e a d i n g . T h e i s s u e s p o s e d are so

stract legal g u i d e l i n e s . T h e fact that t h e c l a i m s

c h a l l e n g i n g , in p a r t , b e c a u s e t h e i r d i s p o s i t i o n

of i n d e p e n d e n t s t a t e h o o d h a v e g e n e r a l l y c o r r e -

c a n n o t be r e s o l v e d solely by law a n d t h e r e f o r e

sponded with prior internal boundaries

does

i n e v i t a b l y c o n f e r on the g o v e r n m e n t of C a n a d a

not alter the b r e a c h of the f u n d a m e n t a l e f f o r t of

an o p p o r t u n i t y

i n t e r n a t i o n a l law d u r i n g t h e C o l d W a r e r a to

such c l a i m s in a m a n n e r that best c o n t r i b u t e s to

and r e s p o n s i b i l i t y to

resolve

r e c o n c i l e t h e territorial u n i t y of e x i s t i n g s t a t e s

the c l a r i f i c a t i o n s of r e s p e c t i v e rights a n d duties.

with the e x e r c i s e of the right of s e l f - d e t e r m i n a -

I n s o f a r as the rights of i n d i g e n o u s p e o p l e s

tion, with c o l o n i e s b e i n g u n i f o r m l y c o n s i d e r e d

are c o n c e r n e d , the Pellet R e p o r t c o n c e n t r a t e s

a u n i f i e d e n t i t y e v e n if t h e i r a c t u a l i t y i n c l u d e d

on w h e t h e r a right of s e l f - d e t e r m i n a t i o n

disparate peoples and regional identities more

h e r e s in t h e i r c l a i m s , but w i t h t h e a s s u m p t i o n

b i n d i n g than their o v e r a l l s h a r e d identity.

that if it d o e s , then t h e c r u c i a l q u e s t i o n

inis

A c o n f u s i o n s i m i l a r to that a r i s i n g f r o m

w h e t h e r a c l a i m of t e r r i t o r i a l i n d e p e n d e n c e is

t h e o p i n i o n s r e n d e r e d by the A r b i t r a t i o n C o m -

t h e r e b y i n c l u d e d and v a l i d a t e d . T r u e , s u c h a

m i s s i o n of t h e E u r o p e a n C o m m u n i t y

c l a i m is o n e o u t e r limit of an

is e x -

unconditional

p o u n d e d in a f a r m o r e e x t e n d e d legal a n a l y s i s

right of s e l f - d e t e r m i n a t i o n , but w i t h i n t h e set-

in the f o r m of a r e p o r t p r e p a r e d by f i v e inter-

ting of the issues p o s e d by p o s s i b l e a c c e s s i o n s

national

to s o v e r e i g n t y , there are m a n y a d d i t i o n a l q u e s -

l a w y e r s in r e s p o n s e

to a s e r i e s

of

q u e s t i o n s set by t h e C o m m i t t e e of t h e Q u e b e c

t i o n s p o s e d , i n c l u d i n g t h e b e a r i n g of a n y s e l f -

N a t i o n a l A s s e m b l y on M a y 8. 1992, to c l a r i f y

d e t e r m i n a t i o n c l a i m on b e h a l f of o n e p e o p l e

t h e l e g a l c o n s e q u e n c e of a p o s s i b l e a c c e s s i o n

on t h e r i g h t s of o t h e r p e o p l e s a n d m i n o r i t i e s

of Q u e b e c t o s o v e r e i g n t y . T h e r e p o r t is o f t e n

e n c o m p a s s e d by the territory. T h e r e are s e v e r a l

k n o w n as the Pellet R e p o r t , r e f e r r i n g to the for-

s p e c i f i c i m p l i c a t i o n s of Q u e b e c s e p a r a t i s m f o r

m a t i v e r o l e of A l a i n P e l l e t , a

t h e e l e v e n i n d i g e n o u s p e o p l e s , m o s t of w h o m

distinguished

F r e n c h j u r i s t w h o a p p a r e n t l y d r a f t e d the initial

p r e f e r to r e m a i n part of C a n a d a . A s s u c h , the

set of r e s p o n s e s . 2 2 It is, first of all, i m p o r t a n t to

q u e s t i o n r a i s e d is w h e t h e r s u c h p e o p l e s c a n

a p p r e c i a t e t h e l i m i t e d s c o p e of t h e P e l l e t R e -

b l o c k s e p a r a t i s t c l a i m s by i n s i s t i n g on t h e i r

port. T h e a u t h o r s a r e c a r e f u l to restrict t h e i r re-

right to r e m a i n part of C a n a d a . If a c c e s s i o n to

s p o n s e s to t h e q u e s t i o n s put to t h e m , w h i c h , in

s o v e r e i g n t y by Q u e b e c c o u l d b e t a k e n as al-

my j u d g m e n t , do not properly cover the topic,

r e a d y e s t a b l i s h e d , as is s o m e t i m e s a r g u e d , t h e

e s p e c i a l l y in r e l a t i o n to t h e e x t e n t a n d m e a n i n g

a s s e r t i o n by a b o r i g i n a l p e o p l e s of a right to re-

of p a r t i c i p a t o r y r i g h t s that b e l o n g to a b o r i g i n a l

m a i n part of C a n a d a w o u l d s e e m to h a v e the

p e o p l e s d u r i n g a n y n e g o t i a t i o n of s e p a r a t i o n .

o d d legal a p p e a r a n c e of c h a l l e n g i n g the territo-

A l s o , t h e r e p o r t m a k e s a p o i n t of s u g g e s t i n g

rial unity of the h y p o t h e s i z e d n e w state of Q u e -

that t h e q u e s t i o n s put to it " w e r e a s k e d e x c l u -

b e c . 2 4 S u c h a m o d e of a n a l y s i s s e e m s h i g h l y

s i v e l y f r o m a legal p e r s p e c t i v e , a n d t h i s s t u d y

a r t i f i c i a l g i v e n the u n r e s o l v e d c h a r a c t e r of the

22. " T h e Territorial Integrity of Q u e b e c in the Event of Its Accession to S o v e r e i g n t y , " a study c o m missioned by the c o m m i t t e e but not officially presented to it. 23. Pellet Report, p. 2. 24. T h e Pellet Report itself c o n f i r m s such an interpretation when it states that the q u e s t i o n s put to it "are situated ' d o w n s t r e a m ' from accession to independence. That event is postulated, and it is a matter of determining the effect of international law after it has o c c u r r e d " (p. 7).

The Right of Self-Determination

Under International

u n d e r l y i n g s e p a r a t i s t c l a i m s of t h e r i g h t to p a r -

existing a d m i n i s t r a t i v e b o u n d a r i e s , be they Singapore, Yugoslav republics, or States prod u c e d by the division [.s/c] of the Soviet Union; and in the latter two cases, the international c o m m u n i t y has very f i r m l y m a n i f e s t e d its c o n v i c t i o n that there is a rule in such situations that needed to be r e s p e c t e d . 2 7

ticipate p o s i t e d by i n d i g e n o u s p e o p l e s , a n d t h e c l a i m in w h a t e v e r p r o c e s s is e s t a b l i s h e d to res o l v e t h e f u t u r e s t a t u s of Q u e b e c a n d its r e l a t i o n s h i p to C a n a d a . O n the n a t u r e of s e l f - d e t e r m i n a t i o n , w h i c h the P e l l e t R e p o r t c o r r e c t l y n o t e s to b e " t h e heart of the c o n t r o v e r s y , " t h e b a s i c v i e w of the right is d e l i m i t e d as o n e " o f v a r i a b l e g e o m e t r y " to b e a p p l i e d in e a c h i n s t a n c e in a c c o r d a n c e w i t h t h e w i s h e s of the p e o p l e i n v o l v e d . T h i s , t o o , is a c c u r a t e . W h a t is m o r e d u b i o u s , h o w ever. is the f a l s e clarity of the f o l l o w i n g a s s e r tion that t h e right of s e l f - d e t e r m i n a t i o n " i s s u f f i c i e n t only in colonial

situations

to f o u n d t h e

right of a p e o p l e to a c q u i r e i n d e p e n d e n c e to the d e t r i m e n t of the State to w h i c h it is a t t a c h e d . " 2 5 On the b a s i s of both the m o r e o p e n - e n d e d t e x tual a u t h o r i t i e s , i n c l u d i n g t h e D e c l a r a t i o n o n Friendly

Relations,

and diplomatic

practice

s i n c e 1989, s t a r t i n g w i t h the B a l t i c r e p u b l i c s , the p o s s i b i l i t y of s u c h c l a i m s of i n d e p e n d e n c e in n o n c o l o n i a l s i t u a t i o n s is c e r t a i n l y not legally or p o l i t i c a l l y p r e c l u d e d at t h i s s t a g e , n o r are the p a r a m e t e r s of s u c h a right yet, if t h e y e v e r will be. f i r m l y f i x e d . T h e law on s e l f - d e t e r m i n a t i o n is in f l u x , e s p e c i a l l y p e r t a i n i n g to ind i g e n o u s p e o p l e s , and is likely to r e m a i n so f o r

59

Law

In f a c t , the i n t e r n a t i o n a l c o m m u n i t y h a s e x h i b ited c o n s i d e r a b l e a m b i v a l e n c e w i t h r e g a r d t o the

preexisting

internal

boundaries

of

Yu-

g o s l a v i a , e s p e c i a l l y w i t h r e g a r d t o its e f f o r t s to r e s o l v e t h e w a r in B o s n i a . T h e V a n c e / O w e n , Owen/Stoltenberg well

as

those

diplomatic

developed

by

initiatives, "the

as

contact

g r o u p , " with broad U N backing, have centered u p o n v a r i o u s p l a n s f o r a r a d i c a l r e d r a w i n g of b o u n d a r i e s w i t h i n B o s n i a , e v e n in s o m e s c e n a r i o s e n v i s i o n i n g e n t i r e l y new c o n f e d e r a t i o n s o r f e d e r a t i o n s that

link e t h n i c

Serbian

and

C r o a t i a n m i n o r i t i e s in B o s n i a w i t h C r o a t i a a n d S e r b i a . T h e s e n e g o t i a t i o n s a n d d i p l o m a c y ref u t e t h e f i r m n e s s of i n t e r n a l b o u n d a r i e s as the territorial b a s i s for the d i v i s i o n of a g i v e n state into t w o or m o r e s o v e r e i g n s t a t e s . A c c e p t a b l e i n t e r n a t i o n a l b o u n d a r i e s d e p e n d on an a s s e s s m e n t of t h e c o n t e x t , i n c l u d i n g t h e b a t t l e f i e l d r e s u l t s of s t r u g g l e s a m o n g the v a r i o u s " s e l v e s " that h a d b e e n c o n f l a t e d to p r o d u c e a " s e l f . "

and

P e r h a p s t h e m o s t c o n f u s i n g d i m e n s i o n of

f l o w of b o t h p r a c t i c e on the g r o u n d a n d d o c -

the Pellet R e p o r t is its i n s i s t e n c e that t h e e m e r -

trine as i n t e r p r e t e d by v a r i o u s c o n c e r n e d actors.

g e n c e of a n e w state " i s not a p r o b l e m of law,

the i n d e f i n i t e f u t u r e , r e f l e c t i n g t h e e b b

T h e Pellet R e p o r t a l s o c o n v e y s a f a l s e imp r e s s i o n of d e f i n i t e n e s s in law w i t h r e s p e c t to t h e t r e a t m e n t of t h e b r e a k u p of f o r m e r Yugoslavia. Unlike the Arbitration C o m m i s s i o n , the Pellet Report, when discussing the C a s e C o n c e r n i n g t h e F r o n t i e r D i s p u t e (Burkina v. Mali)

Faso

m a n a g e s to a c k n o w l e d g e t h a t t h e cir-

c u m s t a n c e s of Q u e b e c are d i f f e r e n t f r o m t h o s e a r i s i n g in the s e t t i n g of d e c o l o n i z a t i o n . It c o n t e n d s , n e v e r t h e l e s s , the a p p l i c a b i l i t y of this Yug o s l a v e x p e r i e n c e on the b a s i s of its " l o g i c " p e r t a i n i n g t o all s i t u a t i o n s " o f a c c e s s i o n to independence."

26

S u c h a g e n e r a l i z a t i o n is u n f o r -

tunate and precedes a misleading inference: all new States issuing f r o m secession f r o m a pre-existing State have retained their pre-

25. 26. 27. 28.

Ibid., p. 5. Ibid., p. 24. Ibid. Ibid., p. 28.

b u t of f a c t . " 2 8 O f c o u r s e , if the e x i s t e n c e of a n e w state is p o s t u l a t e d to e x i s t , t h e n t h e a s s e r tion is t r u e , yet trivial. S u c h a f o r m u l a t i o n def l e c t s a t t e n t i o n f r o m the m o s t c r u c i a l a s p e c t of the a c t u a l s i t u a t i o n : g i v e n d i v e r s e a n d i n c o n s i s tent c l a i m s b a s e d on a d i v e r s i t y of e x c l u s i v e a p p e a l s to the right of s e l f - d e t e r m i n a t i o n , u n d e r w h a t c o n d i t i o n s c a n a n e w state c o m e i n t o e x i s t e n c e validly, a s s u m i n g v a l i d i t y to b e p r i m a r ily a s s e s s e d b y t h e e x t e n t a n d c h a r a c t e r diplomatic

recognition

in

the

of

international

c o m m u n i t y a n d by t h e e a s e of a d m i s s i o n to int e r n a t i o n a l i n s t i t u t i o n s ? P r o v i d i n g g u i d a n c e on t h i s q u e s t i o n w a s o u t s i d e t h e s c o p e of i n q u i r y of t h e Pellet C o m m i s s i o n , but s u c h a l i m i t a t i o n g r e a t l y r e s t r i c t s t h e r e l e v a n c e of its f i n d i n g s and recommendations.

Such a limitation

of

60

Richard A. Falk

scope also renders d u b i o u s the central conclu-

o w n identity, the right to c h o o s e , a n d the r i g h t

sion of the Pellet R e p o r t as a p p l i e d to Q u e b e c ,

to p a r t i c i p a t e . " 1 1

n a m e l y , that u n d e r n o c i r c u m s t a n c e s c a n t h e r e

c o n t e x t a n d r e f e r e n c e to T h o m a s F r a n c k ' s arti-

be a c c e p t a b l e g r o u n d s to a l t e r its t e r r i t o r i a l d o -

c l e o n t h e e m e r g e n t n o r m of d e m o c r a t i z a t i o n

It s e e m s e v i d e n t f r o m t h e

m a i n , a l t h o u g h it w a s not p r e v i o u s l y a n i n t e r -

that p a r t i c i p a t i o n , in t h e Pellet R e p o r t , m e a n s

n a t i o n a l e n t i t y , in t h e c o u r s e of a c c e s s i o n t o

democratic inclusion on a nondiscriminatory

s o v e r e i g n t y . 2 9 T h i s i m p r e s s i o n of l i m i t s is v e r y

basis and nothing else.32

m i s l e a d i n g h e r e , as a p r o c e s s of a c c e s s i o n is

A s a r g u e d h e r e , it is t h e i n t e r p r e t a t i o n of

o f t e n a m a t t e r of n e g o t i a t i o n s , w h e r e c o m p e t -

the s i g n i f i c a n c e of this right of p a r t i c i p a t i o n by

i n g a n d e v e n a n t a g o n i s t i c c l a i m s will n e e d t o

o b j e c t i n g " p e o p l e s " t h a t n e e d s to b e c l a r i f i e d

b e r e c o n c i l e d to the e x t e n t p o s s i b l e o n the basis

w i t h r e s p e c t to a n y a t t e m p t e d a c c e s s i o n to s o v -

of legal g u i d e l i n e s a n d t h e i r e n l i g h t e n e d a p p l i -

e r e i g n t y . It is o n l y by a r t i f i c i a l l y p o s t u l a t i n g an

c a t i o n . In o t h e r w o r d s , e v e n a n e g o t i a t e d s e c e s -

a l r e a d y i n d e p e n d e n t Q u e b e c as an e s t a b l i s h e d

sion m a y not b e a c c e p t a b l e if c o n s t i t u e n t p e o -

f a c t that the Pellet R e p o r t c a n m a k e t h e q u e s -

ples resist or e f f e c t i v e l y m o u n t their o p p o s i t i o n

tion of s e c e s s i o n so c e n t r a l a n d b a s e any r i g h t s

to a c h a n g e in status.

of t h e a b o r i g i n a l p e o p l e s in r e l a t i o n to a c o n -

A s i m i l a r line of o b j e c t i o n a p p l i e s to t h e

summated process.

t r e a t m e n t of the e m e r g e n t r i g h t of s e i f - d e t e r m i -

T h e Pellet R e p o r t h e l p f u l l y c o n f i r m s that

n a t i o n e n j o y e d by i n d i g e n o u s p e o p l e s in t h e

the r i g h t s of a b o r i g i n a l p e o p l e s a r e e m e r g e n t ,

P e l l e t R e p o r t . It a r g u e s u n p e r s u a s i v e l y

that

g a i n i n g s t e a d i l y in r e c o g n i t i o n . T h e r e p o r t a l s o

the f u l l r i g h t of s e l f - d e t e r m i n a t i o n , t h a t is, in-

n o t e s that t h e p o s i t i n g of a right of s e l f - d e t e r -

c l u d i n g s e c e s s i o n , p e r t a i n s o n l y in c o l o n i a l sit-

m i n a t i o n in the D r a f t D e c l a r a t i o n on the R i g h t s

uations. For one thing, the report

assumes,

of I n d i g e n o u s P e o p l e s , n o w b e i n g c o n s i d e r e d

w i t h o u t d e m o n s t r a t i n g , that a b o r i g i n a l p e o p l e s

by t h e H u m a n R i g h t s C o m m i s s i o n , is likely to

a r e not a p p r o p r i a t e l y e n t i t l e d to c l a i m

such

b e c o m e a s i g n i f i c a n t i n f l u e n c e , d e s p i t e the a p -

r i g h t s on t h e b a s i s of t h e i r " c o l o n i a l " e x p e r i -

p r e c i a t i o n that its d e g r e e of a u t h o r i t a t i v e n e s s

ence. T h e literature on the subject s u g g e s t s a

a n d i m p a c t is l i k e l y to r e m a i n u n c e r t a i n f o r a

g r o w i n g d i s p o s i t i o n to v i e w i n d i g e n o u s

considerable

and

p e r i o d of t i m e . But t h e

whole

a b o r i g i n a l p e o p l e s as v i c t i m i z e d by e x t r e m e

m a t t e r of the e x i s t e n c e of s u c h a right is d e t e r -

v a r i a n t s of c o l o n i z a t i o n a n d t h u s e n t i t l e d , e v e n

m i n e d to b e "of little c o n s e q u e n c e " by t h e P e l -

at this late s t a g e , to act u p o n s u c h i d e n t i t y a n d

let

e x e r c i s e w h a t e v e r l e g a l r i g h t s it i m p l i e s . F o r

b r o a d e s t c o n c e p t i o n of rights c o n t e m p l a t e d f o r

line of a r g u m e n t

because

even

in

"the

a n o t h e r , the c r u c i a l i m m e d i a t e i s s u e h e r e is

a b o r i g i n a l p e o p l e s , n o w h e r e " is it " p r o v i d e f d ]

o f t e n o n e of p a r t i c i p a t o r y r a t h e r t h a n s e c e s -

that t h e y s h o u l d h a v e a r i g h t of s e c e s s i o n . " 3 3

s i o n i s t r i g h t s , w h i c h is a c k n o w l e d g e d by t h e

T h i s p u t s t h e w h o l e m a t t e r of s e l f - d e t e r m i n a -

P e l l e t R e p o r t to p e r t a i n to all p e o p l e s ( i n c l u d -

tion f o r i n d i g e n o u s p e o p l e s , as it r e l a t e s

ing t h o s e n o t e n t i t l e d to c l a i m

independence

Q u e b e c , in a q u i t e m i s l e a d i n g p o s t u r e . T h e r e is

b e c a u s e their n o n c o l o n i a l s t a t u s ) . 3 0 Yet b e c a u s e

n o c l a i m b e i n g c u r r e n t l y m a d e or c o n t e m p l a t e d

t h e r e p o r t t a k e s a c c e s s i o n to b e c o n s u m m a t e d ,

on t h e issue of s e c e s s i o n by a b o r i g i n a l n a t i o n s .

it d o e s n o t e x p l o r e t h e r a m i f i c a t i o n s of s u c h

It is, at m o s t , a m a t t e r of d e c i d i n g

p a r t i c i p a t o r y r i g h t s e x c e p t in t h e m o s t g e n e r a l

there exists an outer limit restricting the right

t e r m s , f o r m u l a t e d as f o l l o w s : " F o r

colonial

of

self-determination

should

to

whether

secession

be

p e o p l e s , this c h o i c e i n c l u d e s t h e p o s s i b i l i t y of

c l a i m e d . T h e c e n t r a l c l a i m of a b o r i g i n a l p e o -

i n d e p e n d e n c e ; f o r o t h e r s , it e x c l u d e s i n d e p e n -

p l e s , h o w e v e r , is not s e c e s s i o n , but t h e i r r i g h t

d e n c e , but s i g n i f i e s at o n c e t h e r i g h t to o n e ' s

to a v o i d a n y c h a n g e of c i r c u m s t a n c e s t h a t is

29. Ibid., p. 35. 30. Ibid., pp. 40-4-2. 31. Ibid., p. 41. 32. T h o m a s Franck, " T h e E m e r g i n g Right of D e m o c r a t i c G o v e r n a n c e , " American tional Law 86, no. 1 (1992). 33. T h e Pellet Report, p. 55.

Journal

of

Interna-

The Right of Self-Determination

Under International

61

Law

existing

to the c o n t e m p l a t e d c h a n g e o f status, as h a s

a r r a n g e m e n t s and future p r o s p e c t s , and i f s o ,

b e e n the c a s e in relation to the separatist option

by w h a t m e a n s o f c o n s u l t a t i o n and p a r t i c i p a -

f o r Q u e b e c . T w o c e n t r a l q u e s t i o n s are r a i s e d :

perceived

to

be

harmful

to

their

tion, c o t e r m i n o u s with r e p r e s e n t a t i v e s o f Q u e -

D o such p e o p l e s e n j o y their o w n right o f s e l f -

b e c , and not m e r e l y as an a f t e r t h o u g h t o r in

d e t e r m i n a t i o n , and d o e s its e x e r c i s e i m p l y a

o r d e r to w o r k out an a r r a n g e m e n t that treats

full or partial right to take part in any n e g o t i a -

Q u e b e c ' s s e p a r a t i o n as a fait a c c o m p l i .

tions that m i g h t p r o d u c e an a c c e s s i o n to s o v e r -

T h e s e i s s u e s o f participation are important

e i g n t y ? T h i s m a t t e r o f an e m e r g e n t right

of

or

s e i f - d e t e r m i n a t i o n f o r i n d i g e n o u s p e o p l e s wiil

m o r e parts. I f o b j e c t i n g g r o u p s c l a i m to be a

be e x p l o r e d in the n e x t s e c t i o n . It introduces a

p e o p l e entitled to e x e r c i s e the right o f s e l f - d e -

s p e c i a l d i m e n s i o n into the c o n c e p t u a l d i s c u s -

whenever existing

states

break

into t w o

a

sion, as the " p e o p l e s " i n v o l v e d d o n ' t n o r m a l l y

m e c h a n i s m to e v a l u a t e the c l a i m and draw ap-

a s p i r e to c o n s t i t u t e t h e m s e l v e s as a m o d e r n

propriate legal c o n c l u s i o n s .

s o v e r e i g n state.

termination,

then

it is i m p o r t a n t

to h a v e

I f the

objecting

g r o u p s c o n t e n t t h e m s e l v e s with the status o f b e i n g " a m i n o r i t y , " then it s e e m s most helpful to v i e w c o m p l a i n t s as a series o f human rights challenges, possibly requiring special regimes o f guaranty and p r o t e c t i o n . T h e failure to take

The Claims of Indigenous Peoples to Possess a Distinct Right of Self-Determination Another recent development of some

conse-

such steps in relation to C r o a t i a and B o s n i a un-

q u e n c e is the i n s i s t e n c e by i n d i g e n o u s p e o p l e s ,

d o u b t e d l y c o n t r i b u t e d to the d o w n w a r d spiral

and their r e p r e s e n t a t i v e s , on a c o r e right

that e r u p t e d into v i c i o u s w a r f a r e . W i t h o u t e x -

self-determination

that b e f i t s their

of

generally

c u s i n g in any way the a t r o c i t i e s c o m m i t t e d by

s h a r e d a v o w a l o f s o v e r e i g n t y and n a t i o n h o o d .

the B o s n i a n S e r b s , their s e n s e o f a b u s e and n e -

T h e d e g r e e to w h i c h such a right o f s e l f - d e t e r -

g l e c t in

and

m i n a t i o n is c u r r e n t l y part o f i n t e r n a t i o n a l law

r e a s o n a b l e , e s p e c i a l l y in r e a c t i o n to G e r m a n y ' s

r e m a i n s u n c e r t a i n and c o n t r o v e r s i a l . T h e r e is,

encouragement

by

to be s u r e , no b i n d i n g f o r m a l i n s t r u m e n t that

way o f e x t e n d i n g d i p l o m a t i c r e c o g n i t i o n prior

e s t a b l i s h e s such a right, or for that matter c l a r -

to

any

1990-1991

was understandable

o f the Y u g o s l a v

reasonable

effort

to

breakup

reassure

Serb

minorities. This analytic position reinforces keeping

approaches

i f i e s its s c o p e , p a r t i c u l a r l y in relation to international s o v e r e i g n states within w h o s e territory

that rely on

peace-

preventive

o r t e r r i t o r i e s s u c h i n d i g e n o u s p e o p l e s and nations are situated.

diplomacy, acting before social, political, eco-

At the s a m e t i m e , there has b e e n a n o t a b l e

n o m i c , and political t e n s i o n s generate v i o l e n c e ,

e v o l u t i o n o f p o l i t i c a l c o n s c i o u s n e s s with re-

t h e r e b y o f f e r i n g parties an a l t e r n a t i v e to war.

s p e c t to s u c h a c l a i m , as w e l l as a p r o c e s s o f

A s s u c h , the right o f s e l f - d e t e r m i n a t i o n in c i r -

a c k n o w l e d g m e n t to a d e g r e e within the United

c u m s t a n c e s o f m u l t i p l e c l a i m s s h o u l d be s u b -

N a t i o n s and on the part o f e x i s t i n g states. It can

j e c t to a p r o c e s s o f p a r t i c i p a t i o n and a s s e s s -

be a r g u e d that the right o f s e l f - d e t e r m i n a t i o n

m e n t under r e s p e c t e d a u s p i c e s . T h i s kind o f

inheres in a p e o p l e , and need not be e s t a b l i s h e d

a p p r o a c h w i l l fail on s o m e o c c a s i o n s , but it

on its o w n , or that the path o f c u s t o m a r y inter-

s e e m s e v i d e n t that i f the g l o b a l c o m m u n i t y is

national law has b e e n c l e a r e d to a sufficient de-

to learn f r o m B o s n i a and e l s e w h e r e , then the

g r e e to admit o f the legal e x i s t e n c e o f a right o f

p o s t c o l o n i a l e x t e n s i o n s o f the right o f s e l f - d e -

s e l f - d e t e r m i n a t i o n . S u c h m a t t e r s are e m b e d d e d

t e r m i n a t i o n c a n n o t be a l l o w e d to u n f o l d on

in a gray s e c t o r o f c o n t r o v e r s y and i n d e f i n i t e -

t h e i r o w n . It is i n s t r u c t i v e to n o t e that w h e r e

n e s s and are l i k e l y to r e m a i n so f o r the n e x t

the b r e a k u p is m a i n l y v o l u n t a r y and the n e w

d e c a d e , at the very least.

entity d o e s not c o n t a i n s i g n i f i c a n t o b j e c t i n g or threatened m i n o r i t i e s , as w a s the c a s e in S l o v e nia, s u c h a c a u t i o u s , p r e v e n t i v e o r i e n t a t i o n is not a p p r o p r i a t e . T h e p r e s e n c e o f

indigenous

p e o p l e s within the s e c e d i n g e n t i t y p r e s e n t s a s p e c i a l p r o b l e m if t h e i r r e p r e s e n t a t i v e s o b j e c t

W h a t s e e m s e v i d e n t is that the e m e r g e n c e o f an array o f p o t e n t i a l c l a i m s b y i n d i g e n o u s p e o p l e s a r o u n d the w o r l d r e l a t i n g to the right o f s e l f - d e t e r m i n a t i o n adds to the current c o n f u sion as to the status o f the right and c o n t r i b u t e s to n e r v o u s n e s s on the part o f m a n y d i p l o m a t s

62 about the persistence of a right of self-determination in this postcolonial era. Of course, it is not strictly a postcolonial era, as certain colonies in a traditional sense continue to exist. France retains colonial possessions in the Pacific and Caribbean and gives no sign of a willingness to g i v e them up, but rather seeks to avoid the colonial opprobrium by characterizing its colonies as "integral" parts of France. A l s o relevant here is the contention by supporters of the claims of indigenous peoples that their exercise of the right of self-determination occurs within a " c o l o n i a l " context, that such peoples have been severely " c o l o n i z e d " and are as entitled, if not more so, to self-determination as are those peoples that were formally categorized as " c o l o n i a l . " There is historical and ethical merit in such a perspective, but its full acceptance appears to be very dangerous to the entrenched interests of the established order, possibly subjecting many states to territorial claims with devastating economic, political, and social e f f e c t s for the dominant population. What adds to the confusion in this setting is the intermixing of symbolic and substantive goals and the deliberate blurring of the distinction. If the claims to the right of self-determination were clearly symbolic as to full international statehood, then it would seem less threatening to a f f i r m the right. Unfortunately, part of the symbolic value of the right of selfdetermination is its affirmation of the unencumbered right of a people to choose its destiny, including, in theory, complete territorial sovereignty. The fact that such a claim cannot be successfully exercised within the setting of present world conditions does not altogether provide states with sufficient reassurance. If a right of self-determination is confirmed in a noncircumscribed form, then its full exercise can be threatened in order to achieve benefits in bargaining or negotiating circumstances, and there is no assurance that larger demands will not actually be made even if it would be irresponsible for an indigenous people to attempt to be fully independent. No end of this problematic challenge is currently in sight. A s with other aspects of controversy about the proper scope of the right of self-determination, it is too late to withdraw its applicability to the situation of indigenous peo-

Richard A Falk

ples. To attempt to do so would intensify conflict and would not be accepted by those who support the general improvement in the protection of indigenous peoples. It is also worth noting the legal progress that indigenous peoples have had in moving from the category of unprotected victims of the modernizing process to individuals entitled to protection by w a y of assimilationist norms of nondiscrimination to groups whose autonomous way of life deserves protection. The question posed is whether this latter goal, which is now widely enough endorsed by states to qualify as customary international law, also implies a full right of self-determination or whether the safeguarding of indigenous autonomy is a necessarily matter for negotiation and compromise. In this regard, the assertion of indigenous peoples' claims to the right of self-determination, based on historical and sacred attachments to specific land, now collides with parallel rights of self-determination by the people of the modern territorial state that is the encompassing reality. In other words, the full exercise of either right of self-determination would infringe on the right of the other. Some process of mutual adjustment is called for that accommodates the essential claims of both sides. With goodwill and sensitivity such an outcome is generally feasible. Finally, this aspect of the self-determination debate raises issues similar to the challenge posed by secessionist claims made in the f a c e of opposition by the prior political structure and by minorities that will find themselves subject to a new sovereign authority. There are two clusters of problems: the first involves whether the right of self-determination applies, and if so, does it allow for secession? The second involves the process, and whether those affected by a proposed breakup of a state are entitled to participate, and whether their consent is needed to validate a change in political arrangements. In these respects, the situation of the Serbian minorities in Croatia and B o s n i a structurally resembles that of the eleven indigenous nations in Quebec, ten of whom object to the separatist movement there. Since the movement now seems likely to fail at the referendum stage, the issues raised are unlikely to be tested fully and will remain unresolved.

The Right of Self-Determination

Under International

A Concluding Note

Law

63

And yet, to dismiss self-determination as

T h e evolution o f the right o f self-determination

an option is impossible at this stage. Its reality

is one o f the most dramatic normative develop-

has sunk too deeply into political and legal

ments in this century. During the height o f the

consciousness, and there remain in the world

decolonization process, affirming rights o f self-

too many distinct peoples enduring alien and

determination seemed fully in step with the

oppressive rule.

march o f history, having an overall positive ef-

There are no fully satisfactory solutions.

fect on the human condition, freeing hundreds

In some settings, self-determination struggles

o f millions from colonial bondage.

can be avoided by a timely guaranty o f group

The identification o f the right with people

rights. In others, self-determination claims can

in a world in which many peoples lack a state

be satisfied by ensuring self-rule and self-ad-

o f their own or are victimized by an oppressive

ministration in the spirit o f the Liechtenstein

state

The

proposals. These proposals have the great merit

breakup o f the Soviet Union and Yugoslavia

of preserving the symbolic aura o f self-deter-

have dramatized these problems, generating in-

mination while reducing its threatening sub-

tense civil strife due to an array o f efforts to re-

stantive implications. The limit situation arises

is

bound

to

produce

problems.

constitute states in a manner that entraps other

where substance, as well as symbol,

peoples, hence causing a collision o f political

essence and takes the form o f a state-shattering

is o f

wills and passions.

movement.

Commentary Ruth

Lapidoth

T

he right of self-determination has been one

right they freely determine their political status

o f the most intriguing and enigmatic no-

and freely pursue their e c o n o m i c , social and

tions o f modern international law. While many

cultural development." The second paragraph

experts are o f the opinion that this right does

deals with the right o f all peoples to their nat-

exist, some deny its validity because o f its

ural wealth and resources, and the third requires

vagueness. 3 4 Others have tried to limit its ap-

states, including those having responsibility for

plicability in view o f its "state-shattering" effect,

the administration o f non-self-governing and

that is, the fact that it is not reconcilable with the

trust territories, to promote the realization o f

right of existing states to territorial integrity.

self-determination. 1 5

Moreover, enthusiasm for

self-determination

has decreased after 1989 due to the acts o f violence engendered by the dismemberment o f the Soviet Union and Yugoslavia.

This provision leaves many questions unsolved, as we shall soon see. First, however, it should be emphasized that it deals with two aspects o f self-determination: the " e x t e r n a l " as-

According to the two 1966 International

pect—the right o f a people to determine its in-

Covenants on Human Rights, "all peoples have

ternational status, and the " i n t e r n a l " o n e — t h e

the right o f self-determination. By virtue o f that

right o f a people to choose its own system o f

34. For example, Michla Pomerance, Self-Determination in Law and Practice (Dordrecht: Nijhoff, 1982), at pp. 67, 7 3 - 7 6 . The legal validity of the right of self-determination has also been denied by J.H.W. Verzijl, International Law in Historical Perspective, vol. 1 (Leiden: Sijthoff, 1968), pp. 3 2 1 - 3 3 6 , at pp. 321 and 324, as well as by Sir Gerald Fitzmaurice, Institut de Droit International, Livre du Centenaire 1873-1973 (Basel: Editions Kroger, 1973), p. 196, at p. 233. 35. United Nations Treaty Series, vol. 999, p. 171, and vol. 993, p. 3.

Ruth

64

Lapidoth

governing

It is u s u a l l y r e c o g n i z e d t h a t t h e e x t e r n a l

t h r o u g h a r e p r e s e n t a t i v e g o v e r n m e n t in a d e m -

right to s e l f - d e t e r m i n a t i o n a p p l i e s to colonial

ocratic regime.

s i t u a t i o n s , 3 8 t o c a s e s o f p e o p l e s s u b j e c t e d to

government

and to participate

in

at-

f o r e i g n or alien d o m i n a t i o n , as well as to the

t e m p t w i l l b e m a d e t o e x a m i n e s o m e of t h e

e n t i r e p e o p l e of a g i v e n s t a t e . 3 9 B u t o p i n i o n s

After these preliminary

r e m a r k s , an

w e a k n e s s e s of t h e n o t i o n o f s e l f - d e t e r m i n a t i o n

are very divided over the question

and perhaps

g r o u p s , or " p e o p l e s " within an e x i s t i n g inde-

reach

some

conclusions

on

its

whether

m e a n i n g and validity.

p e n d e n t S t a t e m a y a l s o c l a i m it. It is g e n e r a l l y

Self-Determination: Some of the Unanswered Questions

g r o u p s a n d all i n d i v i d u a l s e n j o y t h e r i g h t of

T h e most severe p r o b l e m stems f r o m the fact

political participation.

that a clear d e f i n i t i o n d o e s not exist of the

v i d e d w i t h r e g a r d to a p o s s i b l e r i g h t t o e x t e r -

groups

nal s e l f - d e t e r m i n a t i o n , namely,

recognized,

that

qualify

for

and

even

emphasized,

that

all

i n t e r n a l s e l f - d e t e r m i n a t i o n , t h a t is, t h e r i g h t to

self-determination,

n a m e l y , w h o is a p e o p l e in t h i s c o n t e x t . M o s t d e f i n i t i o n s of a p e o p l e i n c l u d e t w o e l e m e n t s :

But opinions

are

the right

dito

secede. Literally, the a b o v e p r o v i s i o n

recognizes

t h e e x i s t e n c e of o b j e c t i v e l i n k s , s u c h as c u l t u r a l

t h e r i g h t t o s e l f - d e t e r m i n a t i o n of " a l l p e o p l e s . "

and

O n the o t h e r hand, the international c o m m u n i t y

historic ties, and a c o m m o n

subjective

wish to belong together. But these are also the

is, in p r i n c i p l e , o p p o s e d to a n y v i o l a t i o n o f t h e

i n g r e d i e n t s of t h e n o t i o n of a n e t h n i c g r o u p ,

t e r r i t o r i a l i n t e g r i t y of e x i s t i n g s t a t e s . S o m e of

a n d it is d i f f i c u l t t o d r a w t h e l i n e b e t w e e n p e o -

t h e r e s o l u t i o n s of t h e U n i t e d N a t i o n s G e n e r a l

p l e s a n d e t h n i c g r o u p s . T h e d i s t i n c t i o n is i m -

A s s e m b l y ( a n a l y z e d in P r o f e s s o r F a l k ' s p a p e r )

portant since only " p e o p l e s " h a v e the right to

e x p r e s s l y state that s e l f - d e t e r m i n a t i o n

self-determination, while ethnic groups

not disrupt the national unity a n d the territorial

may

merely enjoy minority rights.36 T h e l a c k of a c l e a r d e f i n i t i o n of t h e n o t i o n

should

i n t e g r i t y of a c o u n t r y . 4 0 H e n c e , m o s t a u t h o r s c o n s i d e r that t h e r i g h t

of a p e o p l e i n t r o d u c e s a s e v e r e a m b i g u i t y a n d

of s e l f - d e t e r m i n a t i o n d o e s n o t j u s t i f y

an e l e m e n t of s u b j e c t i v i t y , o f t e n l e a d i n g t o a

sion.41 O t h e r s , h o w e v e r , have tried to strike a

d o u b l e s t a n d a r d in t h e r e c o g n i t i o n of t h e r i g h t

balance b e t w e e n the two n o r m s . P r o f e s s o r Falk

t o s e l f - d e t e r m i n a t i o n in s p e c i f i c c a s e s , a n d , in

c o n s i d e r s that e a c h c a s e s h o u l d b e e x a m i n e d o n

seces-

t h e w o r d s of T h o m a s M . F r a n c k , t o " t h e g r a d -

its m e r i t s a n d t h a t in a h o m o g e n e o u s

ual d e s c e n t of s e l f - d e t e r m i n a t i o n i n t o u n p r i n c i -

secession

pled conceptual incoherence."37

T h o m a s F r a n c k , b a s i n g h i s idea o n " t h e n o t i o n

should

be m o r e

easily

region

permitted.

36. O n the interaction of m i n o r i t i e s ' rights and p e o p l e s ' rights to s e l f - d e t e r m i n a t i o n , see P a t r i c k T h o r n berry, " S e l f - D e t e r m i n a t i o n , M i n o r i t i e s , H u m a n R i g h t s : A R e v i e w of I n t e r n a t i o n a l I n s t r u m e n t s , " International and Comparative Law Quarterly 38 ( 1 9 8 9 ) : 8 6 7 - 8 8 9 . 37. T h o m a s M. F r a n c k , The Power of Legitimacy Among Nations ( O x f o r d : C l a r e n d o n P r e s s , 1990), at pp. 153, 1 6 2 - 1 6 5 . 38. It s e e m s that the i n h a b i t a n t s of a n o n i n d e p e n d e n t territory h a v e the right to s e l f - d e t e r m i n a t i o n irres p e c t i v e of w h e t h e r they c o n s t i t u t e a " p e o p l e " ; see Hurst H a n n u m , Autonomy, Sovereignty and Self-Determination—The Accommodation of Conflicting Rights ( P h i l a d e l p h i a , P e n n . : U n i v e r s i t y of P e n n s y l v a n i a Press, 1990), p. 36. 39. S e e , f o r e x a m p l e , R o s a l y n H i g g i n s , Problems and Process—International Law and How We Use It ( O x f o r d : C l a r e n d o n P r e s s , 1994), at pp. 1 1 3 - 1 1 4 , 1 1 5 - 1 1 6 , 124; A n t o n i o C a s s e s e , Self-Determination of Peoples—A Legal Reappraisal ( C a m b r i d g e U n i v e r s i t y P r e s s , 1995), pp. 5 9 - 6 0 a n d 3 2 6 . 4 0 . F o r e x a m p l e , U . N . G e n e r a l A s s e m b l y R e s . 1 5 1 4 ( X V ) of 14 D e c e m b e r 1960. 41. F o r e x a m p l e , Hurst H a n n u m , Autonomy, Sovereignty, p. 46, and " R e t h i n k i n g S e l f - D e t e r m i n a t i o n , " Virginia Journal of Internationa! Law 34 (1993): 1 - 6 9 , at pp. 4 1 - 5 7 , and 67; M i c h l a P o m e r a n c e , " S e l f - D e t e r m i n a t i o n : T h e M e t a m o r p h o s i s of an Ideal," Israel Law Review 19 (1984): 3 1 0 - 3 3 9 , at p. 320; A n t o n i o C a s s e s e , Self-Determination of Peoples, p. 339; Allan R o s a s , "Internal S e l f - D e t e r m i n a t i o n , " in C h r i s t i a n T o m u s c h a t , ed., Modern Law of Self-Determination ( D o r d r e c h t : N i j h o f f , 1993), pp. 2 2 5 - 2 5 2 , at p. 2 2 8 . O n the o t h e r h a n d , D a n i e l T u r p , an expert o n F r e n c h - C a n a d i a n issues, c o n s i d e r s that a right to s e c e s s i o n d o e s e x i s t u n d e r the 1 9 6 6 H u m a n R i g h t s C o v e n a n t s ; see D a n i e l T u r p , " L e droit d e s e c e s s i o n en droit i n t e r n a t i o n a l p u b l i c , " Canadian Yearbook of International Law 2 0 ( 1 9 8 2 ) : 2 4 - 7 8 .

Commentary

of entitlement to equality," proposes that "selfd e t e r m i n a t i o n is a right applicable to any distinct region in which the inhabitants do not enjoy rights equal to those accorded all people in other parts of the same state," 4 2 while Lee C. Buchheit considers " r e m e d i a l secession" to be the ultimate remedy permitted in case of oppression. 4 3 According to Lea Brilmayer, secession is lawful where the seceding g r o u p not only aspires to s e l f - d e t e r m i n a t i o n but also claims disputed territory based on a historical grievance. 4 4 Allen Buchanan, a p r o f e s s o r of philosophy, maintains that "there is a moral right to secede, but it is a qualified right. Two of the chief qualifications are (a) that secession be consistent with the requirements of distributive justice as they apply to the resources the secessionists appropriate, and (b) that secession not deprive third parties (in particular the children and later d e s c e n d a n t s of the secessionists) of their f u n d a m e n t a l rights and liberties." T h e most o b v i o u s j u s t i f i c a t i o n s for secession are the reappropriation of territory w r o n g f u l l y taken and discriminatory redistribution. 4 5 As for the practice of states, it is ambiguous. While the secession of Katanga f r o m Congo-Leopoldville (today Zaire) and of Biafra f r o m Nigeria were not w e l c o m e d , Bangladesh was recognized and admitted to the United Na-

65 tions. 4 6 T h e d i s m e m b e r m e n t of the Soviet Union and of Yugoslavia, and its relation to self-determination, has been discussed in Professor Falk's paper. A n o t h e r m a j o r p r o b l e m related to the question of w h o q u a l i f i e s f o r external selfd e t e r m i n a t i o n c o n c e r n s minorities within the group that strives for self-determination. Does the minority that o p p o s e s secession have a right to prevent it? P r o f e s s o r Falk e x a m i n e s this question on the basis of the example of the eleven i n d i g e n o u s g r o u p s that live in Q u e b e c ; ten of these g r o u p s wish to remain part of C a n a d a , and the question is whether Q u e b e c may nevertheless secede. One could also envisage a situation where the minority, though not wishing to remain part of the original state, wants to secede f r o m the larger group that strives for secession. Last but not least, do indigenous people have the right of s e l f - d e t e r m i n a t i o n ? Again, opinions are divided, at least on the scope of the right to self-determination of these groups. 4 7 There are additional questions related to self-determination. W h a t are the modalities of self-determination? According to earlier United Nations General Assembly resolutions, The establishment of a sovereign and independent State, the free association or integration with an independent State or the emergence

42. Thomas Franck, The Power of Legitimacy, p. 168. 43. Lee C. Buchheit, Secession: The Legitimacy of Self-Determination (New Haven, Conn., Yale University Press, 1978), p. 222. See also Robin C.A. White, "Self-Determination: Time for a Re-Assessment?" Netherlands International Law Review 28 (1981): 147-170; Dietrich Murswiek, "The Issue of a Right of Secession—Reconsidered," in Christian Tomuschat, ed., Modern Law, pp. 21^10. 44. Lea Brilmayer, "Secession and Self-Determination: A Territorial Interpretation," Yale Journal of International Law 16 (1991): 177-202. 45. Allen Buchanan, "Towards a Theory of Secession," Ethics 101 (January 1991): 342. See also Lloyd N. Cutler, "The Dilemma of Secession," The Washington Post (July 21, 1991). Professor Buchanan has further developed his moral reflections on secession in a monograph: Allen Buchanan, Secession: The Morality of Political Divorce from Fort Sumter to Lithuania and Quebec (Boulder, Colo.: Westview Press, 1991). 46. For a comparison of this case of secession with other attempts that have failed, see Lee Buchheit, Secession, pp. 138-215. 47. See, for example, the 1994 Draft Declaration on the Rights of Indigenous Peoples, prepared by the Working Group on Indigenous Populations of the Sub-Commission on Prevention of Discrimination and Protection of Minorities, UN Doc. E/CN.4/Sub.2/1994/56, of 28 October 1994. The declaration was adopted by the sub-Commission on 26 August 1994. On 3 March 1995, the UN Commission on Human Rights, by resolution 1995/32, established a working group to elaborate a draft declaration— E/CN.4/1995/L.11, Add. 2, of 3 March 1995. See also Erica-Irene A. Dais, "Some Considerations on the Rights of Indigenous Peoples to Self-Determination," Transnational Law and Contemporary Problems 3 (1993): 1-11; Gudmundur Alfredsson, "The Right of Self-Determination and Indigenous Peoples," in Christian Tomuschat, Modern Law, pp. 41-54.

66

Ruth

into any other political status freely determined by a p e o p l e constitute m o d e s of implementing the right of self-determination by that p e o p l e . 4 8

Lapidcth

c e r t a i n t e r r i t o r i a l f r a m e m a y c h a n g e , it is imp o r t a n t to d e c i d e on a " c r i t i c a l d a t e , " n a m e l y , t h e s p e c i f i c d a t e at w h i c h a p e r s o n h a d to l i v e in t h e a r e a in o r d e r to q u a l i f y f o r p a r t i c -

B u t in r e c e n t y e a r s t h e G e n e r a l A s s e m b l y h a s

i p a t i o n in t h e v o t e . T h i s m a t t e r is p a r t i c u l a r l y

u s u a l l y d e a l t w i t h s e l f - d e t e r m i n a t i o n as if it

evident

were a synonym for independence.

the F a l k l a n d / M a l v i n a s Islands, and Western

T h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n c o n t r a d i c t s t h e r u l e of uti possidetis, which newly established

states'

in

the

disputes

about

Gibraltar,

Sahara.

a c c o r d i n g to

A n o t h e r i n t e r e s t i n g q u e s t i o n c o n c e r n s the

boundaries

n u m b e r of t i m e s a p e o p l e m a y e x e r c i s e the

s h o u l d f o l l o w t h o s e t h a t e x i s t e d in c o l o n i a l

right of s e l f - d e t e r m i n a t i o n . I n t e r n a l s e l f - d e t e r -

t i m e s . In t h e p a s t , t h i s p r i n c i p l e u s e d to b e

m i n a t i o n is c e r t a i n l y an o n g o i n g p r o c e s s , 5 - but

applied

mainly

in

Latin

America,49

but

in 1 9 8 6 , in s e t t l i n g t h e f r o n t i e r d i s p u t e b e t w e e n Burkina Faso and Mali, the

h o w o f t e n m a y a p e o p l e d e t e r m i n e its e x t e r n a l status?

Interna-

S i n c e m a n y c o n s i d e r the p r i n c i p l e of self-

t i o n a l C o u r t of J u s t i c e d e c l a r e d it t o b e u n i -

d e t e r m i n a t i o n to b e a s u p e r i o r rule, o n e c o u l d

v e r s a l l y a p p l i c a b l e . 5 0 P r o f e s s o r F a l k s e e m s to

h a v e e x p e c t e d that it s h o u l d be u n i v e r s a l l y ap-

p r e f e r s e l f - d e t e r m i n a t i o n in c a s e of c o n t r a d i c -

p l i c a b l e , but it d o e s not a p p l y in Latin A m e r i c a

t i o n , w h i l e o t h e r a u t h o r s g i v e p r i o r i t y to uri

n o r in A f r i c a . In t h e s e c o n t i n e n t s t h e s t a b i l i t y

possidetis.51

of b o u n d a r i e s b a s e d on t h e d e l i m i t a t i o n inher-

M a y m e m b e r s of t h e " p e o p l e " w h o live

ited f r o m c o l o n i a l t i m e s h a s b e e n p r e f e r r e d to

a b r o a d t a k e part in t h e d e c i s i o n o n its f u t u r e

s e l f - d e t e r m i n a t i o n , as i l l u s t r a t e d by b o u n d a r y

s t a t u s ? W h o d e c i d e s w h a t o p t i o n s a r e to b e

s e t t l e m e n t s b e t w e e n L a t i n A m e r i c a n states and

s u b m i t t e d to the m e m b e r s of the p e o p l e ? W h a t

by c e r t a i n r e s o l u t i o n s of t h e O r g a n i z a t i o n of

is the territorial f r a m e in w h i c h s e l f - d e t e r m i n a -

African Unity.5i

tion is to be i m p l e m e n t e d a n d w h o d e c i d e s on

T h e r e is a n o t h e r c r u c i a l q u e s t i o n : W h a t is

the d e f i n i t i o n of this f r a m e ? An i n t e r e s t i n g c a s e

the relation b e t w e e n the right to s e l f - d e t e r -

t h a t i l l u s t r a t e s t h i s p r o b l e m is t h e i s l a n d of

m i n a t i o n a n d t h e p r o h i b i t i o n of t h e t h r e a t o r

M a y o t t e s i t u a t e d o f f t h e c o a s t of E a s t A f r i c a .

u s e of f o r c e i n c l u d e d in A r t i c l e 2 ( 4 ) of t h e

T h e C o m o r o s a r c h i p e l a g o c o n s i s t s of s e v e r a l

U n i t e d N a t i o n s C h a r t e r ? A s is w e l l - k n o w n ,

islands; when France granted them

the o n l y e x c e p t i o n s to this p r o h i b i t i o n

indepen-

are

d e n c e , t h e i n h a b i t a n t s of o n e of t h e i s l a n d s ,

self-defense (under Article 51) and collective

Mayotte,

to

e n f o r c e m e n t m e a s u r e s authorized by the Se-

F r a n c e . S h o u l d the d e c i s i o n on s e l f - d e t e r m i n a -

preferred

to

remain

attached

curity Council (under Chapter VII). Never-

tion b e m a d e by t h e i n h a b i t a n t s of all the is-

theless, some politicians and writers

l a n d s t o g e t h e r , or m a y o n e of t h e m r e f u s e to b e

maintained

i n c l u d e d in t h e g r o u p ?

p e r m i t t e d f o r t h e a c h i e v e m e n t of s e l f - d e t e r -

A n o t h e r q u e s t i o n c o n c e r n s the relevant date. Since majorities and minorities

in a

that

the

use

of

force

is

have also

m i n a t i o n . 5 4 Others have rejected this claim s i n c e in t h e i r o p i n i o n it c o n t r a d i c t s t h e U N

48. Resolution 2 6 2 5 ( X X V ) , 24 O c t o b e r 1970. 49. A.O. C u k w u r a h , The Settlement of Boundary Disputes in International Law ( M a n c h e s t e r , U.K.: Manchester University Press, 1967), pp. 112-116 and 1 9 0 - 1 9 9 . 50. Frontier Dispute (Burkina Faso/Mali), International Court of Justice, Reports (1986), p. 566. T h e court was aware of a possible incompatibility with self-determination—ibid., pp. 5 6 6 - 5 6 7 . 51. For example, Rosalyn Higgins, Problems and Process, pp. 122-123; Antonio Cassese, Self-Determination of Peoples, pp. 1 9 0 - 1 9 3 , 332, 335. 52. Rosalyn Higgins, ibid., p. 120. 53. E d u a r d o Jimenez de Arechaga, " B o u n d a r i e s in Latin A m e r i c a : Uti Possidetis Doctrine," in Rudolf B e r n h a r d t , ed., Encyclopedia of Public International Law 1 (1992), pp. 4 4 9 - 4 9 3 ; Ian B r o w n l i e , " B o u n d a r y Disputes in A f r i c a , " ibid., pp. 4 6 0 - 4 6 4 . 54. See, for e x a m p l e , G e o r g e s Abi-Saab, "Wars of National Liberation and the L a w s of War," Annales d'Etudes Internationales 3 (1972): 1 0 0 - 1 0 1 and notes 18-19.

Commentary

67

Charter. 5 5 In fact, there are f o u r questions related

Conclusions

to the use of force in the context of self-determi-

Opinions

nation. First, m a y the p e o p l e that strive for self-

diverse, but o f t e n e x t r e m e . T h u s , Arnold T o y n b e e

on s e l f - d e t e r m i n a t i o n

are not

only

d e t e r m i n a t i o n use f o r c e ? Second, m a y other states

wrote in 1925 that " s e l f - d e t e r m i n a t i o n is m e r e l y

assist that p e o p l e by f o r c e ? T h i r d , m a y the state

the statement of a p r o b l e m and not the solution to

f r o m w h i c h the people wish to secede use force in

it," 6 1 and Joerg Fisch e x p r e s s e d in 1995 the opin-

o r d e r to prevent the secession? A n d fourth, would

ion

the a r m e d hostilities b e t w e e n the p e o p l e and the

Voelker w i r d z u m O p i u m f u e r die Voelker. Sie

central g o v e r n m e n t be subject to the rules of in-

sollen sich e i n b i l d e n , sie h a e t t e n es. A b e r w e h e ,

ternational or of internal a r m e d conflicts? 5 6

sie b e g e h r e n e s . " 6 2 O n the other h a n d , m a n y c o n -

Finally, a n o t h e r q u e s t i o n c o n c e r n s t h e rel-

that

"Das

Selbstbestimmungsrecht

der

sider it a condition for legitimacy.

a t i v e e f f e c t of t h e p r i n c i p l e . F o r s o m e , it w a s

A l t h o u g h h a i l e d a n d a c c l a i m e d by m a n y

a n d still is a m e r e l y political m a x i m , 5 7 f o r o t h -

f o r a b o u t f o r t y y e a r s , s i n c e 1989, it h a s lost

e r s it has a l w a y s b e e n a legally b i n d i n g p r i n c i -

m u c h of its g l a m o r d u e to t h e v a r i o u s c a s e s of

p l e , and f o r a third g r o u p it has b e c o m e a b i n d -

use of f o r c e on e t h n i c g r o u n d s that the p a r t i e s

ing

rule

in t h e

1960s

and

1970s with

the

tried to j u s t i f y b y r e f e r e n c e to t h e p r i n c i p l e .

p r a c t i c e of d e c o l o n i z a t i o n a n d the a d o p t i o n of

O n e h a s to a g r e e w i t h P r o f e s s o r Falk that " t h e

the 1966 International C o v e n a n t s on

law o n s e l f - d e t e r m i n a t i o n is in f l u x . "

Human

R i g h t s . 5 8 A s s u m i n g that it has b i n d i n g f o r c e , it m a y be a s k e d w h e t h e r it is a rule of jus itivum,

It s e e m s that t h e m a i n i s s u e s c o n c e r n situ-

dispos-

a t i o n s of c o n f l i c t i n g c l a i m s to s e l f - d e t e r m i n a -

w h i c h p e r m i t s d e r o g a t i o n by c o n s e n t , 5 9

tion a n d t h e p r o b l e m of s e c e s s i o n . W h e r e t w o

or w h e t h e r it is a jus

cogens,

a peremptory

norm prevailing over other rules.60

g r o u p s c l a i m the right to s e l f - d e t e r m i n a t i o n in the s a m e territory, the s i t u a t i o n c a n e a s i l y lead

55. Michla Pomerance, Self-Determination in Law, pp. 4 8 - 6 2 , and " S e l f - D e t e r m i n a t i o n , " pp. 3 3 4 - 3 3 6 ; John R. Dugard, "The Organisation of African Unity and Colonialism: An Inquiry into the Plea of SelfD e f e n c e as a Justification for the Use of Force in the Eradication of C o l o n i a l i s m . " International and Comparative Law Quarterly 16 (1967): 157-190. According to Robert E. Gorelick, "at the m o m e n t an unlimited right to resort to revolt does not exist. ... [However] all M e m b e r States of the United Nations ... have recognized a right to revolt by colonial peoples when armed force [excluding police action to maintain law and order] is first used against them to prevent them from exercising their right to self-det e r m i n a t i o n " — " W a r s of National Liberation: Jus ad bellum," Case Western Reserve Journal of International Law 11 (1979): 93. 56. For an analysis of the various q u e s t i o n s and opinions, see Heather A. Wilson, International Law and the Use of Force by National Liberation Movements ( O x f o r d : Clarendon Press, 1988), and Edward K w a k w a , " R e v i e w Essay," Yale Journal of International Law 14 (1989): 1 9 9 - 2 1 2 . 57. J.H.W. Verzijl, International Law; Sir Gerald Fitzmaurice, Institut de Droit. For a critical c o m m e n t on self-determination f r o m a political and a historical point of view, see Eli Kedourie, "What Is Wrong with ' N a t i o n a l i s m ' ? W h a t ' s Right with the ' B a l a n c e of P o w e r ' ? A C o n v e r s a t i o n , " in Uri R a ' a n a n et al., eds., State and Nation in Multi-Ethnic Societies (1991), pp. 224 and 229. 58. For e x a m p l e , A l e x a n d r e Charles Kiss, " T h e P e o p l e s ' Right to S e l f - D e t e r m i n a t i o n , " Human Rights Journal 7 (1986): pp. 1 6 5 - 1 7 5 , at p. 174. 59. For e x a m p l e , Aureliu Christescu, "The Right to Self-Determination: Historical and Current Develo p m e n t s on the Basis of United Nations I n s t r u m e n t s , " U N Doc. E / C N . 4 / S u b . 2 / 4 0 4 / R e v . 1, Sales No. E.80.XIV.3 (1981), pp. 2 3 - 2 4 , para. 154. 60. H e c t o r G r o s Espiell, " S e l f - D e t e r m i n a t i o n and Jus Cogens," in A n t o n i o C a s s e s e , ed., U.N. Law / Fundamental Rights: Two Topics in International Law (Leiden: Sijthoff, 1979), pp. 1 6 7 - 1 7 3 ; Vladimir A. K a r t a s h k i n , " I n t e r n a t i o n a l Protection of Minorities: T h e Soviet P e r s p e c t i v e , " Israel Yearbook on Human Rights 20 (1990): 3 0 9 - 3 1 8 ; Antonio Cassese, Self-Determination of Peoples, pp. 134-140. According to Ian Brownlie, it is " p r o b a b l y " a rule of jus cogens, but there are m a n y p r o b l e m s of application, "particularly in regard to the effect of self-determination on the transfer of t e r r i t o r y " — P r i n c i p l e s of Public International Law, 4th ed. ( O x f o r d : Clarendon Press, 1990), at pp. 513, 515. 61. Arnold J. Toynbee, " S e l f - D e t e r m i n a t i o n , " The Quarterly Review 4 8 4 (1925): 319. 62. Joerg Fisch, " S e l b s t b e s t i m m u n g s r e c h t — O p i u m f u e r die V o e l k e r ? " Neue Zuericher Zeitung 209, 9 - 1 0 ( S e p t e m b e r 1995): 17.

68

Ruth

Lapidoth

A s to s e c e s s i o n , t h e q u e s t i o n is w h e t h e r

whole people belonging to the territory without distinction as to race, c r e e d or colour (emphasis added by author).

s e l f - d e t e r m i n a t i o n p e r m i t s s e c e s s i o n f r o m an in-

T h e p l a i n m e a n i n g of t h i s p a r a g r a p h s e e m s t o

d e p e n d e n t state. T h i s q u e s t i o n has b e e n d i s -

b e that if internal s e l f - d e t e r m i n a t i o n is properly

c u s s e d in detail a b o v e , and h e r e an a t t e m p t will

i m p l e m e n t e d , there is n o right of s e c e s s i o n .

t o a r m e d c o n f l i c t a n d t o b i a s e d a t t i t u d e s by o t h e r states.

b e m a d e to r e f e r to s o m e ideas for m i t i g a t i n g or

According

to a n o t h e r r a t h e r

innovative

m a n a g i n g c o n f l i c t s related to s e l f - d e t e r m i n a t i o n .

p e r s p e c t i v e , c l a i m s for s e l f - d e t e r m i n a t i o n and

S e c e s s i o n m a y b e p e r m i t t e d if a c h i e v e d by

m i n o r i t y r i g h t s s h o u l d be s e t t l e d on a n o n t e r r i -

c o n s e n t of all t h o s e c o n c e r n e d a n d w i t h d u e re-

torial

g a r d to the r i g h t s of t h o s e i n h a b i t a n t s of the se-

s t a t e s , t h e r e s h o u l d be e s t a b l i s h e d a s y s t e m of

a n d n o n s t a t i s t b a s i s : in p a r a l l e l

with

c e d i n g g r o u p w h o are o p p o s e d to s e c e s s i o n — a

n a t i o n s , c o u p l e d w i t h a d e c r e a s e of state sover-

c a s e d i s c u s s e d in d e t a i l by P r o f e s s o r F a l k . A s

e i g n t y a n d w i t h a n e w a l l o c a t i o n of p o w e r s ,

e x a m p l e s of s e c e s s i o n

w i t h f u n c t i o n a l b o r d e r s — a n d w i t h a distinction

by c o n s e n t , o n e

can

p o i n t to S l o v a k i a .

b e t w e e n c i t i z e n s h i p , a link to t h e state, a n d na-

In o t h e r c a s e s , o n e s h o u l d r e m e m b e r t h e f o l l o w i n g p r o v i s i o n in the 1970 D e c l a r a t i o n of P r i n c i p l e s of I n t e r n a t i o n a l

Law

Concerning

Friendly Relations and Co-operation

tionality, a link to the n a t i o n . 6 4 If o n e w i s h e s to r e m a i n in a m o r e classical f r a m e w o r k , it s h o u l d be r e m e m b e r e d that self-

Among

d e t e r m i n a t i o n c a n be a c h i e v e d in m a n y c a s e s ,

S t a t e s in A c c o r d a n c e w i t h t h e C h a r t e r of t h e

p a r t i c u l a r l y b e f o r e the c o n f l i c t h a s g e n e r a t e d

United Nations:63 Nothing in the foregoing paragraphs shall be construed as authorizing or encouraging any action which would dismember or impair, totally or in part, the territorial integrity or political unity of sovereign and independent States conducting themselves in compliance with the principle of equal rights and self-determination of peoples as described above and thus possessed of a government representing the

s t r o n g a n t a g o n i s m and s e v e r e m i s t r u s t , by the g r a n t i n g of a u t o n o m y , or s e l f - a d m i n i s t r a t i o n , in the w o r d s of the L i e c h t e n s t e i n p r o p o s a l . M o r e a n d m o r e a u t h o r s s e e m to c o n s i d e r a u t o n o m y o r " f u n c t i o n a l s o v e r e i g n t y " 6 5 to b e a v i a b l e m e a n s of s e l f - d e t e r m i n a t i o n 6 6 in a w o r l d w h e r e there

is a t r e n d

toward

federalization

and

regionalization.

63. UN General Assembly Res. 2 6 2 5 ( X X V ) , of 24 October 1970. 64. Gidon Gottlieb, Nation Against Stale: A New Approach to Ethnic Conflicts and the Decline of Sovereignty (New York: Council on Foreign Relations Press, 1993), pp. 3 - 5 . David J. Elkins, too, envisages "a greater role for non-territorial organizations and identities" in the next c e n t u r y — s e e David J. Elkins, Beyond Sovereignly—Territory and Political Autonomy in the Twenty-First Century (University of Toronto Press, 1995), p. 6. See also T h o m a s Fleiner, "State Without N a t i o n - R e c o n s i d e r i n g the Nation-State C o n c e p t , " C o n f e r e n c e at the L a w Faculty of the H e b r e w University of J e r u s a l e m (14 Dec e m b e r 1994). 65. Hurst H a n n u m " R e t h i n k i n g S e l f - D e t e r m i n a t i o n , " p. 66. 66. Alexandre Kiss, " T h e P e o p l e s ' Right," at p. 173; Ian Brownlie, "The Rights of Peoples in Modern International Law," in James Crawford, ed., The Rights of Peoples (Oxford University Press, 1988), pp. 1 - 1 6 ; Peter Malanczuk, " T h e Kurdish Crisis and Allied Intervention," European Journal of International Law 2 (1991): 114-132, p. 124; Allen Buchanan, "Self-Determination and the Right to Secede," Journal of International Affairs 4 5 : 2 (Winter 1992): 3 4 7 - 3 6 6 , p. 3 5 1 - 3 5 2 ; Alexis Heraclides, "Secession and Third-Party Intervention," Journal of International Affairs 45:2 (Winter 1992): 3 9 0 - 4 2 0 , at p. 400; LungChu Chen, " S e l f - D e t e r m i n a t i o n and World Public Order," Notre Dame Law Review 66 (1991): 1287-1297, at pp. 1288 and 1291; Hurst H a n n u m , (1990), Autonomy, Sovereignty, pp. 4 7 3 ^ 4 7 5 , and "Rethinking Self-Determination," pp. 34, 64—65; Antonio Cassese, Self-Determination of Peoples, pp. 124, 3 5 2 - 3 5 9 ; Henry S c h e m e r s , "The Bond Between Man and State," in Recht zwischen Umbruch und Bewahrung—Festschrift fuer Rudolf Bernhardt (Berlin: Springer, 1995), pp. 1 8 7 - 1 9 8 , at p. 189; Luzius Wildhaber, Menschen und Minderheitenrechte in der modernen Demokratie, Basler Universitaetsreden 88 (Basel: Hilbing & Lichtenhahn, 1992), p. 21; Christian Tomuschat, "Self-Determination in a Post-Colonial World," in Christian Tomuschat, ed., Modern Law, pp. 1 - 2 0 , at pp. 13-17; Asbjorn Eide, "In Search of Constructive Alternatives to Secession," in Christian T o m u s c h a t , ed., pp. 139-176, at pp. 1 7 0 - 1 7 3 .

Commentary

69

Commentary67 Hisashi

Owada

T

h e i n t e r n a t i o n a l s y s t e m is g o i n g t h r o u g h a

c e n t u r y in t h e w a k e of t h e I n d u s t r i a l R e v o l u tion. M o r e o v e r , t h e s c o p e of t h e c h a n g e is not

p e r i o d of g r e a t t r a n s f o r m a t i o n . T h i s m a y

l i m i t e d to t h e O l d W o r l d ; t h e e n t i r e i n t e r n a -

b e a t r u i s m , b u t w e are c l e a r l y e n t e r i n g a n e w

tional c o m m u n i t y , b e y o n d the t r a d i t i o n a l c o m -

c h a p t e r in t h e h i s t o r y of i n t e r n a t i o n a l

rela-

m u n i t y of " c i v i l i z e d n a t i o n s " c e n t e r e d a r o u n d

t i o n s . T h i s i m p l i e s that t h e e n t i r e s t r u c t u r e of

E u r o p e , is b e i n g e x p o s e d to t h e s e w a v e s of

the modern international system, together with

fundamental

the traditional tools we e m p l o y for m a n a g i n g

t r a n s f o r m a t i o n will e v e n t u a l l y t a k e is n e v e r t h e -

transformation.

The

form

this

t h e s y s t e m m a y h a v e to b e r e e x a m i n e d a n d r e -

less d i f f i c u l t to p r e d i c t at t h i s s t a g e , a n d t h e

c o n s t r u e d in t h e l i g h t of t h i s n o v e l s i t u a t i o n .

m a n n e r by w h i c h it is d i s r u p t i n g the s o c i e t a l

I n t e r n a t i o n a l l a w , as w e h a v e k n o w n i t — a s a

s t r u c t u r e s of n a t i o n - s t a t e s in v a r i o u s r e g i o n s of

b o d y of n o r m s g o v e r n i n g t h i s

the w o r l d is d i v e r g e n t .

system, established

international

and consolidated

since

t h e e r a of t h e P e a c e of W e s t p h a l i a 6 X — i s

no

exception. It is a p p r o p r i a t e to b e g i n w i t h a b r i e f e x a m i n a t i o n of the n a t u r e of the c h a n g e s s w e e p ing the w h o l e w o r l d . A t r e m o r s h o o k the w o r l d at the e n d of the 1980s a n d led to the t r a n s f o r m a t i o n of C e n t r a l a n d E a s t e r n E u r o p e a n d the e v e n t u a l d i s i n t e g r a t i o n of t h e S o v i e t

Union.

These dramatic changes, however, have been n e i t h e r an i s o l a t e d a b e r r a t i o n n o r a p a s s i n g p h e n o m e n o n in h i s t o r y but s e e m to be the m a n i f e s t a t i o n of a f u n d a m e n t a l s t r u c t u r a l t r a n s f o r m a t i o n of the e n t i r e i n t e r n a t i o n a l s y s t e m . A g i g a n t i c w a v e of s o c i e t a l u p h e a v a l is t a k i n g p l a c e on a g l o b a l s c a l e . L i m i t e d n e i t h e r to the f o r m e r s o c i a l i s t n a t i o n s in C e n t r a l a n d E a s t e r n E u r o p e n o r to the f o r m e r S o v i e t U n i o n , this p r o c e s s of c h a n g e p r o b a b l y is c o m p a r a b l e , in its l o n g - t e r m i m p l i c a t i o n s , to the r e v o l u t i o n ary w a v e s that s w e p t E u r o p e in t h e n i n e t e e n t h

P r o b a b l y the m o s t f u n d a m e n t a l c h a n g e s in this regard, which potentially could affect the i n t e r n a t i o n a l l e g a l o r d e r , s e e m to b e t w o f o l d . O n e is the r a p i d e m e r g e n c e of i n t e r d e p e n d e n c e w i t h i n i n t e r n a t i o n a l society. T h i s n e w social int e r d e p e n d e n c e , w h i c h s e e m s to p e r m e a t e e v e r y c o r n e r of i n t e r n a t i o n a l s o c i e t y , is c r e a t i n g increasing tension, and even conflict, with the existing institutions m a n a g i n g the international s y s t e m , w h i c h are b a s e d on t h e p r i n c i p l e of national p a r t i t i o n of c o m p e t e n c e w i t h i n the Westp h a l i a n l e g a l o r d e r . P e r h a p s w h a t w a s in f a c t the root c a u s e of t h e c o l l a p s e of t h e S o v i e t r e g i m e , w h i c h strictly a d h e r e d to the a b s o l u t i s t d o c t r i n e of s o v e r e i g n t y , w a s the social c o n t r a d i c t i o n that b e g a n to p e r m e a t e e v e n that s o c i ety. T h i s r e g i m e , b e c a u s e of its u n i q u e i d e o l o g ical p o s i t i o n , a t t e m p t e d in vain to m a i n t a i n its political s y s t e m through the watertight seclusion of its p e o p l e f r o m the rest of t h e w o r l d . 6 9

67. This c o m m e n t a r y is based on the lecture presented by the writer to the Congress of Public International Law of the United Nations, organized by the United Nations on 1 2 - 1 6 April 1996 in c o m m e m o ration of the Fiftieth Anniversary of the United Nations and as part of the Decade of International Law by the United Nations ( 1 9 8 6 - 1 9 9 6 ) . It has been m o d i f i e d and expanded on the basis of the discussion that took place in that Congress. The views expressed here are strictly personal views of the writer and do not in any way reflect the official position of the government of Japan. 68. The International System as we k n o w it now, based on the principles of sovereign equality and of nonintervention in domestic affairs, is a product of the evolution of the international legal c o m m u n i t y emanating f r o m this era. See, for the history of the Peace of Westphalia, Arthur N u s s b a u m , A Concise History of the Law of Nations, revised ed. (1954), p. 115, et seq. Also, for the significance of "the beginnings of modern positive international law [to be] traced to the establishment of the great national States and m o r e precisely to the Peace of W e s t p h a l i a , " see C h a r l e s de Visscher, Théories et Réalités en Droit International Public, 4th ed. (1970), pp. 17-18. 69. See, for an authoritative account of the Soviet doctrine of international law (with particular e m phasis on the absolutist doctrine of sovereignty), G.I. Tewkin, Theory of International Law (1974), esp. p. 437, et seq. Also see Kazimierz G a r y b o w s k i , Soviet Public International Law (1970), p. 32, et seq.

70

Hisashi

An

T h e o t h e r , e q u a l l y i m p o r t a n t a s p e c t of t h e

attempt

will

be

made,

Owada

though

in-

c h a n g e is t h e i n c r e a s i n g a w a r e n e s s of p e o p l e

e v i t a b l y in a s o m e w h a t s u m m a r y f a s h i o n , to

w h o a r e a s s e r t i n g the p r i m a c y of t h e i r h u m a n

c o n s i d e r e a c h of t h e m , in o r d e r to i l l u s t r a t e

d i g n i t y as i n d i v i d u a l s a n d t h e g r o w i n g i m p o r -

h o w a f r e s h look at the c o n c e p t of j u s t i c e is the

t a n c e to t h e i n t e r n a t i o n a l s y s t e m of i n d i v i d u a l s

key to o u r e n d e a v o r at c o n s t r u c t i n g a n d c o n s o l -

representing

i d a t i n g an i n t e r n a t i o n a l legal o r d e r in the n e w

pluralistic values. This

system

h a s t r a d i t i o n a l l y b e e n b a s e d on an a t o m i s t i c n o t i o n of t h e i n t e r n a t i o n a l c o m m u n i t y ,

international environment.

with

m e n t s in a s y s t e m g r o u n d e d in the p r i n c i p l e of

The Concept of Justice in the Context of Pluralistic Values

s o v e r e i g n e q u a l i t y . Yet this a b s o l u t i s t m o d e l of

W h i l e the previously described d e v e l o p m e n t s

nation-states being the most f u n d a m e n t a l ele-

s o v e r e i g n s t a t e s , as the sole a c t o r s in the inter-

h a v e c o m e to light o n l y in r e c e n t y e a r s and

n a t i o n a l c o m m u n i t y a n d t h e sole r e p r e s e n t a -

o n l y in r e l a t i o n t o c e r t a i n a r e a s of t h e w o r l d ,

tives of t h e s o c i a l v a l u e s t h a t the i n t e r n a t i o n a l

t h e s e o s t e n s i b l y n e w d e v e l o p m e n t s are n e i t h e r

s y s t e m is e x p e c t e d to p r o t e c t and p r o m o t e , h a s

n o v e l in t i m e n o r u n i q u e to a s p e c i f i c r e g i o n .

failed miserably

in t h e t o t a l i t a r i a n

regimes,

w h e r e t h e h u m a n d i g n i t y of i n d i v i d u a l s

was

s u p p r e s s e d in t h e n a m e of t h e s t a t e . 7 0

T h e d e v e l o p m e n t s in the

socioeconomic

life of the i n t e r n a t i o n a l c o m m u n i t y r e v e a l the true n a t u r e of this e v o l u t i o n in the international

In this b r i e f e s s a y , it is p o s s i b l e to t o u c h

s y s t e m . To illustrate the p r o b l e m , let us e x a m i n e

upon o n l y a f e w of the salient m a n i f e s t a t i o n s of

the d i c h o t o m y inherent in the p r e s e n t - d a y regu-

this t r a n s f o r m a t i o n and reflect upon their impli-

latory s y s t e m of i n t e r n a t i o n a l e c o n o m i c a c t i v i -

cations to the international legal order. T h e m a i n

ties. T h e traditional G A T T a p p r o a c h of p r o m o t -

t h e m e is that the t r a n s f o r m a t i o n , as m a n i f e s t e d

ing f r e e trade as a public g o o d for international

by these t w o n e w d e v e l o p m e n t s , has p r o d u c e d a

society, t h r o u g h a r e g u l a t o r y f r a m e w o r k b a s e d

situation in w h i c h the p r i m a c y of j u s t i c e , as the

on i n t e r n a t i o n a l d i s c i p l i n e s on the

key c o n c e p t in t h e i n t e r n a t i o n a l legal o r d e r , is

level

g o i n g t h r o u g h a m a j o r trial p e r i o d a n d is f a c e d

g o o d s b e t w e e n states, has inevitably been placed

with s e r i o u s c h a l l e n g e s in the f o l l o w i n g areas:

at risk in the f a c e of the o v e r w h e l m i n g reality of

and

applicable

only

interstate

to m o v e m e n t s

of

economic interdependence.71 Not only goods, 1. A c h a l l e n g e to t h e c o n c e p t of j u s t i c e

but also v a r i o u s other f a c t o r s of p r o d u c t i o n a n d

in t h e c o n t e x t of p l u r a l i s t i c v a l u e s in

e c o n o m i c activities, including capital, service,

society;

a n d p e o p l e , are m o v i n g a c r o s s national b o r d e r s .

2. A c h a l l e n g e t o the s c o p e of j u s t i c e in

T h e c l a s s i c r a t i o n a l e in f a v o r of the p r i n -

t h e c o n t e x t of t h e t e n s i o n b e t w e e n n o r -

c i p l e of f r e e t r a d e is t h a t it p r o m o t e s t h e m o s t

m a t i v e j u s t i c e a n d p o l i t i c a l s t a b i l i t y in

e f f i c i e n t g l o b a l u t i l i z a t i o n of r e s o u r c e s

the international order; and

production

3. A c h a l l e n g e to the n a t u r e of j u s t i c e in t h e c o n t e x t of t h e d i c h o t o m y

between

interstate justice and global justice.

through

the

division

of

for

labor,

b a s e d on t h e p r i n c i p l e of c o m p a r a t i v e a d v a n tage a m o n g nations. This rationale, however, b a s e d as it is on t h e p a r t i t i o n of n a t i o n - s t a t e s as s o v e r e i g n s w i t h i n t h e i n t e r n a t i o n a l s y s t e m ,

70. For the general exposé of the significance of the concept of human dignity in c o n t e m p o r a r y international legal order, see Ted M e r o n , Human Rights in International Law, Legal and Policy Issues (1984). A l s o see M. S. M c D o u g a l , H. L a s s w e l l , and C h e n , Human Rights and World Public Order (1980). 71. T h u s the General A g r e e m e n t on Tariffs and Trade (GATT) in its Preamble speaks of the objections of the A g r e e m e n t as c o n s i s t i n g in "raising standards of living, ensuring full e m p l o y m e n t and a large and steadily g r o w i n g v o l u m e of real i n c o m e and e f f e c t i v e d e m a n d , d e v e l o p i n g the full use of the resources of the world and expanding the production and exchange of g o o d s " and declares that the C o n tracting Parties, "being desirous of contributing to these objectives by entering into reciprocal and m u tually a d v a n t a g e o u s a r r a n g e m e n t s directed to the substantial reduction of tariffs and d i s c r i m i n a t o r y treatment in international c o m m e r c e , " have agreed on the provisions of the GATT.

Commentary

is at least p a r t i a l l y b e c o m i n g i r r e l e v a n t to the i s s u e s and e v e n t s in t h e real w o r l d . T h e ration a l e is built on the p h i l o s o p h y that if e a c h nat i o n s p e c i a l i z e s in p r o d u c i n g c e r t a i n g o o d s at l e s s c o s t r e l a t i v e to o t h e r n a t i o n s a n d t r a d e s them for other goods produced relatively effic i e n t l y by o t h e r n a t i o n s , then all n a t i o n s will b e n e f i t . T h e p r e m i s e is that the f a c t o r s of p r o d u c t i o n , such as r e s o u r c e s , labor, and c a p i t a l , are all i n h e r e n t and g i v e n w i t h r e s p e c t to e a c h n a t i o n - s t a t e . H o w e v e r , the rapid e m e r g e n c e of g l o b a l i n t e r d e p e n d e n c e , w h i c h t e n d s to i g n o r e national borders, has produced a totally new s i t u a t i o n in w h i c h this p h i l o s o p h y n o l o n g e r h o l d s true. N o one can question that the global s y s t e m of m u l t i l a t e r a l i s m f o r f r e e trade on a n o n d i s c r i m i n a t o r y basis a m o n g nations, as established w i t h i n the Bretton W o o d s s y s t e m — b a s e d as it w a s on this R i c a r d i a n p h i l o s o p h y of c o m p a r a tive a d v a n t a g e — h a s largely b e e n i n s t r u m e n t a l in the s p e c t a c u l a r p o s t w a r g r o w t h of world trade. H o w e v e r , this R i c a r d i a n theory of c o m p a r a t i v e a d v a n t a g e is f o u n d e d on one basic p r e m i s e : that it can f u n c t i o n properly only in relation to international trade in g o o d s across the national borders of sovereign states, in a situation w h e r e the c o n d i t i o n s ceteris paribus prevail. In other words, it a s s u m e s the existence of a static international order in which the nationstates are in control of their respective d o m e s t i c conditions, allowing f r e e competition across national b o r d e r s , w i t h o u t the f r e e c o m p e t i t i o n b e i n g p e r t u r b e d by the f r e e m o v e m e n t of the f a c t o r s of p r o d u c t i o n (capital, e q u i p m e n t , and labor) across these borders. W h a t is b e i n g challenged in recent years is exactly this p r e m i s e . T h e single m o s t s i g n i f i c a n t f a c t o r b e h i n d this c h a n g e is that the world today s u f f e r s f r o m a d i c h o t o m y — t h e d i c h o t o m y b e t w e e n the e m e r g e n t s o c i o e c o n o m i c reality of i n d i v i d u a l s e n g a g i n g in t r a n s n a t i o n a l a c t i v i t i e s g l o b a l l y and a p r e e x i s t i n g institutional f r a m e w o r k with the r e g u l a t i o n of s u c h activities still c o m p a r t m e n t a l i z e d by n a t i o n - s t a t e s w i t h i n a W e s t phalian legal s y s t e m . 7 2 In this novel situation, s o c i o e c o n o m i c int e r d e p e n d e n c e has d e v e l o p e d to such an extent

71

that it is n o w i m p o s s i b l e f o r a n y state to c o n trol e c o n o m i c and s o c i a l a c t i v i t i e s e x t e n d i n g b e y o n d its b o r d e r s e f f e c t i v e l y e n o u g h to m a i n tain a s o c i o e c o n o m i c o r d e r that is in c o n s o n a n c e w i t h the societal v a l u e s it w a n t s to preserve. In this sense, p r e s e n t - d a y s o c i o e c o n o m i c a c t i v i t i e s h a v e b e c o m e truly t r a n s n a t i o n a l and not j u s t m u l t i n a t i o n a l . T h u s , a U . S . c o m p a n y o p e r a t i n g in a g l o b a l m a r k e t (or, f o r that m a t ter, a J a p a n e s e c o m p a n y — w i t h the o n l y d i f f e r e n c e b e t w e e n the t w o b e i n g that the f o r m e r w a s e s t a b l i s h e d with c a p i t a l i n v e s t m e n t f r o m its p a r e n t c o m p a n y in the U n i t e d S t a t e s and t h e latter with i n v e s t m e n t f r o m its p a r e n t c o m p a n y in J a p a n ) m a y typically be e n g a g e d in the prod u c t i o n of c o m p u t e r s in S i n g a p o r e , e m p l o y i n g w o r k e r s f r o m both S i n g a p o r e a n d I n d o n e s i a , using m i c r o c h i p s f r o m T h a i l a n d , and p l a n n i n g to e x p o r t m a n y of its p r o d u c t s to E u r o p e , the United States, or J a p a n f o r c o n s u m p t i o n . In the f a c e of such a reality, c o n v e n t i o n a l a r g u m e n t s c o n c e r n i n g the bilateral trade i m b a l a n c e bet w e e n J a p a n and t h e U n i t e d S t a t e s , b a s e d on national statistics f o r c r o s s - b o r d e r trade, hardly m a k e sense. T h e i m p l i c a t i o n s of this n e w d e v e l o p m e n t g o b e y o n d the realm of political e c o n o m y ; they are r e l e v a n t to the issue of legal o r d e r in relation to m a i n t a i n i n g world order. In a n y o r g a n i z e d society, law is the instrum e n t that c r e a t e s a basic f r a m e w o r k for o r d e r q u a society (ubi societas ibi ius). N o n e t h e l e s s , for this o r d e r to prevail and serve as a societal f r a m e w o r k f o r stability, it m u s t b e b a s e d on a s y s t e m of law that r e p r e s e n t s the p r e v a i l i n g s e n s e of j u s t i c e e x i s t i n g in that s o c i e t y . T h e c o m p l e x i t y of the p r o b l e m will b e c o m e a p p a r ent, h o w e v e r , w h e n o n e r e a l i z e s that j u s t i c e , like f a i r n e s s , is a c o n c e p t that, in its a b s t r a c t f o r m , r e p r e s e n t s an eternal and u n i v e r s a l value; yet w h e n it is translated into a c o n c r e t e a c t i o n or d e c i s i o n , it m u s t still e m b o d y t h e s e s a m e m o r a l q u a l i t i e s , as a g r e e d u p o n by t h e society in q u e s t i o n . 7 3 W h i l e the c o n c r e t e m a n i f e s t a t i o n of j u s t i c e should r e f l e c t universal v a l u e s i n h e r e n t in any society, it m a y not be totally f r e e f r o m the idios y n c r a s i e s of e a c h p a r t i c u l a r c u l t u r e . T h u s , a

72. Professor Philip C. Jessup envisaged this phenomenon as a radical element affecting the nature of the international system. See Philip C. Jessup, Transnational Law (1956), pp. 2 - 3 . 73. H. L. A. Hart, The Concept of Law, 2d ed. (1994).

72

Hisashi

Ouada

legal n o r m r e g a r d e d by o n e s o c i e t y t o b e an

positive a p p r o v a l , at least to the extent that such

embodiment

activities are not p u n i s h a b l e by law.

of j u s t i c e

may

not

always

be

e q u a l l y a c c e p t e d by a n o t h e r s o c i e t y .

S u c h i s s u e s , a n d o t h e r s of a s i m i l a r char-

H i s t o r y is f u l l of s u c h e x a m p l e s , p a r t i c u -

acter, w o u l d not be a s e r i o u s p r o b l e m to the in-

larly c o n c e r n i n g i s s u e s that a r i s e at a t i m e of

t e r n a t i o n a l legal o r d e r if w e lived in t h e classi-

r e v o l u t i o n . It is not s e l d o m that w h a t has b e e n

cal

r e g a r d e d t o be a legal n o r m e m b o d y i n g j u s t i c e

s y s t e m . E a c h n a t i o n - s t a t e , in h a r m o n i o u s c o e x -

world

of

the Westphalian

international

replaced

istence with other nation-states and espousing

by a n e w legal n o r m r e f l e c t i n g the n e w p r e v a i l -

the p r i n c i p l e s of s o v e r e i g n e q u a l i t y and n o n i n -

ing s o c i a l c o n s c i o u s n e s s . 7 4 A d m i t t e d l y ,

t e r v e n t i o n in d o m e s t i c a f f a i r s , w o u l d insist on

is o v e r t u r n e d a n d r e j e c t e d , o n l y t o b e

even

then it m i g h t b e a r g u e d that the n e w n o r m r e p -

its s e l f - c o n t a i n e d s y s t e m as b e i n g a c o m p l e t e l y

r e s e n t s a n e m b o d i m e n t of t h e s a m e u n i v e r s a l

c l o s e d c i r c u i t . W i t h i n that c l o s e d circuit of so-

n o t i o n of j u s t i c e , w i t h m e r e l y a d i f f e r e n t m a n i -

ciety, e a c h s o v e r e i g n g o v e r n m e n t w o u l d insist

f e s t a t i o n . N e v e r t h e l e s s , t h e a c t u a l legal n o r m

that its s e n s e of j u s t i c e , as r e f l e c t e d in its legal

that e m e r g e s will be d i f f e r e n t , at a n y rate, w h e n

o r d e r shall p r e v a i l . We are n o w e n t e r i n g a b r a v e n e w w o r l d , h o w e v e r , in w h i c h s o c i o e c o -

a p p l i e d in a c o n c r e t e s i t u a t i o n . It is p r e c i s e l y on this p o i n t that the n e w

nomic

activities

across

national

borders—

d e v e l o p m e n t s t a k i n g p l a c e in the i n t e r n a t i o n a l

r a t h e r t h a n a c t i v i t i e s c o n f i n e d w i t h i n the bor-

economic system present new implications for

d e r s of o n e c o u n t r y — a r e t h e r u l e r a t h e r than

the i n t e r n a t i o n a l legal o r d e r . P o s s i b l y , the d i f -

the e x c e p t i o n . T h u s , the q u e s t i o n of h o w to d e -

f e r e n t n o r m a t i v e s y s t e m s p r e v a l e n t in d i f f e r e n t

t e r m i n e a n d a p p l y j u s t i c e a n d f a i r n e s s in e a c h

s o c i e t i e s , r e f l e c t i n g e a c h c u l t u r e ' s s e n s e of v a l -

c a s e b e c o m e s m o r e c o m p l e x , p a r t i c u l a r l y in the

ues a n d j u s t i c e , will c o n f l i c t w i t h e a c h o t h e r in

p r e s e n t t r a n s i t i o n a l p h a s e of a s y s t e m t r a n s f o r -

this e r a o f a c t i v e i n t e r a c t i o n t h r o u g h t r a n s n a -

m a t i o n . w h o s e institutions h a v e not yet b e c o m e

tional s o c i o e c o n o m i c a c t i v i t i e s .

r e o r g a n i z e d into a truly global c o m m u n i t y .

A n illustration of this p r o b l e m c a n be f o u n d field of e c o n o m i c s — n a m e l y , the p r o b l e m of un-

Tension Between Justice and Stability in the International Order

fair c o m p e t i t i o n . 7 5 A l m o s t by d e f i n i t i o n , any so-

T h e societal t r a n s f o r m a t i o n of t h e i n t e r n a t i o n a l

in r e f e r e n c e to a c o m p l e x legal p r o b l e m in the

ciety c o n c e r n e d with this issue will c o n d e m n

s y s t e m is e q u a l l y m a k i n g its i m p a c t felt u p o n

u n f a i r c o m p e t i t i o n as b e i n g c o n t r a r y to its s e n s e

the i n t e r n a t i o n a l legal o r d e r in a d i f f e r e n t c o n -

of social j u s t i c e and public order. At s u c h an ab-

text. T h e i s s u e is h o w to r e c o n c i l e t h e t e n s i o n

stract level of j u s t i c e , t h e r e m a y be n o d i v e r -

b e t w e e n the n o t i o n of j u s t i c e a n d that of stabil-

g e n c e of p o s i t i o n s a m o n g d i f f e r e n t s o c i e t i e s .

ity in the i n t e r n a t i o n a l legal o r d e r . T h i s is p a r -

Nevertheless, when

determining

t i c u l a r l y i m p o r t a n t at the p r e s e n t t i m e in his-

which concrete actions constitute unfair compe-

tory, w h e n t h e f u n c t i o n of l a w in m a n a g i n g

it c o m e s to

tition a n d s h o u l d be s u b j e c t to s o c i e t y ' s s a n c t i o n

international order has reached a particularly

by n o r m a t i v e rule, the q u e s t i o n b e c o m e s m o r e

d e l i c a t e s t a g e . T h e s p e c t e r of a w o r l d w a r of

c o m p l e x . T r u e , t h e r e is a b r o a d r a n g e of a c t i v i -

m a s s destruction, d e c i m a t i n g the c o m b a t a n t s

ties that in any society m a y be r e g a r d e d as c o n -

along

trary to social j u s t i c e a n d s u b j e c t to s a n c t i o n s

m i n d s of d e c i s i o n m a k e r s w h e n c o n t e m p l a t i n g

t h r o u g h legal n o r m s . O n the o t h e r h a n d , there is

the c h o i c e of w a r or p e a c e .

a f a i r l y b r o a d r a n g e of p e r i p h e r a l n o r m s

with civilian

populations,

haunts

the

to

It m a y b e a t r u i s m to say that t h e f u n c t i o n

w h i c h c e r t a i n s o c i e t i e s will t a k e an e x t r e m e l y

of l a w is to m a i n t a i n a d e l i c a t e e q u i l i b r i u m b e -

purist v i e w p o i n t and rigid p o s i t i o n , while o t h e r s

t w e e n j u s t i c e a n d s t a b i l i t y in s o c i e t y . 7 6 U n d e r

will m a n i f e s t a greater d e g r e e of tolerance, if not

n o r m a l c i r c u m s t a n c e s , the t w o will g o h a n d - i n -

74. O n this point, see James L. Brierly, Basis of Obligation in International Law, (1958), p. 198. 75. For an analysis of this question, see Hisashi O w a d a , U.S.-Japan Economic Integration in an Interdependent World, R e s e a r c h Papers and Policy Studies University of C a l i f o r n i a , Berkeley, No. 6, pp. 8 2 - 9 4 , 1982. 76. See Hart, The Concept of Law, pp. 7 - 8 .

Commentary

h a n d , to the e x t e n t that the e l e m e n t of j u s t i c e is i n h e r e n t in the c o n c e p t of law a n d order; this in t u r n sustains the stability of society. 7 7 T h u s , in t h e c o n t e x t of international law, the C h a r t e r of the U n i t e d N a t i o n s e x p r e s s e s t h e intrinsic link b e t w e e n international p e a c e (i.e., stability) and j u s t i c e as f o l l o w s : 7 8 All m e m b e r s shall settle their international disputes by peaceful means in such a manner that international peace and security, and justice, are not e n d a n g e r e d . ( A u t h o r ' s emphasis.) N e v e r t h e l e s s , at a m o m e n t of great c h a n g e a n d t u r b u l e n c e in society, and p a r t i c u l a r l y in i n t e r n a t i o n a l society, a s i t u a t i o n can arise in w h i c h this h a r m o n i o u s link b e t w e e n j u s t i c e and s t a b i l i t y — o r p e a c e , in the i n t e r n a t i o n a l c o n t e x t — i s d i s t u r b e d , with the result that these t w o essential e l e m e n t s of order c o m e into mutual tension and c o n f l i c t . In d o m e s t i c s o c i e t y this d i c h o t o m y and c o n f l i c t e m e r g e s only in e x t r e m i s , typically at a t i m e of social t u r b u l e n c e , or r e v o l u t i o n , w h e n t h e d e m a n d f o r j u s t i c e will f o r c e f u l l y d i s r u p t t h e stability of society. I n t e r n a t i o n a l l y , its e q u i v a l e n t w o u l d be war. T h i s d i c h o t o m y surf a c e s m o r e o f t e n , and m o r e a c u t e l y , in t h e international setting because a central authoritative a g e n c y is lacking in the international legal o r d e r , w h i c h c o u l d d e t e r m i n e j u s t i c e in e a c h situation. T h i s contrasts with the d o m e s t i c legal order, wherein a central authority can adjudicate in the n a m e of the s t a t e — w h i c h c l a i m s to represent s o c i e t y — t h a t j u s t i c e shall prevail, without d i s t u r b i n g p u b l i c h a r m o n y . T h u s , t h e tension b e t w e e n j u s t i c e and stability s u r f a c e s as a d i c h o t o m y that c o n f r o n t s the p e r s o n in c h a r g e of international relations with a p a i n f u l choice. In international society, as o p p o s e d to dom e s t i c society, s o v e r e i g n states are the highest a u t h o r i t y sitting in j u d g m e n t of a n y q u e s t i o n c o n c e r n i n g the i n t e r n a t i o n a l legal order. S i n c e t h e r e is no c e n t r a l a g e n c y to d e m a n d a f i n a l j u d g m e n t in the n a m e of i n t e r n a t i o n a l society,

73

e a c h state has the option to either give priority to m a i n t a i n stability and p e a c e , while s a c r i f i c ing e l e m e n t s of j u s t i c e in a g i v e n s i t u a t i o n , or to u p h o l d j u s t i c e at the risk of e n d a n g e r i n g peace. T h i s t e n s i o n b e t w e e n j u s t i c e and stability in the i n t e r n a t i o n a l legal o r d e r is n o t h i n g new, as it e m a n a t e s f r o m the b a s i c s t r u c t u r e of t h e p r e s e n t - d a y s y s t e m . N e v e r t h e l e s s , the p r o b l e m has b e c o m e m o r e acute in the f a c e of n e w factors that are a f f e c t i n g i n t e r n a t i o n a l r e l a t i o n s today, precisely b e c a u s e we are living t h r o u g h a p e r i o d of m a j o r s o c i e t a l c h a n g e i n t e r n a t i o n ally. In this s e n s e , the e n d of the C o l d War c o u l d s i g n i f y the final d e m i s e of "the g o o d old d a y s , " w h e n t h i n g s w e r e s i m p l e r and m o r e clear-cut in t e r m s of values to be d e f e n d e d and w h e n the c o n f r o n t a t i o n b e t w e e n the o p p o s i n g v a l u e s y s t e m s of the West and the East c o u l d p r o v i d e the f r a m e w o r k f o r v a l u e j u d g m e n t s . For the s a m e r e a s o n , it m u s t h a v e been e a s i e r to m a k e a d e f i n i t i v e j u d g m e n t about the situation in E u r o p e on the eve of the S e c o n d World War. T h e situation c o n c e r n i n g a p p e a s e m e n t in e x c h a n g e for p e a c e in M u n i c h must h a v e been less a m b i g u o u s , with the a r g u m e n t for the d e f e n s e of j u s t i c e even at the sacrifice of s u p e r f i cial p e a c e e v e n t u a l l y w i n n i n g out. By c o m p a r ison, m a n y current situations are less clear-cut. Yet e v e n t h e n , the c h o i c e b e t w e e n j u s t i c e and s t a b i l i t y w a s not an e a s y one to m a k e f o r t h e s t a t e s m e n of the t i m e . P e r h a p s p a s s i n g an ex post f a c t o verdict against the a p p e a s e m e n t policy of the i n t e r w a r p e r i o d in E u r o p e h a s been m a d e f a c i l e in r e t r o s p e c t . T h e policy w a s purs u e d p r e s u m a b l y in the m i d s t of a c o n f l i c t bet w e e n the p u b l i c ' s d e m a n d to u p h o l d j u s t i c e a g a i n s t a g g r e s s i o n and a d e s i r e to s a f e g u a r d f r a g i l e E u r o p e a n stability. Yet the s a c r i f i c e inf l i c t e d u p o n the p r i n c i p l e of j u s t i c e w a s o v e r w h e l m i n g , and w e a l s o k n o w in h i n d s i g h t that the very stability that that policy w a s m e a n t to s a f e g u a r d e v e n t u a l l y fell v i c t i m to a g g r e s s i o n as a result.

77. On the treatment of the relevance of the sense of justice to the concept of stability in a well-ordered society, see J. Rawls, A Theory of Justice (1971), at pp. 453^462. 78. See Article 2, Paragraph 3 of the Charter of the United Nations. (The italics are supplied by the writer.) Also see Article 1, Paragraph 1 of the Charter where it is stated that the Purposes of the United Nations are, inter alia, "to bring about by peaceful means, and in conformity with the principles of justice and international law, adjustment or settlement of international disputes or situations which might lead to a breach of the peace."

74

Hisashi

Owada

In c o n t r a s t to t h o s e y e a r s , the i n t e r n a t i o n a l

T h e c o n t e n t i o n w a s an i n d i c t m e n t a g a i n s t

reality of t h e p r e s e n t - d a y w o r l d is m u c h m o r e

the p e r c e i v e d p o s i t i o n of the i n t e r n a t i o n a l c o m -

c o m p l e x ; the t e n s i o n b e t w e e n u p h o l d i n g j u s t i c e

m u n i t y as r e p r e s e n t e d by t h e S e c u r i t y C o u n c i l ,

a n d s a f e g u a r d i n g p e a c e in a g i v e n s i t u a t i o n is

w h o s e p r i o r i t y w a s a l l e g e d to be t h e r e s t o r a t i o n

b e c o m i n g m o r e a c u t e a n d h a r d e r to b a l a n c e .

of s t a b i l i t y to t h e r e g i o n — t h a t t h e

A n i l l u s t r a t i o n of t h i s p r o b l e m is t h e re-

embargo

w o u l d h e l p to b r i n g a b o u t . T h e g o v e r n m e n t of

c e n t c o n t r o v e r s y that e x p l o d e d in t h e i n t e r n a -

B o s n i a and H e r z e g o v n i a a r g u e d that the i m p o -

tional a r e n a c o n c e r n i n g t h e a r m s e m b a r g o in

sition of an a r m s e m b a r g o w a s an act of g r o s s

the f o r m e r Y u g o s l a v i a . T h e r e l e v a n t S e c u r i t y

i n j u s t i c e , i n a s m u c h as it w o u l d b e t a n t a m o u n t

C o u n c i l r e s o l u t i o n , as it a p p l i e d to b o t h of the

to d e n y i n g the B o s n i a n M u s l i m s their i n h e r e n t

w a r r i n g p a r t i e s in B o s n i a a n d

right to s e l f - d e f e n s e .

Herzegovina,

s t i p u l a t e d as f o l l o w s : 7 9

M y i n t e n t i o n is not to p a s s j u d g m e n t o n

The Security Council decides under Chapter VII of the Charter of the United Nations that all States shall, for the purpose of establishing peace and stability in Yugoslavia, immediately i m p l e m e n t a general and c o m p l e t e e m b a r g o on all deliveries of w e a p o n s and military e q u i p m e n t to Yugoslavia, until the Security Council d e c i d e s o t h e r w i s e following consultation between the Secretary-General and the G o v e r n m e n t of Yugoslavia. (Underline added by the author.) T h e intent b e h i n d t h i s a r m s e m b a r g o w a s unequivocally

stated

in

Resolution

713

b e i n g " f o r the p u r p o s e of e s t a b l i s h i n g

as

peace

a n d s t a b i l i t y " in t h e r e g i o n . N e v e r t h e l e s s , a f i e r c e o p p o s i t i o n to this a r m s e m b a r g o w a s advanced

by o n e of t h e

government

parties,

the

of the R e p u b l i c of B o s n i a

warring

and

H e r z e g o v i n a . T h i s o p p o s i t i o n r e c e i v e d an inc r e a s i n g l y l o u d e r e c h o , if not o u t r i g h t s u p p o r t , both within the United N a t i o n s and f r o m the p u b l i c at l a r g e — a n d e v e n in s o m e q u a r t e r s of the U . S . C o n g r e s s at the h e i g h t of the B o s n i a n c o n f l i c t . T h e e s s e n c e of the a r g u m e n t w a s that t h e p r i n c i p l e of j u s t i c e w a s b e i n g t r a m p l e d in o r d e r to m a i n t a i n s t a b i l i t y a n d p e a c e . A s o n e f o r c e f u l a d v o c a t e in f a v o r of l i f t i n g t h e a r m s embargo

(representing

the

government

of

B o s n i a a n d H e r z e g o v i n a in the G e n e r a l A s s e m bly of the U n i t e d N a t i o n s ) s t a t e d : 8 0 It is . . . [the Muslim B o s n i a n s ' ) inferiority of quality and quantity of w e a p o n s that has allowed this a g g r e s s i o n by S e r b i a n s to continue. We [the M u s l i m B o s n i a n s ] do expect our right of s e l f - d e f e n s e h o n o r e d and for [sir] our desire to control our own fate to be respected once and for all.

the m e r i t s of t h e a r g u m e n t s p r e s e n t e d by b o t h s i d e s . T h e s i t u a t i o n is o n l y p r e s e n t e d in o r d e r to d e m o n s t r a t e that this is a t y p i c a l c a s e in w h i c h t h e p u r s u i t of j u s t i c e a n d t h e p u r s u i t of stability c o m e into c o n f l i c t in i n t e r n a t i o n a l r e l a t i o n s . P a r t i c u l a r l y , w h e n a m a t t e r of t h i s nature c o m e s

before a political

organ

of

the

U n i t e d N a t i o n s , e a c h m e m b e r state will be req u i r e d to m a k e a c h o i c e f r o m a p o l i t i c o - j u r i d i cal point of view. T h e q u e s t i o n is not n e w . T h e e n t i r e m e c h a n i s m c r e a t e d f o r the p e a c e f u l s e t t l e m e n t of int e r n a t i o n a l d i s p u t e s u n d e r C h a p t e r VI of t h e c h a r t e r (in spite of the c a v e a t in A r t i c l e 2, p a r a graph

3) p r e s u p p o s e s

the e x i s t e n c e

of

this

t e n s i o n , but w i t h the o p t i m i s t i c h o p e that a h a r m o n i o u s e q u i l i b r i u m will e v e n t u a l l y b e e s t a b lished. T h e situation would be essentially the s a m e r e g a r d i n g the p e a c e k e e p i n g o p e r a t i o n s of the United N a t i o n s — a t any rate, to the extent that the o p e r a t i o n s are b a s e d on f a i t h f u l a d h e r e n c e to the p r i n c i p l e s of i m p a r t i a l i t y a n d n e u trality w i t h i n the c o n f i n e s of C h a p t e r V I of the charter. T h i s s t a t e of a f f a i r s s h o u l d b e c a t e g o r i cally distinguished, however, f r o m the situat i o n u n d e r C h a p t e r VII of t h e c h a r t e r . W h e n the e x i s t e n c e of a t h r e a t to t h e p e a c e , b r e a c h of t h e p e a c e , o r act of a g g r e s s i o n is d e t e r m i n e d by t h e S e c u r i t y C o u n c i l , u n d e r A r t i c l e 3 9 , t h i s is a l s o a d e t e r m i n a t i o n t h a t f u n d a m e n t a l j u s tice is e n d a n g e r e d o r i n f r i n g e d . T h u s , t h e c o l l e c t i v e d e c i s i o n of t h e S e c u r i t y C o u n c i l in t h i s r e g a r d , as t h e e x e c u t i v e o r g a n of t h e

inter-

n a t i o n a l c o m m u n i t y , s h o u l d b e to let j u s t i c e prevail.

79. Security Council Resolution 7 1 3 of September 25, 1991. 80. The official records of the General Assembly, 3 November 1994, G A O R A/44/PV/50 Session, on p. 3.

75

Commentary

T h a t t h e r e a l i t y is n o t so s i m p l e is i l l u s -

injustice being d o n e to the black and colored

t r a t e d by the p r e v i o u s e x a m p l e . E v e n in t h e

p o p u l a t i o n in that c o u n t r y w a s s a n c t i f i e d as le-

G u l f c r i s i s of 1990, w h e n a b l a t a n t act of a g -

g i t i m a t e by t h e o r t h o d o x legal o r d e r .

g r e s s i o n w a s p e r p e t r a t e d b y o n e m e m b e r of the

In t h e c o n t e x t of i n t e r n a t i o n a l society, this

U n i t e d Nations against the territorial integrity

m e a n s t h a t t h e c o n c e p t of j u s t i c e c o u l d v a r y ,

a n d p o l i t i c a l i n d e p e n d e n c e of a n o t h e r f e l l o w

d e p e n d i n g u p o n w h e t h e r o n e l o o k e d at it pri-

m e m b e r , one could d i s c e r n — b o t h within the

m a r i l y in r e l a t i o n to s o v e r e i g n s t a t e s as c o n -

S e c u r i t y C o u n c i l m e m b e r s h i p a n d t h a t of t h e

stituent m e m b e r s of the c o m m u n i t y of n a t i o n s ,

U n i t e d N a t i o n s at l a r g e — a n a m b i v a l e n t p o s i -

o r in r e l a t i o n to i n d i v i d u a l s or g r o u p s of i n d i -

t i o n t h a t t e n d e d to f a v o r s e t t l i n g t h e c r i s i s by

v i d u a l s as c o m p o n e n t e l e m e n t s of this society.

l e a v i n g the m a t t e r to the p a r t i e s i n v o l v e d . T h i s

In t h e t r a d i t i o n a l c o n t e x t of t h e W e s t p h a l i a n

d e v e l o p m e n t a l s o i l l u s t r a t e s t h e c o n f l i c t that

l e g a l o r d e r , in w h i c h s o v e r e i g n s t a t e s a r e t h e

a r o s e b e t w e e n t h e p r i n c i p l e of u p h o l d i n g j u s -

b a s i c c o n s t i t u e n t u n i t s of s o c i e t y , the r e a l i z a -

tice a n d the d e s i r e to m a i n t a i n p e a c e . 8 1

tion of j u s t i c e in i n t e r n a t i o n a l s o c i e t y as the ul-

T h e d i c h o t o m y is not e a s y to r e s o l v e in

t i m a t e o b j e c t i v e of the i n t e r n a t i o n a l legal o r d e r

p r a c t i c e . O b v i o u s l y , t h e r e c a n n o t be a c o m p l e t e

is c o n c e i v e d of p r i m a r i l y in r e l a t i o n to t h e s o v -

s o l u t i o n to this state of a f f a i r s as long as the in-

e r e i g n states.

ternational

an

If, on the o t h e r h a n d , o n e a c c e p t s the a p -

a g e n c y e n d o w e d with the c e n t r a l i z e d a u t h o r i t y

community

d o e s not p o s s e s s

p r o a c h of P r o f e s s o r G e o r g e s S c e l l e , w h o p r o -

to e x e c u t e a d e c i s i o n . G i v e n the e v o l v i n g trend

f e s s e d that t h e L a w of N a t i o n s (le droit

in the i n t e r n a t i o n a l c o m m u n i t y

gens) should be interpreted as the law of p e o p l e s

to c o n s t r a i n

des

states f r o m i n d i v i d u a l l y t a k i n g j u s t i c e into their

(ins gentium)

o w n h a n d s , the d i c h o t o m y b e t w e e n j u s t i c e a n d

(ins inter gentes),

s t a b i l i t y will l i k e l y c o n t i n u e , u n l e s s this t r e n d

b e p u r s u e d , not in r e l a t i o n to the

is m a t c h e d a n d b u t t r e s s e d by an i n t e r n a t i o n a l

states, but p r i m a r i l y in relation to the p e o p l e . 8 2

a n d not as the law a m o n g n a t i o n s the o b j e c t i v e of j u s t i c e should sovereign

e f f o r t to s t r e n g t h e n a c o l l e c t i v e m e c h a n i s m that

T h e p r o b l e m a g a i n is o n e of d i c h o t o m y

would ensure a harmonious balance between

b e t w e e n the n o t i o n of i n t e r n a t i o n a l c o m m u n i t y

j u s t i c e a n d stability i n t e r n a t i o n a l l y .

as a g l o b a l s o c i e t y , w i t h h u m a n b e i n g s as its e s s e n t i a l c o m p o n e n t s in the societal s e n s e , a n d

Justice in the Context of International and Global Society

the n o t i o n of i n t e r n a t i o n a l c o m m u n i t y as an int e r n a t i o n a l s o c i e t y w i t h s o v e r e i g n s t a t e s as its

T h e third area that r e q u i r e s o u r a t t e n t i o n in re-

basic c o m p o n e n t s . This d i c h o t o m y can. and

l a t i o n t o j u s t i c e in i n t e r n a t i o n a l s o c i e t y is t h e

often does, create tension between two con-

g r o w i n g d i c h o t o m y , if not d i v e r g e n c e , b e t w e e n

flicting

t h e c o n c e p t of j u s t i c e in h u m a n t e r m s w h i c h

s u e s , to the e x t e n t that v a l u e s in society, w h i c h

a p p r o a c h e s t o m a n y i n t e r n a t i o n a l is-

d e f i n e s i n t e r n a t i o n a l s o c i e t y as a g l o b a l society,

are t h e b a s i s of t h e c o n c e p t of j u s t i c e , c a n b e

a n d that c o n c e p t in s o v e r e i g n t e r m s , w h i c h d e -

divergent, depending upon whether one looks

f i n e s i n t e r n a t i o n a l s o c i e t y as i n t e r s t a t e society.

at t h e s i t u a t i o n f r o m the v i e w p o i n t of s o v e r e i g n

J u s t i c e in s o c i e t y is a c o n c e p t that is rele-

states o r of the p e o p l e i n v o l v e d .

v a n t in r e l a t i o n to the s o c i o - j u d i c i a l s t a t u s of

A t y p i c a l d i l e m m a that a r i s e s is r e l a t e d to

t h e c o n s t i t u e n t m e m b e r s of that s o c i e t y . T h u s ,

t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n . T h i s p r i n c i -

w h e n s l a v e s w e r e not r e g a r d e d as l e g i t i m a t e

p l e o r i g i n a t e d in t h e e a r l y p a r t of t h i s c e n t u r y

m e m b e r s of s o c i e t y , t h e i s s u e of s o c i a l j u s t i c e

in E u r o p e , as a legal r e s p o n s e to t h e rising tide

f o r s l a v e s w a s n o t on p e o p l e ' s c o n s c i e n c e . B y

of n a t i o n a l i s m , p r i n c i p a l l y in t h e w a k e of t h e

the s a m e t o k e n , w h e n a p a r t h e i d w a s the o f f i c i a l

d i s s o l u t i o n of t h r e e e m p i r e s — t h e O t t o m a n , t h e

p o l i c y in t h e R e p u b l i c of S o u t h A f r i c a , t h e

Austro-Hungarian, and the G e r m a n

empires.

81. For e x a m p l e , for the statement of the representatives of the P e o p l e ' s Republic of China in the Security Council, see the Official Record of the Security Council on 29 N o v e m b e r 1990, S C O R S / P V m 2963, pp. 6 I f f . 82. Georges Scelle, Precis de Droit des Gens (1932), pp. 2 5 7 - 2 9 5 , in particular regarding its relationship with the right of self-determination.

76

Hisashi

Owada

O p e r a t i n g w i t h i n the t r a d i t i o n a l f r a m e w o r k of

tional legal o r d e r p r e v a i l e d , to the e x t e n t that in

n a t i o n - s t a t e s , but r e f l e c t i n g t h e a s p i r a t i o n s of

m a n y c a s e s in w h i c h a p e o p l e w a s not r e g a r d e d

the p e o p l e s i n v o l v e d , an a t t e m p t w a s m a d e to

as s o v e r e i g n e n o u g h , t h e a p p l i c a t i o n of the

g i v e l e g i t i m a c y t o t h e e x p r e s s e d or i m p l i c i t

p r i n c i p l e of s e l f - d e t e r m i n a t i o n w a s d e n i e d , as

will of t h e p e o p l e s to e s t a b l i s h t h e m s e l v e s as

in the A l a n d I s l a n d d i s p u t e , w h e n t h e L e a g u e

n a t i o n s and t h e r e f o r e as s o v e r e i g n m e m b e r s of

of N a t i o n s s p e c i f i c a l l y h e l d that t h e p r i n c i p l e

the i n t e r n a t i o n a l c o m m u n i t y .

h a d n o t yet " a t t a i n e d the s t a t u s of p o s i t i v e in-

T h e F o u r t e e n P o i n t s a r t i c u l a t e d by U . S .

ternational law."86

P r e s i d e n t W o o d r o w W i l s o n , w h i c h later c a m e

T h e s e c o n d w a v e of the m o v e m e n t

to be i n c o r p o r a t e d i n t o t h e C o v e n a n t of t h e

s e l f - d e t e r m i n a t i o n c a m e in t h e a f t e r m a t h of

for

L e a g u e of N a t i o n s , w a s an act l e g i t i m i z i n g this

World W a r II. In the p r o c e s s of d e c o l o n i z a t i o n

p r o c e s s of letting j u s t i c e p r e v a i l in t h e r e f o r -

that f o l l o w e d the c o l l a p s e of t h e c o l o n i a l e m -

m u l a t i o n of t h e c o m p o s i t i o n of t h e

p i r e s of m a n y E u r o p e a n states, the p r i n c i p l e of

interna-

tional c o m m u n i t y , b u t p r i m a r i l y t h r o u g h

the

s e l f - d e t e r m i n a t i o n w a s g i v e n an a l m o s t s a c r o -

p r e c e p t s of the i n t e r n a t i o n a l l e g a l o r d e r b a s e d

sanct s t a t u s — a t any rate, as f a r as the colonial

on the p e r s p e c t i v e of s o v e r e i g n s t a t e s . 8 3 In this

t e r r i t o r i e s a s p i r i n g to b e c o m e s o v e r e i g n states

s e n s e , w h i l e t h e s t a t e m e n t by o n e a u t h o r i t y is

were concerned.

true, that " s e l f - d e t e r m i n a t i o n w a s not a r e s u l t

T h e p r e v i o u s l y d e s c r i b e d c o n f l i c t i n g prin-

of p r i n c e s a n d t h e o l o g i a n s but of t h e p o p u l a r

c i p l e s are a l r e a d y visible in G e n e r a l A s s e m b l y

will, its i m a g i n a t i o n i n f l a m e d by t h e U . S . a n d

R e s o l u t i o n 1514 ( X V ) of 14 D e c e m b e r

F r e n c h r e v o l u t i o n s and n o t i o n s of the i n h e r e n t

e n t i t l e d the "Declaration on the G r a n t i n g of In-

' r i g h t of m a n ' as a d u m b r a t e d by t h e S c o t t i s h

dependence

Enlightment

and

Emmanuel

Kant"x4,

the

I960,

to C o l o n i a l C o u n t r i e s a n d

Peo-

p l e s . " w h i c h states as f o l l o w s : 8 7

p r o c e s s of l e g i t i m i z a t i o n , in the c o n t e x t of t h e W e s t p h a l i a n legal o r d e r , w a s u n q u e s t i o n a b l y a

1

p r o c e s s of u p h o l d i n g j u s t i c e f o r the p e o p l e as a nation d e t e r m i n e d to b e c o m e a s o v e r e i g n m e m b e r of the c o m m u n i t y of n a t i o n s .

2. A n y a t t e m p t a i m e d at the partial

N e v e r t h e l e s s , in this p r o c e s s t h e p o t e n t i a l conflict,

intrinsic

to

the

principle

of

self-

total d i s r u p t i o n of t h e n a t i o n a l

or

unity

a n d t e r r i t o r i a l i n t e g r i t y of a c o u n t r y is

d e t e r m i n a t i o n , w a s a l r e a d y v i s i b l e f r o m the be-

incompatible

g i n n i n g in the f o r m of a d i c h o t o m y b e t w e e n the

p r i n c i p l e s of the C h a r t e r of t h e U n i t e d

idea of t e r r i t o r i a l i n t e g r i t y — o r w h a t o n e au-

Nations.

thority calls the p r i n c i p l e of uti

with

the

purposes

and

possidetis—and

the p r i n c i p l e of s e l f - d e t e r m i n a t i o n . 8 i It is sign i f i c a n t that the t r a d i t i o n a l c o n c e p t of i n t e r n a -

This viewpoint

was repeated, word

w o r d , in G e n e r a l A s s e m b l y R e s o l u t i o n

for 2625

83. Georges Scelle, ibid., p. 257 et seq. 84. T. M. Franck, Fairness in the International Legal and Institutional System, in 240 Recueil des Cours (Hague A c a d e m y of International Law) ( 1993-1V), at p. 129. The writer is grateful to Professor Tom Franck who went through an earlier version of this article and drew the attention of the writer to his own article quoted above. The conclusions are basically similar, but the treatment of the subject of s e l f - d e t e r m i n a t i o n by P r o f e s s o r F r a n c k (pp. 1 2 5 - 1 5 0 ) is much m o r e c o m p r e h e n s i v e . T h e writer is greatly indebted to Professor Franck in finalizing this article. 85. T h o m a s Franck, ibid., pp. 1 2 5 - 1 5 0 , especially pp. 129-134. 86. League of Nations Report of the C o m m i s s i o n of Rapporteurs on the Aland Islands, L. N. dec. B 7 21/68/106 (1921). 87. General Assembly Resolution 2625 ( X X V ) of 24 October 1970, Paragraph 7 of Section 5, entitled " T h e Principle of Equal Rights and S e l f - D e t e r m i n a t i o n of Peoples," states as follows: Nothing in the foregoing paragraphs shall be construed as authorizing or e n c o m p a s s i n g any action which would dism e m b e r or impair, totally or in part, the territorial integrity or political unity of sovereign and independent States conducting themselves in c o m p l i a n c e with the principle of equal rights and self-determination of peoples as described above . . . General Assembly Resolution 1514 (XV) of 14 D e c e m b e r 1960.

77

Commentary

frontiers, and to take account of it in the interpretation of the principle of self-determination of peoples. (Author emphasis.)

( X X V ) of 2 4 O c t o b e r 1970, e n t i t l e d t h e " D e c l a r a t i o n o n P r i n c i p l e s of I n t e r n a t i o n a l L a w c o n cerning Friendly Relations and

Cooperation

a m o n g S t a t e s in A c c o r d a n c e w i t h t h e C h a r t e r of t h e U n i t e d N a t i o n s . "

It is n o t e w o r t h y that in this p a s s a g e the Int e r n a t i o n a l C o u r t of J u s t i c e put its f i n g e r on the

P r e s u m a b l y , t h e s e t w o d e c l a r a t i o n s a r e try-

d i c h o t o m y existing b e t w e e n the two factors

i n g to f i n d a m i d d l e - g r o u n d s o l u t i o n to t h e

a n d e m p h a s i z e d " t h e e s s e n t i a l r e q u i r e m e n t of

d i l e m m a , by r e c o n c i l i n g the p r i n c i p l e of s e l f -

s t a b i l i t y " to b e t h e d e c i s i v e f a c t o r that is r e l e -

d e t e r m i n a t i o n of p e o p l e s w i t h t h e p r i n c i p l e of

vant in t h e legal o r d e r in this p a r t i c u l a r setting.

t e r r i t o r i a l i n t e g r i t y b y r e s t r i c t i n g the f o r m e r ' s

The

s p h e r e of a p p l i c a t i o n to t h o s e c a s e s in w h i c h

s t a n c e s — s e t t i n g a s i d e t h e c o n c r e t e f a c t o r s in-

t h e r i g h t of a " p e o p l e " to b e c o m e a s o v e r e i g n

v o l v e d in this p a r t i c u l a r d e c i s i o n , on w h i c h it is

critical

question

under

such

circum-

m e m b e r of t h e c o m m u n i t y of n a t i o n s is not

not m y i n t e n t i o n to p a s s j u d g m e n t — i s w h e t h e r

g o i n g to be in c o n f l i c t w i t h t h e e x i s t i n g u n i t y

o n e s h o u l d b e t h i n k i n g a b o u t the p r o b l e m pri-

a n d t e r r i t o r i a l i n t e g r i t y of a " n a t i o n - s t a t e . " It

m a r i l y in t e r m s of t h e l e g i t i m a t e i n t e r e s t a n d

w o u l d s e e m , h o w e v e r , that this a t t e m p t c a n be-

j u s t i c e of a s o v e r e i g n state or. rather, in t e r m s

c o m e a circular argument, unless one can de-

of the l e g i t i m a t e interest a n d j u s t i c e of a g r o u p

f i n e a n d i d e n t i f y w h a t is m e a n t b y a " p e o p l e "

of i n d i v i d u a l s to d e c i d e t h e i r o w n d e s t i n y — o r

as t h e s u b j e c t of the p r i n c i p l e of s e l f - d e t e r m i -

in t e r m s of h o w to r e c o n c i l e a n d b a l a n c e the

n a t i o n in its r e l a t i o n s h i p with a " n a t i o n - s t a t e . "

two viewpoints.

Is this q u a l i f i c a t i o n m e a n t to h a v e the e f f e c t of l i m i t i n g the a p p l i c a t i o n of the p r i n c i p l e of selfd e t e r m i n a t i o n to t h o s e c a s e s in w h i c h " f o r e i g n d o m i n a t i o n " is at i s s u e ? A n d if so, w h a t is m e a n t by " f o r e i g n d o m i n a t i o n " ? Is the c o n c e p t v a l i d o n l y in r e l a t i o n to t h e p r o c e s s of d e c o l o n i z a t i o n a f t e r t h e S e c o n d W o r l d War, w h e n the p r i n c i p l e of s e l f - d e t e r m i n a t i o n m e a n t the f r e e d o m of A s i a n a n d A f r i c a n p e o p l e s f r o m the historical

domination

of t h e W e s t e r n

colonial

powers?

In o r d e r to a n s w e r t h i s i n t r a c t a b l e q u e s t i o n a n d to p r o p e r l y u n d e r s t a n d t h e i m p a c t of t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n , o n e s h o u l d look at the s i t u a t i o n not f r o m the v i e w p o i n t of j u s t i c e in r e l a t i o n to n a t i o n s e n t i t l e d to b e c o m e s o v e r e i g n m e m b e r s of i n t e r n a t i o n a l but

society,

in r e l a t i o n to i n d i v i d u a l s o r p e o p l e

as

m e m b e r s of a g l o b a l s o c i e t y . It will be s e e n then that the c o n c e p t of j u s t i c e in the p r i n c i p l e of s e l f - d e t e r m i n a t i o n c o u l d be a m u c h b r o a d e r o n e , e x t e n d i n g to the c a s e of the f r e e d o m of a

O n this score, o n e can clearly detect the

g r o u p of i n d i v i d u a l s as a c o m m u n i t y to d e t e r -

c o n f l i c t o p e r a t i n g b e t w e e n the c o n s i d e r a t i o n of

m i n e t h e i r o w n a f f a i r s as a g r o u p

j u s t i c e a n d that of s t a b i l i t y in the i n t e r n a t i o n a l

w i t h d i s t i n c t identity. N a t u r a l l y , this w o u l d not

endowed

legal order. W i t h full a w a r e n e s s of this c o n f l i c t ,

m e a n that a s e c e s s i o n i s t m o v e m e n t by a local

t h e I n t e r n a t i o n a l C o u r t of J u s t i c e , in its j u d g -

community

ment

e x i s t i n g s o v e r e i g n e n t i t y is a u t o m a t i c a l l y j u s t i -

on

t h e Burkina

Faso

vs. Mali

case,

observed:88 At first sight this principle [of territorial integrity] c o n f l i c t s outright with another one, the right of peoples to self-determination. In fact, however, the maintenance of the territorial status quo in A f r i c a is o f t e n seen as the wisest course. T h e essential r e q u i r e m e n t of stability in o r d e r to survive, to d e v e l o p and g r a d u a l l y to c o n s o l i d a t e their i n d e p e n d e n c e in all fields, has induced African States judiciously to commit to the respecting of colonial

claiming

independence from

an

f i e d . A t t h e s a m e t i m e , it s h o u l d not m e a n that t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n is o n l y a p p l i c a b l e to t h e p r o c e s s of d e c o l o n i z a t i o n a n d d i s i n t e g r a t i o n of a c o l o n i a l e m p i r e a n d

has

t h e r e f o r e c e a s e d to a p p l y in t h e p o s t c o l o n i a l w o r l d of t o d a y . It s h o u l d b e r e l e v a n t in this c o n n e c t i o n to r e c a l l that t h e I n t e r n a t i o n a l C o v e n a n t on C i v i l a n d P o l i t i c a l R i g h t s , in A r t i c l e 1, p r o v i d e s as follows:89

88. ICJ Reports 1986, p. 554, para. 25. 89. See Article of the International C o v e n a n t s on Civil and Political Rights, General Assembly Resolution 2 2 0 0 (XXI). Precisely the same provision appears in Article 1 of the International Covenant on E c o n o m i c , Social, and Cultural Rights.

78

Hisashi

Owada

All peoples have the right of self-determination. By virtue of that right they freely determine their political status and freely pursue their economic, social and cultural development.

a l s o in relation to their i n d i v i d u a l citizens, w h o

W i t h a k e e n s e n s i t i v i t y to t h e c o n f l i c t aris-

E u r o p e at a c o m m u n i t y level, w h a t by contrast

a r e i n c r e a s i n g l y a s s u m i n g t h e r o l e s of c e n t r a l a c t o r s in the s y s t e m . T h u s , it m a y b e that as the p r o c e s s of " s o c i a l i n t e g r a t i o n " p r o g r e s s e s in

ing f r o m t h i s d i c h o t o m y , an a u t h o r i t y o n t h i s

m i g h t b e d e s c r i b e d as a p r o c e s s of " s o c i e t a l

i m p o r t a n t but d e l i c a t e p r o b l e m m a d e t h e f o l -

d i s i n t e g r a t i o n " at t h e level of the n a t i o n - s t a t e s

l o w i n g r e m a r k , p r e s u m a b l y s h a r i n g t h e line of

in the E u r o p e a n U n i o n is a l s o o c c u r r i n g . T h i s

a n a l y s i s o u t l i n e d by the p r e s e n t a u t h o r : 9 0

c a l l s into q u e s t i o n the r e l e v a n c e of

As a j u s t i c e - b a s e d s y s t e m i z a t i o n of c l a i m s , this [situation] a p p e a r s factually insupportable. Indeed, s y s t e m i z e d j u s t i c e here s e e m s s e l f - c o n t r a d i c t o r y : each c l a i m ' s justice would have to d e p e n d upon its o w n context. What is thereby odd as a political s y s t e m i z a tion would b e c a m e blatant reductio ad ahsurdum if it were incorporated in a legal n o r m . A c o m m u n i t y still largely based on States would not agree to m a k e States the most vulnerable of all international entities, less able to d e f e n d t h e m s e l v e s in law than supranational and subnational ones. T h a t t h i s c o n f l i c t is not l i m i t e d to

the

p r o c e s s of d e c o l o n i z a t i o n a n d p o s t - d e c o l o n i z a tion in A f r i c a c a n be d e m o n s t r a t e d by a s o m e what similar s i t u a t i o n — b u t with d i f f e r e n t underlying motives and against a very different background—in

the

political

geography

of

Western Europe and other industrialized parts of t h e w o r l d . T h u s ,

European

nation-states

w o u l d , o n t h e o n e h a n d , a p p e a r to b e m o v i n g inevitably toward a more complete unification of E u r o p e . O n t h e o t h e r h a n d , h o w e v e r , an apparently

contradictory

movement

is

taking

p l a c e in a n u m b e r of E u r o p e a n c o u n t r i e s toward further fragmentation into nation-states. In e f f e c t , w h a t w e a r e w i t n e s s i n g n o w in E u r o p e is a s e e m i n g l y p a r a d o x i c a l s i t u a t i o n in w h i c h t h e n a t i o n - s t a t e s as t r a d i t i o n a l u n i t s of t h e i n t e r n a t i o n a l s y s t e m , a r e o n t h e i r w a y to l o s i n g r e l e v a n c e — n o t o n l y in r e l a t i o n to t h e i r s u p r a n a t i o n a l a u t h o r i t y , w h i c h is i n c r e a s i n g l y r e p l a c i n g the f u n c t i o n s of s o v e r e i g n s t a t e s , but

nation-

states as the b a s i c unit of the c o m m u n i t y c a l l e d the E u r o p e a n U n i o n . T h e i m p a c t of this trend is a p p e a r i n g in m a n y a r e a s of E u r o p e — B e l g i u m , the U n i t e d K i n g d o m . S p a i n , F r a n c e , and in many other European nation-states. In f a c t , this trend is not c o n f i n e d to m e m bers

of

the

European

Union.

Countries

in

C e n t r a l E u r o p e , such as the f o r m e r C z e c h o s l o v a k i a . or C a n a d a in the W e s t e r n H e m i s p h e r e , are a l s o b e i n g a f f e c t e d by e s s e n t i a l l y the s a m e m o v e m e n t . 9 1 In all of t h e s e c a s e s , w h a t is disc e r n i b l e is that s m a l l e r local c o m m u n i t i e s , with t h e i r d i s t i n c t s e n s e of i d e n t i t y a n d m o r e t a n gible and easily

identifiable community

in-

terests, are b e g i n n i n g to voice legitimacy in their claim for a u t o n o m y / i n d e p e n d e n c e , o p p o s i n g t h e claim of existing nation-states for the s u p r e m a c y of s o v e r e i g n t y and territorial integrity. In this d i c h o t o m o u s s i t u a t i o n ,

pervasive

t h o u g h o u t the w o r l d , a h a r m o n i o u s b a l a n c e is u r g e n t l y n e e d e d b e t w e e n the c o n c e p t of j u s t i c e f r o m the v i e w p o i n t of a n a t i o n as an e m e r g i n g s o v e r e i g n state a n d the c o n c e p t of j u s t i c e f r o m the v i e w p o i n t of p e o p l e as a g r o u p of i n d i v i d ual c i t i z e n s in t h e g l o b a l s e t t i n g . A c h i e v i n g s u c h a h a r m o n i o u s e q u i l i b r i u m w o u l d be p o s s i b l e if g o o d g o v e r n a n c e in the r e s p e c t i v e s o c i e t i e s of n a t i o n s is e n s u r e d so that the l e g i t i m a t e a s p i r a t i o n s of g r o u p s of p e o p l e w i t h a u n i f y i n g i d e n t i t y m a y b e r e a l i z e d in t h e g o v e r n m e n t a l p r o c e s s a n d a d e g r e e of a u t o n o m y is e n s u r e d in o r d e r to g r a n t t h e r e q u e s t by t h e s e g r o u p s of people for self-determination.

90. T h o m a s Franck, op. cit., pp. 1 3 6 - 1 3 7 . 91. In this context, the birth of new states in the Baltic States and the independent Central Asian republics of the f o r m e r Soviet Union (CIS) would seem to fall in a different category, as they essentially represent the process of self-determination in the context of the decolonization of e m p i r e s .

CHAPTER 3

Global Change and the Future of Existing Nation-States Jeffrey Herbst1

T

shattered.- 1 R a t h e r , t h e usual v i e w h a s b e e n that

g o o d p a r t , t h e h i s t o r y of t h e f r a c t u r i n g of

i n t e r n a t i o n a l f o r c e s — n o t a b l y the stress on s o v -

l a r g e p o l i t i c a l u n i t s . S i n c e 1900, t h e A u s t r o -

e r e i g n t y a n d i n t e r n a t i o n a l s u p p o r t f o r t h e in-

H u n g a r i a n , Belgian, British, Danish,

h e h i s t o r y of the t w e n t i e t h c e n t u r y is, in

Dutch,

t e g r i t y of n a t i o n s — a c t as c o u n t e r b a l a n c e s to

Ethiopian, F r e n c h , G e r m a n . Italian, J a p a n e s e .

the c e n t r i f u g a l f o r c e s that a r i s e f r o m d o m e s t i c

Ottoman,

politics a n d t h r e a t e n to s h a t t e r s t a t e s . 4

Portuguese,

Russian,

Soviet,

and

S p a n i s h e m p i r e s h a v e all c o l l a p s e d , l e a v i n g in

A f o c u s on t h e p o s s i b i l i t i e s of

smaller

t h e i r w a k e a l a r g e n u m b e r of s m a l l e r s t a t e s . 2

states a l s o r a i s e s the q u e s t i o n w h e t h e r f o r m s of

T h e t r e n d t o w a r d s m a l l e r p o l i t i c a l u n i t s , as

political organization other than the

well as the r e c e n t a n d d r a m a t i c b r e a k u p s of the

state m a y b e v i a b l e in the f u t u r e . I n d e e d , w i t h

S o v i e t U n i o n a n d Y u g o s l a v i a , d e m a n d s an e x -

t h e r e e m e r g e n c e of s e l f - d e t e r m i n a t i o n as an

nation-

a m i n a t i o n of w h e t h e r e v e n s m a l l e r s t a t e s c a n

important norm for the international

b e v i a b l e in t h e f u t u r e , e s p e c i a l l y g i v e n t h e

nity to r e s p e c t , t h e r e h a s r e c e n t l y b e e n a f l u r r y

p r o f o u n d global political, economic, and mili-

of d e b a t e r e g a r d i n g t h e f u t u r e of t h e n a t i o n -

tary c h a n g e s that are b e c o m i n g a p p a r e n t as the

state. 5

new

millennium

approaches.

Unfortunately,

commu-

A n i m m e d i a t e t e r m i n o l o g i c a l p r o b l e m re-

e x a m i n a t i o n s of recent instances of state-shatter-

lates to w h a t e x a c t l y

ing h a v e all b u t i g n o r e d the i n t e r n a t i o n a l c o n -

E c o n o m i s t s d e f i n e s m a l l c o u n t r i e s as t h o s e that

is m e a n t by

"small."

text, p r e f e r r i n g i n s t e a d to f i n d d o m e s t i c e x p l a -

are p r i c e - t a k e r s a n d w h o s e d o m e s t i c p o l i c i e s

nations why the formerly c o m m u n i s t countries

d o not a f f e c t t h e i n t e r n a t i o n a l e c o n o m y . 6 U s i n g

1. I am grateful to Michael Doyle and John Waterbury for their helpful c o m m e n t s . 2. In 1900, there were roughly sixty nation-states. Two hundred nations are expected to attend the 1996 O l y m p i c G a m e s . Robin Wright, " T h e Outer Limits," Los Angeles Times (August 25, 1992): 1. 3. For instance, the voluminous literature on the breakup of the Soviet Union ignores the international dimension. See, for instance, Gail Lapidus et al., From Union to Commonwealth: Nationalism and Separatism in the Soviet Republics (Cambridge: Cambridge University Press, 1992); Alexander J. Motyl, ed., The Post-Soviet Nations: Perspectives on the Demise of the USSR (NY: Columbia University Press, 1992); T i m o t h y J. Colton and Robert Legvold, eds., After the Soviet Union: From Empire to Nations (NY: W.W. N o r t o n , 1992); and J o h n B. Dunlop, The Rise of Russia and the Fall of the Soviet Union (Princeton: Princeton University Press, 1993). 4. See, for instance, Crawford Young, "The National and Colonial Question and Marxism: A View f r o m the S o u t h , " in Alexander J. Motyl, ed., Thinking Theoretically About Soviet Nationalities: History and Comparison in the Study of the USSR (NY: C o l u m b i a University Press, 1992), p. 91. 5. See, for instance, Gidon Gottlieb, Nation Against State: A New Approach to Ethnic Conflicts and the Decline of Sovereignty (NY: Council on Foreign Relations, 1993). 6. Vittorio C o r b a and Fernando Ossa, " S m a l l Open Economies: T h e Main Issues," in Vittorio C o r b a , Anne O. Krueger, and Fernando Ossa, eds., Export-Oriented Development Strategies (Boulder: Westview Press, 1985), p. 5.

79

80 this d e f i n i t i o n , a l m o s t e v e r y c o u n t r y in the w o r l d , i n c l u d i n g K o r e a , T u r k e y , C a n a d a , and C h i n a , is " s m a l l . " O t h e r d e f i n i t i o n s use p o p u lation size b u t . i n e v i t a b l y , vary on h o w to dem a r c a t e " s m a l l . " For instance, Streeten d e f i n e s " s m a l l " as p o p u l a t i o n s u n d e r ten m i l l i o n p e o ple, Jalan i d e n t i f i e s " s m a l l " as u n d e r five million, w h i l e the D a v i d D a v i e s M e m o r i a l Institute study of small states f o c u s e s on t h o s e c o u n t r i e s with f e w e r than one million p e o p l e . 7 O t h e r scholars have used a variety of m e a s u r e s , i n c l u d i n g g r o s s d o m e s t i c p r o d u c t , electrical c o n s u m p t i o n , and military e x p e n d i t u r e s , either singly or in s o m e c o m b i n a t i o n , to reach a definition of " s m a l l . " 8 T h e p r o b l e m with these studies is that the d e m a r c a t i o n between " s m a l l " and "not s m a l l " is usually arbitrary. Equally important, the d e f i n i t i o n of " s m a l l " is not related to the analytic question at hand, m a k i n g the classifications largely an exercise in scholasticism. T h i s p a p e r will e s c h e w a single d e f i n i t i o n of " s m a l l " b e c a u s e it is largely c o n c e r n e d with the p r e s s u r e s on a c o u n t r y to b e c o m e s m a l l e r , i r r e s p e c t i v e of the o r i g i n a l size. S u c h an app r o a c h will allow a f o c u s on the p r e s s u r e s affecting m a n y c o u n t r i e s that m a y c a u s e t h e m to splinter or at least alter the c a l c u l a t i o n s of those who, in the past, m a y h a v e called for ret e n t i o n of the e x i s t i n g n a t i o n - s t a t e b e c a u s e s m a l l e r units w o u l d not h a v e b e e n viable. Focusing on trends rather than a b s o l u t e size is imp o r t a n t , not least b e c a u s e the S o v i e t U n i o n split into f i f t e e n d i f f e r e n t c o u n t r i e s , t w o of w h i c h — R u s s i a and U k r a i n e — s e e m large by m o s t d e f i n i t i o n s . S i m i l a r l y , e v e n if N i g e r i a were to split into three d i f f e r e n t countries, each of the n e w c o u n t r i e s w o u l d p r o b a b l y be a m o n g the seven or so largest c o u n t r i e s in A f r i c a .

The Nation-State's Rise and the Advantages of Size In the last f i f t y y e a r s , the n a t i o n - s t a t e has bec o m e the a l m o s t u n i v e r s a l m o d e of political

Jeffrey

Herbst

o r g a n i z a t i o n a c r o s s the w o r l d . I n d e e d , t h e nat i o n - s t a t e ' s d o m i n a n c e has b e c o m e so total t i a t it is often forgotten that its current hegemonv is really f a i r l y r e c e n t . E v e n the g e n e r a l l y accepted m a r k e r for the a s c e n d a n c e of the nations t a t e — t h e Treaty of W e s t p h a l i a in 1 6 4 8 — i s really not that a u s p i c i o u s . W e s t p h a l i a l a r g ; l y initiated a system of interstate relations but did not g u a r a n t e e the p r e s e n c e of n a t i o n - s t a t e s e v e r y w h e r e , even in E u r o p e , as the subsequent history of both G e r m a n y and Italy m a k e clear. It w a s not until the n i n e t e e n t h c e n t u r y that the p o s t f e u d a l political entities w e r e c o n v e r t e d into n a t i o n a l states in E u r o p e . 9 In 1900, the organizing p r i n c i p l e a c r o s s m u c h of the world outside of E u r o p e was not the nation-state, but the e m p i r e , as a large f r a c t i o n of g l o b e w a s ruled f r o m Lisbon, L o n d o n , and Paris. T h e true t r i u m p h of the n a t i o n - s t a t e occurred b e t w e e n 1948 and 1963, when dozens of countries gained i n d e p e n d e n c e and chose as the vehicle to i n d e p e n d e n c e the nation-state as def i n e d p o l i t i c a l l y and g e o g r a p h i c a l l y by their f o r m e r c o l o n i z e r s . T h e r e v o l u t i o n in international relations w a s that these n e w states were a c c o r d e d the s a m e s o v e r e i g n rights as any o t h e r c o u n t r y , i r r e s p e c t i v e of the strength of their d o m e s t i c i n s t i t u t i o n s or l o n g - t e r m prosp e c t s . 1 0 Just h o w p r o f o u n d this c h a n g e was can be o b s e r v e d in A f r i c a . In p r e c o l o n i a l A f r i c a , a w i d e v a r i e t y of political o r g a n i z a t i o n s — v i l lages, city-states, n a t i o n - s t a t e s , and e m p i r e s — rose and fell. H o w e v e r , that h e t e r o g e n e o u s political heritage was b r u s h e d aside in the rush by n a t i o n a l i s t s to seize the r e i n s of p o w e r of the n a t i o n - s t a t e as d e f i n e d p o l i t i c a l l y and geog r a p h i c a l l y by their E u r o p e a n c o l o n i z e r s . Ironically, e v e n as N k r u m a h , N y e r e r e , and S e k o u T o u r e (as well as H o Chi M i n h , N e h r u , and S u k a r n o ) w e r e p r o c l a i m i n g a b r e a k with Europe and the West, they u n i f o r m l y seized u p o n that m o s t W e s t e r n of p o l i t i c a l o r g a n i z a t i o n s — the n a t i o n - s t a t e — t o r u l e . A s a r e w a r d , they

7. Paul Streeten, "The Special Problems of Small Countries," World Development 21 (February 1992): 197; Bimal Jalan, Introduction, in Bimal Jalan, ed., Problems and Policies in Small Economies (London: Croom Helm, 1982), p. 1; David Davies Memorial Institute of International Studies, Small Is Dangerous: Micro States in a Macro World (NY: St. Martin's Press, 1985), pp. 4—6. 8. One example is Harold Codrington, "Country Size and Taxation in Developing Countries," Journal of Development Studies 25 (July 1989): 509. 9. Anthony D. Smith, The Ethnic Origins of Nations (Oxford: Basil Blackwell, 1986), p. 11. 10. Robert H. Jackson, Quasi States: Sovereignty, International Relations, and the Third World (Cambridge: Cambridge University Press, 1990), p. 15.

Global Change and the Future of Existing

Nation-States

were accorded sovereign status equal to that of their former rulers or the superpowers, despite the tremendous differences in national capabilities. At the same time that the nation-state has assumed a virtual monopoly in terms of political organization, individual nation-states have been remarkably stable. Between 1945 and 1989, there was unprecedented boundary stability, perhaps most vividly expressed by a European peace that depended on a bizarrely divided Berlin. One of the implicit rules of the superpower competition was that supporting efforts to change boundaries was not part of the competition. In fact, the great powers usually intervened (as was the case with Zaire, Chad, and Ethiopia) to protect the integrity of existing states. Thus, between the end of the Second World War and 1989. the only forcible boundary changes that were unrelated to the end of colonialism were the creation of Bangladesh, the annexation of the Golan Heights, and the absorption of South V i e t n a m . " This was a remarkable development in a world where forcible boundary change was once a fairly common event. The most stunning aspect of the Iraqi invasion of Kuwait in 1990 was not that it happened but that this sort of armed effort has not occurred more often in a world made up mainly of weak states that cannot defend their boundaries. To understand whether in the future even smaller nation-states and other types of political organization could become viable, it is first important to understand the confluence of factors that prompted the unprecedented rise of the nation-state in Europe and then throughout the world. 1 2 The nation-state rose to dominance largely because its unique ability to unite a market and population under sovereign rule provided leaders in successive centuries with important "economies of scale" in military,

81

economic, and political affairs that could not be achieved any other way. The first prompt for the creation of the nation-state was clearly its unique ability to marshal resources for war, beginning in medieval Europe. In past centuries, when warfare was common in Europe, many political entities disappeared after being conquered by their neighbors. Not surprisingly, ihere was something of a Darwinian evolution that rewarded the design of institutions that might better mobilize resources to defend themselves and defeat others. The comparative advantages of the postfeudal state became progressively more important as warfare became much more expensive and increasingly involved the long-term funding of standing armies conscripted from the national population, funded through domestic taxes, and led by a professional staff that had to be able to adapt to continual changes in military technology. After some failed experiments with mercenary armies, it became clear by 1800 that only the new type of state could support the new type of warfare.' ^ Such were the advantages offered by the nation-state that Joseph Strayer was forced to conclude that "the development of the modern state . . . made possible such a concentrated use of human resources that no other type of social organization could avoid being relegated to a subordinate r o l e . " 1 4 Those who had been colonized by the European states understood the modern state's formidable advantages as a means of mobilizing resources and controlling territory, tasks central to the postcolonial project of nationalists across the world. Second, the relatively large national territories that the nation-state unified to create a single market gave it profound economic advantages over other types of political organization such as the city-state. From Adam Smith to current times, economists have argued, in the

11. Given the bizarre geography of postindependence Pakistan, even the creation of Bangladesh could arguably be traced to decolonization. 12. This is a huge topic that can be discussed only in a cursory manner here. The major works include Joseph R. Strayer, On the Medieval Origins of the Modern State (Princeton: Princeton University Press, 1970); Charles Tilly, "Reflections on the History of European State-Making," in his The Formation of Nation States in Western Europe (Princeton: Princeton University Press, 1975); E.J. Hobsbawm, Nations and Nationalism Since 1780 (Cambridge: Cambridge University Press, 1990); Michael Mann, The Sources of Social Power, vol. 2 (Cambridge: Cambridge University Press, 1993); and Brian M. Downing, The Military Revolution and Political Change (Princeton: Princeton University Press, 1992). 13. Charles Tilly, European Revolutions, 1492-1992 (Oxford: Blackwell, 1993), p. 32. 14. Strayer, On the Medieval Origins, p. 4.

82

Jeffrey

w o r d s of C h a r l e s K i n d l e b e r g e r , " I n e c o n o m i c

suggests how dominant

terms the state should

modernity had become.

b e l a r g e to

achieve

Herbst

its a s s o c i a t i o n

with

e c o n o m i e s of s c a l e . " 1 5 E c o n o m i s t s c o n t i n u e d

T h e u n i q u e a t t r a c t i v e n e s s of t h e n a t i o n -

to b e l i e v e that l a r g e r internal m a r k e t s w e r e in-

state as a p o l i t i c a l o r g a n i z a t i o n w a s f u r t h e r e d

t r i n s i c a l l y b e t t e r b e c a u s e t h e b o u n d a r i e s of the

by a f u r i o u s e f f o r t on t h e p a r t of t h e o r i s t s a n d

n a t i o n - s t a t e , in a c c o r d w i t h the t h e o r y of c o m -

p r a c t i t i o n e r s to p r o v e that the r e l a t i v e l a r g e n e s s

p a r a t i v e a d v a n t a g e , w e r e s e e n as b a r r i e r s t o

of the n a t i o n - s t a t e w a s an u n a m b i g u o u s d e m o -

economic exchange. As Robinson argued:

cratic a d v a n t a g e . Classic political theory stressed

The boundary of the nation represents a point of discontinuity; it represents a change in the degree of mobility of almost all the factors of p r o d u c t i o n of labour m o r e especially but in hardly less degree also of capital and credit, since currency and b a n k i n g s y s t e m s are cot e r m i n o u s with nations; it r e p r e s e n t s above all a discontinuity in the mobility of g o o d s . 1 6 In t h e T h i r d W o r l d , i n d u s t r i a l i z a t i o n

through

import substitution (ISI), the d o m i n a n t development

ideology

f r o m the

1950s

until

the

t h e i m p o r t a n c e of s m a l l p o l i t i c a l u n i t s , ideally city-states.19 Plato calculated the optimal numb e r of c i t i z e n s at 5 , 0 4 0 , w h i l e A r i s t o t l e believed that all the c i t i z e n s s h o u l d b e a b l e to ass e m b l e in o n e p l a c e a n d h e a r a s p e a k e r . Later, Rousseau and M o n t e s q u i e u w o u l d also stress the i m p o r t a n c e of the r e l a t i o n s h i p b e t w e e n size a n d d e m o c r a c y . T h e f r a m e r s of t h e c o n s t i t u t i o n of the U n i t e d S t a t e s w e r e p a r t i c u l a r l y

con-

c e r n e d that M o n t e s q u i e u , w h o h a d a p r o f o u n d i n f l u e n c e on J e f f e r s o n , s e e m e d to be a size de-

1980s, e x e m p l i f i e d the f i x a t i o n w i t h the size of

terminist,

arguing

the d o m e s t i c m a r k e t . T h e l a r g e r t h e d o m e s t i c

would

democratic

be

not

only but

that that

city-states larger

units

m a r k e t , the m o r e viable the s t r a t e g y b e c a m e be-

w o u l d i n e v i t a b l y b e r u l e d by d e s p o t s . C r i t i -

c a u s e the a p p r o a c h a s s u m e d that g r o w t h w o u l d

cally, J a m e s M a d i s o n b r i l l i a n t l y t u r n e d the ar-

b e g o v e r n e d by d o m e s t i c d e m a n d . I n d e e d , ISI

g u m e n t a b o u t s i z e a n d d e m o c r a c y on its h e a d

institutionalized

by a r g u i n g not o n l y that l a r g e p o l i t i c a l u n i t s

a

bias

against

those

who

w a n t e d to e x p o r t to the i n t e r n a t i o n a l e c o n o m y . F i n a l l y , in the W e s t , t h e r e h a s b e e n a sign i f i c a n t i n t e l l e c t u a l t r a d i t i o n , e x e m p l i f i e d by

w e r e not i n h e r e n t l y u n d e m o c r a t i c but that they had substantial a d v a n t a g e s o v e r smaller units by b e i n g a b l e to limit t h e d a m a g e of f a c t i o n s .

Spencer. Durkheim, Marx and Engels, and Par-

T h e n a t i o n - s t a t e t r i u m p h e d b e c a u s e of a

s o n s , that c o n s i d e r e d a critical part of m o d e r n -

s e r i e s of c o m p l e x f a c t o r s , all o f w h i c h p l a y e d

ization to be an e v o l u t i o n f r o m s m a l l s t r u c t u r e s

to its s t r e n g t h of b e i n g a b l e t o m o b i l i z e re-

b a s e d on f a m i l i a l a n d e t h n i c i d e n t i t i e s to m o r e

sources f r o m a relatively large population and

c o m p l e x social s t r u c t u r e s s u c h as the n a t i o n . 1 7

p r o v i d e e c o n o m i e s of s c a l e f o r m i l i t a r y , e c o -

T h e i n c r e a s i n g s c a l e a n d c o m p l e x i t y of politi-

nomic. and political activity. G i v e n these ad-

cal

v a n t a g e s , it is h a r d l y s u r p r i s i n g that the n a t i o n -

arrangements

Gemeinschaften

as

societies

to Gesellschaften

moved

from

was perceived

as p e r f o r c e g o o d a n d d e s i r a b l e , w h i l e s m a l l e r

state

was

reproduced

throughout

the

Third

W o r l d , e v e n by t h o s e w h o h a d little p a t i e n c e

p o l i t i c a l u n i t s s u c h as t r i b e , v i l l a g e , a n d c i t y -

f o r m o s t E u r o p e a n political a n d intellectual tra-

s t a t e , w h i c h p r e v i o u s l y w e r e s o i m p o r t a n t to

d i t i o n s . F u r t h e r m o r e , t h e n e w l e a d e r s of t h e

the West, w e r e i n c r e a s i n g l y s e e n as a n a c h r o n i s -

Third World cooperated with the great p o w e r s

tic.18 T h e fact that, during the global decolo-

in h e l p i n g to d e s i g n an i n t e r n a t i o n a l

nization process, there was almost no discus-

structured around the United Nations, that did

s i o n of a l t e r n a t i v e s to t h e m o d e r n n a t i o n - s t a t e

not a l l o w f o r a n y t h i n g o t h e r t h a n

system,

sovereign

15. Charles P. Kindleberger, Multinational Excursions (Cambridge; M I T Press, 1984), p. 28. 16. E.A.G. Robinson, Introduction, in E.A.G. Robinson, ed., Economic Consequences of the Size of Nations (London; St. M a r t i n ' s Press, 1960), p. xiv. 17. S e e , f o r instance, M a r x and E n g e l s , Manifesto of the Communist Party, reprinted in R o b e r t C. Tucker, The Marx-Engels Reader, 2d ed. (NY: W.W. Norton, 1978), p. 477. ' 18. Smith, The Ethnic Origins of Nations, p. 153. 19. This discussion relies heavily on Robert Dahl and Edward Tuftee, Size and Democracy (Stanford: Stanford University Press, 1973), pp. 4 - 7 .

Global Change and the Future of Existing

83

Nation-States

states. As a result, d e c o l o n i z a t i o n w a s

very

d e s p i t e the fact that they h a d v e r y little land a n d

m u c h a t r a n s f e r of p o w e r b e t w e e n e l i t e s r a t h e r

the territory that they possessed was notably

t h a n a n e f f o r t to c h a n g e e x i s t i n g m a c r o p o l i t i c a l

b e r e f t of natural r e s o u r c e s . T h a t p e c u l i a r l y p o o r

s t r u c t u r e s or to d e v e l o p n e w o n e s .

resource e n d o w m e n t may actually have prop e l l e d t h e s e c o u n t r i e s to s u c c e s s b e c a u s e t h e i r

The Diminishing Advantage of Size

leaders knew (unlike Argentina or Australia)

A f t e r several c e n t u r i e s w h e n p o w e r f u l m i l i t a r y ,

t h a t t h e y c o u l d not rely o n t h e i r w e a l t h in t h e

e c o n o m i c , a n d political c o n s i d e r a t i o n s f a v o r e d

g r o u n d but h a d to d e v e l o p s k i l l e d l a b o r f o r c e s

the e s t a b l i s h m e n t and c o n t i n u a t i o n of r e l a t i v e l y

and efficient manufacturing sectors.

b i g n a t i o n - s t a t e s , t h e r e is n o w s o m e r e a s o n to

I n d e e d , t h e r e is n o s t a t i s t i c a l r e l a t i o n s h i p

b e l i e v e that the a d v a n t a g e s p r o v i d e d by s i z e

between

country

growth

perfor-

n e e d to be r e c a l c u l a t e d . In p a r t i c u l a r , t h e utility

mance.21

E v e n e c o n o m i s t s s u c h as

Michael

size

and

of a r e l a t i v e l y large u n i f i e d m a r k e t a n d p o l i t y

Porter, w h o c o n t i n u e to b e l i e v e that the size of

that is the c o r n e r s t o n e of t h e n a t i o n - s t a t e m a y

t h e h o m e m a r k e t is i m p o r t a n t , n o t e that the in-

be less a d v a n t a g e o u s t h a n b e f o r e . At t h e s a m e

f l u e n c e of o t h e r f a c t o r s , i n c l u d i n g the c o m p o s i -

t i m e , an a l t e r n a t i v e i n t e l l e c t u a l t r a d i t i o n

tion of d o m e s t i c d e m a n d a n d t h e s i m i l a r i t i e s

has

b e g u n to s t r e s s t h e p r o b l e m s a s s o c i a t e d w i t h

between domestic and international

political o r g a n i z a t i o n that t r a n s f e r s r e s p o n s i b i l -

m e a n s that e v e n a r e l a t i v e l y large internal m a r -

ity a w a y f r o m c o m m u n i t i e s . S o m e of

ket d o e s not g u a r a n t e e e c o n o m i e s of s c a l e . 2 2

these

markets,

t r e n d s h a v e b e e n at w o r k s i n c e 1900 a n d h a v e

F u r t h e r m o r e , the d o m i n a n t e c o n o m i c strat-

h e l p e d to p r o m p t the d i s i n t e g r a t i o n of t h e o l d

e g y in the 1980s a n d 1990s c e n t e r s on e x p o r t -

colonial empires. Other factors have appeared

led g r o w t h , i m p l y i n g that the size of the d o -

relatively recently and may further strengthen

m e s t i c m a r k e t is not n e a r l y as i m p o r t a n t

as

t h e n e e d to q u e s t i o n w h e t h e r e x i s t i n g n a t i o n -

previously thought. An export orientation

is

states, a l r e a d y so m u c h s m a l l e r t h a n t h e p o l i t i -

p a r t i c u l a r l y a t t r a c t i v e b e c a u s e the w o r l d e c o n -

cal o r g a n i z a t i o n s at the turn of the c e n t u r y , are

o m y is g r o w i n g q u i c k l y a n d d e v e l o p i n g c o u n -

really d e s i r a b l e or n e c e s s a r y .

t r i e s h a v e b e e n s u c c e s s f u l in c a p t u r i n g an in-

T h e m o s t i m p o r t a n t of t h e s e t r e n d s m a y b e

c r e a s i n g s h a r e of m a n u f a c t u r e d e x p o r t s . 2 1 P u t

the l o n g - t e r m d e c l i n e in the v a l u e of s i z e , d e -

s i m p l y , if a c o u n t r y is p r o d u c i n g f o r the w o r l d

f i n e d as p o p u l a t i o n , l a n d m a s s , or

m a r k e t , d o e s t h e size of its d o m e s t i c m a r k e t

aggregate become

m a t t e r ? G i v e n that s m a l l c o u n t r i e s , a l m o s t by

rich t o d a y by m i n i n g a vast h i n t e r l a n d o r by

d e f i n i t i o n , d e v o t e a l a r g e r s h a r e of t h e i r e c o n -

dint of large l a b o r f o r c e s . R a t h e r , they b e c o m e

o m y to f o r e i g n t r a d e t h a n large c o u n t r i e s , 2 4 it

rich b y p o s s e s s i n g a d v a n c e d

c o u l d be that t h o s e s m a l l c o u n t r i e s with p r o p e r

e c o n o m i c activity. C o u n t r i e s d o not

manufacturing

s e c t o r s that p r o d u c e s e m i c o n d u c t o r s a n d s u p e r -

m a c r o e c o n o m i c p o l i c i e s are best p o s i t i o n e d to

t a n k e r s a n d s e r v i c e s e c t o r s that w r i t e s o f t w a r e

take

a n d sell i n s u r a n c e to t h e w o r l d m a r k e t . 2 0 T h e

t r a d e . E v e n e x c e p t i o n a l v u l n e r a b i l i t y to e x t e r -

advantage

of

expanding

international

most successful e c o n o m i e s since World War

nal s h o c k s — t r a d i t i o n a l l y

II—Japan,

m a j o r d r a w b a c k to an o p e n e c o n o m y — m a y b e

Korea,

and

Taiwan—succeeded

believed to be the

20. C o m m o d i t y producers since 1960 have g r o w n significantly slower than diversified exporters or e x porters of manufactured goods or services. World Bank, Global Economic Prospects and the Developing Countries, 1994 (Washington, D.C.: The World Bank, 1994), p. 32. 21. C h r i s Milner and Tony Westaway, " C o u n t r y Size a n d the M e d i u m - T e r m G r o w t h Process: S o m e Cross-Country E v i d e n c e , " World Development 21 (February 1993): 211. 22. Michael E. Porter, The Competitive Advantage of Nations (NY: T h e Free Press, 1990), pp. 9 2 - 9 7 . 23. The World Bank projects that international trade will increase at an average rate of 5.9 percent annually through the year 2 0 0 3 . T h e G 7 c o u n t r i e s are e x p e c t e d to g r o w by only 2.7 a year during the same period. Between 1982 and 1988, world trade in m a n u f a c t u r e s grew by 13 percent a year, while manufactured goods exported by developing countries increased 18 percent annually. See World Bank, pp. 2 - 3 , and I.M.D. Little et al., Boom, Crisis and Adjustment: The Macroeconomic Experience of Developing Countries (NY: O x f o r d University Press, 1994), p. 118. 24. Streeten, "The Special P r o b l e m s of Small C o u n t r i e s , " pp. 199-200.

84 significantly obviated by good g o v e r n m e n t m a n a g e m e n t of sudden price increases or decreases. 2 5 An export orientation combined with a relatively buoyant international e c o n o m y addresses what has traditionally been seen as another m a j o r e c o n o m i c disadvantage of small states—the economies of scale. For instance, in the 1960s, Kuznets could argue that small states (defined by him as under ten million in population) could often not engage in production of high technology items because their small markets and c o n c o m i t a n t small production runs would cause costs to be unacceptably h i g h . 2 6 He could not have anticipated a world where Singapore can hope to become a leading exporter of such advanced technology products as microelectronics, robotics, or new materials engineering because of its concentration of skills and its proven ability to export. 2 7 W h i l e S i n g a p o r e ' s p e r f o r m a n c e has in m a n y w a y s been exceptional, its e x a m p l e could point the way for many other countries. Another factor reducing the utility of size has been the dramatic changes in international capital markets. T u r n o v e r in the three largest markets (London, N e w York, and Tokyo) increased threefold just between 1987 and 1993 and n o w amounts to an astounding $1 trillion a day. The revolutions in computers and telecommunications have m e a n t that m u c h of this money can be transferred b e t w e e n currencies and countries almost instantly. Perhaps even more important are the huge increases in international portfolio investment, the ownership of stock shares by foreigners. Total gross crossborder equity holdings in the United States, Europe, and Japan increased f r o m $800 billion in 1986 to $1.3 trillion in 1991. Cross-border ownership of tradable securities is estimated to have risen to $2.5 trillion. 2 8 This f i g u r e will

Jeffrey Herbst only increase in the future as stock markets, especially in developing countries, allow foreign participation and institutional investors in the industrialized world seek to further internationalize their portfolios in order to escape low domestic yields. As a result, national boundaries are no longer barriers to the m o v e m e n t s of factors of production, especially capital, because international capital m a r k e t s are integrated to allow for the almost instantaneous m o v e m e n t of f u n d s . Thus, the f u n d a m e n t a l advantage of a relatively large unified market under sovereign control provided by the nation-state is no longer nearly as important as it once was. Furthermore, the military advantages associated with size have also changed f u n d a m e n tally. Although there are today an unprecedented n u m b e r of weak states that cannot d e f e n d their own boundaries, they are not invaded. Part of this c h a n g e undoubtedly has to do with international n o r m s , but part is also due to the fact that the economic value of land and other resources traditionally taken in wars of conquest is far less than it used to be. The relationship of U.S. to Iraqi power expressed in the ratio of 146 U.S. deaths to approximately 5 0 , 0 0 0 Iraqi fatalities during the Gulf War is certainly on the order of m a n y of the colonial wars of expansion f o u g h t in A f r i c a a century a g o . 2 9 H o w e v e r , no one believes that the econ o m i c p r o b l e m s of the United States will c h a n g e f u n d a m e n t a l l y if it starts conquering other countries. Correspondingly, the nationstate's a d v a n t a g e in mobilizing resources for warfare has to be reevaluated. At the same time, the beginnings of a significant c h a n g e in the perceived political advantages of size are evident. In particular, the international c o m m u n i t y has in recent years placed much more stress on self-determination.

25. David Bevan et al., Controlled Open Economies: A Neoclassical Approach to Structuralism (Oxford: Clarendon Press, 1990), p. 353. 26. S. Kuznets, "Economic Growth of Small Nations," in E.A.G. Robinson, ed., Economic Consequences of the Size of Nations (London: Macmillan, 1960), p. 17. 27. Chan Hwa Loon, "Develop Specialties to Play in the Big League," The Strait Times (December 13, 1992): 6. 28. Morris Goldstein et al., International Capital Markets: Part I. Exchange Rate Management and International Capital Flows (Washington, D.C.: International Monetary Fund, 1993), p. 2. 29. The Iraqi figure can only be an estimate. Data from Rick Atkinson, "Fratricide Problem Defies Decades of Efforts," Washington Post (April 14, 1994): A19, and "Staffer Who Released Iraq War Toll to Be Dismissed," New York Times (March 8, 1992): C4.

Global Change and the Future of Existing

85

Nation-States

A f t e r W o r l d W a r II, t h e right to s e l f - d e t e r m i n a -

n a t i o n s — o u g h t to h a v e c o n t r o l o v e r t h e i r o w n

t i o n w a s u s e d by m a n y n a t i o n a l i s t s t o s t r e s s

a f f a i r s , e v e n if t h e y h a d n o t b e e n p h y s i c a l l y

their

the

c o n q u e r e d by an e m p i r e , r e f l e c t s a n e w a f f i n i t y

g l o b a l c o m m u n i t y , u s u a l l y at t h e p r o m p t i n g of

for smaller political units. Wilson was primar-

case

for independence.

However,

the s a m e n a t i o n a l i s t s o n c e they c a m e to p o w e r ,

ily c o n c e r n e d w i t h p r o t e c t i n g P o l e s a n d C z e c h s

v i e w e d s e l f - d e t e r m i n a t i o n as r e l a t i n g s o l e l y to

f r o m G e r m a n s a n d A u s t r i a n s , w h i l e the L i e c h t -

f r e e d o m f r o m c o l o n i a l r u l e . T h e f a t e of e t h n i c

e n s t e i n i n i t i a t i v e is a l s o c o n c e r n e d w i t h p r o -

g r o u p s w i t h i n the n a t i o n w a s s e e n as s o l e l y a

t e c t i n g g r o u p s l i k e t h e W e l s h o r the C a t a l o n i -

d o m e s t i c issue e v e n w h e n s e v e r e h u m a n r i g h t s

ans f r o m t h e i r o w n c e n t r a l g o v e r n m e n t s , a v e r y

v i o l a t i o n s , s o m e t i m e s i n v o l v i n g the d e a t h s of

d i f f e r e n t issue.

t e n s of t h o u s a n d s of p e o p l e , o c c u r r e d . H o w ever, in t h e p o s t - C o l d W a r w o r l d , s e l f - d e t e r m i -

Implications for the Design of Nations

n a t i o n has a s s u m e d g r e a t e r i m p o r t a n c e , t h e r e b y

W h i l e it s e e m s c l e a r t h a t an a r r a y of f o r c e s is

c h a l l e n g i n g the M a d i s o n i a n n o t i o n that s c a l e

p r e s e n t in t h e i n t e r n a t i o n a l p o l i t i c a l e c o n o m y ,

w a s u n a m b i g u o u s l y an a d v a n t a g e in the d e s i g n

w h i c h will m a k e s m a l l e r states i n c r e a s i n g l y vi-

of n a t i o n s . For i n s t a n c e , H a n s B r u n h a r t , L i e c h -

a b l e . t h e i m p l i c a t i o n s f o r the d o m e s t i c p o l i t i c s

t e n s t e i n ' s h e a d of g o v e r n m e n t and m i n i s t e r of

of i n d i v i d u a l c o u n t r i e s a r e less c e r t a i n . C i t i -

f o r e i g n a f f a i r s , in p u t t i n g f o r w a r d his c o u n t r y ' s

zens d o not undertake perpetual recontracting

initiative on s e l f - d e t e r m i n a t i o n noted that m u c h

of t h e i r n a t i o n , c o n s t a n t l y e x a m i n i n g w h e t h e r

s u f f e r i n g and violence are caused by the p r o b l e m

their

of " t h e f r u s t r a t i o n of d i s t i n c t i v e

communities

n e a r l y t h e o p p o s i t e is p r o b a b l y true. T h e iner-

w h e n they are d e n i e d the l e g i t i m a t e e x p r e s s i o n

tia of t h e n a t i o n a l e x p e r i e n c e ; t h e f a c t that

of their c o m m u n a l identities and a s p i r a t i o n s . " 3 0

country

is t h e

optimal

size.

Indeed,

most nations have had stable boundaries for

T h e L i e c h t e n s t e i n i n i t i a t i v e ' s stress on the im-

t w o o r m o r e g e n e r a t i o n s ; a n d t h e lack of a n y

p o r t a n c e of every c o m m u n i t y h a v i n g s o m e level

p r e c e d e n t in l i v i n g m e m o r y , u n t i l r e c e n t l y , of

of a u t o n o m y within the n a t i o n - s t a t e a n d of in-

o t h e r n a t i o n s ' c h a n g i n g t h e i r b o u n d a r i e s , all

c r e a s i n g s o m e c o m m u n i t i e s ' ability to act vis-a-

c o m b i n e t o m a k e t h e d e m a r c a t i o n of t h e n a -

vis the central state in m a n y w a y s g o e s a g a i n s t

t i o n - s t a l e a n o n i s s u e in m o s t c o u n t r i e s m o s t of

m u c h of Western intellectual t h o u g h t o v e r the

t h e t i m e , e v e n if t h e r e a r e p o w e r f u l

forces

last t w o h u n d r e d y e a r s r e g a r d i n g b o t h the opti-

c h a n g i n g t h e e c o n o m i e s of s c a l e . A s

Boris

mal design of nations and the nation-state as the

Yeltsin w r o t e in h i s j o u r n a l a f t e r t h e A u g u s t

ultimate expression of modernity.

1991 c o u p , " T h e e c o n o m y f o l l o w s p o l i t i c s ,

T h e c u r r e n t calls f o r s e l f - d e t e r m i n a t i o n are

after all."32

a substantial break f r o m the tradition associa t e d with W o o d r o w W i l s o n . W i l s o n ' s a r g u m e n t

The New

f o r s e l f - d e t e r m i n a t i o n w a s to s t o p " t h e a g g r e s -

In t i m e s of p o l i t i c a l u p h e a v a l , h o w e v e r , the d e -

s i o n of the g r e a t p o w e r s u p o n s m a l l . " W i l s o n

s i g n of t h e n a t i o n - s t a t e will o f t e n b e r e e x a m -

Attractiveness

of

Smallness

s a w the f o u n d a t i o n s of w a r as b e i n g " t h e f o l d -

i n e d . T h i s is e s p e c i a l l y t r u e in t h e c u r r e n t e r a

i n g t o g e t h e r of e m p i r e s of u n w i l l i n g s u b j e c t s

of d e m o c r a t i z a t i o n b e c a u s e t h e first i s s u e that

b y t h e d u r e s s of a r m s . " 3 1 It w a s t h i s v i e w of

t h e n e w d e m o c r a t s m u s t a d d r e s s is t h e n a t u r e

self-determination—protection

of t h e p o l i t y . T h u s , A l e x a n d e r M o k a n u , c h a i r -

of t h e

nation

f r o m b e i n g a b s o r b e d by o t h e r s — t h a t so m o t i -

man

v a t e d the n a t i o n a l i s t s of this c e n t u r y . T h e n e w

P r e s i d i u m , n o t e d d u r i n g t h e F i r s t C o n g r e s s of

v i e w , as e x p r e s s e d by the L i e c h t e n s t e i n

P e o p l e ' s D e p u t i e s , " P e r e s t r o i k a m a k e s it e s s e n -

itiative,

that

communities—not

in-

necessarily

of

the

Moldavian

tial t o f i n d o p t i m a l

Supreme

f o r m s of

Soviet's

national-state

30. Hans Brunhart, "Statement at the Forty-Seventh Session of the General A s s e m b l y " (23 S e p t e m b e r 1992), p. 3. 31. Woodrow Wilson, "Address to the Representatives of All the Allied and Associated Nations at the Paris Peace C o n f e r e n c e , 25 January 1919," reprinted in H a m i l t o n Foley, ed., Woodrow Wilson's Case for the League of Nations (Princeton: Princeton University Press, 1923), pp. 2 1 7 - 2 1 8 . 32. Boris Yeltsin, The Struggle for Russia (NY: R a n d o m House, 1994), p. 105.

86

Jeffrey

Herbst

organisation."11 Especially given the " d e m o n -

l e a d to d r a m a t i c s h i f t s in b o t h t h e d i r e c t i o n ,

stration e f f e c t " of t h e f o r m e r S o v i e t U n i o n , for-

v o l u m e a n d u s e f u l n e s s of f o r e i g n trade."- 1 5

and

G o r b a c h e v tried to use a s i m i l a r a r g u m e n t

former Ethiopia, those seeking radical reform

r e g a r d i n g e c o n o m i e s of scale to try to p e r s u a d e

w i t h i n t h e i r c o u n t r i e s n o l o n g e r h a v e as m u c h

R u s s i a , the g r e a t p r i z e , f r o m s e c e d i n g . In J u n e

reason

1990, he a r g u e d :

mer Yugoslavia, former Czechoslovakia,

to

believe

that

boundaries

are

im-

mutable. A s a r e s u l t , for c o u n t r i e s w h e r e f u n d a m e n tal r e f o r m s a r e on t h e a g e n d a , t h e p o w e r f u l f o r c e s p r o m o t i n g s m a l l n e s s h a v e , in f a c t , aff e c t e d p o l i t i c s in several w a y s . First, p o l i t i c i a n s t h r o u g h o u t t h e w o r l d no l o n g e r s e e m u c h , if any, r e l a t i o n s h i p b e t w e e n size and s u c c e s s . F o r i n s t a n c e , in a trip t h a t w o u l d , r a t h e r o d d l y , b e r e p e a t e d s e v e r a l t i m e s by o t h e r w o r l d l e a d e r s

Does s o m e o n e think, m a y b e , that Russia outside the Union would d e v e l o p more successfully? This is nothing more than an illusion. H o w can one m a k e a rapid b r e a k t h r o u g h in e c o n o m i c and social s p h e r e s without combining the potentials of the republics using the a d v a n t a g e s of i n t r a - U n i o n c o o p e r a t i o n and division of labor that took shape over decades of joint life and work?- 16

in o t h e r p l a c e s , G o r b a c h e v v e n t u r e d to L i t h u a -

H o w e v e r , t h e R u s s i a n s w e r e u n m o v e d b y this

nia ( p o p u l a t i o n 3.8 m i l l i o n ) in J a n u a r y 1 9 9 0 to

a p p e a l . Yeltsin, a l m o s t a l o n e a m o n g the p o l i t i -

a r g u e a g a i n s t Baltic i n d e p e n d e n c e by s t r e s s i n g

cal a c t o r s or a c a d e m i c s w h o h a v e e v e n t r i e d to

t h e a d v a n t a g e s of b e i n g part of a large e c o -

put the fall of the S o v i e t U n i o n in c o m p a r a t i v e

n o m i c union. He p r o p h e s i e d ,

perspective, wrote:

"Independence

m e a n s p a y i n g the p r i c e s of t h e w o r l d m a r k e t , a n d y o u will s i n k . " H é l è n e C a r r è r e d ' E n c a u s s e notes

that

these

arguments

were

met

with

" f r o s t y s i l e n c e . " 1 4 S o o n after, E s t o n i a ( p o p u l a t i o n 1.6 m i l l i o n ) , L a t v i a ( p o p u l a t i o n 2 . 6 m i l lion), a n d L i t h u a n i a s e c e d e d . In f a c t , t h e B a l t i c s h a v e , in a r e l a t i v e l y

A united e m p i r e is a p o w e r f u l and basic force, evoking both awe and respect: but how long could it have r e m a i n e d an e m p i r e ? By that time all the other e m p i r e s of the world had c o l l a p s e d — B r i t i s h . F r e n c h , and Portuguese. 1 7 Yeltsin felt that R u s s i a c o u l d o n l y d e v e l o p if it

short t i m e , d i s p r o v e d m u c h of G o r b a c h e v ' s ar-

b r o k e a w a y f r o m the C o m m u n i s t

g u m e n t . E s t o n i a , t h e e c o n o m i c l e a d e r of t h e

C o u n c i l of M i n i s t e r s , the s t a t e s u p p l y o f f i c e ,

B a l t i c s , h a s m a n a g e d to d r a m a t i c a l l y

a n d o t h e r i n s t i t u t i o n s of c e n t r a l c o n t r o l .

change

Party, the He

t r a d e r e l a t i o n s q u i c k l y . In 1991, R u s s i a s u p -

said that t h e s e b o d i e s h a d o n l y b e e n a h i n -

plied 85 p e r c e n t of E s t o n i a i m p o r t s but o n l y 3 0

d r a n c e to R u s s i a as a n a t i o n . R a t h e r , " R u s s i a

p e r c e n t in 1993. S i m i l a r l y , R u s s i a w a s the d e s -

h a d o n l y i n t e r e s t e d t h e m as a s o u r c e o f r a w

t i n a t i o n f o r 9 5 p e r c e n t of E s t o n i a ' s e x p o r t s in

m a t e r i a l s , labor, a n d c a n n o n f o d d e r . " 1 8

1991 b u t b o u g h t o n l y 38 p e r c e n t of E s t o n i a n g o o d s s e n t o v e r s e a s in 1 9 9 3 . T h e

country's

O t h e r a p p e a l s to k e e p t h e e c o n o m i e s of scale argument were equally unsuccessful. For

s u c c e s s m o v e d A n t h o n y R o b i n s o n to n o t e that

instance, then President George Bush visited

E s t o n i a d e m o n s t r a t e d " t h a t a c o m b i n a t i o n of

K i e v in A u g u s t 1991 t o l e c t u r e t h e U k r a i n i a n s

political i n d e p e n d e n c e , a s t r o n g c u r r e n c y a n d a

on t h e a d v a n t a g e s of s t a y i n g i n s i d e the S o v i e t

rational m a r k e t - d e t e r m i n e d price structure can

Union:

33. See O l e g Glebov and John C r o w f o o t , eds., The Soviet Empire: Its Nations Speak Out (Switzerland: H a r w o o d A c a d e m i c Publishers, 1989), p. 36. 34. Hélène Carrère d ' E n c a u s s e , The End of the Soviet Empire: The Triumph of the Nations (NY: Basic Books, 1991), p. 155. Of c o u r s e , G o r b a c h e v ' s a r g u m e n t that only a vast union could protect the fortunes of individual republics w a s long a staple of Soviet thought. See, for instance, J o s e p h S t a l i n , Marxism and the National Question (NY: International Publishers, 1942), p. 102. 35. A n t h o n y Robinson, "Survey of E s t o n i a , " Financial Times (19 April 1994): 2 9 - 3 1 . 36. M i k h a i l G o r b a c h e v , " S p e e c h to the R S F S R C o m m u n i s t Parly C o n f e r e n c e — 1 9 J u n e 1990," in Charles F. Furtado and Andrea Chandler, eds., Perestroika in the Soviet Republics: Documents on the National Question (Boulder: Westview Press, 1992), p. 330. 37. Yeltsin, The Struggle for Russia, p. 113. 38. Ibid., p. 113.

Global Change and the Future of Existing

Nation-States

The vast majority of trade conducted by Soviet companies, imports and exports, involves . . . trade between republics. The Nine Plus One Agreement holds forth the hope that republics will combine greater autonomy with greater voluntary action—political, social, cultural, e c o n o m i c — r a t h e r than pursuing the hopeless course of isolation. 3 9 T h i s statement w a s particularly strange because Bush, whose administration constantly p r o d d e d other c o u n t r i e s to be m o r e e x p o r t - o r i e n t e d , a s s u m e d that t h e r e p u b l i c s c o u l d not b r e a k f r o m the Soviet U n i o n and integrate with the i n t e r n a t i o n a l e c o n o m y . H o w e v e r , a f e w m o n t h s later, U k r a i n i a n s r e j e c t e d B u s h ' s p l e a s to a v o i d " s u i c i d a l n a t i o n a l i s m " and c h o s e independence. S i m i l a r l y , then S e c r e t a r y of S t a t e J a m e s B a k e r v i s i t e d then Y u g o s l a v i a in J u n e 1991 and d e m a n d e d that C r o a t i a ( p o p u l a t i o n 4 . 7 m i l l i o n ) and S l o v e n i a ( p o p u l a t i o n 2 m i l l i o n ) not l e a v e Y u g o s l a v i a ( p o p u l a t i o n 2 3 m i l l i o n ) . B a k e r said that the U n i t e d S t a t e s w o u l d not recognize either country " u n d e r any circums t a n c e s " and p r o m i s e d that n e i t h e r w o u l d get aid. In r e s p o n s e , S l o v e n i a n F i n a n c e M i n i s t e r D u s a n S e s o k said that his c o u n t r y w a s p r e p a r e d " f o r f i n a n c i a l w a r , " and b o t h c o u n t r i e s i m m e d i a t e l y p r o c l a i m e d their i n d e p e n d e n c e . 4 0 S l o v e n i a , in particular, had been h e a v i l y influe n c e d by the n e w o p p o r t u n i t i e s p r o v i d e d by the i n t e r n a t i o n a l e c o n o m y . A s L a u r a S i l b e r noted: In the past, critics dismissed the prospects for Slovene independence because of its small size and population. But this now appears to be an asset. A diplomat put it simply: "Slovenia is small enough to be flexible." Furthermore, the volume of Slovene exports will never be large enough to upset its neighbors, but if it is increased it will guarantee most Slovenes a comfortable standard of living. 4 1 L j u b l j a n a h a s b e e n s o s u c c e s s f u l in its n e w s t r a t e g y that S l o v e n i a m a y b e o n e of t h e first

39. 40. 24, 41. 42. 43. 44.

87

f o r m e r c o m m u n i s t states to b e g i n to g r o w again despite, or p e r h a p s b e c a u s e of, its size. Remarkably similar warnings were made to Eritrea, A f r i c a ' s newest nation, w h e n e v e r ind e p e n d e n c e was considered. For instance, the F a b i a n Society h a d written in 1948: Looking further ahead, Eritrea is almost certainly not a viable unit on its own. If we are to think in terms of eventual independence, its people can stand no chance unless they link themselves to bigger and m o r e viable neighbors. 4 2 H o w e v e r , t h e E r i t r e a n s , w h o n u m b e r 3.5 m i l lion, were u n m o v e d by this or s u c c e s s i v e argum e n t s that they s h o u l d stay part of E t h i o p i a ( p o p u l a t i o n 55 million). U n d o u b t e d l y , their belief in their o w n viability w a s s t r e n g t h e n e d by the s u c c e s s of o t h e r small states. F o r i n s t a n c e , Dr. N e r a y o T e k l e m i c h a e l , head of the Eritrean R e l i e f and R e h a b i l i t a t i o n A g e n c y , e n v i s i o n s that his country will be s u c c e s s f u l by e m u l a t i n g the " A s i a n T i g e r s . " 4 ' It r e m a i n s to be seen w h e t h e r any of these c o u n t r i e s , or o t h e r s m a l l e r political units that m a y soon a p p e a r on the w o r l d s t a g e , are actually s u c c e s s f u l in f i n d i n g their n i c h e in the e x traordinarily competitive international market. H o w e v e r , t h e p e r c e p t i o n is that the i n t e r n a tional e c o n o m y is a c c e s s i b l e and that e x p o r t led g r o w t h is an option f o r a c o u n t r y of almost any size. N o w h e r e can this better be seen than by the i n t e r n a t i o n a l rush to b e c o m e " t h e next H o n g K o n g . " N o t s u r p r i s i n g l y , g i v e n its success, Tallin, E s t o n i a , has r e p e a t e d l y d e c l a r e d itself t h e " H o n g K o n g of t h e B a l t i c s . " 4 4 S i m i larly, P o l a n d h o p e s to b e c o m e the " H o n g K o n g of C e n t r a l E u r o p e " ; El S a l v a d o r ' s a m b i t i o n is to be t h e " H o n g K o n g of C e n t r a l A m e r i c a " ; C i u d a d del E s t e , P a r a g u a y , is o f t e n c a l l e d t h e " H o n g K o n g of S o u t h A m e r i c a " ; G h a n a w a n t s to b e c o m e the " H o n g K o n g of A f r i c a " ; J a m a i c a ' s g o a l is to b e the " H o n g K o n g of t h e C a r i b b e a n " ; C r i m e a , in the U k r a i n e , t h i n k s that it will be the next H o n g Kong; while Vladivostok

"After the Summit: Excerpts from Bush's Ukraine Speech," New York Times (August 2, 1991): A8. Marcus Tanner, "Defiant Slovenia Plans Its Rebirth as a Sovereign State," The Independent (June 1991). Laura Silber, "Survey of Slovenia," Financial Times (August 12, 1994): 31. Fabian Society, The Fate of Italy's Colonies (London: Fabian Society, 1948), p. 89. Associated Press, "Nation Busts Africa Stereotype" (August 21, 1994). "The Baltics' Would-Be Hong Kong," The Economist (November 6, 1993): 95.

88

Jeffrey Herbst

a i m s to be the " H o n g K o n g of S i b e r i a . " 4 5 P e r -

n o t e s , " B e f o r e t h e ' v e l v e t d i v o r c e , ' S l o v a k na-

h a p s i n e v i t a b l y , the title of " H o n g K o n g of t h e

tionalists complained

M i d d l e E a s t " is c o n t e s t e d : D u b a i , G a z a , a n d

c o h a b i t a t i o n h a d l e f t S l o v a k i a a s little m o r e

that s e v e n d e c a d e s of

Tel Aviv all h o p e to d u p l i c a t e t h e p e r f o r m a n c e

t h a n a m a k e r of c o m p o n e n t s a n d

of B r i t a i n ' s s m a l l c o l o n y . 4 6

p r o d u c t s , s u c h as steel, w h i c h is s o l d m a i n l y to

industrial

t h e C z e c h R e p u b l i c . W i t h i n d e p e n d e n c e , they

The Inability

to Prevent

b e l i e v e d , S l o v a k i a w o u l d f i n a l l y b e able to sell

State-Shattering

B e y o n d r e j e c t i n g s h e e r s i z e , the c h a n g e s in the

m o r e of its p r o d u c e a b r o a d . " 4 9 A p a r t i c u l a r l y

international

to

c o n t e n t i o u s issue b e f o r e the split w a s the H a v e l

r e e v a l u a t e t h e s p e c i f i c a d v a n t a g e s that t h e i r

g o v e r n m e n t ' s d e t e r m i n a t i o n to c l o s e d o w n the

c e n t r a l g o v e r n m e n t c a n p r o v i d e . In p a r t i c u l a r ,

a r m s industry, w h i c h is l a r g e l y b a s e d in S l o v a -

t h e b e n e f i t s of t r a n s f e r s , s u b s i d i e s , a n d o t h e r

kia. N o w , a c e n t r a l part of S l o v a k i a ' s e c o n o m i c

economy

may

force many

might

s t r a t e g y is to b e c o m e a m a j o r p l a y e r in the

h a v e kept a r e g i o n q u i e s c e n t m a y be r e l a t i v e l y

w o r l d ' s a r m s m a r k e t by s e l l i n g to a l m o s t a n y -

l e s s a t t r a c t i v e if t h e n a s c e n t c o u n t r y b e l i e v e s

one.50

special

arrangements

that previously

that it c a n g o it a l o n e in t h e i n t e r n a t i o n a l e c o n -

M o r e generally, transfers, subsidies, and

o m y . G o r b a c h e v a r g u e d that " t h e d e v e l o p m e n t

o t h e r b a r g a i n i n g a r r a n g e m e n t s will b e of lim-

of c o o p e r a t i v e p r o d u c t i o n a r r a n g e m e n t s , c o o p -

ited utility d u r i n g t i m e s of p r o f o u n d c h a n g e .

eration

and

republics

mutual

assistance

is in the h i g h e s t

multinational

among

the

F i r s t , t h e r e g i o n of a c o u n t r y m o s t l i k e l y to

i n t e r e s t s of

our

l e a v e is the r i c h e s t , a f t e r d e v e l o p i n g a d e e p re-

s t a t e a n d of e a c h

republic."47

sentment

about

subsidizing

others.

For

in-

H o w e v e r , the republics were again u n m o v e d .

s t a n c e , t h e r e w a s n o t h i n g that t h e n Y u g o s l a v i a

A s o n e E s t o n i a n in the C o n g r e s s of P e o p l e ' s

c o u l d o f f e r S l o v e n i a to c h a n g e its c a l c u l u s that

D e p u t i e s n o t e d , the e x p e r i e n c e of o t h e r c o u n -

it w a s b e t t e r off b e i n g i n d e p e n d e n t a n d a b l e to

tries s h o w s that " m o d e r n c i v i l i s a t i o n is m o v i n g

e x p o r t , g i v e n that it w a s t h e r i c h e s t r e g i o n of

t o w a r d s i n t e r n a t i o n a l i n t e g r a t i o n , but not by

the f e d e r a t i o n . S i n c e s e c e s s i o n i s t t h o u g h t s will

c e n t r a l i s i n g and s u b o r d i n a t i n g . " 4 8

p r o b a b l y b e k i n d l e d by p r o l o n g e d

F o r instance, S l o v a k i a ( p o p u l a t i o n 5 . 3 m i l -

economic

f a i l u r e , f i n a n c i a l i n d u c e m e n t s to p r e v e n t state-

lion), in w h a t m a y h a v e b e e n a d i s a s t r o u s d e c i -

s h a t t e r i n g a r e u n l i k e l y to b e p e r s u a s i v e . A l s o ,

sion, left C z e c h o s l o v a k i a ( p o p u l a t i o n 15.6 m i l -

once dramatic changes begin, transfer arrange-

l i o n ) at least in p a r t t o b r e a k t i e s w i t h P r a g u e

m e n t s m a y be d i s r u p t e d , f u r t h e r i n c r e a s i n g the

a n d to try its h a n d w i t h t h e i n t e r n a t i o n a l e c o n -

i m p e t u s of r e g i o n s to l e a v e their f o r m e r n a t i o n -

o m y d e s p i t e t h e f a c t that it r e c e i v e d s u b s i d i e s

state. 5 1 G i v e n that, in t i m e s of d i s r u p t i o n , t h e r e

from

c a n b e f e w g u a r a n t e e s that d e l i c a t e l y a r r a n g e d

the

Czech

lands.

Anthony

Robinson

45. See, respectively, " A n E m e r g i n g Market," The Warsaw Voice (March 27, 1994); Daniel Alder, "El S a l v a d o r E m e r g i n g as B u s i n e s s C e n t e r , " UPI Press Report (August 15, 1992); J a m e s Brooke, " F r e e Trade F a t e f u l l y N e a r for P a r a g u a y ' s ' H o n g K o n g , ' " New York Times ( M a r c h 25, 1991): D l ; M o y i g a Nduru, " G h a n a : A i m i n g to B e c o m e the Hong Kong of A f r i c a , " Inter Press Service (October 9, 1991); " J a m a i c a Sells Textile Mill to H o n g Kong Interests," Agencè France Presse ( N o v e m b e r 8, 1993); Celestine Boholen, " R u s s i a vs. U k r a i n e , " New York Times (March 23, 1994): A3; Gerald Nadler, " A Parley to Create the H o n g K o n g of Siberia?" UPI Press Report, (September 30, 1988). 46. Marcia Scott Harrison, " D u b a i , " Los Angeles Times (February 13, 1994); S a m Aboudi, " G a z a Sees Construction B o o m with Self R u l e , " The Reuter European Business Report (May 12, 1994); Charles W. H o l m e s , "With Middle East Peace C o m e s Hope for Profits," The Times-Picayune (July 31, 1994): A24. 47. Quoted by Gertrude E. Schroeder, "Nationalities and the Soviet E c o n o m y , " in Rachel Denber, ed., The Soviet Nationality Reader: The Disintegration in Context (Boulder: Westview Press, 1992), p. 279. 48. Klara Hallik, quoted in Glebov and C r o w f o o t , The Soviet Empire, p. 39. 49. Anthony Robinson, " B r e a k i n g Up Was the Easy Part," Financial Times (August 6, 1993): 13. 50. Bernd D e b u s m a n n , "Slovakia Shoots for a Place in World A r m s M a r k e t , " Reuters Business Report ( D e c e m b e r 31, 1992). 51. See, for instance, David D. Laitin, "The National Uprisings in the Soviet U n i o n , " World Politics 4 4 (October 1991): 176.

Global Change and the Future of Existing

Nation-States

political and economic power-sharing agreem e n t s will be e n f o r c e d , r e g i o n s m a y be m o r e certain of their p r o s p e c t s by f a c i n g the international e c o n o m y alone. The Weakness of International Sanctions In t h e f a c e of i n c e n t i v e s f o r states to b e c o m e s m a l l e r , the i n t e r n a t i o n a l c o m m u n i t y has b e e n n o t a b l y u n s u c c e s s f u l in p r o m o t i n g b o u n d a r y stability. D e s p i t e O l y m p i a n t h r e a t s f r o m various w o r l d leaders w h o predicted that separation w o u l d be d i s a s t r o u s , m a n y regional leaders d o not b e l i e v e that their fate will be d e t e r m i n e d by their size. P r e s i d e n t B u s h w a s seen as d o i n g n o more than carrying President Gorbachev's w a t e r w h e n h e p r e s s e d the r e p u b l i c s not to l e a v e the U S S R . Similarly, S l o v e n i a c a l l e d S e c r e t a r y of State B a k e r ' s bluff in a p a r t i c u larly b r a z e n m a n n e r and w a s r e c o g n i z e d a f e w m o n t h s a f t e r he g u a r a n t e e d t h e m i n t e r n a t i o n a l i s o l a t i o n f o r e v e r . Finally, in M a y 1991, the rebel a d v a n c e on A d d i s A b a b a f o r c e d then Ass i s t a n t S e c r e t a r y of State for A f r i c a n A f f a i r s H e r m a n C o h e n to s w i t c h , almost o v e r n i g h t , his p r e f e r e n c e f o r k e e p i n g E t h i o p i a w h o l e to enc o u r a g i n g the o c c u p a t i o n of the capital and the i n e v i t a b l e e m e r g e n c e of Eritrea. T h e U.S. and E u r o p e a n p r e f e r e n c e f o r b o u n d a r y stability s o m e t i m e s , as in t h e postc o u p Soviet U n i o n , s i m p l y b e c o m e s irrelevant given the p o w e r f u l d o m e s t i c f o r c e s in f a v o r of d i s i n t e g r a t i o n . In t h e p o s t - C o l d War w o r l d , there are f e w i n c e n t i v e s for the great p o w e r s to i n t e r v e n e forcibly to k e e p a c o u n t r y together. If the E u r o p e a n s can t o l e r a t e the i n s t a b i l i t y of f o r m e r Yugoslavia, there is no reason to believe that t h e i n s t a b i l i t y c a u s e d by o t h e r c o u n t r i e s s h a t t e r i n g will m o v e the great p o w e r s to react d e c i s i v e l y . T h e lack of will on the part of the great p o w e r s to k e e p c o u n t r i e s t o g e t h e r is in s h a r p c o n t r a s t to the C o l d War p e r i o d , w h e n n a t i o n a l stability w a s a h i g h priority. F o r ins t a n c e , there is little r e a s o n to b e l i e v e that the U n i t e d States and F r a n c e w o u l d again rush aid to Z a i r e ' s g o v e r n m e n t if it w a s f a c e d w i t h a r e p e t i t i o n of the S h a b a rebellions of the 1970s. A l s o , p r e f e r e n c e s f o r n a t i o n a l stability m a y c o n f l i c t w i t h o t h e r goals, n o t a b l y d e m o c r a t i z a t i o n and s e l f - d e t e r m i n a t i o n . T h e d i l e m m a for the great p o w e r s is likely to be particularly a c u t e b e c a u s e t h e r e g i o n b r e a k i n g a w a y will o f t e n h a v e a p a r t i c u l a r l y g o o d c a s e that it h a s

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b e e n r e p r e s s e d . F o r i n s t a n c e , in an a g e w h e n s e l f - d e t e r m i n a t i o n is b e i n g stressed, it w a s diff i c u l t f o r a n y o n e to a r g u e that the E r i t r e a n s w o u l d be b e t t e r off s t a y i n g w i t h i n E t h i o p i a a f t e r their d e c a d e s - l o n g r e p r e s s i o n at the h a n d s of s u c c e s s i v e A m h a r i c rulers. S i m i l a r l y , s a n c t i o n s on S l o v e n i a w e r e p a r t i c u l a r l y hard to m a i n t a i n , g i v e n that its d e m o c r a t i c g o v e r n m e n t and rational e c o n o m i c p l a n n i n g were so at o d d s w i t h w h a t w a s h a p p e n i n g to the south as Yug o s l a v i a b r o k e up.

Alternatives to the Nation-State D o the p r o f o u n d c h a n g e s in the a d v a n t a g e s of size also m e a n that the nation-state will lose its d o m i n a n c e ? It is true that the m a y o r s of M e x ico City or C a i r o could be e x c u s e d for t h i n k i n g that S l o v e n i a or E s t o n i a are m o r e like f a n c y s u b u r b s than n a t i o n - s t a t e s . H o w e v e r , t h e s e c o u n t r i e s d o fit the general p a r a m e t e r s of a nat i o n - s t a t e b e c a u s e they are larger than a citystate and s m a l l e r than an e m p i r e . W h i l e there has been c o n s i d e r a b l e state-shattering in recent y e a r s , n o a l t e r n a t i v e to the n a t i o n - s t a t e has b e e n l a u n c h e d . W h a t the L i t h u a n i a n s , C r o a t ians, S l o v a k s , and o t h e r s m o s t w a n t e d w a s their o w n nation-state, rather than to break n e w g r o u n d in political t h e o r i z i n g by c r e a t i n g s o m e t h i n g else. T h e r e are e x c e p t i o n a l l y rare cases, as in " K u r d i s t a n " of northern Iraq, w h e r e s o m e t h i n g o t h e r than t h e n a t i o n - s t a t e is present. For the K u r d s , a protectorate w a s created by the U n i t e d N a t i o n s in the w a k e of the G u l f War. H o w e v e r , this o c c u p a t i o n w a s only due to the u n i q u e c i r c u m s t a n c e s that f o l l o w d e f e a t in war. S i m i l a r l y , S o m a l i a d u r i n g O p e r a t i o n R e store H o p e or the western part of R w a n d a during the short F r e n c h o c c u p a t i o n w e r e brief i n s t a n c e s of d u a l or c o n f u s e d s o v e r e i g n t y bec a u s e of d i s a s t e r relief e f f o r t s , r a t h e r than t h e start of c o n s c i o u s a l t e r n a t i v e s to the n a t i o n state m o d e l . T h e r e h a s b e e n s t a r t l i n g l y little c r e a t i v i t y in d e v i s i n g a l t e r n a t i v e s to the nation-state. F o r i n s t a n c e , w h e n n a t i o n s h a v e s h a t t e r e d , they h a v e d o n e so a l o n g the a d m i n i s t r a t i v e lines of the old c o u n t r y , e v e n t h o u g h t h e s e b o u n d a r i e s w e r e n e v e r m e a n t to d e m a r c a t e n a t i o n s . In t h e late 1960s, b o t h F r e n c h c o l o n i a l f e d e r a t i o n s in West A f r i c a w e r e s u b d i v i d e d in this m a n n e r , as w a s the S o v i e t U n i o n , d e s p i t e the f a c t that t h e r e w a s w i d e s p r e a d a g r e e m e n t that t h e

90

b o u n d a r i e s d e m a r c a t e d by Paris or Stalin m a d e very little sense. Similarly, the states that rose a f t e r the c o l l a p s e of Y u g o s l a v i a , C z e c h o s l o v a kia, and E t h i o p i a w e r e d e t e r m i n e d by d e c a d e s old b o u n d a r i e s . A l s o , S o m a l i l a n d , the area of n o r t h e r n S o m a l i a that h a s d e c l a r e d itself indep e n d e n t , and that has d e v e l o p e d at least the app e a r a n c e of a f u n c t i o n i n g g o v e r n m e n t , w a s created within t h e b o u n d a r i e s of the old British S o m a l i l a n d territory. T h e r e are p o w e r f u l r e a s o n s to believe that while c o u n t r i e s m a y b e c o m e smaller, the world will still be p o p u l a t e d a l m o s t e x c l u s i v e l y by nation-states. First, international society o f f e r s p r o f o u n d i n c e n t i v e s f o r p e o p l e s to c o n t i n u e to o r g a n i z e t h e m s e l v e s in a w a y that fits into the international o r g a n i z a t i o n a l grid. For i n s t a n c e , a c c e s s to aid f r o m the W o r l d B a n k , t h e IMF, and the a g e n c i e s of the U n i t e d Nations O r g a n i z a t i o n is p r e d i c a t e d on n a t i o n s ' a c c e d i n g to m e m b e r s h i p status. Similarly, bilateral aid, inv e s t m e n t g u a r a n t e e s , trade m i s s i o n s , and c o m mercial treaties f o l l o w d i p l o m a t i c relations bet w e e n c o u n t r i e s . In a d d i t i o n , the great e n g i n e of i n t e r n a t i o n a l t r a d e d e p e n d s very m u c h on g o v e r n m e n t - t o - g o v e r n m e n t a g r e e m e n t s on issues such as trade, t a r i f f s , and p r o p e r t y rights. An e n o r m o u s a m o u n t of legal work would have to be d o n e for these a r r a n g e m e n t s to be e f f e c tive in c i r c u m s t a n c e s w h e r e p o w e r was shared. T h e f a c t that S i n g a p o r e ( p o p u l a t i o n 2 . 8 million), d e s p i t e b e i n g a true c i t y - s t a t e with n o h i n t e r l a n d , is s u c c e s s f u l l y s h o e h o r n e d into nat i o n - s t a t e status f o r t h e p u r p o s e s of international e c o n o m i c relations is telling. S e c o n d , the c r e a t i o n of a l t e r n a t i v e s to the n a t i o n - s t a t e w o u l d require a t r e m e n d o u s a m o u n t of political t h e o r i z i n g , w h o s e i m p e t u s is not o b v i o u s at the m o m e n t . In t i m e s of c h a o s , e v e n o n c e - d u r a b l e institutions such as the Soviet Union can be destroyed by t h o s e w h o h a v e long r e s e n t e d them. H o w e v e r , it is a very d i f f e r e n t task to create in a p o s i t i v e m a n n e r a f o r m of political o r g a n i z a tion that is f u n d a m e n t a l l y d i f f e r e n t f r o m a n y thing else on the planet. A n a l t e r n a t i v e to t h e n a t i o n - s t a t e w o u l d also h a v e d e v e l o p e d an alternative to n a t i o n a l i s m , o n e of t h e g r e a t f o r c e s of o u r t i m e in not o n l y t h e d i v i s i o n of old states but the c r e a t i o n of n e w o n e s . In the t i m e of n a t i o n s , c i t i z e n s and f o r e i g n e r s can i m m e d i a t e l y u n d e r s t a n d the a p p e a l of c r e a t i n g a S l o v e n i a e v e n if l e a d e r s

Jeffrey Herbst

h a v e to reach back a m i l l e n n i u m to find the origins of their country. Similarly, Slovakians m a y have made a bizarre economic decision when d e c l a r i n g i n d e p e n d e n c e , but no o n e had to s p e n d very long e x p l a i n i n g to t h e m the idea of " S l o v a k n e s s " or w h y they s h o u l d h a v e their o w n n a t i o n . H o w e v e r , to c r e a t e an a l t e r n a t i v e to the nation-state w o u l d also m e a n , in addition to p r o f o u n d i n n o v a t i o n s in p o l i t i c a l theory, a d i f f e r e n t type of appeal to g r o u p unity. There is n o e v i d e n c e to date that such a variation in the creation of g r o u p identity can be a c c o m p l i s h e d and s e e m i n g l y little interest on the part of m a n y in s e e i n g it c o m e about. T h e r e are, h o w ever, several possible areas w h e r e innovation is p o s s i b l e . T h e L i e c h t e n s t e i n initiative is, in s o m e w a y s , an e x a m p l e of s h a r e d s o v e r e i g n t y b e c a u s e the central g o v e r n m e n t c e d e s s o m e p o w e r s to an i n t e r n a t i o n a l a g e n c y ; h o w e v e r , the L i e c h t e n s t e i n initiative requires a voluntary c o n c e s s i o n of p o w e r f r o m the c e n t r a l state, s o m e t h i n g that will c o m e very slowly, if at all. A l s o , a u t h o r s of the initiative seem to go out of their w a y to s u g g e s t that their p r i m a r y goal is to p r e s e r v e d o m e s t i c tranquility rather than create n e w t y p e s of political o r g a n i z a t i o n . A n o t h e r p o s s i b l e s o u r c e of i n n o v a t i o n is the West B a n k , w h e r e a Palestinian state might e m e r g e that h a s dual j u r i s d i c t i o n over J e r u s a l e m with Israel. S u c h a d e v e l o p m e n t w o u l d be a clear i n n o v a t i o n in the world of nat i o n - s t a t e s . H o w e v e r , a n e w status for J e r u s a l e m , w h i l e at least m o o t e d today, will t a k e m a n y y e a r s to d e v e l o p and m a y only be p o s s i ble b e c a u s e of the u n i q u e g e o p o l i t i c s of the reg i o n , i n c l u d i n g the w i l l i n g n e s s of the U n i t e d S t a t e s to d e v o t e t r e m e n d o u s r e s o u r c e s to t h e region and the international interest in a r e s o l u tion of t h e J e r u s a l e m issue. A l s o , a s h a r e d J e r u s a l e m is o n l y p o s s i b l e b e c a u s e the Israelis h a v e not f o r c e d the n o n - J e w i s h p o p u l a t i o n s out of the city, u n l i k e the e x p e r i e n c e of m a n y o t h e r countries where ethnic cleansing during times of c o n f l i c t is the n o r m . F i n a l l y , t h e v e r y f o r c e s that m a k e s m a l l n a t i o n - s t a t e s m o r e viable undercut the n e e d f o r a n y a l t e r n a t i v e to t h e n a t i o n - s t a t e . If it w e r e w i d e l y a p p a r e n t that b e l o w a c e r t a i n s i z e t h e n a t i o n - s t a t e w a s not v i a b l e , t h e r e m i g h t b e m o r e of an i n c e n t i v e to create alternative p o l i t ical f o r m s on the part of those w h o w e r e approaching the threshold. However, w h e n Estonia,

Global Change and the Future of Existing

Nation-States

the s m a l l e s t o f the n e w states, is s e e n as thriv-

91

and e c o n o m i c s y s t e m s d o not d i s c r i m i n a t e on

ing in its n e w status, there is very little r e a s o n

the b a s i s o f s i z e but d o o f f e r p r o f o u n d i n c e n -

to c r e a t e a n o t h e r type o f p o l i t i c a l structure.

t i v e s to o r g a n i z e as n a t i o n - s t a t e s . T h u s , future d e b a t e on s e l f - d e t e r m i n a t i o n and o t h e r i s s u e s

Conclusion

will h a v e to take a c c o u n t o f the fact that state-

G e o g r a p h e r s , on the b a s i s o f t e r r i t o r i a l

fault

l i n e s , h a v e p r e d i c t e d that the n u m b e r o f c o u n tries m a y i n c r e a s e by 5 0 p e r c e n t or m o r e in the

s h a t t e r i n g , f a r f r o m b e i n g an unusual

event,

m a y b e c o m e routine in the future. The

major

uncertainty

concerning

the

n e x t t w e n t y - f i v e to thirty y e a r s to r e a c h a total

trends f a v o r i n g s m a l l n e s s r e v o l v e around s e c u -

o f m o r e than t h r e e h u n d r e d . 5 2 W h i l e trying to

rity. C l e a r l y , i f n e w s e c u r i t y threats e m e r g e ,

predict the actual n u m b e r o f c o u n t r i e s a g e n e r -

m a n y o f the e c o n o m i c and political a d v a n t a g e s

a t i o n f r o m n o w w o u l d be f o o l i s h , this e x a m i -

o f s m a l l n e s s will h a v e to be r e c o n s i d e r e d . In

n a t i o n o f the i n t e r n a t i o n a l p o l i t i c a l

economy

the f o r m e r S o v i e t U n i o n , f o r i n s t a n c e , there

s u g g e s t s that there are p o w e r f u l p o l i t i c a l , e c o -

m a y be real s e c u r i t y threats to s o m e o f the

n o m i c , and m i l i t a r y f o r c e s that fully support

s m a l l e r r e p u b l i c s that m a y m a k e t h e m r e c o n -

the g e o g r a p h e r ' s v i e w o f a w o r l d with an in-

sider their n a t i o n a l d e s i g n and perhaps prompt

creasing number of small nation-states. While

c l o s e r ties with

the trends s u p p o r t i n g s m a l l e r states are c l e a r ,

c o u n t r i e s in the T h i r d W o r l d , there is n o e v i -

there is, as yet, little r e a s o n to b e l i e v e that the

d e n c e o f an i n c r e a s i n g s e c u r i t y threat. Q u i t e

n a t i o n - s t a t e ' s m o n o p o l y on g l o b a l political or-

the o p p o s i t e is true: a l t h o u g h there is s o m e

Russia.

However,

for

most

ganization will be s i g n i f i c a n t l y c h a l l e n g e d . T h e

s u g g e s t i o n o f i n c r e a s i n g v i o l e n c e in the T h i r d

era o f the n a t i o n - s t a t e , i n c o r r e c t l y f o r e t o l d as

W o r l d , a l m o s t all o f these c o n f l i c t s are internal.

e n d i n g after c e n t u r i e s , may, in f a c t , j u s t be b e -

A s a result, leaders m a y i n c r e a s i n g l y b a s e their

g i n n i n g as an i n c r e a s i n g n u m b e r o f p o l i t i c a l

d e c i s i o n s on the p o l i t i c a l and e c o n o m i c trends

c o m m u n i t i e s find that the international political

f a v o r i n g s m a l l e r national units.

Commentary Daniel J. Elazar

A

utonomy as a f o r m o f s e l f - d e t e r m i n a t i o n is

M o r e than that, d i f f e r e n c e s b e t w e e n the

an idea w h o s e t i m e has c o m e . It is not

w o r l d ' s state s y s t e m b a s e d upon p o l i t i c a l s o v -

o n l y that the w o r l d has r e a c h e d an end to the

e r e i g n t y as d e f i n e d in the statist a g e , w h i c h in-

possibility

c l u d e s o v e r 1 8 0 states, and the parallel s y s t e m

of

providing

self-determination

t h r o u g h new p o l i t i c a l l y s o v e r e i g n s t a t e s , but

o f federated or constituent

that s t a t i s m i t s e l f h a s e s s e n t i a l l y c o m e to an

t h e r e a r e t w i c e that n u m b e r , are f a d i n g as the

states, o f

which

e n d . W h i l e e x i s t i n g states r e m a i n in p l a c e and

t w o s y s t e m s p e r f o r c e i n t e g r a t e with o n e an-

in s o m e c a s e s n e w states are e s t a b l i s h e d , both

o t h e r in an i n c r e a s i n g l y i n t e r d e p e n d e n t w o r l d

are s e v e r e l y l i m i t e d in the d e g r e e o f their inde-

in w h i c h all p o l i t i e s a r e l i m i t e d in n e w w a y s

p e n d e n c e by t h e c o n d i t i o n s o f r e g i o n a l

and m u s t c o o r d i n a t e with others.

and

w o r l d i n t e r d e p e n d e n c e that h a v e b e e n s p r e a d -

T h u s , the w o r l d is in the m i d s t o f a p a r a -

ing s i n c e the e n d o f W o r l d W a r II. T h o s e c o n -

digm shift from a world o f states,

ditions are n o w b e c o m i n g c o n s t i t u t i o n a l i z e d in

a f t e r the ideal o f the unitary n a t i o n - s t a t e d e v e l -

various ways.

o p e d at the b e g i n n i n g o f the m o d e r n e p o c h in

modeled

5 2 . Notably Dr. Saul Cohen, past president o f the Association of American Geographers. S e e Wright, p. 1.

92

Daniel j. Elazar

the s e v e n t e e n t h c e n t u r y , to a w o r l d o f d i m i n -

o m y and s e l f - d e t e r m i n a t i o n w e r e n e e d e d . In-

ished state s o v e r e i g n t y and i n c r e a s e d interstate

creasingly.

linkages

through the v e h i c l e s o f f e d e r a l i s m .

o f a constitutionalized

and

federal

c h a r a c t e r . (I use the t e r m " f e d e r a l " here in its largest s e n s e , not s i m p l y to d e s c r i b e

those

forms

are

being

found

M a n y people still are wedded to the earlier

modern

paradigm that the building b l o c k s o f world or-

f e d e r a t i o n s l i k e the U n i t e d S t a t e s , C a n a d a , o r

g a n i z a t i o n are p o l i t i c a l l y s o v e r e i g n states, most

S w i t z e r l a n d but all the various federal a r r a n g e -

or all o f w h i c h strive to be n a t i o n - s t a t e s and

ments in use in the world today, including fed-

m a x i m i z e their i n d e p e n d e n c e o f action and de-

e r a t i o n s , c o n f e d e r a t i o n s and o t h e r c o n f e d e r a l

c i s i o n . A few h a v e b e e n a w a r e o f this paradigm

a r r a n g e m e n t s , a s s o c i a t e d s t a t e s , s p e c i a l inter-

shift as it has b e e n t a k i n g p l a c e . S o m e e v e n

state j o i n t authorities with c o n s t i t u t i o n a l stand-

have a d v o c a t e d it as a m a j o r political goal. Yet

ing, and o t h e r s . ) T h i s p a r a d i g m shift a c t u a l l y

for

b e g a n a f t e r W o r l d W a r II. T h e B r e t t o n W o o d s

unawares.

most,

it has

seemed

to

have

crept

up

A g r e e m e n t o f 1 9 4 4 to e s t a b l i s h the rudiment o f a world m o n e t a r y s y s t e m and the U n i t e d N a tions. founded in S a n F r a n c i s c o in M a y 1 9 4 5 as no m o r e than an international l e a g u e o f politic a l l y s o v e r e i g n states with the e l e v a t e d goal o f m a i n t a i n i n g world p e a c e , m a r k e d the first steps toward it. Developments

From Statism to Federalism in the 1990s As the dust o f the C o l d War s e t t l e s in the 1 9 9 0 s , we find m o r e federal a r r a n g e m e n t s in the world than e v e r b e f o r e , c o v e r i n g m o r e people than e v e r b e f o r e . T h e s e can be s e e n as the

in W e s t e r n E u r o p e led to

the radical d i m i n u t i o n o f the p o l i t i c a l

sover-

f o u n d a t i o n s t o n e s o f the new paradigm. At present there are 2 1 federations (not c o u n t i n g what

e i g n t y o f the m e m b e r states o f the E u r o p e a n

r e m a i n s o f Y u g o s l a v i a or what is b e i n g

C o m m u n i t y , now U n i o n . S i m i l a r d e v e l o p m e n t s

tempted in B o s n i a ) c o n t a i n i n g s o m e two billion

at-

b e g a n in o t h e r parts o f the w o r l d , p a r t i c u l a r l y

p e o p l e , or 4 0 percent o f the total world popula-

Southeast Asia (the A s s o c i a t i o n o f Southeast

tion. T h e y are divided into o v e r 3 5 0 constituent

A s i a n N a t i o n s — A S E A N ) and the C a r i b b e a n .

or f e d e r a t e d states (as a g a i n s t 1 8 0 plus politi-

Yet it w a s not until the c o l l a p s e o f the S o v i e t

c a l l y s o v e r e i g n states).

e m p i r e and then the S o v i e t U n i o n i t s e l f , b e tween

1 9 8 9 and 1 9 9 3 , to be r e p l a c e d by the

A l o n g s i d e t h o s e f e d e r a t i o n s are n u m e r o u s federal a r r a n g e m e n t s o f o n e kind or another,

C o m m o n w e a l t h o f Independent S t a t e s , that the

usually a s y m m e t r i c a l ( f e d e r a c i e s and a s s o c i -

e x t e n s i v e and d e c i s i v e c h a r a c t e r o f this para-

ated s t a t e s ) , w h e r e b y the f e d e r a t e p o w e r has a

digm shift really b e c a m e e v i d e n t .

constitutional c o n n e c t i o n with a s m a l l e r federal

S u b s e q u e n t l y , there was a p r o l i f e r a t i o n o f

state on a d i f f e r e n t b a s i s than its n o r m a l fed-

international o r g a n i z a t i o n s d e s i g n e d to be m o r e

eral-state relationships, one that preserves m o r e

than c o u n c i l s o f c o o p e r a t i n g states that in time

a u t o n o m y f o r the s m a l l f e d e r a t e d state o r is

a c q u i r e d m o r e authority and p o w e r to the point

b a s e d on s o m e r e l a t i o n s h i p b e t w e e n a W e s t e r n -

where they have begun to b e c o m e c o n s t i t u t i o n -

ized f e d e r a t i o n and its a b o r i g i n a l p e o p l e s . T h e

alized. S o m e w h a t later a world s y s t e m o f trad-

United

ing b l o c s b e g a n to g r o w up, o r i g i n a l l y w o r l d -

a r r a n g e m e n t s with P u e r t o R i c o ( r e c e n t l y r e a f -

States,

for

example,

has

federacy

wide in the f o r m o f G A T T , w h i c h has r e c e n t l y

f i r m e d by the p e o p l e o f P u e r t o R i c o in yet an-

been t r a n s f o r m e d into the W o r l d T r a d e O r g a n i -

o t h e r r e f e r e n d u m ) and the N o r t h e r n M a r i a n a s

z a t i o n , and then such r e g i o n a l a g r e e m e n t s as

and r e c o g n i z e s N a t i v e A m e r i c a n ( I n d i a n ) tribes

N A F T A , w h i c h rapidly turned out to be an in-

within it as d o m e s t i c d e p e n d e n t n a t i o n s with

f r i n g e m e n t on state s o v e r e i g n t y in o n e w a y or

c e r t a i n r e s i d u a l r i g h t s o f s o v e r e i g n t y and c e r -

another.

tain p o w e r s r e s e r v e d to them that n o w are g a i n -

S i m u l t a n e o u s l y , the c o m p l e t i o n o f the dec o l o n i z a t i o n p r o c e s s b r o u g h t the w o r l d to the l i m i t s o f s t a t i s m , in the s e n s e that r e m a i n i n g

ing s o m e real m e a n i n g , w h e t h e r t h r o u g h responding

to

tribal

self-government

or

the

o p e n i n g o f g a m b l i n g c a s i n o s in tribal hands.

world p r o b l e m s c o u l d not be s o l v e d s i m p l y by

I n d e e d , o n e o f the m a n i f e s t a t i o n s o f the

d e c o l o n i z i n g s o m e territory and t r a n s f o r m i n g it

n e w p a r a d i g m is the way in w h i c h f e d e r a l i s m

into a state. M o r e s o p h i s t i c a t e d f o r m s o f auton-

has p l a y e d a r o l e in r e s t o r i n g d e m o c r a c y

in

Commentary

v a r i o u s states. S p a i n h a s a l r e a d y b e e n m e n t i o n e d . F e d e r a l i s m w a s a l s o r e f l e c t e d in the r e s t o r a t i o n of d e m o c r a c y in A r g e n t i n a and Brazil. Indeed, in Brazil the e x i s t e n c e of f e d e r a l i s m e v e n p r e s e r v e d a m o d i c u m of f r e e g o v e r n m e n t d u r i n g the m i l i t a r y dictatorship t h r o u g h the state g o v e r n o r s w h o c o u l d r e m a i n in p o w e r and e v e n h a v e l i m i t e d e l e c t i o n s bec a u s e of their strength, both political and military (the state p o l i c e ) . It h a s b e e n a m e a n s of t r y i n g to f u r t h e r e x t e n d d e m o c r a c y in Venez u e l a , w h e r e the state g o v e r n o r s , r e c e n t l y t r a n s f o r m e d into elected o f f i c i a l s , p l a y e d a crucial role in p r o t e c t i n g d e m o c r a c y d u r i n g the last a t t e m p t to oust the p r e s i d e n t and s e e m s to be an i n s t r u m e n t in s l o w l y t r a n s f o r m i n g M e x ico f r o m a o n e - p a r t y into a m u l t i p a r t y polity. Even m o r e d r a m a t i c w a s the w a y in w h i c h f e d e r a l i s m was used to r e u n i f y G e r m a n y a f t e r the c o l l a p s e of the G e r m a n D e m o c r a t i c R e p u b l i c , its territory first was r e d i v i d e d into five f e d e r ated Laender ( f e d e r a t e d states) and then t h o s e five states j o i n e d with the e l e v e n f e d e r a t e d IMender of the G e r m a n F e d e r a l R e p u b l i c plus Berlin ( p r e v i o u s l y an a s s o c i a t e d state) to e m e r g e as the e x p a n d e d Federal R e p u b l i c . B e y o n d this c i r c l e of f e d e r a t i o n s there h a v e e m e r g e d t h e n e w c o n f e d e r a t i o n s s u c h as the E u r o p e a n U n i o n , w h i c h i n c l u d e s f e d e r a tions such as G e r m a n y , u n i o n s s u c h as G r e a t B r i t a i n , and u n i t a r y s t a t e s s u c h as F r a n c e . M a n y of the states within these n e w c o n f e d e r ations h a v e d e v e l o p e d f e d e r a c y and associated state r e l a t i o n s of their o w n or h a v e d e c e n t r a l ized internally as part of the p r o c e s s of the para d i g m . T a k e , f o r e x a m p l e , P o r t u g a l and the A z o r e s or M o n a c o and F r a n c e . B e y o n d t h o s e f e d e r a t i o n s and c o n f e d e r a tions, there are looser l e a g u e a r r a n g e m e n t s such as the C S C E in E u r o p e and N A T O f o r the N o r t h Atlantic c o m m u n i t y , w h i c h h a v e m o v e d b e y o n d their original s t a n d i n g as g r o u p s of states linked by treaty to acquire certain limited but n o n e t h e l e s s real c o n s t i t u t i o n a l p o w e r s , the first in the area of h u m a n rights and the s e c o n d in the area of d e f e n s e . In the 1990s, t h e s e b e g a n to be s u p p l e m e n t e d by r e g i o n a l f r e e trade a r e a s , the oldest of w h i c h , l i n k i n g B e l g i u m , the N e t h e r l a n d s , and L u x e m b o u r g as the B e n e l u x n a t i o n s , e s s e n t i a l l y had b e e n s u p e r s e d e d by the E u r o p e a n C o m m u n i t y , but the n e w e s t of w h i c h , the N o r t h A m e r i c a n F r e e

93

T r a d e A r e a ( N A F T A ) or C A R I C O M , o f f e r all sorts of p r o m i s e for the f u t u r e of their m e m b e r s and for f u t u r e e x p a n s i o n . Last, but hardly least, w e r e t h e s a m e type of a r r a n g e m e n t s on a w o r l d w i d e basis, as w e h a v e seen with the latest r o u n d of G A T T n e g o t i a t i o n s . D e s p i t e its b e i n g m e r e l y a treaty, the w o r l d ' s l e a d i n g industrial n a t i o n s h a v e d i s c o v e r e d that they c a n not live without GATT, so they h a v e to r e s o l v e the s e r i o u s d i f f i c u l t i e s a m o n g t h e m s e l v e s w h e t h e r they like it or not. T h u s , at the t h r e s h o l d of the third m i l l e n n i u m of the C h r i s t i a n era and in the s e c o n d g e n e r a t i o n of the p o s t m o d e r n e p o c h , the p a r a d i g m shift s e e m s to be w e l l - a d v a n c e d and m o v i n g right a l o n g . I n d e e d , e v e n the m o s t t r o u b l e d s p o t s of t h e first g e n e r a t i o n of t h e p o s t m o d e r n e p o c h s e e m e d to be c h o o s i n g f e d eral p a r a d i g m s as w a y s to get out of their pres u m a b l y " i n s o l u b l e " c o n f l i c t s : the C o m m o n w e a l t h of I n d e p e n d e n t S t a t e s in the f o r m e r Soviet U n i o n ; the new near-federal constitution in South A f r i c a ; the Israel-Palestinian D e c l a r a tion of P r i n c i p l e s , w h i c h rests u p o n the ability of the t w o sides plus J o r d a n to establish, at the very least, a network of joint authorities as well as to f u r t h e r d e v e l o p their s e p a r a t e entities either as states or in the m a n n e r of states; and n o w the B r i t i s h - I r i s h d e c l a r a t i o n on N o r t h e r n Ireland, w h i c h o p e n s the d o o r to p e a c e negotia t i o n s f o r that t r o u b l e d a r e a , a l s o a l o n g lines that will c o m b i n e s e l f - r u l e and s h a r e d r u l e — t h o u g h still very v a g u e o n e s . T h i s n e w p a r a d i g m has yet to b e c o m e as r o o t e d as the old one. W h a t can be said a b o u t this n e w p a r a d i g m is that w h i l e the old state p a r a d i g m was a r e c i p e f o r w a r m o r e o f t e n than not, the n e w federal o n e is equally a recipe f o r p e a c e , if it w o r k s . Ambassador Max Kampelman, who has t a k e n a c c o u n t of the s h i f t , d e s c r i b e s it as follows: The interdependence of the world and the globalization of its economy does not imply or suggest the disappearance of the nationstate, which is showing resilience as an important focus of national pride and ethnic preservation. . . . Abba Eban, in a recent analysis of the prospects for confederation between Israel, the West Bank, and Jordan, commented on the apparent contradiction of a politically f r a g m e n t e d world existing alongside an economically integrated one.

94

Daniel j.

H e s u g g e s t s that regional c o n f e d e r a t i o n s m a y h a r m o n i z e the c o n t r a d i c t i o n . W e are brought up to believe that necessity is t h e m o t h e r of i n v e n t i o n . I s u g g e s t t h e c o r o l l a r y is a l s o t r u e : i n v e n t i o n is t h e m o t h e r of n e cessity. Science, technology, and c o m m u n i c a -

Elazar

states have to r e c o g n i z e their interdependence, h e t e r o g e n e i t y , a n d t h e f a c t t h a t t h e i r c e n t e r s , if t h e y e v e r e x i s t e d , a r e p a r t s of a m u l t i c e n t e r e d network

that

is i n c r e a s i n g l y

noncentralized,

a n d t h a t all of t h i s is n e c e s s a r y in o r d e r t o s u r v i v e in t h e n e w w o r l d .

our

A u t o n o m y m u s t b e s e e n as a f o r m of f e d -

lives. Information has b e c o m e m o r e accessible

e r a l i s m , a n d l i k e all o t h e r f o r m s of f e d e r a l i s m

tion

are

necessitating

basic

changes

t o all p a r t s of o u r g l o b e , p u t t i n g governments

in

totalitarian

at a s e r i o u s d i s a d v a n t a g e .

The

it i n v o l v e s t h e c o m b i n a t i o n o f s e l f - r u l e shared rule, constitutionalized

and

power-sharing

w o r l d is v e r y m u c h s m a l l e r . T h e r e is n o e s c a p -

b e t w e e n the larger polity and the smaller one.

i n g t h e f a c t t h a t t h e s o u n d of a w h i s p e r o r a

A u t o n o m y w i t h o u t t h a t c o m b i n a t i o n of s e l f -

w h i m p e r in o n e p a r t of t h e w o r l d c a n i m m e d i -

rule and shared rule and without being consti-

a t e l y b e h e a r d in all p a r t s of t h e

tutionalized c a n n o t hope to succeed.

world—and

T h e s u g g e s t i o n that w e are w i t n e s s i n g a

consequences follow. Yet t h e w o r l d b o d y p o l i t i c h a s n o t pace with those scientific and achievements.

kept

technological

J u s t as t h e i n d i v i d u a l

human

b o d y m a k e s a n a t u r a l e f f o r t to k e e p t h e g r o w t h of its c o m p o n e n t s in b a l a n c e , a n d w e c o n s i d e r t h e b o d y d i s f i g u r e d if t h e g r o w t h of o n e a r m o r leg is s i g n i f i c a n t l y l e s s t h a n t h e o t h e r , s o is t h e w o r l d b o d y p o l i t i c d i s f i g u r e d if its k n o w l e d g e c o m p o n e n t opens up broad new vistas for dev e l o p m e n t w h i l e its p o l i t i c a l a n d s o c i a l c o m p o n e n t s r e m a i n in t h e D a r k A g e s . Let us u n d e r s t a n d the n a t u r e of this shift. It is n o t t h a t s t a t e s a r e d i s a p p e a r i n g ; it is t h a t t h e s t a t e s y s t e m is a c q u i r i n g a n e w d i m e n s i o n , o n e t h a t b e g a n a s a s u p p l e m e n t a n d is

now

c o m i n g t o o v e r l a y ( a n d , at l e a s t in s o m e r e -

m a j o r p a r a d i g m s h i f t d o e s n o t m e a n to s u g g e s t that the o u t c o m e will be perfect or e v e n w o r k in e v e r y c a s e . H u m a n s a r e still h u m a n s

and

their conflicts are very real. For e x a m p l e , f e d e r a l i s m h a s p r o b a b l y r e c e i v e d m o s t a t t e n t i o n as a w a y t o r e s o l v e e t h n i c c o n f l i c t s in a w o r l d t h a t h a s r e d i s c o v e r e d t h e h a r s h r e a l i t i e s of e t h n i c i t y a n d h a s lost its c o n f i d e n c e t h a t m o d e r n i z a t i o n w i l l b r i n g a b o u t t h e i r d e s u e t u d e . Yet s t u d e n t s of f e d e r a l i s m h a v e a l r e a d y r e c o g n i z e d t h a t e t h n i c d e m a n d s a r e a m o n g t h e m o s t e x c l u s i v i s t in the world, and the same ethnic consciousness t h a t m a k e s f e d e r a l i s m in s o m e f o r m n e c e s s a r y m a k e s it all t h e m o r e d i f f i c u l t a n d l e s s l i k e l y t o s u c c e e d . P e r h a p s t h e s o l u t i o n lies in t h e e x t e n t of t h e f e d e r a l b o n d s , as m u c h as in t h e i r d e p t h .

spects, to s u p e r s e d e ) the s y s t e m that prevailed

A u t o n o m y , t h e n , n o t o n l y is n e e d e d a s a

t h r o u g h o u t t h e m o d e r n e p o c h . T h a t o v e r l a y is a

m e a n s to satisfy d e m a n d s for s e l f - d e t e r m i n a -

n e t w o r k of a g r e e m e n t s a n d a r r a n g e m e n t s t h a t

tion that c a n n o t be s a t i s f i e d by

are not only militarily and e c o n o m i c a l l y bind-

s t a t e h o o d ; it f i t s w e l l i n t o t h e n e w f e d e r a l i s t

independent

ing but are b e c o m i n g constitutionally binding

p a r a d i g m . It w o u l d fit e v e n b e t t e r if t h e i n t e r -

as w e l l . T h i s o v e r l a y i n c r e a s i n g l y r e s t r i c t s w h a t

national community

w a s called state sovereignty and forces states

o m y as an equally legitimate f o r m of s e l f - d e -

into

termination

various

combinations

of

self-rule

and

and

would recognize

perhaps

provide

a

autonset

of

s h a r e d r u l e ( t h e s h o r t e n e d d e f i n i t i o n of f e d e r a l -

g u i d e l i n e s or g r o u n d rules to d e t e r m i n e

i s m ) t o e n a b l e t h e m to s u r v i v e at all.

can be considered true a u t o n o m y and what can-

T h e i m p l i c a t i o n s of t h i s p a r a d i g m s h i f t a r e e n o r m o u s . W h e r e a s b e f o r e , e v e r y state s t r o v e f o r self-sufficiency, homogeneity, and, with a few e x c e p t i o n s , c o n c e n t r a t i o n of a u t h o r i t y a n d p o w e r in a s i n g l e c e n t e r , u n d e r t h e n e w p a r a d i g m all

what

not. Such guidelines or ground rules m a y dep e n d less on s p e c i f i c institutions or s t r u c t u r e s and m o r e on necessary relationships and p o w e r s . T h e d e v e l o p m e n t of s u c h g u i d e l i n e s m u s t b e a p r i m a r y t a s k in t o d a y ' s w o r l d .

95

Commentari/

Commentary Sir John Thomson

If we d o n ' t find s o m e way that the different ethnic groups can live together in a country, h o w m a n y c o u n t r i e s will we h a v e ? W e ' l l have 5,000 countries rather than the hundred plus we now have.

h a n d l e to c r i t i c a l c o m m e n t . T h e r e f o r e , a r e f o r -

—U.S. Secretary of Slate Warren Christopher at his Senate confirmation hearings, February 1993.

as, it a r g u e s , a s m a l l p o p u l a t i o n w a s d i s a d v a n -

mulation may stimulate more counter-comment and discussion. T h e b u l k of t h e p a p e r u n d e r

discussion

d e a l s w i t h t h e q u e s t i o n of " s m a l l n e s s . " W h e r e tageous

economically

until

times, the d e v e l o p m e n t

of

contemporary international

fi-

nance, technological manufacturing, and world

Really? —J.A.T.

March

1995

I

markets has now m a d e

size i r r e l e v a n t ,

and

s m a l l n e s s m a y e v e n in s o m e c i r c u m s t a n c e s , f o r

t is n o t to be s u p p o s e d that t h i s s u b j e c t c a n

example,

advantage.53

S i n g a p o r e , c o n f e r an

b e d e a l t w i t h c o m p r e h e n s i v e l y in a m o n o -

T h e c a s e f o r this t h e s i s is w e l l - d e v e l o p e d in t h e

g r a p h , let a l o n e in a s h o r t c o m m e n t a r y , but that

p a p e r a n d c a n b e a c c e p t e d as a s t a r t i n g p o i n t

it r e q u i r e s d i s c u s s i o n at t h i s t i m e c a n n o t be

f o r a d i s c u s s i o n of the m a i n issue.

d o u b t e d . T h e t u r b u l e n c e of r e c e n t e v e n t s in

Two points may

be added, probably, I

s e v e r a l p a r t s of the w o r l d , as P r o f e s s o r H e r b s t

imagine, with Professor Herbst's approval. The

n o t e s in his essay, r a i s e s no less a q u e s t i o n than

powerful

" w h e t h e r f o r m s of p o l i t i c a l o r g a n i z a t i o n s o t h e r

w h i c h h e r e f e r s (p. 8 5 ) — t h o u g h I w o u l d r a t h e r

t h a n t h e n a t i o n - s t a t e m a y b e v i a b l e in t h e f u -

say

t u r e " (p. 79). T r u e , but that f o r m u l a t i o n m a y b e

n e w . S c o t l a n d f r o m a b o u t 1 7 5 0 to t o d a y is a

t o o s w e e p i n g ; it m a y not s u f f i c i e n t l y a l l o w f o r

g o o d e x a m p l e of a s m a l l c o u n t r y that d i d v e r y

p o s s i b l e m o d u l a t i o n s in t h e n a t i o n - s t a t e . T h i s

well e c o n o m i c a l l y . A n d in e a r l i e r t i m e s , V e n i c e

a u t h o r w o u l d b e i n c l i n e d to r e s t a t e t h e i s s u e

and the Netherlands were similarly successful.

forces

"allowing"

"promoting" smallness—are

smallness not

to

entirely

( f o l l o w i n g the title of the p a p e r ) as " t h e e x t e n t

It is w o r t h m e n t i o n i n g s u c h e x a m p l e s of s m a l l

to w h i c h e x i s t i n g n a t i o n - s t a t e s will

splinter,

s t a t e s u c c e s s e s b e c a u s e t h e y a r e s u g g e s t i v e of

c o m b i n e , or d e v e l o p internal a u t o n o m i e s . " T h a t

r e l e v a n t political s t r u c t u r e s a n d c o m p o n e n t s of

s e e m s to be t h e c r u c i a l i s s u e , but it is c o n -

success.

n e c t e d , as P r o f e s s o r H e r b s t n o t e s , w i t h dimensions,

primarily

population,

of

the

W h e n interpreting these examples, we see

viable

e d u c a t i o n e m e r g e as o n e of t h e c r i t i c a l l y i m -

states.

p o r t a n t c o n s t i t u e n t s of s u c c e s s . E a c h of t h e suggested

three countries mentioned was exceptionally

m a y b e h e l d to s t a k e o u t a s o m e w h a t d i f f e r e n t

literate in its o w n t i m e s , as is S i n g a p o r e t o d a y .

A r e f o r m u l a t i o n on t h e l i n e s plot

from

the

ground

on

which

Professor

H e r b s t t a k e s h i s s t a n d . If so, o n e c a n

only

A s w e a r e b e l a t e d l y a w a r e , it is n o t e n o u g h e c o n o m i c a l l y to t r a i n an i n t e l l e c t u a l e l i t e : t h e

p l e a d that P r o f e s s o r H e r b s t ' s p a p e r is so s t r o n g

w o r k f o r c e h a s a l s o to b e l i t e r a t e a n d c a p a b l e

in c o m m o n s e n s e t h a t it d o e s n o t g i v e m u c h

of r e t r a i n i n g . 5 4 A n d e d u c a t i o n is n e c e s s a r y f o r

53. Professor Herbst wisely e s c h e w s a definition of " s m a l l . " In the late 1950s the British Foreign O f fice considered, fruitlessly as I recall, the possibility of proposing a lower numerical limit on the size of m e m b e r s of the United Nations. Part of my own argument to the Security Council on the occasion of the G r e n a d a episode in 1982 was that the entire population of the state would fit inside a Texas football stadium. 54. See C. Colclough, with K. Lewin, Educating All the Children: Strategies for Primary Schooling in the South (Oxford: Clarendon Press, 1993).

Sir John

96

Thomson

the f o r m a t i o n of a c r i t i c a l m a s s of s e l f - i n t e r -

p o w e r s , is it not s a f e r to b e b i g o r at least to

e s t e d e n d e a v o r : a state of a f f a i r s i n d i s p e n s a b l e

h a v e a h a n d on an u m b r e l l a of " b i g n e s s " ?

for s m a l l state s u c c e s s .

In g e n e r a l , big c o u n t r i e s h a v e m o r e politi-

P r o f e s s o r H e r b s t r e f e r s to the ' " e c o n o m i e s

cal c l o u t t h a n s m a l l o n e s . For e x a m p l e , all the

of s c a l e ' in military, e c o n o m i c a n d political af-

c o u n t r i e s n o w s t a k i n g c l a i m s to a p e r m a n e n t

fairs," which have hitherto favored bigness and

seat on the S e c u r i t y C o u n c i l h a v e stated as j u s -

the d o m i n a n c e

t i f i c a t i o n t h e i r " b i g n e s s " in o n e f o r m or an-

of t h e n a t i o n - s t a t e .

He

has

p r o v e d his point that this p r o p o s i t i o n n o l o n g e r h o l d s t r u e in the e c o n o m i c f i e l d . S p a c e p r e -

other.55 Notwithstanding

t h e r i s k s of

smallness.

c l u d e s h i m f r o m g i v i n g e q u a l a t t e n t i o n to t h e

P r o f e s s o r H e r b s t is s u r e l y right to s t r e s s the

o t h e r t w o f i e l d s , but a s i m i l a r c a s e t h e r e is p e r -

p o p u l a r i t y of the n a t i o n - s t a t e . H e has

h a p s w e a k e r . T h e Iraqi c o n q u e s t of K u w a i t and

p e r c e p t i v e t h i n g s to say a b o u t " t h e t i m e of na-

the U . S . - U N d e f e a t of Iraq s u g g e s t that size

t i o n s . " F o r e x a m p l e , the n a t i o n - s t a t e ' s " a s s o c i -

still m a t t e r s in m i l i t a r y a f f a i r s . T r u e , K u w a i t

a t i o n w i t h m o d e r n i t y " (p. 8 0 ) . t h e " p r o f o u n d

some

w a s r e s c u e d by i n t e r n a t i o n a l a c t i o n , b u t t h e

i n c e n t i v e s f o r p e o p l e s to c o n t i n u e to o r g a n i z e

fate of East T i m o r a n d S i k k i m m a y p r o v e to be

t h e m s e l v e s in a w a y that fits into t h e i n t e r n a -

m o r e t y p i c a l . It is not h a r d to s u p p o s e that in

tional o r g a n i z a t i o n a l g r i d " (p. 81), a n d the o b -

the 1 9 9 0 s o n e A f r i c a n state m i g h t a b s o r b part

s e r v a t i o n that "it is h a r d l y s u r p r i s i n g that the

or e v e n the w h o l e of a n o t h e r , that a P a c i f i c is-

nation-state

land state m i g h t be g o b b l e d u p by a s t r o n g e r

T h i r d W o r l d , e v e n by t h o s e w h o h a d little pa-

power,

or even

that

an

aggressive

was

reproduced

throughout

the

Central

t i e n c e f o r m o s t E u r o p e a n political a n d intellec-

A m e r i c a n or C a r i b b e a n p o w e r m i g h t t a k e o v e r

tual t r a d i t i o n s " (p. 82). " W h a t the L i t h u a n i a n s .

its n e i g h b o r . In m a n y c i r c u m s t a n c e s , s m a l l n e s s

Croatians. Slovaks, and others most

does seem a military disadvantage:

w a s their o w n n a t i o n - s t a t e r a t h e r than to break

relative

s m a l l n e s s p r o m p t e d Israel to n u c l e a r d e f e n s e . T h e s e c u r i t y risk to s m a l l c o u n t r i e s r a i s e s

wanted

n e w g r o u n d in p o l i t i c a l t h e o r i z i n g by c r e a t i n g s o m e t h i n g e l s e " (p. 89).

the q u e s t i o n of e f f e c t i v e r e d r e s s t h r o u g h t h e

A b s o l u t e l y . N a t i o n a l i s m is still the m o s t

U n i t e d N a t i o n s . Will i n t e r n a t i o n a l i n t e r v e n t i o n

p o w e r f u l e m o t i o n in the political a r e n a and it is

s h i e l d " s m a l l n e s s " ? T h e a n s w e r is u n c e r t a i n ,

g e n e r a l l y s u p p o s e d to r e q u i r e a n a t i o n - s t a t e .

but t h e o u t l o o k is not c h e e r f u l for s m a l l c o u n -

T h e r e c e n t g l o b a l c h a n g e s h a v e , in s o m e re-

tries w h o s e m a i n e n e m i e s a r e t h e i r n e i g h b o r s

spects, intensified the forces f a v o r i n g nation-

a n d w h o lack a p o w e r f u l p r o t e c t o r . A s P r o f e s -

states. "[The] very forces which m a k e small

sor Herbst

to f o r m e r Yu-

n a t i o n - s t a t e s m o r e v i a b l e u n d e r c u t the n e e d f o r

g o s l a v i a , the i n t e r n a t i o n a l c o m m u n i t y is s o m e -

a n y a l t e r n a t i v e to the n a t i o n - s t a t e " (p. 9 0 ) . It is

notes

in r e l a t i o n

w h a t b a c k w a r d in r e s c u i n g s m a l l m e m b e r s of

but a s t e p f r o m t h e s e valid o b s e r v a t i o n s to P r o -

the U n i t e d N a t i o n s . Will e v i d e n c e of t h i s sort

f e s s o r H e r b s t ' s c o n c l u s i o n that " t h e e r a of t h e

c a u s e s o m e c o m m u n i t i e s to d o u b t t h e v a l u e of

n a t i o n - s t a t e , i n c o r r e c t l y f o r e t o l d as e n d i n g a f t e r

i n d e p e n d e n c e and will s m a l l n a t i o n - s t a t e s look

c e n t u r i e s , m a y , in f a c t , j u s t be b e g i n n i n g as an

f o r p r o t e c t o r s a n d a l l i a n c e s or s e e k i n c o r p o r a -

i n c r e a s i n g n u m b e r of p o l i t i c a l

tion in a f e d e r a t i o n ?

f i n d that t h e i n t e r n a t i o n a l p o l i t i c a l a n d e c o -

communities

O n the o t h e r h a n d , will m i l i t a n t m i n o r i t i e s

n o m i c s y s t e m s d o not d i s c r i m i n a t e on the b a s i s

learn b o l d n e s s f r o m P r o f e s s o r H e r b s t ' s c o r r e c t

of size but d o o f f e r p r o f o u n d i n c e n t i v e s to o r -

o b s e r v a t i o n that, " I n t h e p o s t - C o l d W a r w o r l d ,

g a n i z e as n a t i o n - s t a t e s " (p. 9 1 ) .

t h e r e are f e w i n c e n t i v e s f o r the g r e a t p o w e r s to

W h a t a p p e a r s t o f o l l o w f r o m this c o n c l u -

i n t e r v e n e f o r c i b l y to k e e p a c o u n t r y t o g e t h e r " ?

s i o n is an i n t e r n a t i o n a l c o m m u n i t y

If t h e

three h u n d r e d o r e v e n m o r e s o v e r e i g n states. It

international

community

is g o i n g

to

including

m a i n t a i n law a n d o r d e r o n l y f i t f u l l y , d e p e n d e n t

is o b v i o u s l y n u m e r i c a l l y p o s s i b l e . A s W a r r e n

l a r g e l y u p o n the d o m e s t i c p o l i t i c s of t h e g r e a t

C h r i s t o p h e r p o i n t e d out, the n u m b e r s of e t h n i c

55. G e r m a n y and Japan point to the bigness of their financial c o n t r i b u t i o n s , while such c o u n t r i e s as India, Brazil, and Indonesia refer to the size of their populations, a m o n g other arguments.

Commentary

g r o u p s are m e a s u r e d in t h e t h o u s a n d s . A n d t h e r e are several big states, Z a i r e and India, for e x a m p l e , w h i c h , if they w e r e to s p l i n t e r into t h e i r e t h n i c or l i n g u i s t i c c o m p o n e n t s , c o u l d e a s i l y give birth to t w e n t y or m o r e s t a t e s a p i e c e . A l t h o u g h the m u l t i p l i c a t i o n of b u r e a u c r a c i e s , b o r d e r s , t i n - p o t a i r l i n e s , and n a t i o n a l d a y p a r t i e s is in itself u n a p p e a l i n g , it m i g h t o f t e n be the c a s e that s m a l l states p r o m o t e d d e m o c r a c y , r e d u c e d e t h n i c t e n s i o n s , and so w e r e f a v o r a b l e to h u m a n r i g h t s . But this w a s not the case with m a n y of the n e w states f o r m e d since World War II, p a r t i c u l a r l y the o n e - p a r t y states. It is p r o b a b l y s a f e s t to c o n c l u d e that culture, rather than size or e c o n o m i c d e v e l o p m e n t , has m o s t to d o with the p r e v a l e n c e of d e m o c r a c y and t h e m a i n t e n a n c e of h u m a n rights. For instance, it s e e m s likely that d e m o c r a c y is safer in an u n d i v i d e d India than it w o u l d be in a m u c h - s p l i n t e r e d s u b c o n t i n e n t . M u l t i e t h n i c societies are usually m o r e tolerant than states that have a p e r m a n e n t single e t h n i c d o m i n a n c e at the e x p e n s e of one or m o r e minorities. T h e p r o b a b l e d i s i n t e g r a t i o n of Z a i r e m a y sadly illustrate the truth of this proposition. W h a t about other big c o u n t r i e s , for e x a m ple, in North A m e r i c a ? H o w likely is it, for instance. that Q u e b e c and C a l i f o r n i a will b e c o m e i n d e p e n d e n t ? Q u e b e c s e e m s a l w a y s on the v e r g e of i n d e p e n d e n c e , yet n e v e r t a k i n g the p l u n g e . 5 6 In the course of the next twenty years the p r o s p e c t i v e H i s p a n i c m a j o r i t y in C a l i f o r n i a m a y well veer in the Q u e b e c d i r e c t i o n . A n ind e p e n d e n t C a l i f o r n i a w o u l d c e r t a i n l y be a viable, e v e n p o w e r f u l , n a t i o n - s t a t e . Yet on the w h o l e , it s e e m s likely that both p r o v i n c e s will, on b a l a n c e , p r e f e r to stay inside the p o w e r f u l states of w h i c h they c u r r e n t l y f o r m a part. Q u e b e c has already s h o w n that the threat of secession is a potent bargaining lever, and California m a y do likewise. So, although they both stop short of i n d e p e n d e n c e , they m a y n e v e r t h e l e s s

97

bring about revised constitutional a r r a n g e m e n t s that m i g h t be i n t e r p r e t e d as t h e e x e r c i s e of a m o d i f i e d f o r m of s e l f - d e t e r m i n a t i o n . 5 7 O n e r e a s o n f o r p o s t u l a t i n g o u t c o m e s of this sort is the e x i s t e n c e of N A F T A . Free trade a r e a s cut both w a y s in t h e a r g u m e n t . O n the o n e h a n d , they m a y s e e m to p r o v i d e a r e a d y m a d e international f r a m e w o r k and an e c o n o m i c s a f e t y net f o r a n e w l y i n d e p e n d e n t state and thus e n c o u r a g e s e c e s s i o n . O n the other, it d o e s s e e m that if m e m b e r s h i p of a f r e e trade area is the reality, it d o e s not m a t t e r m u c h w h e t h e r it is via i n d e p e n d e n c e or c o n t i n u e d a d h e r e n c e to a p o w e r f u l m e m b e r state. B e s i d e s , t h e latter a v o i d s the pain of a m e s s y d i v o r c e . T h e bala n c e of a d v a n t a g e will not a l w a y s be p e r c e i v e d to tilt the s a m e way, but the point is that f r e e trade areas or similar regional a g r e e m e n t s enter into the c a l c u l a t i o n and h a v e an i n f l u e n c e on the issue of s e l f - d e t e r m i n a t i o n and c o n s t i t u tional c h a n g e . T h i s is a l r e a d y the c a s e in the E u r o p e a n U n i o n . H e r e , the d r i v e , both w i t h i n the U n i o n and w i t h c a n d i d a t e states, is clearly t o w a r d a d i m i n u t i o n of sovereignty, a l e s s e n i n g of indep e n d e n c e , and an a c c e p t a n c e of n e w o b l i g a tions. In short, f o r m o s t states, m e m b e r s h i p in the E u r o p e a n U n i o n is a m o v e a w a y f r o m the practice of s e l f - d e t e r m i n a t i o n or, at any rate, a r e i n t e r p r e t a t i o n of its i m p l i c a t i o n s . Of c o u r s e , in the E u r o p e a n U n i o n , as in N A F T A , t h e regional a r g u m e n t cuts both w a y s and it r e m a i n s to be seen w h e t h e r S c o t l a n d , C o r s i c a , C a t a l o nia, B a v a r i a , and so on, insist on classical selfd e t e r m i n a t i o n or not. It s e e m s u n l i k e l y that they w o u l d be p r e v e n t e d by f o r c e , but it also s e e m s unlikely that all of t h e m w o u l d insist. 5 8 T h e r e c e n t e v o l u t i o n of the E u r o p e a n U n i o n , as distinct f r o m its early creative d a y s , t e n d s to b e a r out P r o f e s s o r H e r b s t ' s c o m m e n t that " t h e r e h a s b e e n startlingly little c r e a t i v i t y in d e v i s i n g a l t e r n a t i v e s to t h e n a t i o n - s t a t e . "

56. Quebec has twice held a referendum on the issue of sovereignty. In 1980, the proposal for "sovereignty association" was defeated 6 0 - 4 0 . The " r a c e " again prevailed on October 30, 1995 but by the slimmest of margins which showed that the majority of the French-speaking part of the electorate had voted "yes". The issues at stake are felt strongly right across Canada and remain intensely controversial. 57. See Kamal S. Shekadi, "Ethnic Self-Determination and the Break-up of States," Adelphi Paper 283 (London: International Institute for Strategic Studies, December 1993), p. 4; "A people exercises selfdetermination when it determines its own future continuously, without interruption." 58. See, for example, Scotland and the Union, Patrick S. Hodge, ed. (Edinburgh University Press, 1994).

Sir John

98

Thomson

But t h e p r e s e n t s i t u a t i o n is p r o b a b l y in the n a -

e t h n i c s t a t e s . A t v a r i o u s t i m e s t h e C o p t s in

ture of a p l a t e a u on w h i c h e x h a u s t e d c l i m b e r s

E g y p t w e r e p e r s e c u t e d b e c a u s e they w e r e held

take a rest. Despite the a r g u m e n t s for small

to be less t h a n f u l l y E g y p t i a n , less than w h o l e -

b e i n g e c o n o m i c a l l y b e a u t i f u l , it is l i k e l y that

h e a r t e d l y " n a t i o n a l . " A n d t h e s a m e is true of

the d y n a m i c s of i n t e r n a t i o n a l t r a d i n g c o m p e t i -

the A h m a d i n in P a k i s t a n .

tion w i l l l e a d to a s i n g l e E u r o p e a n

currency

S o m e of the a r c h i t e c t s of t h e s e states m i s -

a n d h e n c e a c o m m o n e c o n o m i c policy. A c o m -

understood the Western countries w h o s e eco-

m o n d e f e n s e p o l i c y is a l s o likely. B u t a U n i t e d

n o m i c s u c c e s s a n d p o l i t i c o - m i l i t a r y p o w e r they

S t a t e s of E u r o p e e q u i v a l e n t to t h e p r e s e n t f o r m

e n v i e d . T h e y d i d not g r a s p t h a t t h e

of t h e U n i t e d S t a t e s of A m e r i c a is a g o o d deal

S t a t e s of A m e r i c a w a s b a s e d on the a b s o r p t i o n

United

less likely. If this a n a l y s i s is c o r r e c t , there will

of i n d i v i d u a l s — f r o m P i l g r i m s to the p e o p l e s of

b e a d e m a n d f o r c r e a t i v e political a n d c o n s t i t u -

the " m e l t i n g p o t . " T h e y did not u n d e r s t a n d that

tional i n n o v a t i o n a n d this will be r e q u i r e d b o t h

the U n i t e d K i n g d o m w a s b a s e d on a u n i o n of

by t h e p o t e n t i a l s e c e d e r s ( S c o t l a n d , e t c . ) a n d

n a t i o n s , e a c h of w h i c h r e t a i n e d its identity, cur-

by the p r e s e n t large states ( G e r m a n y , etc.).

r e n t l y e x p r e s s e d in f o u r d i f f e r e n t " n a t i o n a l "

It is b e y o n d the s c o p e of c o m m e n t on P r o -

f o o t b a l l t e a m s . B o t h t h e U n i t e d S t a t e s a n d the

f e s s o r H e r b s t ' s p a p e r to v e n t u r e i n t o t h e o p -

United

t i o n s f o r a r e v i s e d i n t e r p r e t a t i o n of s e l f - d e t e r -

s t a t e s , but it is at best d o u b t f u l w h e t h e r the

m i n a t i o n , f o r a u t o n o m y w i t h i n t h e U n i o n , or

label is a p p r o p r i a t e in e i t h e r c a s e .

f o r n e w m e a n i n g s f o r E pluribus

unitm.

Kingdom

have

been

called

nation-

Such

The words "nation" and "national" have

c o n s i d e r a t i o n s are, h o w e v e r , r e l e v a n t to the f u -

b e e n u s e d in so m a n y c o n t e x t s that it w o u l d be

t u r e of e x i s t i n g n a t i o n - s t a t e s a n d not o n l y in

i l l u s o r y to s u p p o s e that a p u r i s t i n t e r p r e t a t i o n

E u r o p e . For s o m e n a t i o n - s t a t e s , e c o n o m i c s will

c o u l d n o w b e i m p o s e d . It w o u l d h a v e s o m e

predominate,

for

v e r y o d d r e s u l t s w h e n a p p l i e d to past t e x t s .

s o m e c u l t u r e or r e l i g i o n , a n d f o r all, their s e n s e

for others security

issues,

A n d yet, s o m e of the m o s t a n c i e n t texts d o ap-

of i d e n t i t y or integrity. T h e s e v a r i e d r e a c t i o n s

p e a r to u s e t h e w o r d " n a t i o n " as a p p l y i n g to

a n d o u t c o m e s h e l p to j u s t i f y t h e d e f i n i t i o n of

kith a n d k i n , as in the t r i b e s of I s r a e l . F o r e x -

o u r t o p i c as " t h e e x t e n t to w h i c h e x i s t i n g na-

a m p l e , D e u t e r o n o m y 32:8: " W h e n the Most

t i o n - s t a t e s will splinter, c o m b i n e , or d e v e l o p in-

H i g h d i v i d e d to t h e n a t i o n s t h e i r i n h e r i t a n c e . "

ternal a u t o n o m i e s . " T h e a d d i t i o n a l m e a n i n g s of

T h i s is a s e n s e a c c e p t a b l e g e n e r a l l y to E u r o -

s e l f - d e t e r m i n a t i o n are ripe f o r r e c o n s i d e r a t i o n .

p e a n " n a t i o n s " t o d a y , but is p e r h a p s less f a m i l iar to p e o p l e in the U n i t e d S t a t e s . I w o u l d p r e f e r that c u r r e n t u s a g e s h o u l d a c k n o w l e d g e at least a p o t e n t i a l d i s t i n c t i o n be-

In t h e f o r e g o i n g n o t e , I h a v e f o l l o w e d P r o f e s -

tween "state" and "nation," even though there

s o r H e r b s t in u s i n g t h e p h r a s e " n a t i o n - s t a t e "

is n o p o i n t in t r y i n g to d i v o r c e the a d j e c t i v e

b e c a u s e it w o u l d b e p e d a n t i c n o t to d o so in

" n a t i o n a l " f r o m its u s u a l m e a n i n g of " b e l o n g -

of

ing to the state o r to all the c i t i z e n s , " as in n a -

w h i c h 1 a g r e e . N e v e r t h e l e s s , I a m not h a p p y

tional debt, National Gallery, or national an-

w i t h t h e p h r a s e , d e s p i t e its c o m m o n use in the

t h e m . I see a d i s t i n c t i o n b e t w e e n a state as an

c o m m e n t i n g on h i s p a p e r , w i t h so m u c h

l i t e r a t u r e . It c a r r i e s t w o u n f o r t u n a t e i m p l i c a -

institution that i n e v i t a b l y has a g o v e r n m e n t and

t i o n s : that n a t i o n s s h o u l d o w n s t a t e s a n d that

a n a t i o n , w h i c h is m o r e in t h e n a t u r e of a f a m -

states should contain only one nation.

ily, t h o u g h , of c o u r s e , w i t h o u t

insisting

on

N o r is it o n l y a m a t t e r of p h i l o s o p h i c a l i m -

b l o o d r e l a t i o n s h i p . T h u s , a state m a y c o m p r i s e

p l i c a t i o n s . All t o o e a s i l y t h e s e g e t t r a n s l a t e d

s e v e r a l n a t i o n s , but it is a l s o p o s s i b l e f o r t h e

i n t o p o l i t i c a l f a c t s . T h e w i s h to h a v e a n a t i o n -

n a t i o n s o v e r t i m e to m e r g e into a s i n g l e n a t i o n -

state not i n f r e q u e n t l y l e a d s to an e t h n i c or a re-

h o o d w h o s e c o m m o n c i t i z e n s h i p of the state is

l i g i o u s state. For e x a m p l e , G r e e c e in the n i n e -

m o r e i m p o r t a n t t h a n m e m b e r s h i p of a n y c o n -

t e e n t h c e n t u r y a n d T u r k e y in t h e

stituent n a t i o n . C o n s e q u e n t l y , " n a t i o n - b u i l d i n g "

twentieth,

w i s h i n g p a s s i o n a t e l y t o b e n a t i o n - s t a t e s in t h e

is a r e a s o n a b l e a n d m e a n i n g f u l p h r a s e . But it is

s u c c e s s f u l m o d e r n m o d e of their t i m e , b e c a m e

not n e c e s s a r i l y t h e s a m e as " s t a t e - m a k i n g . "

Commentary

In the light of these c o n s i d e r a t i o n s , over the formulation "national state," as in "the form a t i o n of National States in Western Europe,"'' 9 is to be preferred " n a t i o n - s t a t e . " All the s a m e , it verges on being a pluralism. In many circumstances, no adjective is necessary:

99

" s t a t e " tout court exactly expresses the m e a n ing. And w h e n it is necessary to m a k e a distinction, there are often other ways of doing so. T h e book edited by Charles Tilly could just as well, or possibly better, be entitled The Formation of States in Modern Western Europe.

59. Charles Tilly, ed., The Formation of National States in Western Europe (Princeton: Princeton University Press, 1975).

CHAPTER

4

The Other Side of Self-Determination: State Contraction in Theory and Practice— Lessons from Britain-Ireland, France-Algeria, and Israel-West Bank/Gaza Ian S. Lustick

E

d w a r d G i b b o n s u m m a r i z e d his e x p l a n a t i o n

"immoderate"

f o r the d e c l i n e a n d fall of the R o m a n E m -

d r e s s e d o r e v e n p o s e d the q u e s t i o n of

size,

few

scholars

have

adwhy

p i r e by w r i t i n g that it w a s " t h e n a t u r a l a n d in-

R o m e did not p r u d e n t i a l l y shrink its d o m a i n to

e v i t a b l e e f f e c t of i m m o d e r a t e g r e a t n e s s . T h e

c o n f o r m to a v a i l a b l e r e s o u r c e s . T h e a b s e n c e of

c a u s e s of d e s t r u c t i o n , " he o b s e r v e d ,

"multi-

t h i s q u e s t i o n in the vast h i s t o r i o g r a p h y on the

p l i e d w i t h the e x t e n t of c o n q u e s t : a n d . as s o o n

R o m a n w o r l d is p a r t i c u l a r l y s t r i k i n g in v i e w of

a s t i m e or a c c i d e n t h a d r e m o v e d the a r t i f i c i a l

the p r a i s e o f t e n r e g i s t e r e d by s c h o l a r s of an-

s u p p o r t s , t h e s t u p e n d o u s f a b r i c y i e l d e d to t h e

cient R o m e for Hadrian's realization

p r e s s u r e of its o w n w e i g h t . " T h o u g h G i b b o n

e a r l y s e c o n d c e n t u r y that T r a j a n ' s c o n q u e s t s in

h a s p a s s e d o u t of f a s h i o n , m o s t e x p l a n a t i o n s

the East w e r e t o o e x t e n s i v e f o r R o m e to m a i n -

f o r the f a i l u r e , c o l l a p s e , d e c l i n e , o r d i s a p p e a r -

tain.

a n c e of the ( W e s t e r n ) R o m a n E m p i r e s h a r e a

provinces,

n o t i o n of a state that h a d o v e r r e a c h e d its c a -

R o m a n r u l e b e h i n d less a m b i t i o u s f r o n t i e r s in

p a c i t i e s in t h e f a c e of i n c r e a s i n g l y d i f f i c u l t

the N e a r E a s t , a n d f o r e r e c t i n g H a d r i a n ' s Wall

c h a l l e n g e s . Yet t h e s e e x p l a n a t i o n s b e g

what

a l o n g a m o r e s o u t h e r n line in B r i t a i n . D e s p i t e

m i g h t s e e m to be t h e o b v i o u s q u e s t i o n of w h y

a p p r o v a l f o r this s p e c i f i c set of j u d g m e n t s and

for

his for

decision his

to

policy

relinquish of

in the

those

consolidating

t h o s e g o v e r n i n g t h e s p r a w l i n g e m p i r e did n o t

p o l i c i e s , there has b e e n little if any e f f o r t to un-

seek to p r e s e r v e their state by r e d u c i n g its b u r -

d e r s t a n d H a d r i a n ' s p o l i c y as a s t r a t e g y of " l i m -

d e n s , that is. by c o n t r a c t i n g it. 1

ited state c o n t r a c t i o n . " a c o n c e p t u a l i z a t i o n that w o u l d e n a b l e b r o a d e r q u e s t i o n s to b e a s k e d

W h i l e it is v i r t u a l l y i m p o s s i b l e to e v e n about

a b o u t t h e c o n d i t i o n s u n d e r w h i c h he w a s a b l e

t h e d e m i s e of t h e R o m a n E m p i r e or a b o u t t h e

to c o n t e m p l a t e a n d e f f e c t u a t e a s t r a t e g i c o p t i o n

economic, strategic, political, ideological, and

that o t h e r e m p e r o r s s e e m e d e i t h e r to i g n o r e or

c u l t u r a l f o r c e s that i m p e l l e d R o m e t o w a r d its

avoid.

count

the b o o k s and articles

written

1. The s a m e can be said of the literature on the Ottoman Empire. Great attention has been paid to the fate of alternative p r o j e c t s for r e d e f i n i n g the nature of the e m p i r e as strategies to save it d u r i n g the eighteenth, nineteenth, and twentieth centuries, but virtually none to the question of w h e t h e r or why, before World War I, no efforts were made to adapt by strategic contraction. Although I am not equally familiar with the relevant literatures, I would hypothesize that similar patterns of research characterize scholarly traditions pertaining to other empires, such as the Austro-Hungarian and the Tsarist Empires. It is also relevant to note that in the sophisticated treatments of organizational evolution, g r o w t h , and development, the o v e r w h e l m i n g tendency has been to study expansion of organizations and the reasons for their failure or collapse, rather than to study patterns of strategic contraction. See, for e x a m p l e , the seminal book by J.D. T h o m p s o n , Organizations in Action ( N e w York: M c G r a w - H i l l , 1967), which systematically considers the reasons for organizational growth as a strategic response to environmental circumstances and survival requirements but not once entertains the possibility of strategic contraction as an adaptive response to a threatening task environment.

101

102

lan S.

Lustick

I b e l i e v e it is n e i t h e r c o i n c i d e n c e nor a c a -

much more frequently than contraction? A de-

d e m i c c u s t o m that e x p l a i n s w h y this s a m e p a t -

c e p t i v e l y s i m p l e a n s w e r to this q u e s t i o n is that

tern of i n t e r e s t in e x p a n s i o n , d e c l i n e , or c o l -

it is e a s i e r to e x p a n d than to c o n t r a c t . F o r this

l a p s e but not in c o n t r a c t i o n , is p r e s e n t in t h e

a n s w e r c o n c e a l s w i t h i n itself a t h e o r y of states

l i t e r a t u r e on n i n e t e e n t h - a n d e a r l y - t w e n t i e t h -

as i n s t i t u t i o n s , a n d of p r o c e s s e s of i n s t i t u t i o n -

c e n t u r y E u r o p e a n i m p e r i a l i s m a n d its r e s u l t s .

alization and deinstitutionalization, which im-

H e r e a g a i n , the d o m i n a n t q u e s t i o n s that h a v e

a g i n e s state c o n t r a c t i o n as a p r o c e s s that is n o t ,

g u i d e d s c h o l a r s , f r o m H o b s o n a n d L e n i n to

s i m p l y , the c o n v e r s e of state e x p a n s i o n .

S c h u m p e t e r . Staley, R o b b i n s , A r e n d t , a n d S a i d ,

After outlining a f r a m e w o r k for the study

h a v e f o c u s e d on the e c o n o m i c , s t r a t e g i c , polit-

of territorial b o u n d a r i e s as i n s t i t u t i o n a l n o r m s ,

ical, c u l t u r a l , and i d e o l o g i c a l c a u s e s of i m p e r -

I will s u g g e s t h o w its a p p l i c a t i o n to the British-

ial e x p a n s i o n . A n o t h e r s m a l l e r , but still s u b -

I r i s h . F r e n c h - A l g e r i a n , and I s r a e l i - P a l e s t i n i a n

s t a n t i a l , l i t e r a t u r e on the c a u s e s a n d t i m i n g of

c a s e s h e l p s c l a r i f y the a s y m m e t r i e s that c h a r -

the retreat or c o l l a p s e of t h e s e e m p i r e s a p p e a r s

a c t e r i z e p r o c e s s e s of state e x p a n s i o n v s . c o n -

u n d e r the h e a d i n g of " d e c l i n e " or " d e c o l o n i z a -

t r a c t i o n . I will a l s o a r g u e that h o l d i n g

t i o n . " A s w i t h R o m e , so t o o with E u r o p e a n im-

c o n t r a c t i o n in m i n d as an o p t i o n can h e l p s o l v e

p e r i a l i s m , f e w s c h o l a r s h a v e p o s e d the q u e s t i o n

a n u m b e r of e x i s t i n g t h e o r e t i c a l p r o b l e m s in

of w h y the greatly e n l a r g e d states did not c o n -

the literature on s t a t e - b u i l d i n g and i m p e r i a l i s m .

tract t h e m s e l v e s e f f e c t i v e l y at a p a c e that c o u l d

S i n c e v i r t u a l l y all h a b i t a b l e land on e a r t h is

h a v e s e c u r e d their c o n t i n u e d rule of still large,

p r e s e n t l y r u l e d by e x i s t i n g s t a t e s , e x p a n d i n g

but

domains.

a u t h o r i t y o v e r or in any p a r t i c u l a r t e r r i t o r y f o r

T h e r e f o r e , a l t h o u g h w e h a v e s t u d i e s that c o m -

the p u r p o s e of e n h a n c i n g s e l f - d e t e r m i n a t i o n f o r

more

realistically

designed,

state

pare the d y n a m i c s of E u r o p e a n i m p e r i a l e x p a n -

its i n h a b i t a n t s will a u t o m a t i c a l l y r e q u i r e t e r r i -

sion to t h o s e of R o m a n e x p a n s i o n or that c o m -

torial or f u n c t i o n a l c o n t r a c t i o n of an e x i s t i n g

p a r e the R o m a n " c o l l a p s e " w i t h the d e c l i n e of

state. T h u s , a p o w e r f u l t h e o r y of state c o n t r a c -

E u r o p e a n e m p i r e s , t h e r e is n o l i t e r a t u r e that

tion will be s e e n to be n e c e s s a r y for the d e s i g n

s e e k s to learn a b o u t t h e r i g i d i t i e s of E u r o p e a n

a n d i m p l e m e n t a t i o n of a n y p o l i c y to e x p a n d

i m p e r i a l rule f r o m the R o m a n E m p i r e ' s f a i l u r e

opportunities for self-determination.

to c o n t r a c t w i t h the s a m e o p p o r t u n i s m

implicit w i t h i n the L i e c h t e n s t e i n D r a f t C o n v e n -

with

w h i c h it e x p a n d e d . 2 One

reason,

tion

of c o u r s e ,

for the

greater

p r o m i n e n c e of e x p a n s i o n as o p p o s e d to c o n -

on

Self-Determination

Through

Indeed, Self-

A d m i n i s t r a t i o n is the a s s u m p t i o n that s u c h a theory exists.

t r a c t i o n in the r e l e v a n t l i t e r a t u r e s is that ins t a n c e s of strategic e x p a n s i o n (that is, e n l a r g e m e n t of a p o l i t y ' s t e r r i t o r i a l d o m a i n intended

as an

result of p o l i c i e s i m p l e m e n t e d

for

The Shape of States: Institutionalizing and Deinstitutionalizing Territorial Boundaries

military, political, cultural, social, psychologi-

W e m u s t b e g i n w i t h a c o n c e p t of a s t a t e as a

c a l , i d e o l o g i c a l , or e c o n o m i c r e a s o n s ) f a r o u t -

s p e c i a l k i n d of i n s t i t u t i o n . A n i n s t i t u t i o n is a

n u m b e r t h o s e of s t r a t e g i c c o n t r a c t i o n (that is,

f r a m e w o r k f o r s o c i a l a c t i o n that e l i c i t s f r o m

p u r p o s e f u l r e d u c t i o n in a p o l i t y ' s territorial d o -

t h o s e w h o act w i t h i n it e x p e c t a t i o n s of r e g u l a r -

m a i n excluding

the collapse, destruction,

or

ity, c o n t i n u i t y , a n d p r o p r i e t y . S u c h a f r a m e -

d i s m e m b e r m e n t of p o l i t i e s a f f e c t e d d e s p i t e , or

w o r k is i n s t i t u t i o n a l i z e d to the e x t e n t that t h o s e

w i t h o u t r e f e r e n c e to, t h e s t r a t e g i c c a l c u l u s of

e x p e c t a t i o n s are reliably r e p r o d u c e d . Institu-

t h e r u l i n g e l i t e ) . Yet n o t i n g t h i s v a s t d i s c r e p -

t i o n a l i z a t i o n is a p r o c e s s by w h i c h c h a n g e in

a n c y in t h e a p p e a r a n c e of e x p a n s i o n a r y

and

t h e r u l e s of p o l i t i c a l c o m p e t i t i o n b e c o m e s in-

c o n t r a c t i o n i s t e p i s o d e s l e a d s to t h e q u e s t i o n of

creasingly disruptive and decreasingly likely to

why. W h y s h o u l d it b e that e x p a n s i o n o c c u r s so

b e part of t h e s t r a t e g i c c a l c u l u s of c o m p e t i t o r s

2. See, for example, P. A. ies in Society and History, York: Cornell University a s s e s s m e n t , " Comparative

Brunt, " R e f l e c t i o n s on British and R o m a n Imperialism," Comparative Studvol. 7, no. 3 (1965), pp. 2 6 7 - 2 8 8 ; Michael W. Doyle, Empires (Ithaca, N e w Press, 1986); and Gary B. Miles, " R o m a n and M o d e r n I m p e r i a l i s m ; A ReStudies in Society and History (1990), pp. 6 2 9 - 6 5 9 .

The Other Side of

Self-Determination

103

w i t h i n t h e i n s t i t u t i o n a l a r e n a . S t a t e s are s p e c i a l

b e l i e v e d that a v a i l a b l e p o w e r r e s o u r c e s will be

institutions. T h e y are the institutions that en-

m o b i l i z e d a c c o r d i n g to d i f f e r e n t sets of n o r m s

force property rights and provide order suffi-

a n d legal a r r a n g e m e n t s . State b o r d e r s are politi-

c i e n t l y to p e r m i t p e o p l e w i t h i n their p u r v i e w to

cally i m p o r t a n t b e c a u s e they s e r v e as institu-

design and build other institutions. T h e bound-

tionalized

a r i e s of s t a t e s , b o t h i n t e r n a l b o u n d a r i e s

be-

g r o u p s a n d rival elites within the state at the ex-

t w e e n state a u t h o r i t y a n d o t h e r k i n d s of a u t h o r -

p e n s e of others. S u b s t a n t i a l c h a n g e s in the terri-

ity w i t h i n a s p e c i f i e d t e r r i t o r y , a n d

external

torial s h a p e of a state r e p r e s e n t institution-trans-

boundaries, between territories failing within

f o r m i n g e p i s o d e s . S t r u g g l e s o v e r ihe size a n d

t h e a m b i t of s t a t e a u t h o r i t y a n d t h o s e t h a t d o

s h a p e of the state m u s t a c c o r d i n g l y b e u n d e r -

n o t , are c r u c i a l c o m p o n e n t s of t h e set of s t a b l e

stood as s t r u g g l e s o v e r the " r u l e s of the g a m e . "

expectations

that,

ultimately,

constitute

the

s t a t e as an i n s t i t u t i o n . 3

constraints

that a d v a n t a g e

certain

B o u n d a r i e s s p e c i f y w h o a n d w h a t are p o t e n t i a l p a r t i c i p a n t s or o b j e c t s of the political g a m e and

T h e e v o l u t i o n of W e s s e x a n d then E n g l a n d

w h o a n d w h a t are not. D i f f e r e n t b o r d e r s h a v e

into Great Britain, then into the United King-

d i f f e r e n t d e m o g r a p h i c i m p l i c a t i o n s and d i f f e r e n t

d o m of G r e a t B r i t a i n a n d I r e l a n d , and m o s t re-

political m y t h s a s s o c i a t e d w i t h t h e m . T h e terri-

cently

torial s h a p e of a state t h u s h e l p s d e t e r m i n e w h a t

into

the

United

Kingdom

of

Great the

interests are l e g i t i m a t e , w h a t r e s o u r c e s are m o -

f u n d a m e n t a l f l u i d i t y of s t a t e s as r e g a r d s t h e i r

b i l i z a b l e , w h a t q u e s t i o n s are o p e n f o r d e b a t e ,

Britain and Northern

Ireland, illustrates

t e r r i t o r i a l a n d c u l t u r a l c o m p o s i t i o n . 4 Yet if the

what ideological f o r m u l a s will be relevant, w h a t

m o r p h o l o g i c a l variability e x h i b i t e d by " B r i t a i n "

cleavages could b e c o m e significant, and what

and "the United K i n g d o m " indicates the need

political allies m i g h t be a v a i l a b l e .

f o r a d y n a m i c c o n c e p t i o n of the state, the l o n g

Territorial e x p a n s i o n or c o n t r a c t i o n c a n be

time periods through which such discontinuous

e x p e c t e d to t r i g g e r s h i f t s in the d i s t r i b u t i o n of

s h i f t s in size a n d s h a p e m a n i f e s t t h e m s e l v e s

p o w e r w i t h i n a state by c h a n g i n g the r e s o u r c e s

s u g g e s t t h e n e e d to t e m p e r a w a r e n e s s of f l u i d -

a v a i l a b l e to d i f f e r e n t g r o u p s a n d , u l t i m a t e l y , by

ity w i t h e x p e c t a t i o n s t h a t c h a n g e s in t h e c o n -

c h a n g i n g prevailing n o r m s and legal arrange-

t o u r s of s t a t e s will n o t r e s p o n d s m o o t h l y to

m e n t s to c o r r e s p o n d w i t h the interests of n e w l y

m a r g i n a l c h a n g e s in p a t t e r n s of p o p u l a r loyalty,

d o m i n a n t g r o u p s . A c c o r d i n g l y , u n l e s s the b o r -

e c o n o m i c interest, elite i d e o l o g y , or e v e n mili-

d e r of t h e state is a c c e p t e d as an i m m u t a b l e

tary s t r e n g t h .

given, different g r o u p s within the state will,

W h a t e n d o w s the n o m i n a l b o r d e r of a state

u n d e r s o m e c i r c u m s t a n c e s , a d j u s t their p e r c e p -

w i t h l o n g - t e r m political s i g n i f i c a n c e ? S t u d y of

t i o n s of w h a t t h e p r o p e r b o r d e r of t h e s t a t e

the d y n a m i c s of state e x p a n s i o n a n d c o n t r a c t i o n

s h o u l d be in light of the i m p l i c a t i o n s of d i f f e r -

r e q u i r e s a f a i r l y p r e c i s e a n s w e r to this q u e s -

ent b o r d e r s , or d i f f e r e n t p r i n c i p l e s of i n c l u s i o n

t i o n — o n e that c o m b i n e s the n o t i o n of u l t i m a t e

and exclusion, for those g r o u p s ' c h a n c e s

f l u i d i t y w i t h the e x p e c t a t i o n of

a c h i e v e a n d / o r m a i n t a i n political p o w e r .

sluggishness

a n d d i s c o n t i n u i t y in p a t t e r n s of b o r d e r c h a n g e .

to

T h e u s e f u l n e s s of this f o r m u l a t i o n is that it

C o n s i d e r i n g a s t a t e as an i n s t i t u t i o n , that

s u g g e s t s b o t h the l o n g - t e r m v a r i a b i l i t y of state

is, as an e s t a b l i s h e d set of e x p e c t a t i o n s , s u g -

b o r d e r s — f l o w i n g f r o m the essentially s u b j e c t i v e

g e s t s that b o r d e r s of states d e s c r i b e b o u n d a r i e s

n a t u r e of p o p u l a r b e l i e f s a n d l i n k e d u l t i m a t e l y

between

to c o n s t e l l a t i o n s of e c o n o m i c b e n e f i t , s o c i a l

political arenas within

which

it is

3. A c c o r d i n g to one formulation offered by Max Weber, the sociological m e a n i n g of a state is the observer-determined "probability that certain f o r m s of specific actions shall take p l a c e " — a probability grounded in the expectation of individual h u m a n beings that "actions oriented by specific conceptions will take place. If there is no such probability the State does not exist any m o r e . " Quoted and translated by Juan J. Linz in The Breakdown of Democratic Regimes: Crisis Breakdown and Reequilibrium (Baltimore: Johns Hopkins, 1978), p. lOOn. 4. C o n c e r n i n g l o n g - t e r m f l u c t u a t i o n s in the shape of the British and French states, see Ian L u s t i c k . State-Building Failure in British Ireland and French Algeria (Berkeley: Institute of International Studies, University of California, 1985), pp. 1 - 1 6 .

104

lan S.

Lustick

status, a n d political i n t e r e s t — a n d t h e p o t e n t i a l

in the C r i m e a , s u c h a t h e o r y c o u l d a l s o h e l p as-

f o r stability in the size a n d s h a p e of states that

s e s s the f e a s i b i l i t y of c o n s o l i d a t i n g e x i s t i n g o r

can attend deeply embedded, widely

shared,

e n l a r g e d b o u n d a r i e s as o p p o s e d to c o n t r a c t i n g

a n d u n c o n t e s t e d b e l i e f s . It is, in f a c t , m u c h

the state as part of a p r o c e s s l e a d i n g to less vi-

m o r e u s e f u l f o r a n a l y z i n g c h a n g e in t h e size

o l e n c e a n d f e w e r t h r e a t s to i n t e r n a t i o n a l s e c u -

a n d s h a p e of a state t h a n W e b e r ' s s t a n d a r d l y

rity. S u c h a t h e o r y is, in f a c t , n e c e s s a r y f o r as-

cited d e f i n i t i o n of the state, i n c l u d i n g as it d o e s

s e s s i n g p r o s p e c t s for s u c c e s s f u l i m p l e m e n t a t i o n

a r e f e r e n c e to state a u t h o r i t y " w i t h i n a g i v e n

of the t e r m s of the L i e c h t e n s t e i n D r a f t C o n v e n -

territory." 5

tion. T h e r e g i m e it e n v i s i o n s p r e s u m e s

that

A s r e c e n t e v e n t s in E u r o p e , A s i a , A f r i c a ,

states c a n a n d will c o n t r a c t , that is, a c c e d e to

a n d the M i d d l e East c o n c l u s i v e l y d e m o n s t r a t e ,

d e m a n d s that the s c o p e of their a u t h o r i t y b e ter-

territorial b o u n d a r i e s are f a r f r o m b e i n g a g i v e n

ritorially (or f u n c t i o n a l l y ) r e d u c e d .

of a s t a t e ' s e x i s t e n c e . I n d e e d , the

territorial

T h e b a l a n c e of this e s s a y will t h e r e f o r e be

s h a p e of a state, q u a i n s t i t u t i o n , is o n e of its

d e v o t e d to a b r i e f a c c o u n t of a t h e o r y of state

most

Under-

e x p a n s i o n a n d c o n t r a c t i o n a n d an illustration of

s t a n d i n g p a t t e r n s of c h a n g e a n d stability in the

its u s e f u l n e s s as a tool for e x p l a i n i n g o u t c o m e s

s a l i e n t contingent

dimensions.

t e r r i t o r i a l c o m p o s i t i o n of a state t h u s e n t a i l s

in t h r e e p a r t i c u l a r l y c o m p l e x

a n a l y s i s of p r o c e s s e s of i n s t i t u t i o n a l i z a t i o n a n d

a n d I r e l a n d . F r a n c e a n d A l g e r i a , Israel a n d the

d e i n s t i t u t i o n a l i z a t i o n . To be sure, c h a n g e in the

West B a n k - G a z a .

cases—Britain

size a n d s h a p e of s t a t e s is c o m m o n l y a t t r i b u t s u d d e n loss or a c q u i s i t i o n of territory that in it-

A Two-Threshold Image of Territorial State-Building and State Contraction

a b l e to s u c c e s s or f a i l u r e in a r m e d c o n f l i c t s — a self d o e s not r e f l e c t the i n s t i t u t i o n a l i z a b l e c h a r -

R e c o g n i z i n g s t a t e s a n d state b o u n d a r i e s as in-

a c t e r of b o r d e r s . Yet t h e loss of a t e r r i t o r y in

s t i t u t i o n s d o e s not itself s u g g e s t a s o l u t i o n t o

w a r d o c s not n e c e s s a r i l y m e a n its p e r m a n e n t

the p r o b l e m of w h y t h e r e s h o u l d b e s u c h a

s e p a r a t i o n f r o m the d e f e a t e d s t a t e — n o r d o e s

h u g e d i s c r e p a n c y in t h e o c c u r r e n c e of state e x -

c o n q u e s t of a t e r r i t o r y n e c e s s a r i l y lead to its

p a n s i o n vs. state c o n t r a c t i o n . S o l v i n g this p r o b -

p o l i t i c a l i n t e g r a t i o n . W i t h r e s p e c t to territorial

lem r e q u i r e s e l a b o r a t i n g a t h e o r y of i n s t i t u t i o n s

e x p a n s i o n a n d c o n t r a c t i o n as a political

c o n s i s t e n t w i t h this kind of a s y m m e t r y a n d that

prob-

l e m , a p r o b l e m of the s h a p i n g of an i n s t i t u t i o n ,

m a r r i e s the c o n t i n u o u s , g r a d u a l , l i n e a r

it is p r e c i s e l y t h o s e c a s e s w h e r e f o r c e m a j e u r e

c e s s e s that s t r e n g t h e n or w e a k e n p r e s s u r e s to-

w a s not d e c i s i v e in t h e d e t e r m i n a t i o n of o u t -

w a r d e x p a n s i o n o r c o n t r a c t i o n , to d i s c o n t i n u -

c o m e s , o r w h e r e it is n o t e x p e c t e d to be d e c i -

ities

sive, that are of the g r e a t e s t interest.

associated with those discontinuities.

in t h e s e

processes

and

the

pro-

thresholds

A w e l l - d e v e l o p e d c o n c e p t of state c o n t r a c -

In o n e s e n s e the t e r r i t o r i a l s h a p e of s t a t e s

tion a n d a w e l l - s u p p o r t e d t h e o r y of h o w s t a t e s

c h a n g e s in s u d d e n a n d d r a s t i c w a y s . I r e l a n d

c a n s t r a t e g i c a l l y c o n t r a c t , t e r r i t o r i a l l y or f u n c -

w a s a n n e x e d as an i n t e g r a l p a r t of t h e U n i t e d

tionally, could have helped the f o r m e r Soviet

K i n g d o m on J a n u a r y 1, 1 8 0 1 . T h e t w e n t y - s i x

U n i o n p r e s e r v e itself in s m a l l e r b o u n d a r i e s o r

c o u n t i e s of the Irish F r e e S t a t e l e f t t h e a u t h o r -

t r a n s f o r m itself in an o r d e r l y m a n n e r . C o n s i d -

ity of t h e B r i t i s h s t a t e o n D e c e m b e r 5, 1 9 2 2 .

e r i n g s t r u g g l e s s u c h as t h o s e o c c u r r i n g in t h e

France

K u r d i s h a r e a s of s o u t h e a s t e r n T u r k e y , b e t w e e n

F r a n c e in 1848. F r a n c e o f f i c i a l l y r e c o g n i z e d

M u s l i m s a n d n o n - M u s l i m s in S u d a n , b e t w e e n

A l g e r i a n i n d e p e n d e n c e o n J u l y 3, 1962. O n the

S a h r a w i s a n d M o r o c c a n s in W e s t e r n

o t h e r h a n d , the political p r e s s u r e s a n d p s y c h o -

Sahara,

made

Algeria

three

departments

of

C a t h o l i c s a n d P r o t e s t a n t s in N o r t h e r n I r e l a n d ,

logical processes leading up to these transfor-

A z e r i s a n d A r m e n i a n s in N g o r n o - K a r a b a k h , Ti-

mations and consequent upon them were cumu-

betans and Chinese

lative and g r a d u a l — p u s h i n g the British

in T i b e t , R u s s i a n s

and

C h e c h y n s in C h e c h n y a , a n d R u s s i a n s and Tatars

and

French states toward expansion or contraction

5. For an analysis of the pernicious effects of W e b e r ' s definition of the state for e f f o r t s to c o n c e p t u a l ize c h a n g e in state morphology, see Ian S. Lustick, Unsettled States, Disputed Lands: Britain and Ireland, France and Algeria, Israel and the West Bank-Gaza (Ithaca: Cornell University Press, 1993), pp. 3^1.

The Other Side of

Self-Determination

105

w i t h o u t b e i n g r e f l e c t e d d i r e c t l y by p r o p o r t i o n -

the direction the gears are pointing,

ate c h a n g e s in b o u n d a r i e s .

" b a c k w a r d " is still p o s s i b l e , but o n l y by r i s k i n g

In the building of states, as in the building of a n y institution, the p r o c e s s by w h i c h p o s i t i v e l y

moving

d a m a g e to, o r d e s t r u c t i o n o f , t h e g e a r (the ins t i t u t i o n ) itself.

v a l u e d a n d stable e x p e c t a t i o n s are p r o d u c e d or

D r a w i n g on this a s y m m e t r i c m o d e l of ex-

d e s t r o y e d i n c l u d e s b o t h c o n t i n u o u s and d i s c o n -

p a n s i o n a n d c o n t r a c t i o n , the p r o c e s s of territo-

t i n u o u s e l e m e n t s and b o t h political a n d p s y c h o -

rial s t a t e - b u i l d i n g , or t h e e x p a n s i o n of an al-

logical aspects. T h e s e f a c e t s of institutionaliza-

r e a d y e x i s t i n g state to i n c l u d e a n o t h e r p i e c e of

tion and d e i n s t i t u t i o n a l i z a t i o n p r o c e s s e s c a n b e

territory, can be portrayed

located in relation to o n e a n o t h e r if the c o n t i n u -

c h a n g e in t h e c h a r a c t e r of p o l i t i c a l

ous

within the core state that would attend efforts

aspects

gradually

of

institution-building,

increasing

propensities

including to

expect

to disengage

as a p r o c e s s

of

conflict

f r o m the n e w territory. M o r e pre-

n o r m s , rules, and b o u n d a r i e s to be adhered to and

c i s e l y , t h e s c a l e of t h e i n t e r n a l p o l i t i c a l d i s l o -

s y m b o l s to be h o n o r e d , are u n d e r s t o o d to sur-

c a t i o n that t h e p o l i t i c a l c l a s s w i t h i n t h e c o r e

r o u n d t w o distinct t h r e s h o l d s . T h e s e t h r e s h o l d s

state e x p e c t s to b e a s s o c i a t e d w i t h e f f o r t s to

mark discontinuities in the process of institution-

d i s e n g a g e f r o m an o u t l y i n g t e r r i t o r y m e a s u r e s

alization, dividing it into three stages. M o v e m e n t

the e x t e n t to w h i c h that territory has b e e n built,

f r o m o n e stage to a n o t h e r entails a shift in the

or i n t e g r a t e d , i n t o t h e c e n t r a l state. S t a t e c o n -

o r d e r of m a g n i t u d e in the scale of political c o n -

t r a c t i o n i n v o l v e s r e d u c i n g t h e s c a l e of t h e in-

flict that would surround efforts to c h a n g e a par-

t e r n a l p o l i t i c a l d i s l o c a t i o n that w o u l d be a s s o -

ticular institution along a salient d i m e n s i o n .

ciated

with

disengagement,

while

state

T h e m e t a p h o r of t h r e s h o l d is key. It d e -

e x p a n s i o n i n v o l v e s i n c r e a s i n g it. T h e " r e g i m e "

s c r i b e s a m e c h a n i s m f o r m o d e l i n g an e x p a n -

and "ideological h e g e m o n y " thresholds divide

s i o n a r y p r o c e s s that c a n b e r e v e r s e d , but only,

p o l i t i c a l c o n f l i c t s p e r t a i n i n g to the t e r r i t o r i a l

o n c e e i t h e r t h r e s h o l d h a s b e e n c r o s s e d , at t h e

s h a p e of t h e state i n t o t h r e e t y p e s o r s t a g e s ,

cost of m u c h g r e a t e r d i s l o c a t i o n than the s a m e

linked to o n e a n o t h e r in G u t t m a n - s c a l e f a s h i o n .

a m o u n t of m o v e m e n t in t h e e x p a n s i o n d i r e c -

T h e s e s t a g e s of this s c a l e c o r r e s p o n d to s t r u g -

t i o n . T h e i m a g e of t h r e s h o l d is m e a n t to s u g -

gles over incumbency; incumbency and regime

gest a k i n d of r a t c h e t i n g e f f e c t . O n c e a c c o m -

integrity: and incumbency, regime

p l i s h e d as the result of c u m u l a t i v e p r e s s u r e s in

a n d i d e o l o g i c a l h e g e m o n y (see F i g u r e 4 . 1 ) .

integrity,

Figure 4.1 Model of Territorial State-Building and State Contraction

Incumbency Stage

Regime Stage

Ideological Hegemony Stage

Disengagement means struggles over incumbency

Disengagement means struggles over regime integrity

Disengagement means struggles over ideological hegemony

(Decolonization)

Regime Threshold

(Secession)

Ideological Hegemony Threshold State contraction State expansion

106

Ian S.

Lustick

C o n f l i c t at the i n c u m b e n c y s t a g e , o v e r a

r e p r e s e n t , d i s e n g a g e f r o m t h e t e r r i t o r y ? " but

g o v e r n m e n t p o l i c y d e s i g n e d to a c h i e v e d i s e n -

a l s o " S h o u l d the f u t u r e of the t e r r i t o r y as a part

g a g e m e n t f r o m a closely held territory, m i g h t b e

of t h e s t a t e b e l e g i t i m a t e l y e n t e r t a i n e d as a

intense. I n d e e d , the political f u t u r e of i n c u m -

q u e s t i o n of i n t e r e s t s , c o s t s , a n d b e n e f i t s , by

bents and their rivals m a y b e at stake in any ef-

g o v e r n m e n t o f f i c i a l s o r by p a r t i c i p a n t s in t h e

fort to m o v e t o w a r d d i s e n g a g e m e n t . Yet if c o m -

w i d e r s t r u g g l e f o r p o w e r in a n d o v e r the s t a t e ? "

petition is limited to political b a r g a i n i n g , threats

T h e n e e d to t h i n k in t e r m s of two

thresh-

to bolt f r o m the r u l i n g c o a l i t i o n , or e l e c t o r a l

o l d s d i v i d i n g t h e p r o c e s s of t e r r i t o r i a l s t a t e -

c a m p a i g n s , a n d so f o r t h , it is e a s i l y c o n t a i n e d

b u i l d i n g into t h r e e k i n d s of p o l i t i c a l s i t u a t i o n s

within the political i n s t i t u t i o n s of a d e v e l o p e d

is a p p a r e n t if the idea of the s h a p e of the state

polity. In s u c h c o n f l i c t s the rules of the a l l o c a -

as o n e of its k e y i n s t i t u t i o n a l f e a t u r e s is k e p t

tive g a m e are not the issue. N e i t h e r the integrity

c l e a r l y in m i n d . T h e f u n d a m e n t a l c h a r a c t e r i s t i c

of the r e g i m e nor the u n d e r l y i n g b a l a n c e of

of i n s t i t u t i o n s is that they e s t a b l i s h c e r t a i n pa-

p o w e r e n s h r i n e d by state i n s t i t u t i o n s is t h r e a t -

r a m e t e r s of p o l i t i c a l c o m p e t i t i o n not o n l y as

e n e d . T h e s c a l e a n d c o n t e n t of s t r u g g l e s o v e r

b e i n g d i f f i c u l t to c h a n g e , but as o p e r a t i o n a l

s e p a r a t i o n of the territory f r o m the state w o u l d

" g i v e n s " that p e r m i t d e c i s i o n m a k i n g , b a r g a i n -

c h a l l e n g e n e i t h e r the s t r u c t u r e of state institu-

ing, and o t h e r f o r m s of political a c t i v i t y to p r o -

tions nor the u n d e r l y i n g beliefs and identities of

ceed

the state's p o p u l a t i o n . It is precisely for this rea-

m a n y of t h e m o s t b a s i c q u e s t i o n s that c o u l d

son that such conflict can be interpreted to m e a n

o t h e r w i s e be r a i s e d in a n y p o l i t i c a l c o n t e x t ,

"normally."

By e f f e c t i v e l y r u l i n g

out

that i n t e g r a t i o n of the p e r i p h e r a l territory into

w e l l - d e v e l o p e d i n s t i t u t i o n s p e r m i t political ac-

the state-building core is in its early stage.

tors to f o c u s on p a r t i c u l a r issues, c a l c u l a t e the

T h e territory c a n be c o n s i d e r e d m u c h m o r e

c o n s e q u e n c e s of d i f f e r e n t o u t c o m e s , and m a k e

c l o s e l y i n t e g r a t e d into the c o r e state if, on t h e

a p p r o p r i a t e t r a d e - o f f s . T h e e s t a b l i s h m e n t of a

other hand, proposals for disengagement from

b e l i e f as c o m m o n s e n s i c a l l y , n e c e s s a r i l y

the t e r r i t o r y r a i s e in t h e m i n d s of c o m p e t i t o r s

has the e f f e c t of p r i v i l e g i n g i t — o f p r o t e c t i n g it

f o r political p o w e r not o n l y t h e d a n g e r of los-

f r o m r é é v a l u a t i o n in the f a c e of e v e n t s or p r e s -

ing c o a l i t i o n p a r t n e r s , p a r t i s a n a d v a n t a g e s , or

s u r e s that m i g h t o t h e r w i s e a f f e c t it a n d of d i -

c a r e e r o p p o r t u n i t i e s , but a l s o the real p o s s i b i l -

v e r t i n g political r e s p o n s e s to s t r a i n s a s s o c i a t e d

ity of v i o l e n t o p p o s i t i o n a n d the m o u n t i n g of

with

e x t r a - l e g a l c h a l l e n g e s to the a u t h o r i t y of state

a g e n d a - s h a p i n g a s p e c t of d e e p - s e a t e d , u n q u e s -

the

state of a f f a i r s it d e s c r i b e s .

true

This

institutions. By s t r u g g l i n g o v e r the right of the

tioned beliefs represents a qualitatively differ-

state to d e t e r m i n e the f a t e of t h e r e l a t i o n s h i p

e n t k i n d of p r o t e c t i o n a g a i n s t d e i n s t i t u t i o n a l -

b e t w e e n the c o r e a n d t h e n o - l o n g e r - s o - p e r i p h -

i z a t i o n t h a n t h e i n c u m b e n c y or r e g i m e - l e v e l

eral t e r r i t o r y , the p r o t a g o n i s t s b e a r w i t n e s s to

c o n c e r n s of political actors.

the d r a s t i c a l l y d i f f e r e n t s t a t u s of that territory. Clearly, state-building

has proceeded

T h e w a y that e m b e d d e d b e l i e f s s h a p e o u t -

much

c o m e s by e x c l u d i n g c e r t a i n q u e s t i o n s f r o m a p -

f u r t h e r if c o n f l i c t o v e r d i s e n g a g e m e n t is c o n -

p e a r i n g b e f o r e t h e p u b l i c as r e l e v a n t , or e v e n

d u c t e d a b o u t the " r u l e s of t h e g a m e , " that is,

m e a n i n g f u l , is w h a t A n t o n i o G r a m s c i e m p h a -

a b o u t state i n s t i t u t i o n s , a n d not w i t h i n t h e m . At

s i z e d in h i s s t u d y of h o w h e g e m o n i c b e l i e f s ,

this " r e g i m e " s t a g e of p o l i t i c a l s t r u g g l e o v e r

that is, m a x i m a l l y i n s t i t u t i o n a l i z e d n o r m s , set

the i n c l u s i o n or e x c l u s i o n of t h e t e r r i t o r y , t h e

l i m i t s to t h e r a t i o n a l p u r s u i t of s e l f - i n t e r e s t . 6

issue is not o n l y " S h o u l d t h e state, f o r its o w n

W h e n m a x i m a l l y i n s t i t u t i o n a l i z e d , the territor-

interests or t h e interests of t h o s e it is d e e m e d to

ial e x p a n s e of the s t a t e — i t s b o r d e r s — a r e , as I

6. T h o u g h most interpreters of Gramsci have focused on the application of his notion of h e g e m o n y to interclass relations, there is ample evidence in his work that he viewed state borders as capable of being established as h e g e m o n i c beliefs. This is a central concern in those portions of his Prison Notebooks known as " N o t e s on Italian History," " T h e Modern Prince," and in his treatment of the Sardinian q u e s tion. "Even the geographical position of a national state," he wrote, " f o l l o w s (logically) the structural innovations, though reacting on them to a certain extent (to the extent precisely to which superstructures react) on the structure, politics on e c o n o m i c s , e t c . " A n t o n i o G r a m s c i , The Modern Prince and Other Writings, Louis Marks, ed. and trans. (New York: International Publishers, 1957), p. 164.

The Other Side of

Self-Determination

u n d e r s t a n d it, t h e b o u n d a r i e s of the i n s t i t u t i o n

107

to b e p r o b l e m a t i c f o r the o v e r w h e l m i n g m a j o r -

( t h e state) that p e o p l e w i t h i n it e x p e c t / p r e s u m e

ity of c i t i z e n s of the c e n t r a l state, that is, w h e n

t o be p e r m a n e n t , p r o p e r , a n d u n q u e s t i o n e d f e a -

h e g e m o n i c b e l i e f s p r e v e n t t h e q u e s t i o n of t h e

t u r e s of their p u b l i c life. T h e i n c o r p o r a t i o n of a

f u t u r e of t h e t e r r i t o r y f r o m o c c u p y i n g a p l a c e

p a r t i c u l a r t e r r i t o r y i n t o a c o r e s t a t e is as f u l l y

on t h e n a t i o n a l p o l i t i c a l a g e n d a . T h e p r e s e n c e

" i n s t i t u t i o n a l i z e d " as it c a n b e o n l y w h e n its

of s u c h b e l i e f s is r e v e a l e d w h e n , in p u b l i c , a m -

s t a t u s as an i n t e g r a l p a r t of t h e s t a t e , not as a

bitious politicians systematically avoid ques-

p r o b l e m a t i c a l l y o c c u p i e d a s s e t , b e c o m e s part

t i o n i n g , e v e n by i m p l i c a t i o n , t h e p e r m a n e n c e

of t h e n a t u r a l o r d e r of t h i n g s f o r t h e o v e r -

of the i n t e g r a t i o n of the territory.

w h e l m i n g m a j o r i t y of the p o p u l a t i o n w h o s e p o -

The ideological hegemony threshold

litical b e h a v i o r is r e l e v a n t to o u t c o m e s in t h e

v i d e s p o l i t i c a l s t r u g g l e s o v e r the a u t h o r i t y of

s t a t e . O p e r a t i o n a l l y , t h e t e r r i t o r i a l e x p a n s e , or

the s t a t e to d e t e r m i n e the f a t e of the t e r r i t o r y

s h a p e , of a state h a s b e e n i n s t i t u t i o n a l i z e d o n a

(regime stage), f r o m a political context within

h e g e m o n i c b a s i s w h e n its b o u n d a r i e s are not

w h i c h n o s e r i o u s c o n t e n d e r f o r political p o w e r

di-

treated by c o m p e t i n g political elites w i t h i n it as

f i n d s it a d v i s a b l e to r e f e r to t h e a r e a as if its

if t h o s e b o u n d a r i e s m i g h t be s u b j e c t to c h a n g e .

p e r m a n e n t i n c o r p o r a t i o n as a part of the s t a t e

If t y p i c a l p o l i t i c a l d i s c u s s i o n s i m p l y that s u c h

h a d not b e e n d e c i d e d . At t h i s

c h a n g e m i g h t be a d v i s a b l e or p o s s i b l e , a n d c e r -

h e g e m o n i c s t a g e of s t a t e - b u i l d i n g , its least re-

t a i n l y if d e b a t e r a g e s o v e r w h e t h e r a p a r t i c u l a r

v e r s i b l e s t a g e , a d v o c a c y of ' " d i s e n g a g e m e n t "

a r e a a n d its p o p u l a t i o n are or are not to be c o n -

w o u l d be e x p e c t e d to p r o d u c e n e i t h e r v i g o r o u s

ideologically

s i d e r e d i n t e g r a l p a r t s of t h e s t a t e , t h e s t a t e -

intrainstitutional competition nor polarized and

b u i l d i n g p r o c e s s w i t h r e s p e c t to that b o u n d a r y

p o s s i b l y v i o l e n t p o l i t i c a l s t r u g g l e but a d i s -

a n d territory is p l a i n l y i n c o m p l e t e . 7

c o u r s e m a r k e d by all but u n i v e r s a l r e j e c t i o n of

W e m a y t h i n k of t w o d i f f e r e n t t h r e s h o l d s

the idea as b e i n g i m p o s s i b l e , u n i m a g i n a b l e , ab-

thai m u s t be c r o s s e d by a state if s o m e o u t l y i n g

solutely unacceptable, and certainly irrelevant.

t e r r i t o r y is to be i n c o r p o r a t e d on as p e r m a n e n t

Real m o v e m e n t

a b a s i s as p o s s i b l e . T h e f i r s t t h r e s h o l d is t h e

" s t a t e c o n t r a c t i o n " ( n o w m o r e a p p r o p r i a t e l y la-

toward "disengagement"

or

" r e g i m e t h r e s h o l d " (see F i g u r e 4 . 1 ) — t h e point

b e l e d " s e c e s s i o n " ) w o u l d , at this stage, r e q u i r e

at w h i c h a g o v e r n m e n t i n t e r e s t e d in r e l i n q u i s h -

r a i s i n g f u n d a m e n t a l q u e s t i o n s a b o u t the c o m -

i n g t h e a r e a s f i n d s itself m o r e w o r r i e d a b o u t

m u n i t y ' s s e n s e of itself and its r i g h t f u l political

civic upheavals, violent disorders, and chal-

d o m a i n . T h e p o l i t i c a l u n p a l a t a b i l i t y of r a i s i n g

l e n g e s to the l e g i t i m a t e a u t h o r i t y of g o v e r n -

s u c h n e c e s s a r i l y i c o n o c l a s t i c q u e s t i o n s , as w e l l

mental institutions than with possible d e f e c -

as t h e d i f f i c u l t y of w a g i n g a s u c c e s s f u l p o -

tions f r o m the g o v e r n i n g c o a l i t i o n or party. T h e

litical s t r u g g l e w i t h i n o r a g a i n s t state i n s t i t u -

s e c o n d , i d e o l o g i c a l h e g e m o n y t h r e s h o l d sig-

t i o n s by d o i n g so, is w h a t , u l t i m a t e l y , d e f e n d s

nals

institutionalization,

t h e i n t e g r i t y of t h e n e w a n d l a r g e r s t a t e . T h e

t h o u g h it still d o e s n o t r e p r e s e n t an i n t r i n s i -

a b s e n c e of s t r u g g l e a b o u t the s h a p e of the state

cally i r r e v e r s i b l e state of a f f a i r s . T h i s s t a g e be-

is, a c c o r d i n g l y , w h a t i n d i c a t e s its s u c c e s s f u l

g i n s w h e n the a b s o r p t i o n of the territory c e a s e s

institutionalization.8

a

deeper

kind

of

7. H o w it is possible for this to be achieved a m o n g the population of a core state, when it is not acc o m p a n i e d by similar p r o c e s s e s of institutionalized legitimation a m o n g d i s e n f r a n c h i s e d or repressed populations of the integrated territory, is an important empirical question. My own studies of the system of control over A r a b inhabitants of Israel (Green Line borders), of Israeli occupation policies in the West Bank and G a z a Strip, and of British and French state-building failure in Ireland and Algeria, suggest the complexity of the question, but also the possibility of finding systematic answers. Ian Lustick, Arabs in the Jewish Slate: Israel's Control of a National Minority (Austin: University of Texas Press, 1980); and State-Building Failure in British Ireland and French Algeria, op. cit.; Ian S. Lustick, "Writing the Intifada: Collective Action in the Occupied Territories," World Politics 45, no. 4 (July 1993): 560-594. 8. Technically this is not quite the case, as I shall point out regarding French beliefs about Algeria's status before World War II, since, in the absence of significant sources of strain, the particular borders of a state need not appear on its political agenda even if the conception of those borders has not been institutionalized on a h e g e m o n i c basis.

108

Ian S.

S t a t e - b u i l d i n g , or e x p a n s i o n , is t h u s c o n -

Lustick

c o m p l i s h e d ) a f t e r d e c a d e s of h e s i t a t i o n , e a c h

c e i v e d to b e a p r o c e s s of a c c u m u l a t i n g m o r e

i n t e n d e d to e n h a n c e the i n t e r e s t s of the central

k i n d s of d i s r u p t i o n in the c e n t e r than w o u l d b e

state a n d e a c h a c c o m p a n i e d b y p a t t e r n s of in-

a s s o c i a t e d w i t h d i s e n g a g e m e n t . T h r e a t s to the

ternal d i s l o c a t i o n that c o r r e s p o n d , b o t h w i t h i n

r e g i m e of t h e c o r e state e m e r g e , a c c o m p a n y i n g

e a c h c a s e a n d a c r o s s the c a s e s , to t h e c a t e -

and e v e n o v e r s h a d o w i n g i n c u m b e n c y c o n c e r n s .

g o r i e s a n d s e q u e n c e s of elite c o n c e r n s and po-

S u b s e q u e n t l y , t h e larger c o n c e p t i o n of the state

litical c o m p e t i t i o n a n t i c i p a t e d in the c o n c e p t u a l

m a y b e c o m e p a r t of t h e c o m m o n s e n s e of p o -

framework previously presented.

litical l i f e , a h e g e m o n i c level of i n s t i t u t i o n a l ization a t t a i n e d as p o l i t i c i a n s , w h o m i g h t o t h -

Britain and Ireland:

erwise

permanent

In the B r i t i s h - I r i s h r e l a t i o n s h i p state c o n t r a c -

i n c o r p o r a t i o n of the t a r g e t t e r r i t o r y , a d o p t v o -

tion o c c u r r e d in its m o s t c o n c r e t e f o r m in 1922,

have

reason

to

oppose

1801-1922

c a b u l a r i e s a n d r h e t o r i c a l s t r a t e g i e s that i m p l y

w h e n B r i t i s h rule w a s w i t h d r a w n f r o m t h r e e -

p r e s u m p t i o n s of its i n c l u s i o n w i t h i n t h e s t a t e .

q u a r t e r s of I r e l a n d . T h e U n i t e d K i n g d o m of

State c o n t r a c t i o n , a c c o r d i n g l y , is c o n c e i v e d as

G r e a t Britain a n d I r e l a n d , i n a u g u r a t e d in 1801,

a p r o c e s s of m o v i n g " b a c k w a r d " t h r o u g h these

w a s t r a n s f o r m e d into t h e U n i t e d K i n g d o m of

t h r e s h o l d s , first by l e g i t i m i z i n g p u b l i c d i s c u s -

Great

sion of d i s e n g a g e m e n t as a c r e d i b l e or s e n s i b l e

Irish Free State. W i t h i n ten y e a r s , h o w e v e r , the

Britain and Northern Ireland and

the

o p t i o n , a n d then by e l i m i n a t i n g f r o m p u b l i c de-

Irish Free State t r a n s f o r m e d itself into Eire, or

bate and p r i v a t e c a l c u l a t i o n t h e t h r e a t of c h a l -

the R e p u b l i c of I r e l a n d . T h e d i s p o s i t i o n

l e n g e s to the legal o r d e r s h o u l d a c o a l i t i o n f a -

N o r t h e r n Ireland is still in d i s p u t e but r e m a i n s

v o r i n g d i s e n g a g e m e n t b e in a p o s i t i o n l e g a l l y

u n d e r British s o v e r e i g n t y .

to i m p l e m e n t its p r e f e r e n c e s .

of

F r o m a political a n d i n s t i t u t i o n a l p e r s p e c t i v e . h o w e v e r , the c o n t r a c t i o n of t h e B r i t i s h

Plotting Patterns of State Expansion and Contraction: Three Cases

state f r o m m o s t of I r e l a n d did not o c c u r in, or o n l y in. 1922. I n s t e a d , t h e p a r t i t i o n of I r e l a n d this

m a r k e d the c u l m i n a t i o n of a l o n g p r o c e s s of

f r a m e w o r k f o r the study of state e x p a n s i o n and

d e i n s t i t u t i o n a l i z a t i o n of the territorial s h a p e of

c o n t r a c t i o n by s y s t e m a t i c a l l y c o m p a r i n g

the

the B r i t i s h s t a t e as it w a s e s t a b l i s h e d , o n a

Algerian. Irish, and P a l e s t i n i a n - W e s t Bank -

h e g e m o n i c b a s i s w i t h i n B r i t a i n itself, e a r l y in

I h a v e s o u g h t to test a n d e l a b o r a t e on

G a z a S t r i p p r o b l e m s in F r e n c h a n d British p o -

the n i n e t e e n t h c e n t u r y . A f t e r c e n t u r i e s of c o n -

litical h i s t o r y a n d Israeli p o l i t i c s , r e s p e c t i v e l y .

quest. land expropriation, and settlement

Analyzed diachronically, each case

E n g l i s h a n d S c o t t i s h P r o t e s t a n t s , C a t h o l i c Ire-

presents

by

s e v e r a l e x a m p l e s of m o r e or less s u c c e s s f u l at-

land w a s f o r m a l l y and legally i n c o r p o r a t e d into

t e m p t s to i n s t i t u t i o n a l i z e ( a n d d e i n s t i t u t i o n a l -

t h e U n i t e d K i n g d o m by t h e A c t of U n i o n of

ize) state b o u n d a r i e s . A l t h o u g h m y c o m p l e t e

1801. A f t e r n e a r l y t h i r t y y e a r s of

a n a l y s i s of t h e s e c a s e s c a n n o t h e r e be p r e -

C a t h o l i c s s e c u r e d limited political rights. In t h e

struggle,

s e n t e d , I c a n illustrate in s u m m a r y f a s h i o n h o w

1830s a n d 1 8 4 0 s Irish b i d s f o r a u t o n o m y (re-

it is p o s s i b l e to u s e t h e t w o - t h r e s h o l d m o d e l I

peal of t h e u n i o n ) w e r e r e j e c t e d w i t h i n

h a v e a d u m b r a t e d to plot s h i f t s in the c h a r a c t e r

British political a r e n a as insane, r i d i c u l o u s , a n d

the

of the r e l a t i o n s h i p b e t w e e n c o r e states a n d o u t -

i m p o s s i b l e . T h e s e a r g u m e n t s w e r e the basis not

lying t e r r i t o r i e s a n d then e x p l a i n t h o s e c h a n g e s

f o r r e j e c t i n g p r o p o s a l s f o r Irish a u t o n o m y b u t

in t e r m s of the e x t e n t to w h i c h p u t a t i v e b o r d e r s

for overwhelming

of t h e s t a t e h a d b e e n ( o r h a v e b e e n , in t h e Is-

w o u l d h a v e put the i s s u e on t h e a g e n d a of t h e

d e f e a t s of p r o p o s a l s

that

raeli c a s e ) i n s t i t u t i o n a l i z e d . y E a c h c a s e f e a t u r e s

B r i t i s h P a r l i a m e n t . T h e d e f e a t , in B r i t a i n , of

an episode of state contraction (that is, p u r p o s e f u l

Irish e f f o r t s to raise the issue of r e p e a l s i g n a l e d

reduction

the

in

a

polity's

territorial

domain)

a c c o m p l i s h e d (or, in the Israeli c a s e , b e i n g a c -

s u c c e s s f u l d e f e n s e of t h e

ideologically

h e g e m o n i c s t a t u s of t h e c o n c e p t i o n of I r e l a n d

9. For the c o m p l e t e analysis of these cases, see Lustick. Unsettled

States,

Disputed

Lands,

op. cit.

The Other Side of

109

Self-Determination

a s an i n t e g r a l part of the U n i t e d K i n g d o m . 1 0 W e can t h e r e f o r e l o c a t e t h e Irish p r o b l e m in B r i t i s h p o l i t i c a l history, at least f r o m 1834 to 1843, as the point labeled " A " in Figure 4.2. T h i s is to say that the b o u n d a r y of the B r i t i s h s t a t e , i n c l u d i n g Ireland as an integral part of its territorial shape, was institutionalized in the early n i n e t e e n t h century b e y o n d both the r e g i m e and i d e o l o g i c a l h e g e m o n y t h r e s h o l d s . F o r state c o n t r a c t i o n to occur, f o r Britain to w i t h d r a w f r o m Ireland, t h e r e f o r e required both t h e o v e r t h r o w of a h e g e m o n i c belief within the B r i t i s h r u l i n g class (that Ireland was a natural, c o m m o n s e n s i c a l part of the British state) and, s u b s e q u e n t l y , the r u n n i n g of risks of r e g i m e d e s t a b i l i z a t i o n in o r d e r to p r o d u c e c o n d i t i o n s f o r a s t r a i g h t f o r w a r d policy d e c i s i o n to withd r a w British authority f r o m over Ireland. T h i s w a s , in f a c t , the political t r a j e c t o r y f o l l o w e d by the Irish Q u e s t i o n in British politics f r o m the 1830s to the 1920s. T h e e n d of t h e repeal m o v e m e n t g a v e rise to long, indeed g h a s t l y , s t r u g g l e s f o r e c o n o m i c and social r e f o r m s w i t h i n the f r a m e w o r k of the U n i o n of Britain and Ireland. B e t w e e n 1845 and 1851 at Figure 4.2

least 1.5 m i l l i o n Irish m e n , w o m e n , and child r e n d i e d of s t a r v a t i o n a n d d i s e a s e as a result of the great p o t a t o f a m i n e and British e c o n o m i c a n d social p o l i c i e s . O n e m i l l i o n m o r e e m i g r a t e d . R e f o r m s that w e r e i m p l e m e n t e d in the late n i n e t e e n t h c e n t u r y w e r e both too little and too late. T h e y o n l y served to i n t e n s i f y dem a n d s by Irish C a t h o l i c s f o r s e l f - g o v e r n m e n t , s p u r r i n g an a t t e m p t e d a r m e d revolt in 1867. s c a t t e r e d t e r r o r i s m , rent r e f u s a l c a m p a i g n s , G a e l i c r e v i v a l i s m , and political m o v e m e n t s (first for " H o m e G o v e r n m e n t " and then " H o m e R u l e " ) , all d e d i c a t e d t o w a r d l o o s e n i n g or severing the links that b o u n d Ireland to E n g l a n d . In 1886 the British P a r l i a m e n t again defeated, and by a decisive m a r g i n , a bid for Irish a u t o n o m y — G l a d s t o n e ' s p r o p o s a l of " h o m e rule for I r e l a n d . " A s m a n y of its critics w e r e q u i c k to point out, G l a d s t o n e ' s p r o p o s a l was not very d i f f e r e n t at all in p r i n c i p l e f r o m the earlier p r o p o s a l to " r e p e a l " the union (of Great Britain and Ireland, i.e., the U n i t e d K i n g d o m ) . T h e a r g u m e n t s used by those w h o d e f e a t e d this bid f o r Irish a u t o n o m y w e r e d r a m a t i c a l l y diff e r e n t , h o w e v e r , f r o m t h o s e used in the 1830s

M o d e l of Territorial S t a t e - B u i l d i n g and State Contraction: Great Britain and Ireland

Incumbency Stage

Regime Stage

.D

.C

Regime

Ideological Hegemony Stage

.B

•A

Ideological Hegemony

Threshold

Threshold State contraction State expansion

10. See Ian S. Lustick, " B e c o m i n g Problematic: Breakdown of Hegemonic Conception of Ireland in Nineteenth Century Britain," Politics and Society 18, no. 1 (1990): 3 9 - 7 3 .

110

Ian S.

Lustick

a n d 1840s. N o t o n l y w e r e o p p o n e n t s of Irish

country, Gladstone prided himself for having

autonomy battling a specific proposal formally

w o r k e d , f r o m 1871 o n , to d o j u s t that. By f i r s t

laid b e f o r e t h e P a r l i a m e n t f o r its c o n s i d e r a t i o n ,

r e j e c t i n g h o m e rule in 1871, not in its e s s e n c e

but they w e r e d o i n g so by m o b i l i z i n g i n s t r u -

but as a less than ideal m e a n s f o r a c h i e v i n g the

m e n t a l i s t a r g u m e n t s that a p p e a l e d to the l a r g e r

" u n i t y of the E m p i r e , " G l a d s t o n e later c l a i m e d

interests of their a u d i e n c e s — i n t e r e s t s that, they

to h a v e " t a k e n t h e first step, a n d I think a c o n -

c l a i m e d , w o u l d b e o n b a l a n c e c o n t r a d i c t e d if

s i d e r a b l e step, t o w a r d s p l a c i n g the c o n t r o v e r s y

h o m e rule w e r e i m p l e m e n t e d . T h e f a c t that

o n its t r u e b a s i s . " 1 3 By the s a m e l o g i c G l a d -

t h e s e a r g u m e n t s p r e v a i l e d is less s i g n i f i c a n t f o r

s t o n e saw, in t h e 1886 d e f e a t of his first h o m e

my p u r p o s e h e r e than to p o i n t out that by u s i n g

rule bill, an e v e n m o r e f u n d a m e n t a l victory. It

" i f - t h e n " p r o p o s i t i o n s a n d e n g a g i n g in c o s t -

s i g n a l e d , he a r g u e d , a n e w s t a g e in t h e e v o l u -

b e n e f i t a n a l y s i s , instead of o u t r a g e d a p p e a l s to

tion of the Irish Q u e s t i o n . A c c o r d i n g l y , he p r e -

c o m m o n s e n s e a n d sanity, o p p o n e n t s of Irish

d i c t e d that p r e c i s e l y b e c a u s e t h e issue h a d been

a u t o n o m y p r o v i d e d e v i d e n c e that b e t w e e n the

a d d r e s s e d as an i n s t r u m e n t a l i s t p r o b l e m , Ire-

e a r l y 1840s a n d the m i d - 1 8 8 0 s the i d e o l o g i -

land w o u l d , e v e n t u a l l y , be g r a n t e d

cally h e g e m o n i c status of the c o n c e p t i o n of Ireland as an integral part of the U n i t e d K i n g d o m had b r o k e n d o w n . " T h u s , in 1886, the l o c a t i o n of the Irish p r o b l e m is d e s i g n a t e d in F i g u r e 4 . 2 by the point l a b e l e d " B . " T h a t a d i s c o n t i n u o u s c h a n g e had o c c u r r e d in the m e a n i n g of the Irish q u e s t i o n in British

a m e a s u r e of s e l f - g o v e r n m e n t . . . not less e x t e n s i v e than the proposal of 1886 . . . W h e t h e r the path will be circuitous; whether the j o u r n e y will be divided into stages, and how many these will be; or how much jolting will attend the passage; it is not for me to say. 1 4

politics w a s w e l l u n d e r s t o o d by both G l a d s t o n e ,

F r o m 1885 to 1914 the Irish Q u e s t i o n di-

w h o s e l e g i s l a t i v e e f f o r t s and w h o s e p a r t y w e n t

v i d e d t h e British polity m o r e p r o f o u n d l y t h a n

d o w n in c r u s h i n g d e f e a t , a n d S a l i s b u r y , w h o s e

any other. T h e L i b e r a l s a n d t h e Irish

U n i o n i s t Party e n j o y e d political a s c e n d a n c y in

R u l e Party, on o n e side, argued for a d e v o l u t i o n

Home

Britain f o r m o s t of the next t w e n t y years. Salis-

of B r i t i s h a u t h o r i t y o v e r I r e l a n d that

b u r y b e m o a n e d the fact that the f a t e of Ireland

a l l o w , i m p l i c i t l y if not e x p l i c i t l y , m e c h a n i s m s

h a d b e c o m e " a m o m e n t o u s i s s u e b e f o r e the

for the e x p r e s s i o n of national s e l f - d e t e r m i n a t i o n

country"

and

called

for renewed

would

e f f o r t s to

by Irish C a t h o l i c s . O n the o t h e r side of the great

r e c r e a t e b e l i e f s in the i n e v i t a b l e and p e r m a n e n t

d e b a t e w e r e the C o n s e r v a t i v e s ( a l s o k n o w n as

rule of B r i t a i n o v e r I r e l a n d . In r a t h e r s p e c i f i c

the Tories, or U n i o n i s t s ) a n d the Liberal U n i o n -

t e r m s he c a l l e d u p o n U n i o n i s t s to r e c o n s t r u c t

ists ( w h o h a d split f r o m the Liberal Party on the

the i d e o l o g i c a l l y h e g e m o n i c s t a t u s of the idea

Irish issue). T h e y f o u g h t v i g o r o u s l y against a n y

of British I r e l a n d that had been lost. T h i s w o u l d

s u b s t a n t i v e political or c o n s t i t u t i o n a l c h a n g e in

r e q u i r e , h e e m p h a s i z e d , an act of will on the

I r e l a n d ' s status that w o u l d i m p l y a c c e p t a n c e of

part of E n g l i s h m e n a n d t h e i r a d h e r e n c e to be-

the idea of an Irish nation w h o s e political rights

liefs. w h i c h w o u l d drive d e b a t e o v e r f u t u r e pro-

c o n t r a d i c t e d the p e r m a n e n t i n t e g r a t i o n of b o t h

p o s a l s f o r h o m e rule f r o m t h e r e a l m of legiti-

" B r i t i s h " Isles into o n e s o v e r e i g n state.

m a t e political d i s c o u r s e . H e urged his f o l l o w e r s to a b a n d o n lines of a r g u m e n t a t i o n that e v e n imp l i e d h o m e r u l e a c o n c e i v a b l e o p t i o n , to be compared against others.12

In early 1914 the British P a r l i a m e n t f i n a l l y p a s s e d a H o m e R u l e for I r e l a n d Bill that w o u l d h a v e g r a n t e d p o l i t i c a l a u t o n o m y to t h e e n t i r e island. T h e A s q u i t h g o v e r n m e n t ' s c o m m i t m e n t

If S a l i s b u r y b l a m e d G l a d s t o n e f o r h e l p i n g

to t h e p r o j e c t w a s g r o u n d e d not o n l y in t h e

p u t t h e I r i s h Q u e s t i o n o n t h e a g e n d a of t h e

l o n g - s t a n d i n g p o l i c y of the L i b e r a l P a r t y ( s i n c e

11. Ian Lustick, Politics and Society 18, no. 1 (1990); 5 5 - 6 2 . 12. The Times ( D e c e m b e r 20, 1887); 7. 13. William E w a r t G l a d s t o n e , Special Aspects of the Irish Question p. 12. 14. Ibid., p. 52.

( L o n d o n : J o h n Murray, 1892),

The Other Side of

Self-Determination

G l a d s t o n e ' s day) of supporting Irish h o m e rule as a m e a n s of r e m o v i n g the burden of Ireland f r o m British affairs, but also in Asquith's need f o r the votes of the Irish Nationalists in Parliam e n t . T h e m e a s u r e was v e h e m e n t l y o p p o s e d by the Unionist Party and the Protestant (Loyalist) population of Ireland, concentrated in Ulster. Nearly half a million of these " s e t t l e r s " signed a convenant swearing their readiness to d e f y any government that would abandon them to Irish Catholics. T h e British o f f i c e r corps, within whose ranks Ulster Protestants were g e n e r o u s l y o v e r r e p r e s e n t e d , was sympathetic to calls f o r d e f i a n c e of the g o v e r n m e n t and to Unionist condemnation of the agreement as the product of a " t r a i t o r o u s " and " a b o m i n a b l e " bargain with the Irish Catholic nationalists. High-ranking officers and the most prestigious retired c o m m a n d e r s in Britain helped train and arm a o n e - h u n d r e d - t h o u s a n d - m a n Protestant militia that gave disciplined expression to Unionist and Loyalist w a r n i n g s of civil war over Ireland. This struggle over what the character of the link between Britain and Ireland should be came to a climax in March 1914. Emboldened by Unionist Party declarations that civil war would be preferable to acceptance of home rule and unwilling to confront the large, highly disciplined paramilitary force organized by Ulster Protestants, c o m m a n d e r s of the British army stationed in Ireland announced their refusal to implement home rule in Ulster. With war clouds gathering in Europe, the g o v e r n m e n t backed down before these threats, deciding to forgo a final decision on the implementation of home rule until after the war. Indeed, a m o n g British historians it is c o m m o n l y argued that only the outbreak of World War I saved Great Britain from clashes that could have led to civil war. By the end of the war, h o m e rule, though finally supported by majorities in both houses of Parliament, could no longer satisfy d e m a n d s for i n d e p e n d e n c e f r o m Britain a d v a n c e d by Sinn Fein (the Irish nationalist f o r e r u n n e r of the Irish Republican Army). The vast majority of Englishmen were still staunchly opposed to the final separation of what had, f o r so long, been thought of as an integral part of their country, but World War I had left Britain emotionally exhausted. F r o m 1916 on, none of the many

111 s c h e m e s f o r d e v o l u t i o n , h o m e rule, or autonomy f o r the south of Ireland ever sparked regime-level threats by o p p o n e n t s or fears of regime-destabilization by g o v e r n m e n t advocates of these schemes. T h e problem, redefined and stripped of Northern Ireland, had been relocated to the " i n c u m b e n t stage." T h e process of state contraction had m o v e d another political notch toward actual separation. In 1916 a violent "rising" in Dublin, though crushed swiftly by the British army, effectively cast Irish d e m a n d s for i n d e p e n d e n c e as a national struggle f o r s e l f - d e t e r m i n a t i o n . On the basis of W i l s o n ' s Fourteen Points it b e c a m e easier after the war than before it to c o n v i n c ingly present the case for British "decolonizat i o n " of Ireland. In 1919 a wave of guerrilla raids, terrorism, and violent disturbances broke out in southern Ireland. Weary of bloodshed and strife, public opinion turned strongly against the brutal measures adopted by government forces for Ireland's pacification. By this time it also became clear that, against the backdrop of enormous war losses and the staggering p r o b l e m s of postwar reconstruction, m a n y leading Conservatives had lost their former enthusiasm for the d e m a n d s of the Unionist " d i e h a r d s " and the O r a n g e m e n of Ulster. T h o u g h Irish nationalists were at the brink of military defeat by the time negotiations between the Sinn Fein "terrorists" and the British g o v e r n m e n t began in July 1921 and t h o u g h Prime Minister David Lloyd George could still use a threat of "war, and war within three d a y s ! " to c o m p e l Irish signatures on a treaty for the partition of Ireland, the bare facts of the matter are that the coalition that had b l o c k e d Irish autonomy for 120 years finally collapsed. T h e crucial fact is that the Irish p r o b l e m had been recategorized f r o m being a p r o b l e m whose resolution appeared to put the regime at risk, to a more or less typical "colonial" problem with consequences for incumbent competition but not for regime stability. As a result, the physical capacity of the British army to hold Ireland ceased to be significant. Instead, the exorbitantly high price that Britain paid for ruling Ireland and the f e w benefits e n j o y e d thereby could be, and were, decisive in g a i n i n g practical and, soon, f o r m a l i n d e p e n d e n c e f o r most of Ireland.

112 It is appropriate, then, to understand that a regime crisis occurred in the spring of 1914 over the Irish Question, as it was defined at that time, and to note that this crisis was resolved by decomposing the Irish Question into the fate of the Catholic m a j o r i t y " S o u t h , " a question that did not arouse regime-threatening mobilization within Britain, and the Protestant majority " N o r t h , " that did. In other words, the location of the Irish Question, now defined as the disposition of the twenty-six southern counties, m o v e d from point " B " in Figure 4.2 in the m i d - 1 8 8 0 s , to point " D " in 1914. but at the cost of leaving a chunk of Ireland institutionalized within the British state at the regime level, point " C . " The discontinuous reduction in the level of institutionalization of the inclusion of (southern) Ireland within the c o m p a s s of the British state is indicated by the risks of civil war and the breakdown of public order, which the gove r n m e n t did not feel itself to be facing as it m o v e d toward an even more drastic form of Irish a u t o n o m y than that envisioned by the H o m e Rule Bill of 1914. To be sure, Lloyd George and his cabinet did worry a great deal about the electoral and coalitional consequences of negotiating with the IRA and bringing an end to the fighting in a manner that would be construed by many (correctly) as setting the stage for Irish independence, but such concerns are precisely what indicate the "incumbency stage" of boundary institutionalization. France and Algeria: 1871-1962 In the F r e n c h - A l g e r i a n case, advocates of Algérie française did not succeed in establishing a hegemonic belief, in France, that Algeria was an integral, natural, and i m m u t a b l e part of the French state. On the other hand, in contrast to France's failure to institutionalize its rule of Indochina, French West A f r i c a , Madagascar, Tunisia, and M o r o c c o within France itself, French e f f o r t s to institutionalize A l g e r i a ' s incorporation into the French state did succeed in pushing the status of Algeria as part of France

Ian S. Lustick

beyond the regime threshold. T h e degree of dislocation associated with French state contraction f r o m Algeria was, accordingly, an order of magnitude greater than that associated with " d e c o l o n i z a t i o n " f r o m the balance of its overseas possessions. Following the French conquest in 1830 and its gradual pacification, European settlers flocked to Algeria. E n c o u r a g e d and protected by the French government and military administration, these settlers prospered, benefiting especially f r o m the systematic transfer of indigenous lands to their proprietorship. More intensively colonized than any other French dominion, Algeria was annexed as an integral part of France in 1871. In principle, French citizenship was open to native Algerians. In actuality, the requirement that M u s l i m s renounce Islam in order to b e c o m e eligible for French citizenship made it impossible for all but a negligible minority to enjoy the rights of French citizens, including the right to vote. In this context the European settlers emerged as the real rulers of Algeria and its seven million (1954) M u s l i m inhabitants. In Paris, coalitions of European settlers. French businessmen with interests in North Africa, and right-wing parties drawing upon jingoist lowerclass and lower-middle-class sentiment doomed successive efforts to introduce c o m p r e h e n s i v e reforms of France's Algerian policies. Nonetheless, in World War I h u n d r e d s of thousands of Algerian Muslims fought in the trenches to defend France. In the 1920s the Muslim intellectual elite, reformist leaders, and even modernist clerics accepted the prevailing view of Algeria as a French domain and organized civil rights associations and political parties to further their demands as French citizens or subjects. Despite the brutality associated with the French conquest of Algeria and its rule there, the fact that even in the 1920s Algerian Muslim elites were demanding French citizenship suggests that the effective incorporation of the Algerian territory into the French state could have occurred. 1 5 Yet repeated attempts by reform-minded Frenchmen

15. See Charles-Robert Ageron, "Les Algériens musulmans et la France, 1871-1919," Revue Historique, no. 494 (April-June 1970): 355-366; Vincent Confer, France and Algeria: The Problem of Civil and Political Reform, 1870-1920 (Syracuse, New York: Syracuse University Press, 1966), pp. 115-121; and Malcolm Lynn Richardson, "French Algeria Between the Wars: Nationalism and Colonial Reform, 1919-1939," Ph.D. dissertation (Duke University, 1975), pp. 87-88, 110-113, 195-198, 233-239, and 246-248.

The Other Side of

Self-Determination

t o satisfy these M u s l i m d e m a n d s were subverted by the F r e n c h settler lobby, a n x i o u s to preserve the privileges of its constituents. (The E u r o p e a n s of Algeria numbered 150,000 in the 1850s, and over 1,000,000 by the 1950s.) As a c o n s e q u e n c e , every substantial r e f o r m e f f o r t w e n t d o w n in defeat. T h e revolt in 1954 erupted against a background of the final failure, in 1947, to i m p l e m e n t legislation providing genuine o p p o r t u n i t i e s f o r the assimilation of Algerian M u s l i m s into the French political system. 1 6 In debates over French policy in Algeria b e f o r e World War II, speakers seldom, if ever, implied that they considered separation of that territory f r o m France to be a possibility. In t e r m s of the model discussed here, this suggests that the inclusion of Algeria within the territorial ambit of the French state may have achieved ideologically hegemonic status. However, because there was no serious attempt to bring about Algerian autonomy during this period, a d o m i n a n t discourse whose implicit assumptions reject the idea as insane and imposs i b l e — w h i c h is the s h a d o w of h e g e m o n y that alone clearly indicates its presence—cannot be f o u n d . There is, accordingly, no way to be sure on which side of the ideological h e g e m o n y threshold the problem was located in the 1920s and 1930s; however, subsequent treatment of the problem during the 1940s suggests that the ideological h e g e m o n y of Algeria as France, if it had existed prior to the war, did not survive it. In the tumultuous aftermath of World War II, F r e n c h m e n recalled the occupation of half of their country and the humiliation of the Vichy regime. T h e y also discovered how intense international opposition was to the continuation of their A f r i c a n and Indochinese empires. In this context, as the very nature of France came before the body politic for discussion, the perceived p e r m a n e n c e of A l g e r i a ' s connection to F r a n c e e m e r g e d more clearly as the conseq u e n c e of the w e a k n e s s of those who might have had reason to challenge it, than as a reflection of hegemonic French beliefs about Algeria as an integral part of the country.

113

Meanwhile, native political elites in Algeria had, during the war, formed a small but important nationalist m o v e m e n t . Their d e m a n d s ranged f r o m full-fledged autonomy for Algeria within a French-led federal system, emphasizing cultural ties and e c o n o m i c cooperation, to an independent Algerian republic operating entirely outside the orbit of French influence. Nationalist agitation, combined with the terror inspired in the E u r o p e a n c o m m u n i t y in Algeria w h e n e v e r the native population s h o w e d signs of resistance, accounted for the m a s s a c r e of tens of thousands of Algerian Muslims in May 1945. following demonstrations and riots in the towns of Setif and G u e l m a . During the debate in the French Provisional Consultative A s s e m bly in July 1945 over the meaning and implications of these events, in the 1946 d e b a t e s within the first and second Constituent A s s e m blies over the f r a m i n g of the constitution for the Fourth Republic, and in the lengthy 1947 debate over implementing legislation known as the "Statute of A l g e r i a . " the French political class was forced to confront the question of Algeria's status. Analysis of these debates shows that no ideologically h e g e m o n i c c o n c e p t i o n of Algeria's relationship to France was present in the postwar years. Instead, discussions of Algeria were marked by a distinctive pattern of disc o u r s e — c o m p e t i n g attempts to articulate images of A l g e r i a ' s relationship to France that could be accepted as such a conception. In the 1947 parliamentary debate over the " O r g a n i c Statute for Algeria," representatives f r o m all parties leveled substantive and explicit arguments against one another over whether Algeria should properly be considered a part of metropolitan France, nonmetropolitan departments of France, overseas departments of France, a collection of overseas d e p a r t m e n t s with a special personality and singular status, a pillar of the French Union along with France but not part of it, or as an exploited colony in need of opportunities to exercise a sovereign choice to associate with France or not. Thus, although firmly institutionalized as an integral part of F r a n c e

16. For a discussion of colonial subversion of metropolitan French efforts to grant Algerian Muslims political rights within French institutions, see Ian S. Lustick, State-Building Failure in British Ireland and French Algeria, op. cit., pp. 47-76.

114

Ian S.

Lustick

u n d e r t h e r e g i m e of t h e F o u r t h R e p u b l i c , t h e

r e v e l a t i o n s of b r u t a l m e t h o d s u s e d by F r e n c h

t e r m s of d i s c o u r s e a b o u t A l g e r i a s h o w e d that

o f f i c e r s a n d m e n to c o m b a t the F L N , m a n y in-

n o s u c c e s s f u l c a n d i d a t e f o r an

ideologically

tellectuals, clerics, and professionals declared

h e g e m o n i c c o n c e p t i o n of its s t a t u s h a d b e e n

their support for Algerian self-determination.

found,

and

that

the

problem's

location

in

F r e n c h p o l i t i c s w a s at point " E " in F i g u r e 4 . 3 . A s late as 1957, a n d d e s p i t e F r e n c h d i s e n -

When

social

and

economic

reforms

were

t h r e a t e n e d by the t a x e s a n d i n f l a t i o n a s s o c i a t e d with

the

war,

both

businessmen

and

trade

gagement from Indochina, Tunisia, Morocco,

u n i o n i s t s b e g a n to q u e s t i o n t h e i m p o r t a n c e of

and other colonies. French public opinion polls

Algérie

s h o w e d that A l g e r i a w a s still not p e r c e i v e d as

t e n t a t i v e l y t o w a r d o p t i o n s f o r n e g o t i a t i n g an

b e l o n g i n g to t h e " d e c o l o n i z a t i o n "

category.

e n d to the w a r in A l g e r i a , the F o u r t h R e p u b l i c

F e w e r t h a n 2 0 p e r c e n t of all F r e n c h m e n w e r e

f o u n d itself u n a b l e to c o p e w i t h the d e e p d i v i -

française.

When governments turned

w i l l i n g to a c c e p t t h e p e r m a n e n t s e p a r a t i o n of

s i o n s w i t h i n F r a n c e o v e r the p r o s p e c t of s t a t e

A l g e r i a f r o m F r a n c e . S t i l l . Algérie

c o n t r a c t i o n f r o m A l g e r i a . In 1958 the r e g i m e

française

f a i l e d as a h e g e m o n i c p r o j e c t . E v e n its m o s t

succumbed,

f e r v e n t a d v o c a t e s w e r e n e v e r a b l e to a d d r e s s

G a u l l i s t s , a r m y o f f i c e r s , a n d A l g e r i a n settlers.

overthrown

by

an

alliance

of

t h e F r e n c h p u b l i c on t h i s i s s u e in w o r d s that

Yet a l m o s t as s o o n as h e t o o k p o w e r , d e

i m p l i e d that t h e r e w a s n o q u e s t i o n a b o u t A l g e -

G a u l l e b e g a n t u r n i n g on his e r s t w h i l e allies. In-

r i a ' s f u t u r e . Yetif F r e n c h A l g e r i a w a s not insti-

s t e a d of a f f i r m i n g his c o m m i t m e n t to

t u t i o n a l i z e d at the h e g e m o n i c level, it w a s e m -

française,

b e d d e d w i t h i n F r a n c e at t h e r e g i m e l e v e l . F o r

o p p o r t u n i t i e s a s s o c i a t e d w i t h e s t a b l i s h m e n t of

Algérie

h e u s e d the e x t r a o r d i n a r y p o l i t i c a l

F r a n c e to c o n t r a c t f r o m A l g e r i a r e q u i r e d not

the F i f t h R e p u b l i c to m o v e d e c i s i v e l y t o w a r d

o n l y risks of r e g i m e c o l l a p s e , but, in the e v e n t ,

complete

b o t h the c o l l a p s e of o n e r e g i m e , the F o u r t h R e -

d e c l a r i n g h i m s e l f in f a v o r of A l g e r i a n

p u b l i c . and s e v e r e t h r e a t s to the e x i s t e n c e of its

d e t e r m i n a t i o n and then h u m i l i a t i n g and r e m o v -

s u c c e s s o r , the F i f t h R e p u b l i c .

ing G e n e r a l M a s s u f r o m his A l g e r i a n c o m m a n d

T h e F o u r t h R e p u b l i c l u r c h e d t h r o u g h six g o v e r n m e n t s f r o m 1954 to 1958. H o r r i f i e d by

disengagement

from Algeria.

in 1959, d e G a u l l e p r o v o k e d t h e pieds

By self-

noirs

into t h e B a r r i c a d e s R e b e l l i o n of J a n u a r y 1 9 6 0

Figure 4.3 Model of Territorial State-Building and State Contraction: France and Algeria

Incumbency Stage

Regime Stage

.H

•G

Regime Threshold

.E

Ideological Hegemony Stage

.F

Ideological Hegemony Threshold -State contraction . State expansion

The Other Side of

Self-Determination

115

a n d an a t t a c k that c o s t the lives of f o u r t e e n g e n d a r m e s and m o r e than o n e hundred w o u n d e d . D e c l a r i n g t h e attack a " s t a b in the back for France" and exploiting widespread f e a r s in t h e m e t r o p o l e of civil war, d e G a u l l e i s o l a t e d a c t i v e s u p p o r t e r s of Algérie française f r o m w i d e r strata of s y m p a t h i z e r s . In a r e f e r e n d u m on t h e q u e s t i o n of s e l f - d e t e r m i n a t i o n f o r A l g e r i a held in J a n u a r y 1961, a m a j o r i t y of 75 p e r c e n t v o t e d yes. A f t e r p u r g i n g the a r m y , he d e c l a r e d , in April 1961. that " A l g e r i a costs us, t o say t h e least, m o r e than she is w o r t h to us. . . . A n d that is w h y , today, F r a n c e c o n s i d e r s w i t h the g r e a t e s t c o m p o s u r e a s o l u t i o n s u c h that A l g e r i a w o u l d c e a s e to be a part of her domain."17 T h i s e x p l i c i t a p p l i c a t i o n of " C a r t i e r i s t " l o g i c to w h a t had b e e n t o u t e d as an integral part of F r a n c e p r o v o k e d d i e h a r d s w i t h i n the m i l i t a r y into a p u t s c h a t t e m p t in April 1961. A g a i n r e l y i n g on o v e r r i d i n g m e t r o p o l i t a n fears of a " S p a n i s h civil w a r " s c e n a r i o if he were not g i v e n s u p p o r t in his stand a g a i n s t the Algérie française e x t r e m i s t s , de G a u l l e d e c l a r e d a state of e m e r g e n c y and s h i f t e d the t e r m s of the crisis f r o m w h e t h e r or not F r a n c e w o u l d " a b a n d o n " its d e p a r t m e n t s in A l g e r i a to w h e t h e r or not p a r l i a m e n t a r y d e m o c r a c y w o u l d r e m a i n intact and w h e t h e r or not the lives and property of ord i n a r y F r e n c h m e n w o u l d be s e c u r e . W h e n the F r e n c h m a s s e s r e s p o n d e d to his call for loyalty to t h e F r e n c h R e p u b l i c and c o n s c r i p t s r e f u s e d to f o l l o w t h e o r d e r s of their r e b e l l i o u s c o m m a n d e r s , the revolt c o l l a p s e d . T h e r e g i m e t h r e s h o l d w a s c r o s s e d in the s t a t e - c o n t r a c t i n g direction. De G a u l l e ' s a v o i d a n c e of p a r t i t i o n in Algeria ( w h a t w a s r e f e r r e d to as the " P a l e s t i n i a n o p t i o n " ) as a m e a n s of m o l l i f y i n g his o p p o n e n t s , r e f l e c t i n g his w i l l i n g n e s s to e n t e r rep e a t e d r e g i m e crises, paid off. O n c e the p r o b lem had b e e n r e l o c a t e d to the i n c u m b e n c y stage, de Gaulle's government abandoned F r e n c h c l a i m s to the S a h a r a and to the p r o t e c tion of the harkis ( A l g e r i a n s w h o had f o u g h t w i t h the F r e n c h a r m y ) a n d m o v e d s w i f t l y and d e c i s i v e l y t o w a r d i m p l e m e n t i n g its a g r e e m e n t w i t h t h e F L N . In A p r i l 1962 9 0 p e r c e n t of the F r e n c h e l e c t o r a t e , in a n o t h e r r e f e r e n d u m ,

17. Charles de Gaulle, L'Année

Politique

a p p r o v e d the E v i a n a g r e e m e n t s e n d i n g the Algerian war. T h e s e a g r e e m e n t s p r o v i d e d f o r the s e p a r a t i o n of A l g e r i a f r o m F r a n c e , setting the stage f o r the F L N ( N a t i o n a l L i b e r a t i o n F r o n t ) to d e c l a r e the c o u n t r y ' s i m m e d i a t e i n d e p e n dence. Within a year France was entirely free of A l g e r i a ; d e s p i t e a b l o o d y r e i g n of t e r r o r l a u n c h e d by the e x t r e m e settler u n d e r g r o u n d , the O r g a n i s a t i o n A r m é e S e c r è t e ( O A S ) . T h e b l o o d s h e d f a i l e d to d e s t r o y the a g r e e m e n t bet w e e n F r a n c e and the F L N but did result in the e l i m i n a t i o n of s e c u r i t y g u a r a n t e e s f o r E u r o p e a n s w h o m i g h t o t h e r w i s e h a v e c o n t i n u e d living in A l g e r i a a f t e r French w i t h d r a w a l . Instead, F r e n c h w i t h d r a w a l w a s a c c o m p a n i e d by the flight of nearly the entire E u r o p e a n p o p u l a t i o n of A l g e r i a — u p w a r d s of nine h u n d r e d t h o u s a n d p e o p l e . Yet the r e g i m e t h r e s h o l d h a v i n g b e e n s u c c e s s f u l l y n e g o t i a t e d in m i d - 1 9 6 1 , n e i t h e r this h u m i l i a t i n g e v a c u a t i o n of so m a n y F r e n c h citizens, nor the betrayal of the harkis, nor the use of jet p l a n e s and t a n k s to r e d u c e recalcitrant E u r o p e a n n e i g h b o r h o o d s in A l g i e r s and O r a n in 1962 p r o d u c e d any r e g i m e - l e v e l threats to the F i f t h R e p u b l i c . T h e p r o b l e m bec a m e a strictly i n c u m b e n t - l e v e l i s s u e — a policy q u e s t i o n w h o s e s o l u t i o n e n t a i l e d the m o r e or less s t r a i g h t f o r w a r d i m p l e m e n t a t i o n of decisions legally arrived at by the g o v e r n m e n t . T h e drastic c h a n g e in the c h a r a c t e r of the Algerian problem for France, from being one that t h r e a t e n e d r e g i m e s to o n e that t h r e a t e n e d n o m o r e than g o v e r n i n g coalitions and careers, r e f l e c t s F r a n c e ' s p a s s a g e b a c k t h r o u g h the r e g i m e threshold, a d e i n s t i t u t i o n a l i z a t i o n of the status of A l g e r i a as a part of F r a n c e , w h i c h is the m e a n i n g of state c o n t r a c t i o n . T h u s , the loc a t i o n of the p r o b l e m c a n be s e e n to h a v e shifted f r o m point " E " in F i g u r e 4.3 in the late 1940s and early and m i d - 1 9 5 0 s to point " F " by late 1957 (at t h e h i g h w a t e r m a r k of t h e h e g e m o n i c p r o j e c t of Algérie française), to point " G " in 1960, and early 1961 to point " H " f o l l o w i n g t h e f a i l u r e of t h e g e n e r a l s ' revolt in April 1961. The Israeli-Palestinian Case: 1967-1988 D u r i n g the 1948 war, t h e n e w S t a t e of Israel m a n a g e d to e x p a n d the b o r d e r s allotted to it by

(1961), p. 645.

116

lan S.

Lustick

the U n i t e d N a t i o n s to i n c l u d e large a r e a s of the

clude the West B a n k , current Israeli govern-

G a l i l e e , t h e N e g e v , a n d a s i g n i f i c a n t s t r i p of

m e n t e f f o r t s to c o n t r a c t t h e s h a p e of t h e state,

l a n d a l o n g w h a t is n o w k n o w n as the W e s t

as a s t r a t e g i c r e s p o n s e to t h e n e c e s s i t y

B a n k . T h e m a j o r i t y of A r a b i n h a b i t a n t s of these

p e a c e w i t h the P a l e s t i n i a n s a n d t h e A r a b w o r l d

t e r r i t o r i e s w e r e e v i c t e d or kept out a f t e r f l e e i n g

as a w h o l e , c o n f r o n t Israeli l e a d e r s with the ne-

the fighting. T h e i r lands, and almost half the

c e s s i t y of w e a t h e r i n g , o v e r c o m i n g , o r a d a p t i n g

l a n d s of t h o s e A r a b s r e m a i n i n g in the s t a t e ,

to r e g i m e - t h r e a t e n i n g o p p o s i t i o n .

were e x p r o p r i a t e d for exclusively J e w i s h use.

P a s s a g e of t h e r e g i m e t h r e s h o l d

for

in t h e

S u b s e q u e n t e x p u l s i o n o r r e l o c a t i o n of A r a b

state-building

r e s i d e n t s a n d i n t e n s i v e Israeli s e t t l e m e n t a c t i v -

1977 p a r l i a m e n t a r y

ity has c r e a t e d a s u b s t a n t i a l J e w i s h m a j o r i t y in

r i g h t - w i n g L i k u d P a r t y d e f e a t e d L a b o r . T h e re-

the n o r t h e r n N e g e v , but m a j o r i t i e s of A r a b s are

sult w a s an u l t r a n a t i o n a l i s t g o v e r n m e n t , s u p -

still p r e s e n t in t h e w e s t e r n a n d c e n t r a l G a l i l e e

p o r t e d e n t h u s i a s t i c a l l y by a p o w e r f u l J e w i s h

direction

was spurred

elections,

by

the

in w h i c h

the

a n d in the strip a d j o i n i n g the West B a n k k n o w n

fundamentalist m o v e m e n t (Gush E m u n i m ) and

as t h e " L i t t l e T r i a n g l e . " N e v e r t h e l e s s ,

the National Religious Party. F r o m

these

1977 t o

a r e a s h a v e b e e n i n c o r p o r a t e d into Israel as in-

1984 this c o a l i t i o n ruled Israel, u s i n g all the a s -

t e g r a l p a r t s of the s t a t e , h e g e m o n i c a l l y e s t a b -

sets of the g o v e r n m e n t to p u r s u e its single m o s t

lished as c o m m o n s e n s i c a l p a r t s of Israel w h o s e

v a l u e d o b j e c t i v e : to e x p a n d the J e w i s h state by

u l t i m a t e d i s p o s i t i o n is not an i m p o r t a n t f o c u s

c r e a t i n g s u c h a t h i c k n e t w o r k of l i n k a g e s b e -

of p u b l i c d e b a t e by J e w s or A r a b s .

t w e e n Israel a n d t h e o c c u p i e d t e r r i t o r i e s , a n d

T h e n e g o t i a t i o n s b e t w e e n Israel a n d the

s u c h a w i d e s p r e a d p a t t e r n of J e w i s h s e t t l e m e n t

P L O p e r t a i n to o t h e r p r e d o m i n a n t l y A r a b terri-

t h e r e , that n o o p t i o n s f o r p e a c e

negotiations

tories o c c u p i e d a n d settled by I s r a e l — t h e West

b a s e d on the i d e a of t e r r i t o r i a l

compromise

B a n k a n d G a z a S t r i p , a c q u i r e d by Israel as a

could be pursued

result of the 1967 war. T h e s e territories, d e s p i t e

m e n t s . T h e s u c c e s s of t h i s e f f o r t , i n v o l v i n g

the best e f f o r t s of p o w e r f u l g r o u p s in Israeli

b i l l i o n s of d o l l a r s , t e n s of t h o u s a n d s of n e w

s o c i e t y w h o h a v e s o u g h t to " e r a s e " the G r e e n

settlers, and. indirectly, a war

L i n e b e t w e e n Israel p r o p e r a n d the t e r r i t o r i e s

t r a n s f o r m e d d e b a t e in I s r a e l o v e r t h e i s s u e of

c o n q u e r e d in 1967, h a v e not b e e n i n s t i t u t i o n a l -

the o c c u p i e d t e r r i t o r i e s . By 1983 a r g u m e n t s in

ized, hegemonically.

as p a r t of t h e

Jewish

by f u t u r e I s r a e l i

in

govern-

Lebanon,

Israel n o l o n g e r c o n c e r n e d s i m p l y w h a t

should

s t a t e — n e i t h e r in the m i n d s n o r in the d i s c o u r s e

be d o n e with the territories. Increasingly the

of J e w s or A r a b s , all of w h o m , s i n c e

d e b a t e b e c a m e f o c u s e d on w h a t the Israeli p o -

1967,

h a v e a r g u e d a b o u t t h e f a t e of t h e s e t e r r i t o r i e s in t e r m s t h a t r e f l e c t t h e i r a p p r e c i a t i o n of t h e a r e a s ' p r o b l e m a t i c status.

litical s y s t e m could

do with t h e m . 1 4

I n d e e d , e v e r s i n c e t h e early 1980s, f e a r of the o u t b r e a k of v i o l e n c e b e t w e e n J e w s

and

O n the o t h e r h a n d , the a n n e x a t i o n i s t c a m -

J e w s , a n x i e t y a b o u t likely c h a l l e n g e s to the le-

p a i g n c o n d u c t e d h a l f h e a r t e d l y by the e l e m e n t s

g i t i m a t e a u t h o r i t y of state i n s t i t u t i o n s , a n d a

w i t h i n the L a b o r P a r t y g o v e r n m e n t s f r o m 1967

s e n s e of the risk of the b r e a k d o w n of d e m o c r a -

to 1977, a n d e n t h u s i a s t i c a l l y a n d

systemati-

tic n o r m s h a v e o v e r s h a d o w e d p a r t i s a n p o l i t i c a l

c a l l y by t h e L i k u d g o v e r n m e n t s in p l a c e f r o m

calculations,

1977 until 1 9 9 2 , d i d h a v e t h e e f f e c t of institu-

t e g r i t y of g o v e r n i n g c o a l i t i o n s , in t h e c a l c u l a -

t i o n a l i z i n g I s r a e l i r u l e of t h e W e s t B a n k (in-

t i o n s of p o l i t i c i a n s a t t a c h e d to the L a b o r P a r t y

cluding

a n d its p o t e n t i a l c o a l i t i o n p a r t n e r s . S u c h a r a d -

expanded

East Jerusalem)

past

the

or c o n c e r n s

regarding

the

in-

regime threshold. Elsewhere, I have demon-

ical s h i f t in t h e s c a l e of a n t i c i p a t e d d i s r u p t i o n

s t r a t e d that this o c c u r r e d b e t w e e n

1982 and

a s s o c i a t e d w i t h e f f o r t s to d i s e n g a g e f r o m t h e

1 9 8 4 . 1 8 H e r e I o n l y w i s h to n o t e t h a t b e c a u s e

West Bank and G a z a Strip indicates that be-

of this s u c c e s s f u l but i n c o m p l e t e i n s t i t u t i o n a l -

t w e e n 1977 a n d 1 9 8 4 t h e l o c a t i o n of t h e r e l a -

i z a t i o n of a n e x p a n d e d S t a t e of I s r a e l t o in-

t i o n s h i p b e t w e e n Israel a n d t h e s e a r e a s s h i f t e d

18. Lustick, Unsettled 19. Ibid., pp. 11-20.

States,

Disputed

Lands,

pp. 3 6 6 - 3 7 3 .

The Other Side of

117

Self-Determination

f r o m p o i n t " K " in F i g u r e 4 . 4 to point t h e r e b y c r o s s i n g the r e g i m e t h r e s h o l d .

"L,"

T h e e f f e c t s of h a v i n g p a s s e d this r e g i m e t h r e s h o l d w e r e d r a m a t i c a l l y e v i d e n t in the political crisis of 1 9 8 9 - 1 9 9 0 that e n s u e d w h e n the L i k u d - L a b o r "unity g o v e r n m e n t " broke up and, for several months, neither Shimon Peres's L a b o r Party nor Yitzhak S h a m i r ' s L i k u d Party w e r e able to f o r m a g o v e r n m e n t . T h e c o u n t r y w a s w r a c k e d by u n p r e c e d e n t e d l y bitter disputes o v e r the viability of the electoral s y s t e m , the potential for c a t a s t r o p h e that each side c l a i m e d w o u l d attend f o r m a t i o n of a narrow g o v e r n m e n t by the other, proliferating assassination threats, c o n t r o v e r s y o v e r w h e t h e r the a r m y w o u l d follow o r d e r s f r o m a L i k u d g o v e r n m e n t to " c r u s h the intifada," and so forth. A f t e r m o n t h s of unc e r t a i n t y and political strife, Yitzhak S h a m i r m a n a g e d to e x p l o i t f e a r s by R a b b i E l i e z e r S h a c h , spiritual leader of t w o small ultraorthodox p a r t i e s , that the p e a c e p o l i c i e s of a L a b o r g o v e r n m e n t would lead to civil war. S h a c h ' s dec i s i o n to o p p o s e L a b o r Party e f f o r t s to f o r m a g o v e r n m e n t led directly to S h a m i r ' s f o r m a t i o n of a narrow, far-right g o v e r n m e n t — t h e government that ruled Israel until the J u n e 1992 elections brought Yitzhak Rabin to power. In t e r m s of the m o d e l , the l o c a t i o n of the r e l a t i o n s h i p b e t w e e n the State of Israel and the G a l i l e e , N e g e v , and Little T r i a n g l e t e r r i t o r i e s a c q u i r e d in 1948 q u i c k l y p a s s e d t h r o u g h both t h r e s h o l d s to point " I " in F i g u r e 4 . 4 . F r o m 1967 to 1977 the I s r a e l i - W e s t B a n k / G a z a relat i o n s h i p can be u n d e r s t o o d as m o v i n g g r a d u ally f r o m point " J " to point " K " in Figure 4.4. Both points are located within the " i n c u m b e n c y s t a g e " of state e x p a n s i o n , w h i c h is to say that d u r i n g this time the m o s t s e r i o u s kind of c o n c e r n d e t e r r i n g g o v e r n i n g elites f r o m w i t h d r a w a l w a s threats to c o a l i t i o n integrity, p a r t y p r o s p e c t s , or their o w n p e r s o n a l careers. M o v e m e n t t o w a r d the r e g i m e t h r e s h o l d , r e p r e s e n t e d by the d i s t a n c e f r o m " J " to " K , " r e f l e c t s the steady increase in the political w e i g h t of the int e r e s t s ( e c o n o m i c , i d e o l o g i c a l , s e t t l e m e n t related, military, and i n f r a s t r u c t u r a l ) that c a m e to s u r r o u n d d e m a n d s to m a i n t a i n Israeli rule of the areas.

By 1986 and 1987 m a n y a c t i v i s t s w i t h i n the G u s h E m u n i m a n d the L i k u d b e g a n to a r g u e that, f o r all i n t e n t s and p u r p o s e s , w h a t they call " J u d e a , S a m a r i a , and the G a z a D i s t r i c t " h a d b e e n i r r e v e r s i b l y a b s o r b e d into Israel. T h i s c o n c l u s i o n w a s r e f l e c t e d in a s h i f t within the a n n e x a t i o n i s t m o v e m e n t a w a y f r o m s i m p l y c r e a t i n g n e t w o r k s of f a c t s a n d v e s t e d interests, to e d u c a t i o n a l and c u l t u r a l p r o j e c t s d e s i g n e d to a c c u s t o m Israelis to the n e w realities of a g r e a t e r Israel, at w a r with t h e A r a b world but at p e a c e with itself and the w h o l e of its land. T h e G r e e n L i n e (the a r m i s t i c e line of 1948 b e t w e e n Israel and the o c c u p i e d territories), they a r g u e d , had b e e n e r a s e d . I n d e e d , t h o s e Israelis a r g u i n g f o r territorial c o m p r o m i s e i n c r e a s i n g l y f o u n d t h e m s e l v e s f o r c e d to a s s u m e t h r e e b u r d e n s of p r o o f : first, that Israelis c o u l d a n y l o n g e r d i s t i n g u i s h b e t w e e n "Israel p r o p e r " and the " o c c u p i e d t e r r i t o r i e s " ; 2 0 s e c o n d , that Israeli rule o v e r the territories entailed s u b s t a n t i a l risk or cost: and third, that political d e c i s i o n s to d i s e n g a g e f r o m the s u b stantial p o r t i o n s of the territories in r e t u r n f o r p e a c e c o u l d e v e r be i m p l e m e n t e d . T h i s shift in the c h a r a c t e r of the d o m i n a n t d i s c o u r s e reflects g r a d u a l but d e f i n i t e m o v e m e n t in the p e r i o d b e t w e e n 1983 and 1987 f r o m point " L " t o w a r d point " M " in Figure 4.4. W h i l e the a n n e x a t i o n ist right w a s s e e k i n g to push the r e l a t i o n s h i p past the i d e o l o g i c a l h e g e m o n y t h r e s h o l d , the d o v i s h left w a s r e d u c e d to p r e v e n t i n g t h a t — f i g h t i n g to k e e p the issue d e f i n e d as an i s s u e and on the Israeli political a g e n d a . Israel p e r m i t t e d virtually no o r g a n i z e d political a c t i v i t y by West B a n k and G a z a P a l e s tinians u n d e r the o c c u p a t i o n . Yet in D e c e m b e r 1987, a m a j o r Palestinian uprising, the intifada, b r o k e out. T h e u l t i m a t e e f f e c t of this s e m i v i o lent r e b e l l i o n w a s to v i v i d l y r e m i n d I s r a e l i s that t h e r e w a s a d i f f e r e n c e b e t w e e n " I s r a e l " and " t h e t e r r i t o r i e s " and also to c o n v i n c e t h e m that the political status q u o w a s e x t r e m e l y uncomfortable. C o m b i n e d with a m o r e assertive U . S . policy t o w a r d the i s s u e u n d e r t h e B u s h a d m i n i s tration, the i n t i f a d a s h i f t e d the d e b a t e in Israel o v e r w h a t to d o with the West B a n k and G a z a

20. Faced with a generation of Israelis who had come to maturity without ever knowing an Israel without the occupied territories, peace activists resorted to literally painting the Green Line on the ground in order to remind Israelis of its existence.

118

Inn S. Lustick

Figure 4.4 Model of Territorial State-Building and State Contraction: Israel and the West Bank/Gaza

Incumbency Stage

•J

Regime Stage

.K

.N

Ideological Hegemony Stage

.L

Regime

.M

.1

Ideological Hegemony

Threshold

Threshold State contraction State expansion

Strip, returning it, in m a n y w a y s , to the period b e f o r e the large-scale increase in s e t t l e m e n t in the early 1980s that c r e a t e d a m o n g m a n y the i m p r e s s i o n of a n n e x a t i o n ' s " i r r e v e r s i b i l i t y . " W i t h the e l e c t i o n of a n a r r o w but e x t r e m e l y d o v i s h (in Israeli t e r m s ) g o v e r n m e n t in 1992, t h e L a b o r P a r t y and its allies b e g a n a s e r i o u s e f f o r t to c o n t r a c t the state f r o m the o c c u p i e d t e r r i t o r i e s . T a k i n g a d v a n t a g e of the p u b l i c ' s w i d e s p r e a d f e a r of, and d i s t a s t e for, the t e e m ing and i m p o v e r i s h e d A r a b t o w n s and r e f u g e e c a m p s of the G a z a Strip, the R a b i n g o v e r n m e n t h a s b e g u n its state c o n t r a c t i o n p r o g r a m t h e r e , with a t o k e n g r a n t of a u t o n o m y to a tiny a r e a a r o u n d the isolated West B a n k t o w n of Jericho. In t e r m s of the f r a m e w o r k f o r u n d e r s t a n d ing the e x a m p l e s of state e x p a n s i o n and c o n traction presented here, the location of the West B a n k p r o b l e m in Israeli p o l i t i c s c a n t h u s be seen to h a v e s h i f t e d to the left, in the state c o n traction direction, f r o m point " M " to point " N " in F i g u r e 4 . 4 . P r o p e r l y c o n s t r u e d in c o m p a r i son with the British-Irish and F r e n c h - A l g e r i a n cases, the Israeli-Palestinian c a s e n o w takes on a f a m i l i a r a s p e c t . F r o m 1912 to 1914 the ruling Liberal-Irish National coalition government f a c e d r i g h t - w i n g c h a l l e n g e s to t h e l e g i t i m a c y of its state c o n t r a c t i o n p o l i c i e s in I r e l a n d . F o u r t h R e p u b l i c p o l i t i c i a n s in 1957 and 1958

and de G a u l l e f r o m 1959 to 1961 f a c e d rightw i n g - s e t t l e r - a r m y c h a l l e n g e s to r e g i m e stability in F r a n c e o v e r p o l i c i e s to c o n t r a c t the F r e n c h state f r o m A l g e r i a . Similarly, since the I s r a e l - P L O a c c o r d in S e p t e m b e r 1993, the L a b o r Party g o v e r n m e n t in Israel, allied tacitly but e f f e c t i v e l y with p a r l i a m e n t a r i a n s f r o m pred o m i n a n t l y A r a b parties, has f a c e d the kind of o p p o s i t i o n to its p o l i c i e s t o w a r d w i t h d r a w a l f r o m the West B a n k and G a z a Strip that reflect the p r i o r r e g i m e - l e v e l i n s t i t u t i o n a l i z a t i o n of t h o s e a r e a s as part of the State of Israel. A s it c o n t e m p l a t e s f u r t h e r m o v e s t o w a r d Palestinian e m p o w e r m e n t in the West B a n k ( i n c l u d i n g exp a n d e d J e r u s a l e m ) , t o w a r d n e g o t i a t i o n s on the p e r m a n e n t status of Israeli s e t t l e m e n t s and the actual e s t a b l i s h m e n t of a Palestinian state, it is b e i n g f o r c e d to c o n f r o n t t r a d e - o f f s b e t w e e n the short-term risks of r e g i m e - t h r e a t e n i n g and even v i o l e n t J e w i s h o p p o s i t i o n to g o v e r n m e n t polic i e s and the p o s s i b i l i t i e s f o r a r r i v i n g , in the l o n g t e r m , at a p o l i t i c a l a r r a n g e m e n t w i t h the P a l e s t i n i a n s that can be the b a s i s f o r a l a s t i n g p e a c e . T h o s e in the Israeli g o v e r n m e n t p r e s ently m a k i n g t h e s e c a l c u l a t i o n s w o u l d b e n e f i t by r e f l e c t i n g on the c o n s e q u e n c e s of A s q u i t h ' s d e c i s i o n to a v o i d a s h o w d o w n with P r o t e s t a n t settlers, t h e r e b y s e t t i n g the s t a g e f o r t h e intractable p r o b l e m of " N o r t h e r n I r e l a n d , " v e r s u s

The Other Side of

Self-Determination

the b e n e f i t s that r e d o u n d e d to France and the Fifth R e p u b l i c f r o m de G a u l l e ' s audacious willingness to endure repeated regime crises to a c c o m p l i s h c o m p l e t e French withdrawal f r o m Algeria.

Conclusion T h e " o t h e r " side of self-determination, of expansion in the political and administrative jurisdiction of a particular group or region, is contraction in the scope and range of authority exercised by others—especially existing states and those they represent. This is an o b v i o u s point, but virtually ignored by existing theory and by most p o l i c y m a k e r s . State contraction, w h e t h e r d e f i n e d in territorial or functional terms, is a severely undertheorized notion, even t h o u g h it is a logically necessary concomitant of e n h a n c e d self-determination for g r o u p s ruled by existing states, and even though a theory of state contraction is a logically necessary basis for a policy requiring it. Not all problems of self-determination and state contraction are likely to be as difficult as were and have been the Irish, Algerian, and Palestinian p r o b l e m s for Britain, France, and Israel; nevertheless, if the f r a m e w o r k and attendant theory I have developed can illuminate these protracted and exceedingly difficult problems, it will certainly help establish reasonable e x p e c t a t i o n s about the kind of obstacles that will attend e n h a n c e m e n t of self-determination and self-administration opportunities in other cases. Yet the c o n c l u s i o n s that can be d r a w n f r o m the data and theoretical material presented here are limited. Precisely speaking, this framework for studying patterns of state expansion and contraction is not itself a theory of how the t r a n s f o r m a t i o n s f r o m one state of institutionalization to another are accomplished, or which different consequences are associated with different mechanisms used to move across these thresholds in the state-expanding or statecontracting direction. In my larger work I d o present such a theory. I analyze political struggles around the regime threshold as " w a r s of m a n e u v e r " and struggles around the ideological h e g e m o n y threshold as "wars of position."

119

Theoretical propositions about how the thresholds are crossed in each direction spring f r o m consideration of the logic of different strategies available f o r w i n n i n g , or surviving, these different sorts of struggles. With respect to the regime threshold, for example, that theory suggests that the choices Israeli leaders now m a k e as they decide how boldly and completely, and by what m e t h o d s , they will contend with r e g i m e - t h r e a t e n i n g opposition to the p e a c e process will partially determine whether Israel will s u f f e r f r o m a " N o r t h e r n I r e l a n d " - t y p e problem for decades to come, or whether, as in France, a sharper test of strength will result in a more radical, but more c o m p l e t e and more stable, set of political arrangements in both Israel and the West Bank. 2 1 More generally, however, the f r a m e w o r k presented here does help address a wide r a n g e of important c o n c e p t u a l , theoretical, and policy p r o b l e m s resulting f r o m previous f a i l u r e s to r e c o g n i z e " s t a t e c o n t r a c t i o n " as a d i s t i n c tive political p h e n o m e n o n . It does this by conceiving of b o u n d a r i e s as institutional features of states and by i m a g i n i n g two t h r e s h o l d s within a p r o c e s s of i n s t i t u t i o n a l i z a t i o n , prod u c i n g a s y m m e t r i c p r o c e s s e s of e x p a n s i o n and contraction. C o n s i d e r the i m p l i c a t i o n s of this approach f o r the p r o b l e m of m e s h i n g e x p l a n a tions f o r reduction in the size of a state based on long-term, c u m u l a t i v e processes with those that e n v i s i o n s u d d e n and drastic t r a n s f o r m a tions. T h e notion of asymmetric thresholds acc o m p l i s h e s this i n t e g r a t i o n by e n v i s i o n i n g deinstitutionalization as ultimately being produced by long a c c u m u l a t i o n s of pressures that grossly exceed the specific interests served by old a r r a n g e m e n t s and e f f e c t e d via s u d d e n , q u a l i t a t i v e t r a n s f o r m a t i o n s in political discourse and in the relationship between r e g i m e stability and particular policy decisions. In the Israeli case, this set of categories and expectations helps i d e n t i f y and correct errors m a d e by m a n y a n a l y s t s that I s r a e l ' s a b s o r p t i o n of Palestinian territories w a s either " i r r e v e r s i b l e " or that e n d i n g the occupation w o u l d be a s i m p l e m a t t e r of c a l c u l a t i n g that the

21. For my analysis of Rabin's "re-scaling" strategy and my predictions for the Israeli-Palestinian case using the theories tested in the British and French cases, see Lustick, Unsettled States, Disputed Lands, pp. 385^138.

120

Ian S.

Lustick

b e n e f i t s of c o n t i n u i n g it w e r e n o l o n g e r w o r t h

a g a i n s t t h e P a l e s t i n i a n s , a n d of t h e A l g e r i a n s

the costs.22

a g a i n s t t h e F r e n c h , M a c k a r g u e d in 1975 that

A n o t h e r c o n t r i b u t i o n of this f r a m e w o r k is

s m a l l n a t i o n s c a n w i n w a r s a g a i n s t large states

in the s t u d y of that p a r t i c u l a r k i n d of state c o n -

b e c a u s e (in c o l o n i a l or n e o c o l o n i a l s i t u a t i o n s )

t r a c t i o n k n o w n as " d e c o l o n i z a t i o n . " B y p o s i n g

t h e d e f i n i t i o n of t h e s t a k e s of t h e g a m e

d e c o l o n i z a t i o n as a s u b s p e c i e s of state c o n t r a c -

" a s y m m e t r i c " : absolutist and total within the

tion, analysts can adopt a nonlegalist, nontele-

small nation, but instrumentalist and

o l o g i c a l m e a n s of d i s c r i m i n a t i n g b e t w e e n " d e -

w i t h i n t h e l a r g e s t a t e . In the U . S . - V i e t n a m e s e

colonization"

struggles

c a s e t h e p o l i t i c a l w i l l of the l a r g e s t a t e c o u l d

t a k i n g p l a c e in the i n c u m b e n c y s t a g e ) a n d " s e -

be a f f e c t e d by c o n s i d e r a t i o n s of t h e h i g h cost

cession"

(state-contraction

(state-contraction

struggles

taking

is

partial

of t h e c o n t i n u e d w a r , w h i l e in I s r a e l

rising

p l a c e , f r o m t h e p o i n t of v i e w of t h e d o m i n a n t

c o s t s w e r e d e e m e d i n c a p a b l e of a f f e c t i n g the

arena,

hegemony

w i l l i n g n e s s to c o m m i t r e s o u r c e s to t h e s t r u g -

stage).2' The framework also permits students

gle. M a c k i g n o r e d t h e p o s s i b i l i t y t h a t s h i f t s

of d e c o l o n i z a t i o n to g o b e y o n d the m o d a l c o n -

within Israel a n d / o r a m o n g Palestinians could

c l u s i o n of their s t u d i e s , namely,

that m e t r o p o l -

t r a n s f o r m the s t r u g g l e a g a i n s t I s r a e l ' s e x i s t e n c e

itan s t a t e s r e l i n q u i s h c o n t r o l o n c e t h e c o s t s of

i n t o o n e f o c u s e d on e s t a b l i s h i n g a s e p a r a t e

that c o n t r o l o u t w e i g h the b e n e f i t s . A s the Irish,

state in t h e t e r r i t o r i e s o c c u p i e d by Israel in

within

the

ideological

Algerian, and Palestinian cases have shown,

1967 (an o u t c o m e that s u b s t a n t i a l n u m b e r s of

the crucial question

states

I s r a e l i s m i g h t b e p r e p a r e d to c o n s i d e r a c c e p t -

w h o s e c o e r c i v e c a p a c i t y to h o l d on to the ter-

a b l e ) . T h e f a c t is that w i t h i n M a c k ' s static a n d

r i t o r i e s is not in q u e s t i o n is not so m u c h w h e n

strictly d i c h o t o m o u s t y p o l o g y of t e r r i t o r i a l re-

for metropolitan

c o s t s o u t w e i g h b e n e f i t s , but (1) w h e t h e r c o s t /

l a t i o n s h i p s , the p o s s i b i l i t y that t h e

benefit calculations are politically relevant or

m i g h t " m o v e " f r o m o n e c a t e g o r y to a n o t h e r

problem

whether hegemonic beliefs prevent them from

c a n n o t b e e n t e r t a i n e d . T h u s . M a c k is e n c o u r -

b e i n g p o s e d as p e r t i n e n t to p u b l i c p o l i c y ; a n d

a g e d , if not r e q u i r e d , to i g n o r e c r u c i a l a n d e m -

(2) w h e t h e r q u a l i t a t i v e l y l a r g e r f e a r s , a b o u t the

pirically o p e n q u e s t i o n s a b o u t w h e t h e r the d e f -

s t a b i l i t y of t h e r e g i m e , i n h i b i t e l i t e s f r o m a c t -

inition of the p r o b l e m , a m o n g b o t h P a l e s t i n i a n s

i n g o n c a l c u l a t i o n s of c o s t a n d b e n e f i t , f o r

and Israelis, might c h a n g e , how such c h a n g e s

t h e m a n d t h e i r c o n s t i t u e n c i e s . In c a s e s w h e r e

m i g h t c o m e a b o u t , a n d w h a t they m i g h t imply.

i n s t i t u t i o n a l i z e d i n t e g r a t i o n of t e r r i t o r i e s (inc l u d i n g " c o l o n i e s " ) has p r o g r e s s e d b e y o n d o n e or b o t h t h r e s h o l d s , m a i n t a i n i n g an i m a g e of d e c o l o n i z a t i o n as b a s e d o n a r a t i o of b e n e f i t s to c o s t s is b o u n d to distort e x p e c t a t i o n s . O n e i n s t r u c t i v e i n s t a n c e of d i s t o r t e d e x -

The

absence

of

any

way

to

interpret

c h a n g e s in t h e p e r c e p t i o n s or o b j e c t i v e s of the p r o t a g o n i s t s as f a c t o r s that m i g h t c o n t r i b u t e to t r a n s f o r m a t i o n in t h e c h a r a c t e r of t h e s t r u g g l e b e t w e e n t h e m is a l s o r e f l e c t e d in M a c k ' s c h a r a c t e r i z a t i o n of t h e F r e n c h - A l g e r i a n

conflict.

p e c t a t i o n s is A n d r e w M a c k ' s i n s i g h t f u l , but

F o c u s i n g o n l y on the A l g e r i a n w a r in t h e 1950s

f l a w e d , t r e a t m e n t of " a s y m m e t r i c c o n f l i c t s . " 2 4

a n d e a r l y 1960s, i n s t e a d of the m u c h l o n g e r re-

S e e k i n g to e x p l a i n t h e s u c c e s s of t h e V i e t -

lationship

n a m e s e a g a i n s t the U n i t e d States, of the Israelis

n o t i c e s F r e n c h r a t i o n a l i t y in r e s p o n d i n g to the

between

France

and Algeria,

he

22. For a detailed analysis using the notion of "state c o n t r a c t i o n " to unravel the debate in Israel over the s u p p o s e d " i r r e v e r s i b i l i t y " of the o c c u p a t i o n , see Lustick, Unsettled States, Disputed Lands, pp. 11-37. 23. Many of the most interesting struggles, including the three dealt with in this paper, entail prolonged disputes, within the regime stage, over the proper categorization of the struggle, that is, w h e t h e r the territory is to be considered a contingently dominated possession, to be disposed of according to calculations of central state interest, or w h e t h e r it is to be treated as a part of the " n a t i o n a l " p a t r i m o n y , regarding which calculations of profit and loss are to be treated as irrelevant if not treasonous. 24. A n d r e w J. R. Mack, " W h y Big Nations Lose Small Wars: T h e Politics of A s y m m e t r i c C o n f l i c t , " World Politics 27, no. 2 (January 1975): 1 7 5 - 2 0 0 . For a conceptually identical problem, see Joseph S. K r a e m e r , " R e v o l u t i o n a r y G u e r r i l l a W a r f a r e and the D e c o l o n i z a t i o n M o v e m e n t , " Polity 4, no. 2: 137-158.

The Other Side of

121

Self-Determination

r i s i n g p o l i t i c a l c o s t s of h o l d i n g A l g e r i a , w h i l e

and

i g n o r i n g t h e m o r e d e c i s i v e q u e s t i o n of h o w it

t w e e n " a n o t i o n of " s e c e s s i o n i s m , " b a s e d o n a

French-Algerian

relationships

as

"be-

w a s that F r a n c e c a m e to d e f i n e the Algerian

h e g e m o n i c i n t e g r a t i o n of t h e t e r r i t o r y i n t o t h e

p r o b l e m as o n e of " d e c o l o n i z a t i o n " i n s t e a d of

c e n t r a l state, a n d " d e c o l o n i z a t i o n , " b a s e d on a

" s e p a r a t i s m " or " s e c e s s i o n . " M a c k t h u s i g n o r e s

n o t i o n of the c e n t r a l state p o s s e s s i n g a t e r r i t o r y

t h e c r u c i a l f a i l u r e of e a r l i e r F r e n c h a t t e m p t s to

e x t e r n a l in an i n t r i n s i c a l l y c o n t i n g e n t m a n n e r .

foster

of

By integrating decolonization, secession,

F r a n c e ' s r e l a t i o n s h i p to A l g e r i a . B y l a b e l i n g

noninstrumentalist

conceptions

s t a t e - b u i l d i n g , a n d i m p e r i a l i s m w i t h i n o n e state

t h e A l g e r i a n p r o b l e m " t h r o u g h o u t " as " a s y m -

e x p a n s i o n versus contraction f r a m e w o r k , this

m e t r i c , " he e x p o s e s t h e i n a b i l i t y of h i s m o d e l

approach also helps solve a chronic problem

to e n t e r t a i n c h a n g e in the c a t e g o r i z a t i o n of p a r -

a s s o c i a t e d w i t h the s t u d y of " i n t e r n a l c o l o n i a l -

t i c u l a r r e l a t i o n s h i p s . A l t h o u g h I r e l a n d is not

i s m . " It d o e s so by e l i m i n a t i n g t e l e o l o g i c a l dis-

m e n t i o n e d in M a c k ' s t r e a t m e n t , a p p l i c a t i o n of

tinctions between "internal colonialism," with-

his

relationship

in " s t a t e s " w h o s e i n s t i t u t i o n a l c o n s o l i d a t i o n is

w o u l d e n c o u n t e r the s a m e p r o b l e m s p r e s e n t in

model

to

d e e m e d a f a c t of life, a n d " i m p e r i a l i s m , " c o n -

his t r e a t m e n t of F r a n c e a n d A l g e r i a .

d u c t e d w i t h i n e m p i r e s d e e m e d i n c a p a b l e of in-

Indeed,

the

British-Irish

the notion

of s t a t e

contraction

s t i t u t i o n a l c o n s o l i d a t i o n . F o r it is not so m u c h

m a k e s a d i r e c t c o n t r i b u t i o n to t h e h i s t o r i c a l

the c h a r a c t e r of t h e p o l i t i c a l f o r m u l a u s e d to

s t u d i e s of B r i t a i n a n d F r a n c e a n d of their r e l a -

gain legitimacy for state authority (nationalist

t i o n s h i p s to Ireland a n d A l g e r i a . A striking s i m -

or i m p e r i a l i s t ) that s i g n a l s d o m i n a t i o n , y i e l d s

ilarity b e t w e e n Ihe s t u d y of t h e Irish a n d A l -

e x p e c t a t i o n s of c o n t r a c t i o n , or m a r k s a c o n -

g e r i a n p r o b l e m s in B r i t a i n a n d F r a n c e is that

t r o l l e d t e r r i t o r y as b e i n g " e x t e r n a l " or " i n t e r -

e a c h of t h e s e i s s u e s h a s e x i s t e d in a sort of

n a l " to t h e s t a t e , but t h e s t a t u s of the f o r m u l a

l i m b o — n e i t h e r f a l l i n g c o m f o r t a b l y w i t h i n the

s t i p u l a t i n g that t e r r i t o r y ' s status as s h a r p l y c o n -

l i t e r a t u r e s d e a l i n g w i t h B r i t i s h or F r e n c h state-

tested or h e g e m o n i c w i t h i n the d o m i n a n t polit-

straightfor-

ical a r e n a . T h e p o i n t is that w i t h o u t a c o n c e p t

w a r d l y , as i n s t a n c e s of British or F r e n c h c o l o -

of the s h a p e of t h e state as an i n s t i t u t i o n a l i z e d

nialism

most

d i m e n s i o n of its e x i s t e n c e , a n d w i t h o u t q u a l i t a -

state-building

t i v e m e a s u r e s of i n s t i t u t i o n a l i z a t i o n , a n a l y s t s

r e l e g a t e I r e l a n d a n d A l g e r i a to the c a t e g o r y of

m u s t rely on a priori or legalist d e m a r c a t i o n s of

b u i l d i n g n o r a b l e to b e t r e a t e d , and

decolonization.

s t u d e n t s of B r i t i s h a n d F r e n c h

While

" c o l o n i a l " t e r r i t o r i e s , s t u d e n t s of B r i t i s h a n d

state b o u n d a r i e s . E v e n a m o n g the m o s t c a r e f u l

F r e n c h i m p e r i a l i s m a n d d e c o l o n i z a t i o n t e n d to

p r a c t i t i o n e r s , t h i s l e a d s to s e r i o u s t a x o n o m i c

a v o i d I r e l a n d a n d A l g e r i a as b e i n g t o o e x c e p -

problems. Michael Hechter, for example, clas-

t i o n a l in t h e i r e x p e r i e n c e as i n t e g r a l p a r t s of

sified I r e l a n d as an internal c o l o n y , w h i l e treat-

the British

ing Irish i n d e p e n d e n c e as t h e r e s u l t of " s e c e s -

and French states to be

treated

w i t h i n t h e p u r v i e w of c o l o n i a l s t u d i e s . T h e n o -

s i o n " r a t h e r than " d e c o l o n i z a t i o n . " 2 5

tion of state c o n t r a c t i o n , h o w e v e r , h e l p s to lo-

F r o m the p o i n t of v i e w of s e p a r a t i s t m o v e -

cate the p a r t i c u l a r c h a r a c t e r of the B r i t i s h - I r i s h

m e n t s w i t h i n w e l l - i n s t i t u t i o n a l i z e d states ( s u c h

25. Hechter tries to escape from the theoretical problem expressed by this t a x o n o m i c difficulty in two somewhat inconsistent ways. Early in his book he classifies territories w h o s e inhabitants eventually accept the legitimacy of central authority as having been incorporated by processes of "national e x p a n sion." Territories w h o s e inhabitants do not ascribe legitimacy to central authority he labels as having been subjected to "imperial e x p a n s i o n . " But this post hoc solution m e a n s his model cannot be applied to contemporary cases. More serious still, it ignores the fact and future possibility of empires d e e m e d legitimate by their inhabitants. At the end of the book Hechter admits "there is no hard and fast line" with which to distinguish "internal c o l o n i e s " f r o m either "peripheral r e g i o n s " or " c o l o n i e s , " suggesting that the best approach might be a m o r e impressionistic summation of political, administrative, legal, geographical, cultural, and historical measures of "integration." The main difficulty with this f o r m u l a tion is that it removes any analytic rationale for treating "internal c o l o n i a l i s m " as qualitatively d i f f e r ent f r o m " o v e r s e a s " imperialism. Michael Hechter, Internal Colonialism: The Celtic Fringe in British National Development, 1536-1966 ( B e r k e l e y : University of C a l i f o r n i a Press, 1975), pp. 6 0 - 6 4 and 348-351.

122

Ian S.

Lustick

in

V e r b a . 2 6 T h i s a p p r o a c h b e g i n s by i d e n t i f y i n g

S p a i n ) , t h e p r o b l e m , as p o s e d f r o m t h e p e r -

e i t h e r d i s t r i b u t i o n s of p o w e r a m o n g c l a s s e s a n d

s p e c t i v e of this t h e o r y , is e q u i v a l e n t to that

s t r a t a s t a n d a r d l y f e a t u r e d in the h i s t o r i e s of

as t h e B r e t o n in F r a n c e o r t h e B a s q u e s

f a c e d by the Irish n a t i o n a l i s t s in the 1830s. T h e

l a r g e s t a t e s o r t h e a c c r e t i o n of d e e p l y e m b e d -

f i r s t c h a l l e n g e f o r s e p a r a t i s t m o v e m e n t s is to

ded expectations and beliefs about

b r e a k a p a r t h e g e m o n i c c o n c e p t i o n s w i t h i n the

T h e s e d i f f e r e n t c o n f i g u r a t i o n s of p o w e r or c u l -

politics.

p o l i t i c a l c l a s s of t h e c e n t r a l s t a t e . V i c t o r y in

ture a r e t h e n c l a s s i f i e d as m o r e o r less c o n -

this " w a r of p o s i t i o n " will n o t b e s i g n i f i e d by

d u c i v e to t h e e m e r g e n c e of s t a b l e d e m o c r a t i c

m o v e m e n t t o w a r d s a t i s f a c t i o n of d e m a n d s f o r

r e g i m e s . D e m o c r a c y , or its a b s e n c e , a r e t h e r e -

a u t o n o m y or a g r e a t e r s h a r e of r e s o u r c e s , but

by e x p l a i n e d b y d i f f e r e n c e s in h i s t o r i c a l c o n -

by a s h i f t in the g r o u n d of r e j e c t i o n of the s e p -

j u n c t u r e s . w h i c h , f o r d i f f e r e n t states, p r o d u c e d

a r a t i s t p r o g r a m . O n c e s e p a r a t i s t d e m a n d s are

different social arrays and different cultural

d i s c u s s a b l e a m o n g p o l i t i c a l l y a m b i t i o u s elites,

d i s p o s i t i o n s . In e f f e c t , t h i s t y p e of a r g u m e n t

t h e n a l l i a n c e s c a n be f o r m e d w i t h " m e t r o p o l i -

e x p l a i n s v a r i a t i o n in t h e i n s t i t u t i o n a l i z a t i o n of

t a n " s y m p a t h i z e r s , or at least t h o s e a b l e to

d e m o c r a c y as a f u n c t i o n of t h e p r e s e n c e or a b -

p r o f i t f r o m a s t r u g g l e to r e d u c e the size of t h e

s e n c e of c i r c u m s t a n t i a l e n d o w m e n t s l i k e l y t o

s t a t e — a s t r u g g l e that c o u l d lead e v e n t u a l l y to a

s u p p o r t d e m o c r a c y ' s c o n s t r u c t i o n as a h e g e -

w a r of m a n e u v e r . A s u c c e s s f u l o u t c o m e at this

m o n i c f e a t u r e of life in a p a r t i c u l a r

s t a g e w o u l d t r a n s f o r m t h e q u e s t i o n of state

likely, in o t h e r w o r d s , to b e i n s t i t u t i o n a l i z e d

contraction into a policy question for succes-

b e y o n d the ideological h e g e m o n y

sive g o v e r n m e n t s , rather than a problem por-

F r o m t h i s a n g l e , if s t a b l e d e m o c r a c y is to b e

tending a regime crisis for any

state—

threshold.

government

e x p e c t e d to e m e r g e in states not p r e d i s p o s e d to

w i s h i n g to s o l v e it by s a t i s f y i n g s e p a r a t i s t d e -

p r o d u c i n g it. it will d o so o n l y as a result of the

mands. Whether through diachronic treatment

radical c o n s e q u e n c e s of d e f e a t in interstate w a r

of o n e s e p a r a t i s t m o v e m e n t t h r o u g h

several

or f o l l o w i n g an internal w a r of p o s i t i o n w h o s e

s t a g e s of s t r u g g l e or via c r o s s c u l t u r a l t r e a t m e n t

l o n g - t e r m c o n s e q u e n c e w o u l d be to " r e c o n -

of s e v e r a l m o v e m e n t s at t h e s a m e s t a g e , o n e

s t r u c t " the c o n t e x t u a l realities of politics.

interesting f o c u s for research w o u l d be variation in the c h a r a c t e r a n d c o n s e q u e n c e of s e p a ratist v i o l e n c e . A n o t h e r w o u l d be t h e e x a m i n a tion

of

links

between

the

level

of

state

institutionalization along nonterritorial dimens i o n s and t h e p r o s p e c t s f o r state c o n t r a c t i o n , as o p p o s e d to c o l l a p s e , d i s i n t e g r a t i o n , o r c i v i l war, in r e s p o n s e to s e p a r a t i s t c h a l l e n g e s .

R e p r e s e n t a t i v e s of t h e s e c o n d

approach

are Juan Linz and his collaborators Ruth and David Collier. Their work asks questions about t r a n s i t i o n s , b r e a k d o w n s , a n d r e e q u i l i b r a t i o n s of democratic and authoritarian regimes, focusing on the p r o b l e m a t i c institutionalization of d e m o c racy b e y o n d t h e r e g i m e t h r e s h o l d . 2 7 F r o m t h i s p e r s p e c t i v e , t h e e m e r g e n c e a n d m a i n t e n a n c e of

T h e f r a m e w o r k described and illustrated

d e m o c r a c y is s e e n as c o n t i n g e n t u p o n the o u t -

important

c o m e of " w a r s of m a n e u v e r " s u r r o u n d i n g t h e

s t r e a m s of s c h o l a r s h i p f o c u s e d on the e x p l a n a -

regime threshold. Accordingly, explanations for

tion

or

d e m o c r a c y a n d its d e m i s e h i n g e o n s p e c i f i e d

b r e a k d o w n . O n e is e x e m p l i f i e d by the w o r k of

c h a r a c t e r i s t i c s of r e g i m e s a n d t h e t a l e n t s a n d

Barrington Moore, Gabriel A l m o n d , and Sidney

c h o i c e s of c o m p e t i n g e l i t e s d i r e c t l y a w a r e of

here can also help integrate two of

democracy

and

its

preservation

26. Barrington Moore, Social Origins of Dictatorship and Democracy: Lord and Peasant in the Making of the Modern World ( B o s t o n : B e a c o n Press, 1966); Gabriel A. A l m o n d and Sidney Verba, The Civic Culture: Political Attitudes and Democracy in Five Nations (Princeton: P r i n c e t o n U n i v e r s i t y Press, 1963). 27. See David Collier and Deborah L. Norden, "Strategic Choice M o d e l s of Political C h a n g e in Latin A m e r i c a , " Comparative Politics 24, no. 2 ( J a n u a r y 1992): 2 2 9 - 2 4 4 , for a c o n v e n i e n t d i s c u s s i o n of m u c h of this literature. See also Juan J. Linz, The Breakdown of Democratic Regimes: Crisis, Breakdown, and Reequilibration, op. cit.; Juan J. Linz and A l f r e d S t e p a n , The Breakdown of Democratic Regimes: Europe ( B a l t i m o r e : J o h n s H o p k i n s University Press, 1978); and Ruth Berins Collier and David Collier, Shaping the Political Arena: Critical Junctures, the Labor Movement, and Regime Dynamics in Latin America (Princeton: Princeton University Press, 1991).

The Other Side of

Self-Determination

123

the p a y o f f s associated with the construction,

c o n t r i b u t i o n E r i t r e a a n d an i n d e p e n d e n t

p r e s e r v a t i o n , o r b r e a k d o w n of d e m o c r a c y a n d

relatively well-ordered Somaliland are m a k i n g

p r e p a r e d t o a c t i l l e g a l l y to p r e v a i l o v e r t h e i r

to the f u t u r e of the H o r n of A f r i c a a n d the c o n -

rivals.

t r i b u t i o n that t h e d i v i s i o n of C z e c h o s l o v a k i a

There are substantial public policy bene-

and

h a s m a d e to s t a b i l i t y in c e n t r a l E u r o p e a n d that

f i t s , as w e l l as a n a l y t i c p a y o f f s , to a s k i n g e x -

I s r a e l i state c o n t r a c t i o n f r o m t h e W e s t B a n k

plicit q u e s t i o n s

By

a n d G a z a is p r o m i s i n g to m a k e in t h e M i d d l e

m a k i n g t h e c a t e g o r y a n a l y t i c a l l y s a l i e n t a n d by

E a s t . Part of the p r o b l e m f a c i n g R u s s i a a n d the

about state contraction.

o f f e r i n g e x p l i c i t t h e o r i e s f o r h o w it is a c c o m -

S o v i e t s u c c e s s o r s t a t e s is t h a t t h e s e e n t i t i e s

p l i s h e d , a v a i l a b l e o p t i o n s f o r r e d u c i n g the size

e m e r g e d as a r e s u l t of t h e c o l l a p s e of t h e S o -

a n d s c o p e of t h e state c a n b e i d e n t i f i e d , h o w -

viet s t a t e a n d not a s y s t e m a t i c ,

ever risky or unattractive those options might

p r o c e s s of c o n t r a c t i o n . 2 8 P r o b l e m s of the K u r d s

purposeful

u s u a l l y a p p e a r to be, w h i l e f a l s e i m p r e s s i o n s of

a n d S h i a M u s l i m s in I r a q ; of K u r d s a n d of

" i r r e v e r s i b i l i t y " or political " i m p o s s i b i l i t y " c a n

northern

be a v o i d e d . A t h e o r y i n t e g r a t i n g state c o n t r a c -

I n d i a ; T i b e t a n d C h i n a ; A r m e n i a n s in A z e r b a i -

tion a n d e x p a n s i o n c a n a l s o p r o v i d e a b a s i s f o r

j a n ; M u s l i m s , C r o a t s , a n d S e r b s in t h e f o r m e r

Cyprus

in T u r k e y ;

of K a s h m i r

in

j u d g i n g h o w s t r a t e g i e s f o r state c o n t r a c t i o n c a n

Y u g o s l a v i a ; T a m i l s in Sri L a n k a ; n o n - M u s l i m

best b e d e v i s e d a n d i m p l e m e n t e d . E n c o u r a g e -

s o u t h e r n e r s in S u d a n , a n d so f o r t h , c o u l d all be

m e n t f o r a d o p t i n g these s t r a t e g i e s can be d r a w n

a d d r e s s e d p r o d u c t i v e l y by l o o s e n i n g e x p e c t a -

f r o m u n d e r s t a n d i n g t h a t real p r o g r e s s t o w a r d

tions that e x i s t i n g states c a n n o t p r o f i t f r o m ter-

t e r r i t o r i a l state c o n t r a c t i o n is not m e a s u r e d by

ritorial c o n t r a c t i o n . It m a y well b e a r g u e d , f o r

a c t u a l w i t h d r a w a l f r o m t e r r i t o r i e s until w e l l

e x a m p l e , that it h a s b e e n C a n a d a ' s w i l l i n g n e s s

n i g h the e n d of the p r o c e s s .

to t o l e r a t e s t a t e c o n t r a c t i o n f r o m Q u e b e c that

R e g a r d i n g t e r r i t o r i a l i s s u e s , t h e k i n d of theoretical f r a m e w o r k offered here should aff o r d m o r e f l e x i b i l i t y to s t a t e s as t h e y seek to respond changing

satisfyingly

to t h e

competing

and

d e m a n d s of the c o m m u n i t i e s

and

p e o p l e s t h e y are p u t a t i v e l y d e s i g n e d to s e r v e . As political scientists and policymakers

be-

c o m e m o r e a d e p t at r e c o g n i z i n g the c o n s t r u c t e d n e s s of i d e n t i t i e s a n d t h e i r l o n g - c y c l e

re-

a c c o u n t s f o r t h e g e n e r a l l y p e a c e a b l e n a t u r e of t h e d i s p u t e o v e r t h a t p r o v i n c e ' s f u t u r e . In t h e s a m e vein it is c l e a r that B r i t a i n ' s w i l l i n g n e s s , u n d e r t h e A n g l o - I r i s h A g r e e m e n t of 1 9 8 5 , to p e r m i t state c o n t r a c t i o n f r o m N o r t h e r n I r e l a n d h a s b e e n a c r u c i a l f a c t o r in t h e s l o w but real p r o g r e s s b e i n g m a d e in the s t a b i l i z a t i o n of that a r e a ' s political f u t u r e . A s I h a v e e m p h a s i z e d , t h e r e is n o t h i n g

s p o n s i v e n e s s to p o l i t i c a l e n t r e p r e n e u r s h i p a n d

about the c o n c e p t u a l

c h a n g e d s t r u c t u r e s of i n c e n t i v e s , it is a p p r o p r i -

s e n t e d , i n c l u d i n g t h e n o t i o n of s t a t e c o n t r a c -

ate f o r t h e m to b e c o m e e q u a l l y

apparatus

I have

pre-

comfortable

tion, that limits its a p p l i c a t i o n o n l y to q u e s t i o n s

with analysis of, and prospects for, c h a n g i n g

p e r t a i n i n g t o t h e i n s t i t u t i o n a l i z a t i o n of state

the c o n t o u r s of states that m a y c o r r e s p o n d to or

b o r d e r s . In p r i n c i p l e , the f r a m e w o r k a n d t h e o -

p r o m p t t h e s e c u l t u r a l t r a n s f o r m a t i o n s . S u c h an

r i e s a s s o c i a t e d w i t h it s h o u l d b e a p p l i c a b l e t o

orientation, for e x a m p l e , w o u l d help m o v e us

institutionalization

b e y o n d t h e n o l o n g e r h e g e m o n i c i d e a that b o r -

p r o c e s s e s a l o n g o t h e r s a l i e n t d i m e n s i o n s , in-

d e r s in A f r i c a a n d e l s e w h e r e are i m m u t a b l e a n d

c l u d i n g the t w o d i m e n s i o n s that h a v e a t t r a c t e d

e n c o u r a g e a p p r e c i a t i o n of t h e c i r c u m s t a n c e s in

more scholarly attention than any others—the

w h i c h r e d r a w i n g of t e r r i t o r i a l b o u n d a r i e s c a n

e x t e n t of s t a t e a u t o n o m y f r o m s o c i e t y a n d t h e

be c o n s i d e r e d a viable policy instrument. Ex-

d e m o c r a t i c v e r s u s a u t h o r i t a r i a n c h a r a c t e r of re-

a m p l e s of s u c h o p p o r t u n i t i e s m i g h t i n c l u d e t h e

g i m e s . I n v e s t i g a t i o n s of the r e l a t i v e a u t o n o m y

and

deinstitutionalization

28. Within this f r a m e w o r k , the d e m i s e of the Soviet U n i o n can be understood as a result of the longterm f a i l u r e to h a v e institutionalized a Soviet identity at the h e g e m o n i c level, c o m b i n e d with G o r b a c h e v ' s failure to successfully negotiate the r e g i m e threshold in his attempt to deinstitutionalize the c o m m a n d e c o n o m y and authoritarianism without relinquishing C o m m u n i s t Party control or c h a n g ing the territorial shape of the Soviet state. See Lustick, Unsettled States, Disputed Lands, pp. 4 3 9 441.

Ian S. Lustick

124

o f the state c o u l d , for e x a m p l e , be r e f o r m u l a t e d

If o n e great c a u s e o f m i s e r y and b l o o d s h e d

on the b a s i s o f m e a s u r e m e n t s o f the k i n d s o f

in our w o r l d is the m i s m a t c h b e t w e e n the do-

disruptions a s s o c i a t e d with state e x p a n s i o n into

m a i n s o f e x i s t i n g states and the distribution o f

realms

peoples

(industrial

organization

and

policy;

capable

of

identifying

with

those

health c a r e ; b i o l o g i c a l r e p r o d u c t i o n ; e d u c a t i o n

s t a t e s , then adding state c o n t r a c t i o n as an op-

and the arts; the press; and so forth) that previ-

tion to e x p a n s i o n , a s s i m i l a t i o n ,

o u s l y m a y h a v e b e e n s e p a r a t e d f r o m the state

e x p u l s i o n , c o l l a p s e , or f o r c i b l e d i s m e m b e r m e n t

m e r e l y by p o l i c y d e c i s i o n s o f i n c u m b e n t s or by

w o u l d s e e m not o n l y i n t e l l e c t u a l l y

e x p e c t a t i o n s and b e l i e f s a b o u t the n a t u r e

but d o w n r i g h t u s e f u l . B y t r a n s l a t i n g

of

annihilation, necessary insights

s t a t e - s o c i e t y relations institutionalized at e i t h e r

not o n l y a c r o s s c o u n t r i e s and a c r o s s t i m e peri-

the h e g e m o n i c o r r e g i m e l e v e l . S u c h r e s e a r c h

ods but a c r o s s issue a r e a s , we can learn m u c h

would c o n t r i b u t e d i r e c t l y to our understanding

m o r e e f f i c i e n t l y about h o w states e x p a n d and

o f which p o l i t i c a l s o c i e t i e s w o u l d be m o r e apt

c o n t r a c t , about h o w institutionalization and de-

to be a b l e to r e s p o n d p o s i t i v e l y to d i f f e r e n t

i n s t i t u t i o n a l i z a t i o n p r o c e s s e s work a l o n g dif-

k i n d s o f d e v o l u t i o n o f authority in c o n n e c t i o n

ferent d i m e n s i o n s s i m u l t a n e o u s l y , and about

with the s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s -

l i m i t s to the f l e x i b i l i t y o f the j u r i s d i c t i o n s we

tration o b j e c t i v e s outlined in the L i e c h t e n s t e i n

call states.

Draft C o n v e n t i o n .

Commentary Fred W. Riggs

P

r o f e s s o r Ian S . L u s t i c k ' s paper m a k e s i m -

I r e l a n d , it m i g h t h a v e p r o v i d e d a v i a b l e l o n g -

portant t h e o r e t i c a l c o n t r i b u t i o n s to our un-

term s o l u t i o n . H o w e v e r , m y g u e s s is that Irish

derstanding

of

the

conditions

under

which

activists would not h a v e b e e n willing to a c c e p t

states a g r e e to c o n t r a c t their territorial b o u n d -

indefinitely the o p p o r t u n i t i e s o f f e r e d by auton-

aries, e s p e c i a l l y in r e s p o n s e to d e m a n d s for in-

o m y — t h e y w o u l d h a v e m o v e d , e v e n t u a l l y , to

dependence

d e m a n d full i n d e p e n d e n c e . Yet t h a t ' s o n l y a

by

ethnonational

communities.

S i n c e the t h e m e o f the c o n f e r e n c e relates to au-

s p e c u l a t i o n . S i m i l a r q u e s t i o n s might be raised

t o n o m y , h o w e v e r , I will f o c u s on the r e l a t i o n

a b o u t F r a n c e ' s r e l a t i o n s h i p to A l g e r i a and Is-

b e t w e e n grants o f a u t o n o m y and s e c e s s i o n .

r a e l ' s to the P a l e s t i n i a n s .

T h e L i e c h t e n s t e i n i n i t i a t i v e at the U n i t e d N a t i o n s e n d o r s e s a u t o n o m y and s e l f - a d m i n i s -

Autonomy Versus Contraction

tration as a v i a b l e s o l u t i o n to p r o b l e m s r a i s e d

I f these q u e s t i o n s are g e r m a n e , then should we

b y the m o b i l i z a t i o n o f t e r r i t o r i a l l y b a s e d eth-

not c o u p l e c o n s i d e r a t i o n o f the c o n d i t i o n s lead-

n o n a t i o n a l m i n o r i t i e s within m a n y c o n t e m p o -

ing to state c o n t r a c t i o n with a parallel a n a l y s i s

rary s t a t e s . W i l l s u c h c o m m u n i t i e s ,

o f the c i r c u m s t a n c e s under w h i c h

however,

autonomy

view a u t o n o m y as an a c c e p t a b l e permanent sta-

could preserve a state's boundaries while safe-

tus or o n l y as a t e m p o r a r y e x p e d i e n t on the

guarding its tranquility as a v i a b l e r e g i m e ? Put

road to i n d e p e n d e n c e ?

d i f f e r e n t l y , c o u l d s u c h c o n s i d e r a t i o n s be used

In the Irish c a s e , a c c o r d i n g to L u s t i c k (p.

to e n c o u r a g e r e g i m e s to f a v o r a u t o n o m y as a

110), Gladstone's proposal o f " h o m e rule" for

route that, i f a d o p t e d s o o n e n o u g h , m i g h t pre-

Ireland was r e j e c t e d — p e r h a p s as " t o o little, too

vent the e s c a l a t i o n o f s e l f - d e t e r m i n a t i o n m o v e -

l a t e . " P o s s i b l y at an e a r l i e r s t a g e , if a u t o n o m y

m e n t s to a l e v e l w h e r e e t h n i c v i o l e n c e , terror-

had b e e n granted to the Irish within the f r a m e -

i s m , w a r f a r e , and the u l t i m a t e p a r t i t i o n o f a

w o r k o f a union b e t w e e n G r e a t B r i t a i n

c o u n t r y c o u l d be a v o i d e d ? In this c o n t e x t , the

and

Commentari/

c a s e s t u d i e s o f f e r e d by L u s t i c k are i n s t r u c t i v e as a w a r n i n g to t h o s e w h o a r d e n t l y resist state c o n t r a c t i o n . R e f u s a l to a g r e e to a u t o n o m y may, in f a c t , p r o v o k e the m o s t f e a r e d o u t c o m e : territorial losses, civil wars, and g e n o c i d e . S e e n in this p e r s p e c t i v e , a u t o n o m y m i g h t a l s o p r e v e n t o n e of t h e m o s t tragic c o n s e q u e n c e s of state c o n t r a c t i o n — n a m e l y , w h a t h a p p e n s to settlers w h o are almost u n a v o i d a b l y m a r g i n a l i z e d w h e n i n d e p e n d e n c e is e s t a b l i s h e d . In the A l g e r i a n c a s e , L u s t i c k tells us that virtually the entire E u r o p e a n p o p u l a t i o n of A l g e r i a (about 0.9 million p e o p l e ) tied after ind e p e n d e n c e . and their p l i g h t w a s a g g r a v a t e d w h e n f e a r f u l settlers r e s o r t e d to v i o l e n c e . Lustick d o e s not tell us a b o u t the f a t e of P r o t e s tants in Ireland after it g a i n e d its i n d e p e n d e n c e in 1922, but I a s s u m e they were either m a r g i n a l i z e d or f l e d . N o d o u b t m a n y P r o t e s t a n t s in Ulster today f e a r that they, too, will be marginalized by s u b j e c t i o n to Irish rule if the island is really u n i f i e d — a result clearly a n t i c i p a t e d by the m a p s of Ireland that depict Ulster as one of its p r o v i n c e s . O n e of the a d v a n t a g e s of g r a n t i n g a u t o n o m y to any " e t h n o n a t i o n " m i g h t well be that, by m u t u a l a g r e e m e n t , colonists f r o m the h o m e land could be protected f r o m marginalization in their h o s t l a n d s ( f o r w a n t of better t e r m s , I use " h o m e l a n d " to r e f e r to the territory f r o m which settlers m o v e and " h o s t l a n d " to the area w h e r e they settle). M a n y c o n t e m p o r a r y e x a m p l e s can be m e n t i o n e d to illustrate this d i l e m m a : for exa m p l e , had the S o v i e t state m o v e d q u i c k l y to grant real a u t o n o m y to the Baltic republics, the plight of m a r g i n a l i z e d R u s s i a n m i n o r i t i e s in these s u c c e s s o r states m i g h t not be as sad as it is today. C o m p a r a b l e p r o b l e m s can be f o u n d in all the r e p u b l i c s of t h e f o r m e r S o v i e t U n i o n . S e e n in this p e r s p e c t i v e , g r a n t s of a u t o n o m y m a y be v i e w e d as a strategy d e s i g n e d not only to p r e v e n t state c o n t r a c t i o n but a l s o to p r o t e c t settler c o m m u n i t i e s .

Retrenchment Versus Dispossession or Secession M y o r i g i n a l d r a f t c o n t a i n s c o m m e n t s on the structural m o d e l and t e r m i n o l o g y used in P r o f e s s o r L u s t i c k ' s paper. S p a c e l i m i t a t i o n s c o m pel their d e l e t i o n f r o m this r e v i s i o n , but the d i s c u s s i o n p r o v o k e s a final note that can be inc l u d e d here. T h e p a p e r d r a w s an i m p o r t a n t

125

contrast b e t w e e n d e c o l o n i z a t i o n and secession; h o w e v e r , I think w e s h o u l d d i s t i n g u i s h a m o n g three levels of state c o n t r a c t i o n , i n c l u d i n g o n e i n t e r m e d i a t e level b e t w e e n d e c o l o n i z a t i o n and secession. T h e utility of a u t o n o m y m a y well be greater w h e n this i n t e r m e d i a t e level is involved instead of the t w o p o l a r e x t r e m e s i d e n t i f i e d in the paper. M o s t s t r u g g l e s f o r " d e c o l o n i z a t i o n " (or " d i s p o s s e s s i o n , " as I w o u l d r a t h e r call t h e m ) i n v o l v e o n l y the loss of p o s s e s s i o n s — i t ' s like losing a b e l o v e d pet. In c a s e s of d e c o l o n i z a tion, a u t o n o m y m a y not be very r e l e v a n t bec a u s e it e n t a i l s c o s t s that t h e central r e g i m e m a y gladly avoid by p r o m p t l y granting full ind e p e n d e n c e to a b r e a k a w a y territory. At the o p p o s i t e e x t r e m e , a struggle for ind e p e n d e n c e in a w e l l - i n t e g r a t e d d o m a i n can be seen as l i f e - t h r e a t e n i n g — I s u p p o s e most C a n a d i a n s w o u l d feel that w a y about losing Q u e b e c or p e r h a p s N e w f o u n d l a n d , w h e r e s e p a r a t i s t s e n t i m e n t s can a l s o be f o u n d . D e a d l y g r i e f s w o u l d s u r f a c e if Q u e b e c b e c a m e i n d e p e n d e n t — a n o t h e r c o n s i d e r a t i o n for the O t t a w a elites. M o s t r e g i m e s will view L u s t i c k ' s secession c r i s e s as l i f e - t h r e a t e n i n g . I n s o f a r , theref o r e , as a n y part of a c o u n t r y is v i e w e d as a highly i n t e r d e p e n d e n t and well-integrated c o m p o n e n t of the w h o l e , q u e s t i o n s of a u t o n o m y will be v i e w e d as i n c o n c e i v a b l e . H o w e v e r , t h e r e is a l s o an i n t e r m e d i a t e c o n d i t i o n in which the loss of m a n y citizens is i n v o l v e d , but a s u b s t a n t i a l part of the p o p u l a tion cannot accept full integration into the society or feel that they are not a c c e p t e d by t h e d o m i n a n t c o m m u n i t i e s . I w o u l d locate such s t r u g g l e s at the stage of " r e g i m e m a i n t e n a n c e " (or " c o n s o l i d a t i o n , " as I w o u l d r a t h e r call it). C e r t a i n l y , the Israeli g o v e r n m e n t c a n n o t think of all r e s i d e n t s of the West B a n k as " I s r a e l i s , " but a f t e r h a v i n g e n c o u r a g e d m a n y J e w s to settle t h e r e , it has to c o n s i d e r the p o l i t i c a l r e p e r c u s s i o n s within Israel if P a l e s t i n i a n indep e n d e n c e (or a u t o n o m y ) leads to the m a r g i n a l ization of t h e s e c o l o n i z e r s . C o n s i d e r the c u r rent c o s t s to Israel i m p o s e d by the n e e d to p r o v i d e s e c u r i t y f o r the J e w i s h settlers in G a z a . Yet can s u c h c o l o n i s t s m i g r a t e b a c k to Israel? If so, w h e r e w o u l d they live and get j o b s ? W h o would c h a m p i o n their cause in Israel? T h e s e are k n o t t y p r o b l e m s , but they res e m b l e the loss of a l i m b m o r e than the d e a t h

Fred W. Riggs

126 caused by a fatal illness. Do we not need a concept intermediate between d e c o l o n i z a t i o n and secession to talk about t h e m ? How about ret r e n c h m e n t ? T h a t ' s only a first t h o u g h t — n o d o u b t better terms can be imagined. To retrench, according to Webster's Dictionary, is to "cut off or r e m o v e . " W h a t de Gaulle did to France in 1962 might be well identified as a case of retrenchment rather than of either decolonization or secession. One way to reduce the potential trauma of r e t r e n c h m e n t is to accelerate grants of autono m y — a s in Puerto Rico. U.S. citizens living there might suffer if i n d e p e n d e n c e c a m e , but many Puerto Ricans also o p p o s e the pressures to Americanize that statehood and full integration in the United States might imply. My und e r s t a n d i n g is that although most Puerto Ricans dislike " c o m m o n w e a l t h " (i.e.. a u t o n o m y ) status, they see it as the best way to c o m p r o mise their contradictory interests. If this be so, then although a u t o n o m y may not be a viable solution for c o m m u n i t i e s intent on either decolonization or secession, it could work well as an alternative to r e t r e n c h m e n t . T h a t ' s just a h u n c h , but it seems worthy of f u r t h e r study, and it suggests an elaboration of the splendid model that Lustick's paper gives us.

Test Cases Finally, it occurs to me that a study of various e x a m p l e s of s u c c e s s f u l " a u t o n o m y " used to avoid complete sovereign independence, on the one hand, and integration within a larger society, on the other, could give us a f e w good ideas about how a u t o n o m y can be used to avoid retrenchment and the contraction of a state that would ensue. My guess is that in such cases the greater trauma of secession and the lesser trauma of dispossession have both been essentially irrelevant. What I have in mind are, for example, the s e l f - g o v e r n i n g Isle of M a n , which peacefully coexists in close proximity to the United Kingdom; or the Islands of Jersey and Guernsey. Or, c o m e to think of it, how about Liechtenstein itself, which is really independent of both Switzerland and Austria, yet s o m e h o w closely linked to and dependent on them? Let me conclude. therefore, with some words of appreciation and admiration for our f r i e n d s and sponsors in Liechtenstein. Their imaginative support of a very worthy cause, the study of situations in which grants of self-administration with autonomy in any country might lead to peace and harmony a m o n g its culturally diverse peoples, is indeed greatly appreciated.

Commentary Michael

Walzer

I

want to focus, in this brief c o m m e n t , on the r e l a t i o n s h i p of s e l f - d e t e r m i n a t i o n to state contraction and, specifically, on the normative aspects of that relationship. For this occasion, I will write as s o m e o n e more interested in moral p h i l o s o p h y than in political science. Hence, I will have little to say about Lustick's theory or his model or his stages and thresholds and n o t h i n g at all to say about the possible w i d e r uses of any of these. I am, in any case, generally sympathetic to theory contraction. I am also sympathetic to state contraction, which certainly seems a good idea with reference

to many states (we will all have lists in mind). But the idea of contraction isn't simply symmetrical with self-determination, and it isn't an accident that self-determination has advocates at the theoretical level, contraction only at the practical level. Lustick's paper is a theoretical account of this practical advocacy: what are its stages, what are the conditions of its success, and so on. T h e r e d o e s n ' t seem to be any special virtue in contracted states, in small or smaller states. In international society, small is not necessarily beautiful: it isn't the size of a country

Commentary

that counts but its regime. T h e g r o u p of Austrian socialist intellectuals who wanted to turn the Hapsburg e m p i r e into a federation of nationalities, with a strong center capable of economic planning, w e l f a r e provision, and redistribution, were surely not wrong, though they were o p p o n e n t s of the contraction that was eventually imposed at Versailles. It is only in the f a c e of legitimate d e m a n d s f o r self-determination and effective political mobilization on its behalf that state contraction becomes a good idea. What m a d e "Little E n g l a n d " morally attractive was rebellion in the empire. The initiative comes, then, f r o m the other side of Lustick's "other side," that is, f r o m the group that claims a collective right to secede. Many people believe that it should c o m e from that side and that secession is always justified: self-determination is a right, they argue, that should never be left unclaimed. There is some special virtue in m a k i n g the claim, so that national liberation is always the work of moral heroes. Yet this is by no means obvious, for the idea of self-determination is a m b i g u o u s as to the identity of the collective self. If the whole state can be s e l f - d e t e r m i n i n g , and all its residents democratic citizens, what is the virtue of contracting it? W h y should this or that ethnic/ national/religious group lay hold of the extraordinary powers of state sovereignty? T h e question is especially hard given the fact that self-determination for the group may not mean self-determination for its individual m e m b e r s , let alone for the m e m b e r s of minority g r o u p s that fall under its rule; but the history of national oppression is such that most of us are ready to put aside these doubts or to worry about them only on the side or after the fact. So new states appear, and some of them oppress their own national minorities, w h o in turn claim the right of self-determination. Lustick avoids w o r r y i n g in this way by giving us examples in which the subjugation of nations—Algerians, Irish, and Palestinians—is sufficiently severe so that we can immediately see the reasons for their self-determination and for the reciprocal contractions. I am inclined to think that the legitimacy of self-determination (when it is as clear as it is in these cases) is something very close to a sufficient reason for state contraction. Yet it is clearly not a sufficient explanation. Is it a necessary part of the

12 7 e x p l a n a t i o n ? T h i s is to ask an old question about the role of morality in political decisionm a k i n g . Let m e ask the question in the strongest possible way: Has there ever been a case of state contraction in the face of a demand for self-determination that we would regard as illegitimate? Colleagues suggest the British withdrawal f r o m R h o d e s i a in favor of the settlers rather than the R h o d e s i a n A f r i c a n s — a n interesting example, in part because the wrong it involved was so soon corrected. The South African withdrawal f r o m the African " h o m e l a n d s " is not an example at all, for it was not a genuine case of state contraction. T h e C o n f e d e r a t e rebellion and the Katangan secession are nice e x a m p l e s of illegitimate and failed d e m a n d s for self-determination. And there are undoubtedly many more cases of legitimate and failed d e m a n d s , where people at the center argued for contraction and were defeated. The crucial point is that there have to be people at the center arguing for contraction, and not many such people are likely to put in an a p p e a r a n c e unless a good case can be made for the justice of secession at the periphery. Lustick writes political science, not moral philosophy, so he d o e s n ' t address this issue directly, but when he provides a list of conflicts in which he thinks that his account of contraction might be useful, isn't he choosing cases in which the advocates of selfdetermination are, in his view, justified? Of course, the legitimacy of self-determination isn't a matter of all or nothing. There are many possibilities between full incorporation and full separation, and the eventual o u t c o m e will depend, and should depend, on m a n y different features of the actual situation. T h e crucial moral feature is the fact of, or the sense of (or some combination of the two), oppression, estrangement, and cultural difference in the peripheral region. That is what m o v e s g r o u p s to d e m a n d s e l f - d e t e r m i n a t i o n — a n d what generates support at the center. O n e can imagine a continuum a m o n g people at the periphery running f r o m s o m e point at which they cannot imagine themselves accepting anything but ind e p e n d e n c e to a point at which a m i n o r devolution of powers, local self-rule across a range of local issues, would satisfy them. Political militants stand resolutely at the first point and claim that e v e r y o n e else is right behind them,

128

Michael

Walzer

b u t t h i s is not a l w a y s t r u e . T h e i n a b i l i t y of

Lustick's Figure 4.1), then we might need a

S c o t t i s h and W e l s h n a t i o n a l i s t s , f o r e x a m p l e , to

n e w a c c o u n t of h o w t h i n g s w o u l d w o r k , or

w i n m o r e than a s m a l l p r o p o r t i o n of the v o t e r s

should

in b o t h n a t i o n a l a n d l o c a l e l e c t i o n s s u g g e s t s

w o u l d e x p e c t p e o p l e s y m p a t h e t i c to the idea of

work,

along

Lustick's continuum.

I

t h a t o r d i n a r y S c o t s a n d W e l s h a r e n ' t , in f a c t ,

s e l f - d e t e r m i n a t i o n , but u n s u r e of the i d e o l o g i -

o p p r e s s e d by or e s t r a n g e d f r o m or all t h a t d i f -

cal l o c a t i o n of m e n a n d w o m e n on t h e o t h e r

f e r e n t f r o m o t h e r B r i t i s h e r s or, at a n y

side, to w a n t to e x p e r i m e n t w i t h a c o n s i d e r a b l e

rate,

d o n ' t b e l i e v e t h e m s e l v e s to b e . T h e m i l i t a n t s

v a r i e t y of c o n s t i t u t i o n a l a r r a n g e m e n t s .

will c l a i m that t h e s e are e x a m p l e s of f a l s e c o n -

m i g h t m a k e a s e r i e s of p r o p o s a l s , s t a r t i n g w i t h

They

s c i o u s n e s s , but w h i l e m e n a n d w o m e n c a n . n o

d e v o l u t i o n , a n d o n l y w h e n e a c h of t h e s e r i e s

d o u b t , b e m i s i n f o r m e d a b o u t m a n y t h i n g s , it is

h a d f a i l e d to w i n a c c e p t a n c e on the o t h e r side

h a r d to i m a g i n e a n y o n e e l s e w h o m i g h t k n o w

w o u l d t h e y r e a c h to c o n t r a c t i o n . A n d it m a y

b e t t e r t h a n they d o w h e t h e r they are, in t h e rel-

w e l l be that w o r k i n g t h r o u g h a s e r i e s of this

e v a n t s e n s e , m o r e or less B r i t i s h .

sort is the best w a y of m o v i n g p e o p l e on their

If w e a c c e p t t h a t p o s s i b l e c a n d i d a t e s f o r self-determination

locate

s o m e such continuum

themselves

along

(the m i r r o r i m a g e

of

o w n side f r o m the right to the left on L u s t i c k ' s m o d e l — a n d f r o m right to left m o r e g e n e r a l l y .

CHAPTER 5

The United Nations and National Self-Determination: The New Interventionism and an Internationalist Alternative1 Michael W. Doyle

S

ince the end o f the Cold War, the commu-

mitments and escalating

nity o f nations has experienced a near-

provoked a severe crisis in UN peace enforce-

use o f force

have

revolution in the relation between what is in

ment, driving the new interventionism to a po-

the legitimate realm o f state sovereignty and

litical dead-end in Bosnia and Somalia.

what is subject to legitimate international intervention. Employing a strikingly intrusive inter-

1. Beginning with a description o f the revo-

pretation o f United Nations Charter provisions

lution in state sovereignty, I show how the rights

concerning international peace and security, the

of collective intervention have increased and the

U N ' s m e m b e r states have endorsed a radical

rights o f once legitimate sovereignty, including

expansion in the scope o f collective interven-

unilateral intervention, have narrowed. Here I

tion. In the past four years, the new inter-

draw some comparisons with both Cold War UN

ventionism has both vastly widened legitimate

doctrine and to the traditional legal and moral

c o l l e c t i v e interventions and considerably nar-

standards of international ethics and law.

rowed the scope o f legitimate state, unilateral

2. I then offer a brief account o f the polit-

intervention. Both serve to reduce the scope o f

ical origins o f global sovereignty, discussing

state sovereignty. This widening o f the domain

how and why this occurred.

o f global authority and the shrinking o f state

3. For the United Nations, this ideological

sovereignty have had two effects on national

revolution produced a crisis o f overcommit-

self-determination:

of

ment and a failure o f (UN Charter) Chapter VII

states have been fettered; and the rights o f

enforcement by the United Nations. In the third

the traditional

rights

some oppressed nations have been (partly) rec-

section I illustrate how this crisis of credibility

ognized. And significantly, the basic human

created havoc in the United Nations Protection

rights o f all people and peoples found a new

F o r c e for the F o r m e r Yugoslavia

protector, which opened new opportunities for

F O R ) and in the United Nations Operation in

individual and communal self-expression

(UNPRO-

in

Somalia ( U N O S O M ) . Both failures contributed

countries ranging from Cambodia to El Sal-

to the retrenchment the UN Secretary-General

vador. Yet, at the same time, unfulfilled c o m -

has now acknowledged.

1. This paper was written with the generous support of the Liechtenstein Research Program on SelfDetermination. It also draws on research supported by the Ford Foundation, which I conducted while serving as vice president of the International Peace Academy and on "Forcing Peace," Dissent (Spring 1994): 1 6 7 - 1 7 1 , and The UN in Cambodia: UNTAC's Civil Mandate (Boulder, Colo: Lynne Rienner, 1995). I would like to thank the Liechtenstein Research Program, the International Peace Academy, the Ford Foundation and, in particular, Ambassador Emilio Cardenas, General Jean Cot, Ambassador Ibrahim Gambari, Professor Jeffrey Herbst, Mr. Ian Johnstone, Professor Hurst Hannum, Mr. F.T. Liu, Ambassador Hisashi Owada, Mr. Laurence Pearl, Ambassador Danilo Turk, and Professor John Waterbury for their valuable advice. None of the above bear responsibility for the views advocated in this paper.

129

130

Michael

4. I c o n c l u d e w i t h a s u g g e s t i o n f o r h o w to a d j u s t to t h e o v e r b u r d e n on l i m i t e d U N s o u r c e s w h i l e still p r o t e c t i n g g l o b a l

•

re-

W. Doyle

S e c u r i t y C o u n c i l R e s o l u t i o n 6 8 7 (the Gulf War Resolution) envisaged a com-

human

prehensive,

rights and e n h a n c i n g both national and c o m -

intrusive

interference

in

Iraqi s o v e r e i g n t y . R e s o l u t i o n 6 8 7 , we

munal self-determination. Drawing on the ex-

s h o u l d n o t e , w a s not a n a g r e e d u p o n

a m p l e s of the U N o p e r a t i o n s in C a m b o d i a a n d

p e a c e t r e a t y with a d e f e a t e d n a t i o n or a

El S a l v a d o r , I a r g u e that t h e U N n e e d s to f o s t e r

preemptive m e a s u r e against a current

a political e n g a g e m e n t

sover-

t h r e a t to t h e p e a c e , but a set of s a n c -

e i g n t y , an i n t e r n a t i o n a l i s t a l t e r n a t i v e b a s e d on

t i o n s i m p o s e d f o r t h e s a k e of g l o b a l

an e n h a n c e m e n t of C h a p t e r V l - b a s e d c o n s e n t .

o r d e r , in o r d e r , w e c a n p r e s u m e , to re-

The UN Challenges State Sovereignty

s e t s e x t r a o r d i n a r y p r e c e d e n t s : it regu-

with national

f o r m a p r o v e n i n t e r n a t i o n a l o u t l a w . It Recent years have witnessed a massive expan-

l a t e s p e r m i s s i b l e w e a p o n s , c r e a t e s an

sion of U N a c t i o n in i n t e r n a t i o n a l p e a c e a n d

o b s e r v a t i o n f o r c e , d e m a r c a t e s the c o u n -

security. T h e r e are n o w s e v e n t e e n p e a c e k e e p -

try's

ing a n d p e a c e e n f o r c e m e n t o p e r a t i o n s , w h e r e

r e p a r a t i o n s , and m a n d a t e s the p r a c t i c e s

borders

with

Kuwait,

enforces

the U n i t e d N a t i o n s u s e d to h a v e t w o o r t h r e e

of the Iraqi g o v e r n m e n t v i s - a - v i s the

small truce supervision or o b s e r v a t i o n opera-

e x e r c i s e of h u m a n r i g h t s a n d the pro-

t i o n s . T h e c u r r e n t a n n u a l c o s t of t h e s e o p e r a -

tection of internal d i s s i d e n t s , t h e K u r d s and S h i i t e s . '

tions is a b o u t half the total cost of all U N o p e r ations since 1947, but m e a s u r e s of the n u m b e r

•

Security Council

Resolution

688 of-

a n d cost of t h e o p e r a t i o n s d o not r e v e a l the

f e r e d s p e c i f i c p r o t e c t i o n to an Iraqi mi-

c h a n g e in t h e i r n a t u r e . T h e U N h a s b e e n , is,

n o r i t y — t h e K u r d s . It d i d so by d e c l a r -

and is likely to long r e m a i n an o r g a n i z a t i o n of

ing the p o s s i b l e f l o w of r e f u g e e s to be a

states. Yet the e n d of the C o l d W a r s a w a will-

threat

i n g n e s s on the part of the i n t e r n a t i o n a l c o m m u -

presumably

nity to c h a l l e n g e state s o v e r e i g n t y a n d to re-

self-determination and overriding

strict the c l a i m of s t a t e s t o d e f i n e w h a t is t h e

o p p o s i t i o n of Y u g o s l a v i a , t h e

to i n t e r n a t i o n a l

peace.

in t h e n a m e

of

Acting national the

United

" e s s e n t i a l " n a t u r e of d o m e s t i c s o v e r e i g n t y in

N a t i o n s a d m i t t e d f o u r of its f o r m e r ter-

the n a m e of an e m e r g i n g g l o b a l v i e w of h u m a n

ritorial

rights a n d n a t i o n a l s e l f - d e t e r m i n a t i o n , b o t h e x -

Croatia, and B o s n i a — a s s o v e r e i g n m e m -

ternal and i n t e r n a l . 2 International

law,

units—Macedonia,

Slovenia,

ber states. as

embodied

in

the

•

S e c u r i t y C o u n c i l R e s o l u t i o n 6 4 8 , the L i b y a - L o c k e r b i e case, declared a fail-

U n i t e d N a t i o n s C h a r t e r ( 1 9 4 5 ) , in A r t i c l e 2 ( 4 ) p r e c l u d e s s t a t e s f r o m t h e " t h r e a t o r use of

ure to e x t r a d i t e a l l e g e d t e r r o r i s t s to be a

f o r c e " a g a i n s t the " t e r r i t o r i a l integrity o r polit-

threat to the p e a c e a n d i n v o k e d C h a p t e r VII m a n d a t o r y e c o n o m i c s a n c t i o n s .

ical i n d e p e n d e n c e " of a n y o t h e r s t a t e . A r t i c l e 2 ( 7 ) f u r t h e r p r o v i d e s that the U N itself is not

•

In S e c u r i t y C o u n c i l R e s o l u t i o n 7 9 4 , the

a u t h o r i z e d to i n t e r v e n e in m a t t e r s " e s s e n t i a l l y "

U N j u d g e d the s t a r v a t i o n of t h o u s a n d s

w i t h i n the d o m e s t i c j u r i s d i c t i o n of s t a t e s , ex-

of h u m a n b e i n g s in S o m a l i a to be a

c e p t w h e n the S e c u r i t y C o u n c i l

t h r e a t to the p e a c e a n d so a u t h o r i z e d

Chapter

VII

concerning

matters

acts that

under are

the

Unified Task

" t h r e a t s to the p e a c e , b r e a c h e s of t h e p e a c e , or

United

acts of a g g r e s s i o n . "

same

Yet c u r r e n t p r a c t i c e in the past t h r e e y e a r s is strikingly d i f f e r e n t :

States. view

in

Force,

It t h e n

led by

reiterated

Resolution

created a mandate for a

814

the the and

comprehen-

sive r e g i m e of law, o r d e r , a n d n a t i o n a l

2. For a legal analysis of c h a n g i n g n o r m s of state sovereignty and national self d e t e r m i n a t i o n , see Chapter 2 by Richard Falk in this volume. 3. See Ian Johnstone, Aftermath of the Gulf War: An Assessment of UN Action (IPA Occasional Paper/ Lynne Rienner, 1994). Stephen S t e d m a n , "The New Interventionist," Foreign Affairs 72, no. 1 (1993): 1 - 1 6 , for a valuable discussion of interventionist trends in p o s t - C o l d War international politics.

The United Nations and National

self-determination.4

•

Self-Determination

131

UNOSOM

d e s i g n e d to h e l p s u p p r e s s a p o p u l a r r i s i n g by a

r e g i m e in 1993 b e g a n to r e s e m b l e c o l o -

s t a t e ' s o w n p e o p l e . C o n v e r s e l y , it p e r m i t t e d in-

nial rule, albeit f o r a b e n i g n p u r p o s e .

tervention against the g o v e r n m e n t

Security Council R e s o l u t i o n 841 c o n -

rebels only when the rebels had established a

cerning

embargo

c o n t r o l of t e r r i t o r y s u f f i c i e n t t o b e r e c o g n i z e d

a n d b l o c k a d e to r e s t o r e f o r m e r P r e s i -

as a b e l l i g e r e n c y (e.g., the C o n f e d e r a c y in t h e

The

Haiti, enforced

an

in a i d of

d e n t A r i s t i d e , l e g i t i m a t e l y e l e c t e d by

U . S . C i v i l W a r ) a n d then o n l y if o t h e r s t a t e s

7 0 p e r c e n t of t h e v o t e a n d o u s t e d in a

were first aiding the g o v e r n m e n t side.6 T h e s e

c o u p in S e p t e m b e r 1 9 9 1 . H e r e w e s e e

s t a n d a r d s w e r e r e a f f i r m e d by the d i s p o s i t i o n of

a n act of w a r ( t h e b l o c k a d e ) i m p o s e d

the N i c a r a g u a case b e f o r e the

f o r t h e s a k e of r e s t o r i n g

C o u r t of J u s t i c e , in w h i c h a variety of U . S . j u s -

democratic

International

t i f i c a t i o n s f o r its i n t e r v e n t i o n a g a i n s t

rule.

Nica-

ragua were rejected. L a t e r S e c u r i t y C o u n c i l s a n c t i o n s c o n t i n u e d the

T h e s e t r a d i t i o n a l p r o h i b i t i o n s a g a i n s t in-

border-leaping pattern.s The UN imposed sanc-

t e r v e n t i o n w e r e m a d e e v e n s t r o n g e r by U N m a -

t i o n s a g a i n s t an internal g u e r r i l l a m o v e m e n t —

j o r i t i e s in t h e G e n e r a l A s s e m b l y . T h o u g h not

U N ITA ( N a t i o n a l U n i o n f o r the Total L i b e r a -

r e c o g n i z e d as b i n d i n g i n t e r n a t i o n a l law, t h e s e

tion of A n g o l a ) in A n g o l a — f o r its f a i l u r e to

jurisprudential

a b i d e by the r e s u l t s of t h e e l e c t i o n w o n by its

strictly c o n d e m n e d " i n t e r f e r e n c e , " in any f o r m —

o p p o n e n t s . T h e U N had m o n i t o r e d the e l e c t i o n

"political, e c o n o m i c and cultural"—"in the do-

a n d c e r t i f i e d that it h a d b e e n c o n d u c t e d in a

m e s t i c a f f a i r s of s o v e r e i g n s t a t e s . " 7

free and fair manner. Pre-Charter

international

declarations

and

resolutions

H u m a n - r i g h t s - o r i e n t e d ( l i b e r a l ) m o r a l arlaw

lent

s u p p o r t to p o s t - C o l d W a r g l o b a l i s m .

little

g u m e n t w a s m o r e p e r m i s s i v e of i n t e r v e n t i o n ,

Tradi-

but it a l l o w e d i n t e r v e n t i o n o n l y w h e n the b a s i c

t i o n a l l a w w a s a set of " c l u b r u l e s " f o r s o v e r -

p u r p o s e s by w h i c h n a t i o n a l s o v e r e i g n t y is j u s -

e i g n s , b a c k - s c r a t c h i n g p r i n c i p l e s d e s i g n e d to

tified—national self-determination and individ-

protect their sovereignties while permitting ex-

ual a u t o n o m y — w e r e so e g r e g i o u s l y

t e n s i v e i n t e r f e r e n c e and c o l o n i a l activity in the

that state s o v e r e i g n t y lost its m e a n i n g . It t h u s

n o n r e c o g n i z e d p a r t s of t h e w o r l d r e m o t e f r o m

a l l o w e d i n t e r v e n t i o n in s u p p o r t of:

violated

" c i v i l i z e d " E u r o p e and North America. Tradit i o n a l l a w a l l o w e d a n y s t a t e to a s s i s t a n y r e c -

1. n a t i o n a l s e c e s s i o n s , w h e n t h e r e are t w o

o g n i z e d g o v e r n m e n t at, but o n l y at, its r e q u e s t .

n a t i o n s , o n e s t r u g g l i n g to f r e e itself

S u c h i n t e r v e n t i o n s by i n v i t a t i o n w e r e o f t e n

f r o m the c o n t r o l of a n o t h e r ;

4. U N O S O M deliberately postponed the issue of whether northern Somalia would or would not be included in " S o m a l i a , " but its mandate presupposed a unified Somalia. For the operations of U N O S O M . see S a m u e l M a k i n d a , Seeking Peace from Chaos: Humanitarian Intervention in Somalia (IPA O c c a sional P a p e r / Lynne Rienner, 1993). S o m a l i a soon b e c a m e the classic " f a i l e d state," subject to what a m o u n t e d to a UN trusteeship. The term "failed states" was introduced by Gerald Helman and Steven Ratner. " S a v i n g Failed States," Foreign Policy (Winter 1 9 9 2 - 1 9 9 3 ) : 3 - 2 1 . 5. T h e U N ' s actions have significant p r e c e d e n t : the U N sanctions against South A f r i c a n a p a r t h e i d , which significantly were a f f i r m e d by the International Court of Justice. The Security Council in Res. 253 (1969) also imposed sanctions under Chapter VII against the racist, undemocratic regime of Southern Rhodesia for its " i n h u m a n executions"; this despite the fact that Southern Rhodesia posed no direct threat to the territorial integrity or political independence of any other state, nor was it a weak or "failed state." 6. For valuable summaries of the current state of international law on these matters see Louis Henkin, International Law: Politics, Values and Functions (Recueil des C o u r s , 1989), chaps. 7 - 8 ; and O s c a r Schachter, International Law in Theory and Practice (1991), chap. 7. 7. General Assembly Resolution 2625, "Declaration on the Principles of Friendly Relations and C o o p eration A m o n g States, 1970." The only major, formal erosion of state sovereignty in the Cold War system w a s directed against South A f r i c a (see note 5) and colonial r e g i m e s , w h o s e A f r i c a n , Asian, and Caribbean colonies were declared to have a right to national independence.

Michael

132

2. c o u n t e r i n t e r v e n t i o n in a civil w a r , w h e n

p e r m a n e n t m e m b e r s b u t by t h e

W. Doyle

Nonaligned

a f o r e i g n f o r c e s e e k s to tilt a d o m e s t i c

M o v e m e n t m e m b e r s of the S e c u r i t y C o u n c i l —

struggle for sovereignty;

C a p e V e r d e , D j i b o u t i , M o r o c c o , P a k i s t a n , and

3. an e f f o r t to halt g e n o c i d e , w h e n the survival of the p e o p l e is m a d e an o b j e c t of d i r e c t and dire t h r e a t . 8

V e n e z u e l a — a n d by M u s l i m s t a t e s o u t s i d e the Council.10 In a d d i t i o n to U N i n t e r v e n t i o n s to s u p p o r t global h u m a n rights, other U N

interventions

tradition

a l s o d i m i n i s h e d n a t i o n a l s o v e r e i g n t y in yet an-

a n d 1 9 9 1 - 1 9 9 3 p r a c t i c e : T h e U N i n t e r v e n e d to

o t h e r w a y , o n e that w a s e q u a l l y r e v o l u t i o n a r y .

r e s h a p e I r a q ' s b o r d e r s a n d d e t e r m i n e its t r e a t -

Recent UN practice contracted the traditional

m e n t of m i n o r i t i e s and to d e c i d e on its p e r m i s -

s o v e r e i g n rights to e n g a g e in a n d s u p p o r t c o u n -

sible m i l i t a r y c a p a c i t y . It d e t e r m i n e d to r e s t o r e

t e r i n t e r v e n t i o n in civil w a r s as well as national

d e m o c r a c y in H a i t i , e x t r a d i t e t e r r o r i s t s f r o m

secession. Under traditional law and

L i b y a , f o r c e U N I T A to a b i d e by an e l e c t i o n ,

s t a t e s c h a l l e n g e d by an a r m e d g r o u p c o u l d re-

a n d e s t a b l i s h law a n d o r d e r a n d a d e m o c r a t i c

quest assistance. Complementarily, a recog-

Let us n o t e the d i f f e r e n c e b e t w e e n

r e g i m e — b y M a r c h 1995, n o l e s s — i n S o m a l i a .

nized, "legitimate" belligerent could

ethics,

request

T h e n e w i n t e r v e n t i o n i s m did not a p p e a r to

assistance against foreign intervention support-

r e f l e c t a c o m p l e t e g l o b a l c o n s e n s u s on g l o b a l

ing the g o v e r n m e n t s i d e . Yet B o s n i a , a r e c o g -

r e s p o n s i b i l i t y . A n u m b e r of states f r o m the for-

nized

m e r T h i r d W o r l d and f o r m e r S e c o n d W o r l d s a w

prevented

member

a d a n g e r of t y r a n n y in t h e p r o c e s s of S e c u r i t y

a c q u i r i n g such a s s i s t a n c e . It c a n n e i t h e r request

C o u n c i l d e c i s i o n m a k i n g . T h e y a s s e r t e d that too

aid a g a i n s t S e r b a n d C r o a t r e b e l s as a s o v e r -

by

state the

of

UN

the arms

UN,

has

been

embargo

from

m u c h w a s d o n e in s e c r e t a n d t h e p r o c e s s w a s

e i g n state c o u l d , n o r r e q u e s t c o u n t e r i n t e r v e n -

t o o d o m i n a t e d by the P 5 (the f i v e p e r m a n e n t

t i o n a r y a s s i s t a n c e as a l e g i t i m a t e b e l l i g e r e n t in

members

the m i d s t of a civil w a r a g a i n s t the m a s s i v e

of

the

Security

Council—United

States, R u s s i a , F r a n c e , C h i n a , and Britain). T h e

s u p p o r t t h e f o r m e r Y u g o s l a v a r m y ( J N A ) has

P 5 , m o r e o v e r , w e r e in f a c t led by t h e W e s t e r n

g i v e n the B o s n i a n S e r b s . I n s t e a d , the U N a r m s

P 3 , w h o , in t h e i r t u r n , are r e a l l y led by t h e

e m b a r g o a p p l i e s a g a i n s t all, m a k i n g

United S t a t e s — P L

Bosnia

v e r y m u c h less t h a n t h e s o v e r e i g n state a n d

9

process,

m e m b e r of the U N it h a s b e e n f o r m a l l y r e c o g -

t h e r e w a s less d i s s e n t in substance.

It

was

nized as b e i n g . In a n o t h e r i n s t a n c e , the K u r d i s h

African

UN

in

n a t i o n i n s i d e Iraq is p r o t e c t e d by the U N f r o m

1 9 9 1 - 1 9 9 2 f o r f a i l i n g to i n t e r v e n e in S o m a -

Iraqi o p p r e s s i o n , but, at t h e s a m e t i m e , it is

D e s p i t e , h o w e v e r , t h e d i s s e n t on states

who

condemned

the

lia—a poor, black people's, African disaster—

p r e v e n t e d f r o m r e q u e s t i n g a s s i s t a n c e as a r e c -

c o n t r a s t i n g its n e g l e c t t h e r e to its h e a v y c o m -

ognizable belligerent and a national liberation

mitment

rich,

m o v e m e n t . For once the Security Council de-

w h i t e p e o p l e ' s , E u r o p e a n d i s a s t e r . In B o s n i a ,

c i d e s on a m a t t e r of p e a c e a n d s e c u r i t y , all

m o r e o v e r , the e f f o r t in t h e S e c u r i t y C o u n c i l to

m e m b e r s t a t e s are r e q u i r e d t o s u p p o r t that d e -

e n f o r c e h u m a n r i g h t s w a s led n o t b y t h e f i v e

cision ( A r t i c l e 41 and A r t i c l e 4 3 ) .

in the f o r m e r Y u g o s l a v i a — a

8. An illuminating discussion of these considerations can be found in Michael Walzer's Just and Unjust Wars (New York: Basic Books, 1978). 9. These issues are thoroughly explored in Olara Otunnu, " M a i n t a i n i n g Broad Legitimacy for United Nations A c t i o n , " in Keeping the Peace in the Post-Cold War Era: Strengthening Multilateral Peacekeeping, by John Roper et al., A Report to the Trilateral C o m m i s s i o n (New York: Trilateral C o m m i s sion, 1993); and David Caron, " T h e Legitimacy of the Collective Authority of the Security C o u n c i l , " American Journal of International Law 87, no. 552: 5 5 2 - 5 9 0 . 10. In particular, see the Security Council debate on June 29, 1993, on w h e t h e r to raise the arms e m bargo on Bosnia. Venezuelan A m b a s s a d o r Diego Arria made an eloquent speech in d e f e n s e of the right of self-defense and the duties of collective self-defense. He drew specific analogies between the plight of small states and their l e a d e r s — B o s n i a in 1993 and C z e c h o s l o v a k i a in 1938, I z e t b e g o v i c a n d B e n e s — a n d the duty to avoid appeasing aggressors.

The United Nations

and National

Self-Determination

133

The Political Origins of the U N Claim to Global Sovereignty

and humanitarian e m e r g e n c i e s — a l m o s t

In recent years, two interpretive axioms have

m e m b e r v e t o ) s a y s it is. 1 - 1

what-

ever a Security Council majority (without a P5 These two developments,

s h i p p e d i n t o t h e p r a c t i c e of t h e w o r l d c o m m u -

in t u r n ,

have

nity, shrinking domestic sovereignty from two

r o o t s in s t r i k i n g c h a n g e s in t h e i n t e r n a t i o n a l

d i r e c t i o n s a n d t o g e t h e r p a v i n g t h e w a y f o r the

s y s t e m since t h e e n d of the C o l d War. First, t h e

n e w i n t e r v e n t i o n i s m . F i r s t , m e m b e r s t a t e s of

n e w spirit of c o o p e r a t i o n m a n i f e s t e d by t h e

t h e U N h a v e s u b t l y a l t e r e d t h e d e f i n i t i o n of

USSR, beginning with President G o r b a c h e v ' s

w h a t is " e s s e n t i a l l y " s o v e r e i g n in A r t i c l e 2(7).

r e f o r m s , m e t a n e w spirit of t o l e r a n c e f r o m t h e

N o w g l o b a l s t a n d a r d s of h u m a n r i g h t s , as e x -

U n i t e d S t a t e s , now that the U S S R a p p e a r e d to

p r e s s e d in t h e First (civil a n d political) a n d per-

be v e r g i n g o n d e m o c r a c y a n d h a d d e c i d e d t o

h a p s even the S e c o n d ( e c o n o m i c and social)

e n d its " e m p i r e " o v e r E a s t e r n E u r o p e a n d t h e

C o v e n a n t s , have b e c o m e definitive of, univer-

Baltic slates. Together they broke the forty-

sal to, a n d c o n s t r a i n i n g on w h a t c o n s t i t u t e s d o -

y e a r g r i d l o c k in t h e S e c u r i t y C o u n c i l .

m e s t i c s o v e r e i g n t y a n d w h a t is a l e g i t i m a t e

Cold

War

cooperation

means

the

Post-

Security

m a t t e r of i n t e r n a t i o n a l a t t e n t i o n . H u m a n r i g h t s

C o u n c i l is n o w f u n c t i o n a l , o p e r a t i n g as t h e

t h e n are c l a i m e d to b e i n h e r e n t l y g l o b a l , a n d

g l o b a l g u a r d i a n of p e a c e and s e c u r i t y , a c o n t i n -

domestic sovereignty cannot override t h e m . "

u a t i o n of the W o r l d W a r II G r a n d A l l i a n c e , a n d

O n this view, the V i e n n a C o n f e r e n c e on H u m a n

t h u s v e r y m u c h in t h e spirit a n t i c i p a t e d

R i g h t s ( J u n e 1993) w a s but the f o r m a l e n d o r s e -

R o o s e v e l t a n d C h u r c h i l l a n d m a n i f e s t e d in its

m e n t of t h e c l a i m to a u n i v e r s a l j u r i s d i c t i o n

charter design.

o v e r human rights. The earlier relativistic objections

of t h e " B a n g k o k

S e c o n d , w e n o w see an e m e r g i n g c o m m u -

Third

nity of d e m o c r a t i c v a l u e s that g i v e s s p e c i f i c

W o r l d s t a t e s w e r e o v e r c o m e . In r e t u r n f o r a

c o n t e n t to t h e c o o p e r a t i v e i n i t i a t i v e s of r e c e n t

v a g u e p r o m i s e to p a y m o r e a t t e n t i o n to assist-

years. Vienna H u m a n Rights and G o r b a c h e v ' s

ing

Confer-

plea before the General A s s e m b l y for " g l o b a l

agree-

h u m a n v a l u e s " s i g n i f y that h u m a n r i g h t s are n o

international

G r o u p " of

by

development,

the

e n c e ' s d i s s e n t i n g m e m b e r s s i g n e d an ment

that

explicitly

linked

democracy

to

h u m a n r i g h t s and h e l d that l e v e l s of e c o n o m i c

l o n g e r m e r e l y a W e s t e r n , but a g l o b a l p r i n c i p l e of g o o d g o v e r n a n c e .

d e v e l o p m e n t w o u l d b e t a k e n into a c c o u n t in

Third, the U.S. " u n i p o l a r m o m e n t "

a s s e s s i n g h o w to j u d g e t h e i m p l e m e n t a t i o n of

t e m p o r a r y c o m m i t m e n t to " a s s e r t i v e m u l t i l a t e r -

h u m a n r i g h t s , not in a s s e s s i n g w h e t h e r h u m a n

alism," which was evident between the Gulf

rights standards applied.12

and

W a r a n d t h e O c t o b e r 3, 1993, d i s a s t e r in M o -

S e c o n d , the S e c u r i t y C o u n c i l h a s a l s o ex-

g a d i s h u , p r o v i d e d a d e g r e e of c o m m i t m e n t a n d

p a n d e d t h e m e a n i n g of the A r t i c l e 2 ( 7 ) , C h a p -

r e s o u r c e f u l l e a d e r s h i p in t h e S e c u r i t y C o u n c i l

ter V H - b a s e d o v e r r i d e of s o v e r e i g n t y : " t h r e a t s

that the U N h a d r a r e l y s e e n b e f o r e . E s c h e w i n g

t o p e a c e , b r e a c h e s of the p e a c e , acts of a g g r e s -

the n a t i o n a l r o l e of " g l o b o c o p " in o r d e r to a d -

s i o n . " It n o w a p p e a r s to i n c l u d e all t h e in-

dress a pressing domestic agenda, the United

f r i n g e m e n t s of t r a d i t i o n a l s o v e r e i g n t y f o r m a l l y

States encouraged Secretary-General

e n d o r s e d by t h e S e c u r i t y C o u n c i l in the r e s o l u -

B o u t r o s - G h a l i t o t a k e an e v e r m o r e a s s e r t i v e

tions

r o l e in i n t e r n a t i o n a l c r i s e s . T h e s m a l l d i s s e n t -

noted

above.

Indeed,

"threat

to

the

Boutros

p e a c e , " a n d so f o r t h , h a s c o m e to m e a n s e v e r e

ing m i n o r i t y in the S e c u r i t y C o u n c i l ( C h i n a , o n

d o m e s t i c v i o l a t i o n s of h u m a n rights, civil w a r s ,

s o m e o c c a s i o n s ) w a s not p r e p a r e d to resist t h e

11. Tom Franck, "The Emerging Right to Democratic G o v e r n a n c e , " American Journal of International Law 86 (1992); and Tom Farer, "Collectively D e f e n d i n g D e m o c r a c y in a World of Sovereign States," Human Rights Quarterly 15 (1993). 12. Vienna Declaration and Programme of Action (draft reference number: A / C O N F . 157/23). 13. For a discussion of the traditional Cold War interpretations of "threat to the p e a c e , " and so forth, see Leland M. Goodrich, E. H a m b r o , and Anne Simons, Charter of the United Nations (New York: Columbia University Press, 1969), pp. 2 9 3 - 3 0 0 .

134

Michael

U n i t e d S t a t e s o t h e r t h a n on i s s u e s that w e r e of p a r a m o u n t n a t i o n a l interest.

W. Doyle

T h e U N e f f o r t in the large part of S o m a l i a o u t s i d e of G e n e r a l A i d i d ' s s o u t h e r n M o g a d i s h u

F o r m a n y in t h e U n i t e d S t a t e s , m u l t i l a t e r a l

p r o c e e d e d according to plan. By early 1993, star-

action s e e m e d to be the r e a d y s o l u t i o n to a d i f -

v a t i o n w a s not an issue in the a r e a s w i t h i n the

f i c u l t d i l e m m a . It r e c o n c i l e d an a d v o c a c y of

reach of U N protection. By contrast, 3 0 0 , 0 0 0 So-

collective security, universal h u m a n rights, and

malis died in 1 9 9 1 - 1 9 9 2 in a f a m i n e induced by

h u m a n i t a r i a n s o l i d a r i t y o v e r s e a s w i t h the n e e d

the m u r d e r o u s c o m p e t i t i o n of t h e S o m a l i war-

to r e f o c u s C o l d W a r s p e n d i n g on d o m e s t i c r e -

lords. In 1993, with U N O S O M l i s ( U n i t e d N a -

f o r m at h o m e . M u l t i l a t e r a l a c t i o n u n d e r the

tions Operation in S o m a l i a ) protection, U N I C E F

U n i t e d N a t i o n s C h a r t e r w a s not o n l y the p r e -

w a s assisting 4 0 , 0 0 0 pupils. T h i r t y - t w o hospitals

s c r i b e d legal r o u t e to w o r l d o r d e r , it a p p e a r e d

a n d 103 m o b i l e v a c c i n a t i o n t e a m s w e r e a c t i v e

to b e a p r a c t i c a l s o l u t i o n to h u m a n s o l i d a r i t y

(75 p e r c e n t of the c h i l d r e n u n d e r f i v e had re-

w h e n e a c h n a t i o n c a r i n g a little s e e m e d s u f f i -

ceived the m e a s l e s vaccine), and 7 0 , 0 0 0 r e f u g e e s

c i e n t to e n s u r e that all t o g e t h e r c a r e d e n o u g h .

r e t u r n e d f r o m K e n y a . T h i r t y - n i n e district c o u n -

T h e s u c c e s s f u l r e v e r s a l of S a d d a m

cils and six regional c o u n c i l s

Hussein's

a g g r e s s i o n in the G u l f and the D e c e m b e r 1992

were

formed;

U N O S O M began to recruit 5 . 0 0 0 f o r m e r S o m a l i

U . S . - l e d r e s c u e of the S o m a l i p o p u l a t i o n f r o m

p o l i c e m e n to p e r f o r m basic p o l i c e f u n c t i o n s .

s t a r v a t i o n h e r a l d e d w h a t a p p e a r e d to be a re-

Tens, p e r h a p s h u n d r e d s of t h o u s a n d s , of lives

markable

w e r e saved by the U N 1 T A F ( U n i f i e d Task Force)

partnership. The Security

d e c r e e d : the

Council

United States delivered.

For a

w h i l e , c o n v e n i e n t l y , m a n y o t h e r states paid and supported.

and U N O S O M II peace operations. N o n e t h e l e s s , the O c t o b e r 3, 1993, d i s a s t e r a n d the k i l l i n g of e i g h t e e n U . S . s o l d i e r s (in

T o g e t h e r these d e v e l o p m e n t s m a d e the n e w

w h i c h a b o u t 3 0 0 S o m a l i s a l s o d i e d ) , the e a r l i e r

g l o b a l i s m f e a s i b l e and legitimate. C o l l e c t i v e in-

crisis on J u n e 5 in w h i c h t w e n t y - f o u r P a k i s t a n i

t e r v e n t i o n , i n t e r v e n t i o n by the U n i t e d N a t i o n s ,

p e a c e k e e p e r s w e r e k i l l e d , a n d the f r u i t l e s s e f -

intervention

fort to c a p t u r e G e n e r a l A i d i d o v e r the s u m m e r

w a s not. B e c a u s e it a p p e a r e d m o r e i m p a r t i a l ,

t o g e t h e r e x p o s e d w h a t had b e c o m e a p o l i t i c a l l y

was acceptable where unilateral

not s e l f - s e r v i n g , t h e U N c o m m u n i t y w a s p e r -

b a n k r u p t a t t e m p t to e n f o r c e l a w a n d o r d e r o n

c e i v e d to be a c t i n g as t h e w h o l e , s p e a k i n g f o r

an i n c r e a s i n g l y resistant p o p u l a t i o n .

t h e w h o l e c o m m u n i t y of n a t i o n s . T r a d i t i o n a l

W i t h t h e a d v a n t a g e of h i n d s i g h t , w e c a n

s u s p i c i o n of i n t e r v e n t i o n w a s thus a l l a y e d . T h e

identify policy mistakes, without which S o m a -

traditional restraints, moral and political, were

lia m i g h t look v e r y d i f f e r e n t t o d a y . 1 5 A m o r e

l i f t e d — i n r e t r o s p e c t , p e r h a p s t o o readily.

thorough partnership with S o m a l i a ' s regional n e i g h b o r s in a m e d i a t i o n e f f o r t in 1 9 9 1 , 1 6 a

Globalism in Crisis

more

A l l t h i s h a s c h a n g e d . F e a r s that R u s s i a m i g h t

U N I T A F in D e c e m b e r 1992, w h e n c o n t r o l l i n g

d e c i d e to a b a n d o n its m u l t i l a t e r a l i s m in the for-

the h e a v y a n d light w e a p o n s of the c l a n s w o u l d

m e r Y u g o s l a v i a a n d i n s t e a d act in s u p p o r t of

h a v e b e e n e a s i e r , a n d , a b o v e all, a s m o o t h e r

extensive

mandate

for

the

U.S.-led

t h e s p e c i a l i n t e r e s t s of its f e l l o w Slav b r e t h r e n ,

political t r a n s i t i o n f r o m U N I T A F ' s p a r t i a l s u c -

the

cesses

Serbs

(with

the

Russian

mediation

in

in n e g o t i a t i n g

the

a g g e r a t e d . B u t t h e t w i n c r i s e s in S o m a l i a a n d

agenda might have made a difference.

have produced

a c r i s i s in U N

"as-

sertively multilateral" peace enforcement.14

ambitious

warlords

UNOSOM's

Bosnia

more

with

B o s n i a , F e b r u a r y 1994), f o r t u n a t e l y p r o v e d e x -

to

state-building

T h e f u n d a m e n t a l p r o b l e m w a s a f a m i n e ind u c e d by d r o u g h t , by t h e r a v a g e s of t h e civil

14. The following paragraphs draw on my "Forcing Peace," Dissent (March 1994). 15. See Jonathan Stevenson, " H o p e Restored in Somalia," Foreign Policy 91 ( S u m m e r 1993): 138-154; J e f f r e y Clark, " D e b a c l e in Somalia: The Failure of Collective R e s p o n s e , " in Lori D a m r o s c h , ed., Enforcing Restraint ( N e w York: C o u n c i l on Foreign Relations, 1993); and Jane Perlez, " S o m a l i a SelfDestructs and the World Looks O n , " New York Times (Dec. 29, 1991): 1. 16. For this a r g u m e n t , see M o h a m m e d S a h n o u n , Somalia: The Missed Opportunities (Washington, D.C.: USIP, 1994).

The United Nations

war

that

and National

135

Self-Determination

Siad

of the U . S . c o n t i n g e n t , a n d this c o n t i n g e n t w a s

B a r r e ' s d i c t a t o r s h i p , a n d by t h e r a p a c i o u s e x -

followed on the collapse

of

p o o r l y c o o r d i n a t e d w i t h the o v e r a l l U N O S O M

t o r t i o n of t h e S o m a l i w a r l o r d s w h o t a x e d relief

force. U N O S O M survived casualties inflicted

c o n v o y s in o r d e r to f u n d t h e i r c o m p e t i t i o n f o r

o n t h e P a k i s t a n i s in J u n e , b u t w h e n A i d i d at-

power. Only a Somali "leviathan" with a mo-

t a c k e d t h e U . S . t r o o p s in O c t o b e r h e s t r u c k

n o p o l y of v i o l e n c e o r a " s u p e r - w a r l o r d " c a p a -

UNOSOM's Achilles'heel.

b l e of p l a y i n g w a r l o r d a g a i n s t w a r l o r d c o u l d

T h e o p p o s i t e p r o b l e m to U N O S O M ' s ag-

restore order and end the f a m i n e . U N O S O M I

g r e s s i v e n e s s e m e r g e d in t h e U n i t e d

( w i t h f i v e h u n d r e d P a k i s t a n i t r o o p s h o l e d up in

P r o t e c t i o n F o r c e ( U N P R O F O R ) o p e r a t i o n in

Nations

t h e port of M o g a d i s h u ) c o u l d d o v e r y little, not

the f o r m e r Y u g o s l a v i a . T h e r e , the U N w a s not

even prevent grain ships from being shelled

d o i n g w h a t it h a s b e e n c r i t i c i z e d f o r d o i n g in

f r o m shore. The UN Special

Representative

S o m a l i a , a l t h o u g h t h e r e , t o o , its p r e s e n c e has

M o h a m m e d S a h n o u n v a l i a n t l y tried to n e g o t i -

in all l i k e l i h o o d s a v e d t e n s of t h o u s a n d s of

a t e a p e a c e , a p p e a l i n g to t h e h u m a n i t y of t h e

l i v e s . In t h e f o r m e r Y u g o s l a v i a , the U N w a s

v e r y w a r l o r d s w h o ran t h e f a m i n e . In D e c e m -

c o m m i t t e d to p r o t e c t i n g the h u m a n i t a r i a n c o n -

b e r 1992 the U . S . - l e d U N I T A F b e c a m e the S o -

v o y s a n d t h e s a f e a r e a s as w e l l as m a i n t a i n i n g

mali " l e v i a t h a n , " and the roads were o p e n e d

an a r m s e m b a r g o o v e r the e n t i r e a r e a a n d an

and the f a m i n e broken.17 U N I T A F met almost

e c o n o m i c e m b a r g o a g a i n s t S e r b i a . Yet t h e fail-

n o o p p o s i t i o n b e c a u s e t h e m a s s of t h e p e o p l e

ure to p r o v i d e p r o t e c t i o n to t h e B o s n i a n M u s -

w e l c o m e d t h e r e l i e f , a n d the w a r l o r d s k n e w it

l i m s (but a l s o C r o a t s a n d S e r b s ) , to t h e relief

w a s t e m p o r a r y , n o threat to their p o w e r .

c o n v o y s , a n d e v e n to t h e p e a c e k e e p e r s t h e m -

In M a y 1993, U N O S O M II c a m e f a c e - t o -

s e l v e s left t h e U N f o r c e in a m o s t e q u i v o c a l

f a c e w i t h the f u n d a m e n t a l p r o b l e m s . Its m a n -

p o s i t i o n . In B o s n i a a l o n e , a f t e r t h e e s t a b l i s h -

d a t e i n c l u d e d the n e c e s s a r y a u t h o r i t y to d i s a r m

m e n t of U N P R O F O R . o v e r 2 0 0 , 0 0 0 M u s l i m s

the

we

and 10,000 Serbs and Croats have died; more

s h o u l d n o t e , t h e f a c t i o n l e a d e r s h a d a g r e e d at

than 1,000,000 M u s l i m s a n d 2 5 0 . 0 0 0 S e r b s have

1993.lx

had to flee their h o m e s , according to the estimates

UNITAF's,

of T h o r v a l d Stoltenberg, the f o r m e r U N mediator.

factions—a

disarmament

to which,

t h e A d d i s A b a b a c o n f e r e n c e in M a r c h This

mandate,

however,

unlike

t h r e a t e n e d the p o l i t i c a l e x i s t e n c e of the w a r l o r d s . It p r o p o s e d the e s t a b l i s h m e n t of a S o -

The protection d i l e m m a was real,

how-

e v e r ; w i t h m o r e than half t h e p o p u l a t i o n in the

m a l i n a t i o n a l a u t h o r i t y e l e c t e d by t h e p e o p l e

UN-designated "safe areas" directly dependent

a n d s u s t a i n e d by a p o l i c e f o r c e t r a i n e d by the

on U N c o n v o y s for f o o d a n d m e d i c i n e , military

U N . U N O S O M , h o w e v e r , w a s a p a p e r tiger,

action against the p r e d o m i n a n t l y Serb aggres-

l a c k i n g the c a p a c i t y to e n f o r c e (or e v e n b a r g a i n

s o r s w o u l d b e m e t by a c o m p l e t e c u t o f f of

for c o m p l i a n c e with) the agreement. T h e bulk

h u m a n i t a r i a n a s s i s t a n c e by t h o s e s a m e S e r b i a n

of its t r o o p s w e r e l i g h t l y a r m e d , v u l n e r a b l e to

forces, w h i c h then controlled the access routes. 1 9

t h e w e a p o n s the w a r l o r d s w i t h d r e w f r o m the temporary UNITAF cantonment.

UNOSOM's

logistics were immobile, dependent on

Prior to 1995, n o n e of U N P R O F O R ' s m i l itary f o r c e s w e r e p r e p a r e d to u n d e r t a k e a m a s -

Mo-

sive m i l i t a r y c a m p a i g n d e s i g n e d to d e f e a t the

g a d i s h u port f a c i l i t i e s , w h i c h m a d e the U N too

Bosnian Serb forces. T h e United States limited

d e p e n d e n t on A i d i d to t h r e a t e n a c r e d i b l e w i t h -

its c o n t r i b u t i o n to air f o r c e s . Its o n c e p r e f e r r e d

drawal f r o m his zone. T h e entire force relied

s t r a t e g y — " l i f t [the 1991 U N a r m s e m b a r g o ]

t o o m u c h on the m i l i t a r y a n d logistic b a c k b o n e

and

strike

[against

Serb

gunners]"—was

17. For President B u s h ' s rationale, see Michael Wines, " B u s h Outlines Somalia Mission to Save T h o u sands," New York Times (Dec. 5, 1992): 1. 18. Further Report of the Secretary-General Submitted in Pursuance of Para. 19 Res. 814 (1993) and Para. 5 (Res. 865) of 1993, S/26738 (Nov. 12, 1993). 19. Rosalyn Higgins, " T h e New United Nations and the Former Yugoslavia," International Affairs 69, no. 3 ( 1 9 9 3 ) : 4 6 8 - 4 7 0 ; J a m e s B. Steinberg, " I n t e r n a t i o n a l I n v o l v e m e n t in the Yugoslav C o n f l i c t , " Damrosch, ed., Enforcing Restraint, and Sabrina Ramet, "War in the B a l k a n s , " Foreign Affairs 71, no. 4 (Fall 1992): 7 9 - 9 8 .

136

d e s i g n e d to level t h e p l a y i n g f i e l d b e t w e e n S e r b f o r c e s a n d the p o o r l y e q u i p p e d M u s l i m f o r c e s . T h e U n i t e d States, h o w e v e r , w a s n e v e r p r e p a r e d to invest its o w n s o l d i e r s on the g r o u n d in a p e a c e e n f o r c e m e n t o p e r a t i o n nor e v e n to s h i p h e a v y w e a p o n s to B o s n i a (pres u m a b l y by airlift o v e r the C r o a t and S e r b lines) and train the M u s l i m s in their u s e . 2 0 R a d i c a l M u s l i m f o r c e s f r o m Iran and the P L O w e r e r e a d y to c o m e to B o s n i a ' s aid. but they w e r e r e j e c t e d by R u s s i a and w o u l d , it s e e m e d to m a n y o b s e r v e r s , m e r e l y w i d e n the f i g h t i n g to K o s o v o , M a c e d o n i a , and e v e n b e y o n d . T h e resulting s t r a t e g y — " c o n s t r i c t [the level of violence] and c o n t a i n " — w a s not w i t h o u t costs to its European proponents. By 1995, U N P R O F O R , with large c o n t i n g e n t s of B r i t i s h , F r e n c h , and C a n a d i a n t r o o p s , had s u s t a i n e d s e v e n t y f a t a l i ties. Still, the strategy used t w o great a d v a n tages: it w a s tolerated by the R u s s i a n s and the killing had b e e n c o n t a i n e d within C r o a t i a and Bosnia. A g a i n , with the a d v a n t a g e of hindsight, we can see w h a t a p p e a r to be m i s t a k e s , m o s t of t h e m o c c a s i o n e d by the S e c u r i t y C o u n c i l ' s f o i s t i n g m a n d a t e s without the m e a n s to i m p l e ment t h e m on the UN f o r c e s in the field. R e s o lutions w e r e issued that bore u p o n the Bosnian Serbs; yet the international c o m m u n i t y had no direct w a y to exert p r e s s u r e on t h e m . W h a t p r e s s u r e t h e r e w a s c a m e f r o m the indirect eff e c t s of the m i s e r y that the i n t e r n a t i o n a l econ o m i c e m b a r g o inflicted on the Serbian public. In retrospect, w e can see that the U N - p r o t e c t e d a r e a s in C r o a t i a l a c k e d a d e q u a t e b u f f e r z o n e s and s u f f i c i e n t p e a c e k e e p e r s , p r o v i d i n g the S e r b s with e x c u s e s not to d i s a r m and the C r o a t s with o p p o r t u n i t y to e n g a g e in incursions. In B o s n i a , the d e c l a r e d safe h a v e n s were never adequately provided with UN forces. T h e y were t o o small, militarily v u l n e r a b l e , and e c o n o m i c a l l y n o n v i a b l e , and they lacked w i d e enough connecting corridors. T h e t a p r o o t of e r r o r w a s i d e n t i f i e d in C y r u s V a n c e ' s w a r n i n g s in D e c e m b e r 1991 not to r e c o g n i z e the i n d e p e n d e n c e of C r o a t i a and B o s n i a o u t s i d e of the f r a m e w o r k of an overall s e t t l e m e n t of Y u g o s l a v i a . T h e o n l y s e p a r a b l e

Michael W. Doyle

parts of Y u g o s l a v i a i m m e d i a t e l y r e c o g n i z a b l e as i n d e p e n d e n t , s o v e r e i g n n a t i o n - s t a t e s w e r e Slovenia and (arguably) M a c e d o n i a . F o r Serbs, the f e d e r a l unity of " Y u g o s l a v i a " w a s w h a t m a d e " s m a l l " Serbia tolerable and the n o n - S e r b g o v e r n m e n t s of C r o a t i a and B o s n i a s a f e f o r their Serbs. For C r o a t s , the inclusion of B o s n i a in Y u g o s l a v i a w a s w h a t m a d e B o s n i a s a f e f o r its Croats. For B o s n i a n M u s l i m s , the inclusion of C r o a t i a in Yugoslavia w a s w h a t m a d e t h e B o s n i a n r e p u b l i c s a f e in Y u g o s l a v i a , w h i c h o t h e r w i s e w o u l d h a v e been d o m i n a t e d by the Serbs. Croatia, s o m e suggest, might have been p a r t i t i o n e d b e t w e e n C r o a t s and S e r b s , but the ethnic mix w a s too intimate in B o s n i a to allow a p e a c e a b l e partition. T h e f a i l u r e s in S o m a l i a and B o s n i a soon c l a i m e d v i c t i m s e l s e w h e r e . F o l l o w i n g the O c t o b e r 3 crisis in S o m a l i a , U.S. s e n a t o r s c l a m ored for i m m e d i a t e w i t h d r a w a l of all U.S. forces from U N O S O M . The Clinton administration barely s u c c e e d e d in h o l d i n g out for M a r c h 31, 1994. E m b o l d e n e d by the p r o s p e c tive U.S. w i t h d r a w a l f r o m S o m a l i a , a s s o c i a t e s of the a t t a c h é ' s t e r r o r i z i n g Haiti c h a s e d U . S . UN advisers f r o m the h a r b o r of P o r t - a u - P r i n c e , w r e c k i n g the G o v e r n o r ' s Island p e a c e plan and e v e n t u a l l y f o r c i n g the a d m i n i s t r a t i o n to pursue the very risky decision ( f r o m the s t a n d p o i n t of d o m e s t i c U.S. politics) to invade Haiti. L e a r n ing to say " n o , " the United States led the S e c u rity C o u n c i l ' s rejection of the request to protect t h o u s a n d s of displaced p e r s o n s in B u r u n d i fleeing the r e c e n t c o u p and s l a u g h t e r of the g o v e r n m e n t , and s o u g h t to limit the s c o p e of the U N ' s e n g a g e m e n t in m a s s a c r e - t o r n R w a n d a ( M a y 1994). In B o s n i a , G e n e r a l F r a n ç o i s B r i q u e m o n t , the f o r m e r Belgian c o m m a n d e r of U N P R O F O R , d e n o u n c e d "the f a n t a s t i c g a p bet w e e n the r e s o l u t i o n s of the S e c u r i t y C o u n c i l , the will to e x e c u t e t h o s e r e s o l u t i o n s and the m e a n s a v a i l a b l e to c o m m a n d e r s in t h e f i e l d . " T h e " f a n t a s t i c g a p " soon stimulated irredentist c l a i m s a c r o s s E a s t e r n E u r o p e and t h e f o r m e r Soviet U n i o n . It s i g n a l e d to s o m e that b o r d e r s w e r e up f o r g r a b s and e t h n i c c l e a n s i n g w o u l d g o u n p u n i s h e d . ( L e a d e r s of the A b k h a z , w h o constituted 18 percent of the p r e w a r p o p u l a t i o n

20. Michael Gordon, "Pentagon Is Wary of Role in Bosnia," New York Times (March 13, 1994).

The United Nations

and National

Self-Determination

137

o f t h e " A b k h a z " r e g i o n of G e o r g i a , w e r e re-

The second category, called "second-gen-

p o r t e d to b e p l a n n i n g t o e s t a b l i s h an A b k h a z

eration" operations by the S e c r e t a r y - G e n e r a l , i n v o l v e s the i m p l e m e n t a t i o n of c o m p l e x , m u l -

nation-state.)

t i d i m e n s i o n a l p e a c e a g r e e m e n t s . In a d d i t i o n to

Generations of UN Peace Operations

the traditional military f u n c t i o n s , the peace-

Old precepts, painfully learned, f r o m the early

k e e p e r s are o f t e n e n g a g e d in v a r i o u s p o l i c e a n d

d a y s of U N p e a c e k e e p i n g s e e m e d n e w l y rele-

c i v i l i a n t a s k s , the g o a l of w h i c h is a l o n g - t e r m

v a n t . T h e e m e r g e n c e of a w o r k i n g c o n s e n s u s

s e t t l e m e n t of the u n d e r l y i n g c o n f l i c t . I will r e -

o n the S e c u r i t y C o u n c i l in f a v o r of a m o r e in-

t u r n to this c a t e g o r y b e i o w .

terventionist

however

" P e a c e - e n f o r c i n g " m i s s i o n s are the third

i m p a r t i a l t h o s e a c t i o n s m a y n o w b e , d i d not

category, which extend from low-level military

remove

of

o p e r a t i o n s to p r o t e c t the d e l i v e r y of h u m a n i t a r -

In o r d e r to e x p l o r e t h o s e r e a s o n s in a U N

a n d , w h e n n e c e s s a r y , a s s i s t a n c e in the r e b u i l d -

c o n t e x t , it is h e l p f u l t o t h i n k in t e r m s of t h r e e

ing of s o - c a l l e d f a i l e d states. L i k e C h a p t e r VII

the

international other

reasons

order, to

be

wary

intervention.

ian a s s i s t a n c e to the e n f o r c e m e n t of c e a s e - f i r e s

c a t e g o r i e s of p e a c e s u p p o r t o p e r a t i o n s . In tra-

U N e n f o r c e m e n t action to roll b a c k a g g r e s s i o n ,

ditional peacekeeping, sometimes called "first-

as in K o r e a in 1950 a n d a g a i n s t Iraq in the G u l f

g e n e r a t i o n p e a c e k e e p i n g , " u n a r m e d or l i g h t l y

War, the d e f i n i n g c h a r a c t e r i s t i c of " t h i r d - g e n e r -

armed UN forces were stationed between hos-

a t i o n " o p e r a t i o n s is the lack of c o n s e n t to s o m e

tile p a r t i e s t o m o n i t o r a t r u c e , t r o o p

or all of the U N m a n d a t e . 2 3

with-

d r a w a l , a n d / o r b u f f e r z o n e w h i l e p o l i t i c a l negotiations

went

forward.21

They

W i t h all of M i n e r v a ' s u s u a l s e n s e of t i m -

provided

ing, i n s i g h t f u l d o c t r i n e f o r t h e s e p e a c e - e n f o r c -

t r a n s p a r e n c y (an i m p a r t i a l a s s u r a n c e that the

ing o p e r a t i o n s a p p e a r e d j u s t as S o m a l i a a n d

o t h e r p a r t y w a s not v i o l a t i n g the t r u c e ) . T h e y

Bosnia exposed their limitations. Recent stud-

a l s o raised the c o s t s of d e f e c t i n g f r o m , and the

ies h a v e t h o u g h t f u l l y m a p p e d out the l o g i c of

b e n e f i t s of a b i d i n g by t h e a g r e e m e n t , by the

the strategic terrain b e t w e e n traditional

t h r e a t of e x p o s u r e , t h e p o t e n t i a l r e s i s t a n c e of

peacekeeping and traditional UN enforcement

t h e p e a c e k e e p i n g f o r c e , a n d t h e l e g i t i m a c y of

action.24 Militarily, these operations seek

UN mandates.

22

deter,

dissuade,

and deny.25

UN to

By p r e c l u d i n g an

21. Traditional peacekeeping is a shorthand term that describes many, but by no m e a n s all. Cold War peacekeeping m i s s i o n s — t h e most notable exception being the C o n g o operation of 1 9 6 0 - 1 9 6 4 . For a cogent analysis of different types of p e a c e k e e p i n g , see Marrack G o u l d i n g , " T h e Evolution of United Nations P e a c e k e e p i n g , " International Affairs 69, no. 3 (July 1993). 22. In g a m e - t h e o r e t i c terms, they solved variable sum, " c o o r d i n a t i o n " p r o b l e m s , where both parties have the same best o u t c o m e and will reach it if they can trust each other, and " P r i s o n e r ' s D i l e m m a " p r o b l e m s , where the parties have an incentive to cheat. The p e a c e k e e p e r s provide the missing transparency in the first and alter the payoffs in the second, making the Prisoner's D i l e m m a into a coordination game. First-generation operations include both sorts of games. 23. Other recent c a t e g o r i e s include " p r e v e n t i v e d e p l o y m e n t s , " d e p l o y e d with the intention of d e t e r ring a possible attack, as in Macedonia today. There, the credibility of the deterring force must e n s u r e that the potential aggressor knows that there will be no easy victory. In the event of an armed challenge, the result will be an international war that involves costs so grave as to o u t w e i g h the t e m p t a t i o n s of conquest. E n f o r c e m e n t action against aggression (Korea or the G u l f ) , conversely, is a matter of achieving victory—"the decisive, comprehensive and synchronized application of preponderant military force to shock, disrupt, demoralize and defeat o p p o n e n t s " — t h e traditional zero sum terrain of military strategy. See R u g g i e ( f o o t n o t e 24), w h o d r a w s on "A Doctrinal S t a t e m e n t of Selected Joint O p e r a t i o n a l Concepts," O f f i c e of the JCS, DoD, Washington, D.C., Nov. 23, 1992. 24. Categories of action are c o m p r e h e n s i v e l y set forth in John M a c k i n l a y and Jarat C h o p r a , A Draft Concept of Second Generation Multinational Operations 1993 (Providence: Watson Institute), and John Ruggie, " T h e United N a t i o n s : Stuck in a F o g B e t w e e n P e a c e k e e p i n g and E n f o r c e m e n t , " in Peacekeeping: The Way Ahead? McNair Paper 25, Institute for National Strategic Studies (Washington, D.C.: National D e f e n s e University, 1993), pp. 1 - 1 1 . And also see J o h n M a c k i n l a y ' s u p d a t e , " P r o b l e m s for U.S. Forces in Operations Beyond P e a c e k e e p i n g , " in the INSS M c N a i r Paper 25, pp. 2 9 - 5 0 . 25. See the Ruggie and C h o p r a and Mackinlay articles previously cited for further discussion.

138

o u t c o m e b a s e d on the use of f o r c e by the parties, the U N instead u s e s c o l l e c t i v e f o r c e (if n e c e s s a r y ) to p e r s u a d e the parties to settle the c o n f l i c t by n e g o t i a t i o n . In t h e f o r m e r Yug o s l a v i a , f o r e x a m p l e , the U N , f o l l o w i n g this strategy, c o u l d h a v e e s t a b l i s h e d s t r o n g p o i n t s to deter attacks on key h u m a n i t a r i a n corridors. (It did, but the S e r b s b y p a s s e d t h e m . ) O r it c o u l d threaten air strikes, as w a s d o n e s u c c e s s f u l l y a r o u n d S a r a j e v o in F e b r u a r y 1994, to dissuade a c o n t i n u a t i o n of the S e r b shelling of the city. Or it c o u l d h a v e d e n i e d (but did not) the S e r b f o r c e s their attack on D u b r o v n i k in 1992 by c o u n t e r s h e l l i n g f r o m t h e sea or air on the batteries in the hills a b o v e the city. T h i s terrain is m u r k y . F o r c i n g a p e a c e d e p e n d s on a c h i e v i n g a c o m p l i c a t e d p r e p o n d e r a n c e in w h i c h the f o r c e s ( U N and local) s u p p o r t i n g a settlement a c c e p t a b l e to the intern a t i o n a l c o m m u n i t y hold b o t h a m i l i t a r y pred o m i n a n c e and a p r e d o m i n a n c e of p o p u l a r support, w h i c h t o g e t h e r p e r m i t s t h e m to i m p o s e a p e a c e on t h e r e c a l c i t r a n t local m i l i t a r y f o r c e s and their p o p u l a r s u p p o r t e r s . T h i s strategy, h o w e v e r , w a s likely to, and did, e n c o u n t e r m a n y of the p r o b l e m s interventionist and imperial strategies h a v e f a c e d in the past and a l s o d i s c o v e r e d f r e s h p r o b l e m s p e c u liar to the U N ' s global character. 1. A l t h o u g h the UN s e e m s to h a v e the advantage of global impartiality, which should and o f t e n does win it more local acceptance when it intervenes, this is not universally the case. Israel maintains a suspicion of U N i n v o l v e m e n t dating b a c k to the UN G e n e r a l A s s e m b l y ' s n o t o r i o u s a n t i - Z i o n i s m r e s o l u t i o n s of the 1970s. In Somalia, E g y p t ' s support for Siad Barre s e e m s to h a v e t a i n t e d the role B o u t r o s - G h a l i , f o r m e r E g y p t i a n f o r e i g n m i n i s t e r , s o u g h t to play as

Michael W. Doyle

i m p a r t i a l S e c r e t a r y - G e n e r a l . A n d t h e r e is ling e r i n g d i s t r u s t of the U N in o t h e r parts of A f r i c a d u e to its role in the C o n g o . 2 6 2. T h e v e r y act of i n t e r v e n t i o n , e v e n by the U N , c a n m o b i l i z e n a t i o n a l i s t o p p o s i t i o n a g a i n s t the f o r e i g n f o r c e s . In S o m a l i a , it c o n t r i b u t e d to a s i g n i f i c a n t g r o w t h of s u p p o r t f o r A i d i d ' s S o m a l i National A l l i a n c e . A i d i d ' s supporters now roundly condemn U N coloniali s m . 2 7 T h e strategic b a l a n c e is not static: military i n t e r v e n t i o n tilts both local b a l a n c e s , i m p r o v i n g the military correlation of forces but o f t e n at the cost of u n d e r m i n i n g the m o r e important political b a l a n c e . 3. T h e U N is particularly poorly suited to i n t e r v e n t i o n i s t s t r a t e g i e s . Its t r a d i t i o n a l ideology ( d e s p i t e r e c e n t p r a c t i c e ) is h i g h l y p r o t e c tive of national s o v e r e i g n t y , and (to its credit) it lacks the c a l l o u s n e s s or p s y c h o l o g i c a l dist a n c e r e q u i r e d to inflict c o e r c i v e p u n i s h m e n t on p o l i t i c a l m o v e m e n t s h a v i n g e v e n the least degree of p o p u l a r s u p p o r t . - 8 4. " P e a c e - e n f o r c i n g f a t i g u e " is a f f l i c t i n g the U N ' s c o n t r i b u t i n g c o u n t r i e s , w h e t h e r n e w or old. S t a t e s are rarely willing to invest their r e s o u r c e s or the lives of their s o l d i e r s in war, other than for a vital interest (such as oil in the Persian G u l f ) . Yet if states h a v e a vital national interest in a dispute, they are not likely to exercise the i m p a r t i a l i t y a U N p e a c e o p e r a t i o n req u i r e s . N o r are they likely to c e d e d e c i s i o n m a k i n g c o n t r o l over, or c o m m a n d o f , their f o r c e s to the U N . 5. C o e r c i v e l y i n t e r v e n i n g f o r e v e n t u a l s e l f - d e t e r m i n a t i o n , as J.S. Mill n o t e d o v e r a c e n t u r y a g o , is very o f t e n a s e l f - c o n t r a d i c t o r y e n t e r p r i s e . 2 9 If the local f o r c e s of f r e e d o m , s e l f - d e t e r m i n a t i o n , and h u m a n r i g h t s c a n n o t a c h i e v e s o v e r e i g n t y without a f o r e i g n military i n t e r v e n t i o n , then they are very u n l i k e l y to be

26. Recently, this distrust has given way to a sense of urgency about Africa's conflicts, in which UN involvement is seen to be necessary. See The OAU and Conflict Management in Africa, Report of a Joint OAU/IPA Consultation (Addis Ababa, May 1993) (forthcoming). 27. Mr. Abdi Hassan Awale, an Aidid adviser in Mogadishu, complains, "The UN wants to rule this country. They do not want a Somali government to be established. The UN wants to stay and colonize us." New York Times (March 2, 1994). 28. An added problem is that the use of force in civil wars frequently causes casualties among civilians, opening the UN and its members to accusations of neocolonialism and brutality. Adam Roberts, The Crisis in Peacekeeping (Institut for Forsvarsstudier, 2/1994), p. 24. 29. J.S. Mill, "A Few Words on Nonintervention" (1859) in Essays on Politics and Culture, Gertrude Himmelfarb, ed. (Gloucester: P. Smith, 1973).

The United

Nations

and National

139

Self-Determination

a b l e to h o l d o n to p o w e r a f t e r t h e i n t e r v e n -

as

t i o n a r y f o r c e l e a v e s . E i t h e r the i n s t a l l e d f o r c e s

R w a n d a t h i s p a s t s p r i n g . 1 1 D e l e g a t i o n to n a -

occurred

in

Somalia

in

early

1992

or

of f r e e d o m will collapse, or they t h e m s e l v e s

t i o n a l a c t i o n , a t h i r d r e m e d y , is b e c o m i n g so

w i l l e m p l o y t h o s e v e r y c o e r c i v e m e t h o d s that

i n c r e a s i n g l y p r e v a l e n t t h a t it is b e i n g d e s i g -

p r o v o k e d a n d j u s t i f i e d t h e initial i n t e r v e n t i o n .

nated "fourth-generation" peacekeeping. Stim-

The Kurds, for example, won widespread sym-

u l a t e d by t h e t e m p o r a r y s u c c e s s of U N I T A F

p a t h y f o r t h e i r r e s i s t a n c e to S a d d a m H u s s e i n

a n d by t h e d e l e g a t i o n s to R u s s i a in G e o r g i a , to

and

F r a n c e in R w a n d a , a n d to the U n i t e d S t a t e s in

benefited

from

an

UN-endorsed

U.S.-

F r e n c h - B r i t i s h i n t e r v e n t i o n in the a f t e r m a t h of

H a i t i , t h e U N is s u r m o u n t i n g c o n t r i b u t o r f a -

the war against Iraq. But the Kurdish factions

t i g u e by a s s i g n i n g m a n d a t e s to t h e n a t i o n a l

s o o n b e c a m e so d i v i d e d that t h e y a p p e a r e d in-

s t a t e s w i l l i n g to a c c e p t a n d p e r h a p s e n f o r c e

c a p a b l e of e s t a b l i s h i n g l a w a n d o r d e r in t h e i r

t h e m . T h i s m a y i n d e e d be the best c o m p r o m i s e

t e r r i t o r y . I n s t e a d , three f a c t i o n s d i v i d e d the re-

a v a i l a b l e in d i f f i c u l t c i r c u m s t a n c e s , b u t , in it-

g i o n . N o n e yet a p p e a r c a p a b l e of s u s t a i n i n g it-

s e l f , it d o e s little to a d d r e s s t h e

self a g a i n s t w h a t e v e r a t t e m p t s to r e i n c o r p o r a t e

p r o b l e m s of l e a v i n g b e h i n d a s t a b l e f o r m of

longer-run

K u r d i s t a n that S a d d a m H u s s e i n m a y m a k e . T h e

l o c a l l y l e g i t i m a t e g o v e r n m e n t a n d it m a y raise

i n t e r n a t i o n a l c o m m u n i t y h a s t h u s p l a c e d itself

d i f f i c u l t i s s u e s of c o n t r o l . C a n t h e S e c u r i t y

in the a w k w a r d

adopting

C o u n c i l b e c o n f i d e n t that t h e m a n d a t e it a s -

K u r d i s t a n as a l o n g - t e r m w a r d or r e t u r n i n g it to

p o s i t i o n of e i t h e r

s i g n s will be i m p l e m e n t e d in w a y s that f u l f i l l

Saddam Hussein.30

U N p r i n c i p l e s a n d s e r v e t h e i n t e r e s t s of the U n i t e d N a t i o n s as a whole'.'

An Internationalist Alternative The

existing

minus,"

problems

of

T h e r e s i d u a l p r o b l e m s r a i s e d by e a c h of

''enforcement-

t h e s e a l t e r n a t i v e s s u g g e s t the v a l u e of i n n o v a t -

m a n i f e s t e d so s i g n a l l y by t h e U N in

ing w i t h i n U N t r a d i t i o n s , the d e v e l o p m e n t of a

B o s n i a a n d S o m a l i a , s u g g e s t a s e a r c h f o r alter-

s u p e r i o r f o r m of "consent-pins"

n a t i v e s that r e d u c e the i m p a c t of the f i v e c o n -

n i z e s t h e c o n t i n u i n g p o l i t i c a l s i g n i f i c a n c e of

that

recog-

s t r a i n t s p r e v i o u s l y n o t e d . O n e " a l t e r n a t i v e " is

national s o v e r e i g n t y . T h e U N s h o u l d seek out a

s i m p l y f o r t i t u d e . Both U N P R O F O R and U N O -

c o n s e n s u a l b a s i s f o r a r e s t o r a t i o n of law a n d

S O M , a s n o t e d , s a v e d t e n s of t h o u s a n d s of

o r d e r in d o m e s t i c c r i s e s a n d try to i m p l e m e n t

lives. C a r r y i n g such o p e r a t i o n s f o r w a r d may

its g l o b a l h u m a n r i g h t s a n d s e l f - d e t e r m i n a t i o n

b e all that c a n be d o n e , if the U N c a n f i n d the

a g e n d a in a w a y that p r o d u c e s less f r i c t i o n and

n a t i o n s w i l l i n g to stick it o u t . A n o t h e r a l t e r n a -

more support.

t i v e , c e n t e r e d a b o u t t h e n e w a t t e n t i o n to t h e

Taking a substantial step beyond

"first-

p o s s i b i l i t i e s of r e g i o n a l p e a c e k e e p i n g , a strat-

g e n e r a t i o n " o p e r a t i o n s , in w h i c h the U N m o n i -

e g y r e c o m m e n d e d in t h e S e c r e t a r y - G e n e r a l ' s

tors a truce, and keeping a significant

Agenda

a p p e a r s d e s i g n e d to elicit a

short of the t h i r d - g e n e r a t i o n " p e a c e e n f o r c i n g "

more locally sensitive approach to political

o p e r a t i o n s , in w h i c h the U N u s e s f o r c e to im-

d i s p u t e s . Yet t h e lack of i n s t i t u t i o n a l , m i l i t a r y ,

p o s e a p e a c e , s e c o n d - g e n e r a t i o n o p e r a t i o n s are

for

Peace,

step

a n d f i n a n c i a l c a p a c i t y of t h e r e g i o n a l o r g a n i -

b a s e d o n c o n s e n t of t h e p a r t i e s . Yet the n a t u r e

zations

of

of that c o n s e n t a n d the p u r p o s e s f o r w h i c h it is

NATO) remains a considerable hurdle. For an-

granted are qualitatively different f r o m tradi-

o t h e r a l t e r n a t i v e , Sir B r i a n U r q u h a r t has i s s u e d

t i o n a l p e a c e k e e p i n g . In t h e s e o p e r a t i o n s , t h e

(with

the

exception,

perhaps,

an e l o q u e n t m a n i f e s t o in f a v o r of a U N a r m y .

UN

S m a l l a n d c e n t r a l l y c o n t r o l l e d , it w o u l d

be

p e a c e a g r e e m e n t s that g o t o t h e r o o t s of t h e

can

c o n f l i c t , h e l p i n g to b u i l d a l o n g - t e r m f o u n d a -

suited

for the rapid

interventions

that

s o m e t i m e s p r e e m p t an e s c a l a t i n g c r i s i s , s u c h

tion

is t y p i c a l l y

for

stable,

involved

legitimate

in

implementing

government.

As

30. Chris Hedges, "Quarrels of Kurdish Leaders Sour Dreams of a H o m e l a n d , " New York Times (June 18, 1994): A l T 31. Sir Brian U r q u h a r t , " F o r a UN Volunteer Military F o r c e , " New York Review of Books (June 10, 1993); see also " F o u r Views," New York Review of Books (June 24, 1993). In this volume, see the c o m mentary by General Jean Cot, p. 148.

Michael W. Doyle

140

S e c r e t a r y - G e n e r a l B o u t r o s - G h a l i o b s e r v e d in An Agenda for Peace, Peace-making and peace-keeping operations, to be truly successful, must come to include c o m p r e h e n s i v e efforts to identify and support structures which wiil tend to consolidate peace. . . . These may include disarming the previously warring parties and the restoration of order, the custody and possible destruction of weapons, repatriating refugees, advisory and training support for security personnel, monitoring elections, advancing efforts to protect human rights, reforming or strengthening governmental institutions and promoting formal and informal processes of political participation. U N T A C in C a m b o d i a , for e x a m p l e , w a s b a s e d on the c o n s e n t of the p a r t i e s , as exp r e s s e d in the Paris A g r e e m e n t s , but it m o v e d b e y o n d m o n i t o r i n g the actions of the parties to the e s t a b l i s h m e n t of a t r a n s i t i o n a l a u t h o r i t y that actually i m p l e m e n t e d directly crucial c o m p o n e n t s of the m a n d a t e . M o r e o v e r , its scale was vastly larger than all but the e n f o r c e m e n t m a n d a t e s , and for a variety of r e a s o n s it f o u n d itself o p e r a t i n g w i t h o u t the c o n t i n u o u s (in the case of the K h m e r R o u g e ) or c o m p l e t e (in the case of the o t h e r f a c t i o n s ) c o o p e r a t i o n of the factions. T h e U N has a c o m m e n d a b l e record of succ e s s in s e c o n d - g e n e r a t i o n , m u l t i d i m e n s i o n a l p e a c e k e e p i n g o p e r a t i o n s as d i v e r s e as those in N a m i b i a ( U N T A G ) . El S a l v a d o r ( O N U S A L ) , and C a m b o d i a ( U N T A C ) . ' 2 T h e U N ' s role in h e l p i n g settle t h o s e c o n f l i c t s has been threef o l d . It s e r v e d as a peacemaker, facilitating a p e a c e treaty a m o n g the parties; as a peacekeeper, m o n i t o r i n g the c a n t o n m e n t and d e m o bilization of military forces, resettling r e f u g e e s ,

and s u p e r v i s i n g transitional civilian authorities; and as a peacebuilder, m o n i t o r i n g a n d , in s o m e cases, o r g a n i z i n g the i m p l e m e n t a t i o n of h u m a n rights, n a t i o n a l d e m o c r a t i c e l e c t i o n s , and econ o m i c rehabilitation. T h o u g h n o n e n f o r c i n g and c o n s e n t - b a s e d , these o p e r a t i o n s are far f r o m h a r m o n i o u s . C o n sent is not a s i m p l e " b r i g h t line"' d e m a r c a t i n g the safe and a c c e p t a b l e f r o m the d a n g e r o u s and i l l e g i t i m a t e . Each f u n c t i o n will r e q u i r e an enh a n c e d f o r m of c o n s e n t if the UN is to help m a k e a p e a c e in the c o n t e n t i o u s e n v i r o n m e n t of civil strife. We n e e d , t h e r e f o r e , to f o c u s on n e w w a y s to d e s i g n p e a c e o p e r a t i o n s if the U N . in the f a c e of likely resistance, is to avoid h a v i n g to c h o o s e b e t w e e n e i t h e r force or withdrawal.

Strategies of Enhanced Consent Peacemaking A c h i e v i n g the peace treaty itself will o f t e n req u i r e h e a v y p e r s u a s i o n by o u t s i d e actors. In C a m b o d i a , the U S S R and C h i n a are said to have i n f o r m e d their respective clients in P h n o m Penh and the K h m e r R o u g e that o n g o i n g levels of f i n a n c i a l and military s u p p o r t w o u l d not be f o r t h c o m i n g if they resisted the t e r m s of a peace treaty that their patrons f o u n d acceptable. Peace treaties m a y t h e m s e l v e s d e p e n d on prior s a n c t i o n s , t h r e a t s of s a n c t i o n s , or loss of aid, i m p o s e d by the international c o m m u n i t y . 3 3 T h e c o n s t r u c t i o n of a c o m p r e h e n s i v e a g r e e d - u p o n p e a c e , h o w e v e r , is m o r e than worth the e f f o r t . G o i n g b e y o n d the n e g o t i a t i o n of a s i m p l e c e a s e - f i r e , the very p r o c e s s of n e g o t i a t i o n a m o n g the c o n t e n d i n g f a c t i o n s can d i s c o v e r the a c c e p t a b l e p a r a m e t e r s of an imp l e m e n t a b l e and stable peace that are particular

32. Before the UN became involved, during the Cold War when action by the Security Council was stymied by the lack of consensus among the P5, the international community allowed Cambodia to suffer an autogenocide and El Salvador a brutal civil war without concerted multilateral assistance. Indeed, the great powers were involved in supporting factions who inflicted some of the worst aspects of the violence the two countries suffered. We should keep this in mind when we consider the UN's difficulties in Somalia and Bosnia. 33. The Governor's Island Accord, which produced the first (ineffective) settlement of the Haitian conflict, resulted f r o m economic sanctions on arms and oil imposed by the UN and OAS on Haiti as a whole. Sanctions targeted on the perpetrators (the military elite and their supporters) might have been much more effective had they been imposed before the summer of 1994. Restrictions on the overseas private bank accounts and air travel of the ruling elite would have been both more just and perhaps more effective than general economic sanctions, whose impact was most severe on the most vulnerable and from which the elite may actually have benefited.

The United

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and National

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141

to the c o n f l i c t . An a g r e e d - u p o n peace treaty,

d i r e c t e d at U N T A C itself, p r o t e c t i n g , f o r e x a m -

m o r e o v e r , c a n m o b i l i z e t h e s u p p o r t of the f a c -

p l e , t h e i n t e r e s t s of n a t i o n a l b a t t a l i o n s . It a l s o

t i o n s a n d of t h e i n t e r n a t i o n a l c o m m u n i t y

in

s e r v e d as a b a c k c h a n n e l f o r S p e c i a l R e p r e s e n -

f a v o r of i m p l e m e n t i n g t h e p e a c e , as it c a n e s -

t a t i v e A k a s h i to c o m m u n i c a t e d i r e c t l y to t h e

tablish

Security Council.34

new

institutions designed

to f u r t h e r

peacekeeping and peacebuilding.

In El S a l v a d o r , the f o u r f r i e n d s of

T h e U N h a s d e v e l o p e d a set of c r u c i a l l y important

innovations that help m a n a g e

the

Secretary-General

were

Venezuela,

the

Mexico,

S p a i n , a n d C o l o m b i a . F r e q u e n t l y j o i n e d by a

b u i l d i n g o f p e a c e o n a c o n s e n s u a l b a s i s . First

"fifth friend"—the

a m o n g t h e m is t h e d i p l o m a t i c d e v i c e that h a s

g e t h e r p l a y e d a c r u c i a l r o l e in n e g o t i a t i n g a n d

c o m e to b e c a l l e d the " F r i e n d s of the S e c r e -

i m p l e m e n t i n g t h e p e a c e a c c o r d s . 1 5 So, t o o , did

tary-General." This brings together

multina-

United

States—they

to-

the C o r e G r o u p in M o z a m b i q u e . H o p e s a l s o

t i o n a l l e v e r a g e f o r U N d i p l o m a c y to h e l p m a k e

c e n t e r e d on the " C o n t a c t G r o u p , "

including

a n d m a n a g e p e a c e . C o m p o s e d of ad h o c , i n f o r -

Russia, the United States, France,

Germany,

m a l , m u l t i l a t e r a l d i p l o m a t i c m e c h a n i s m s that

a n d t h e U n i t e d K i n g d o m f o r t h e f o r m e r Yu-

u n i f y s t a t e s in s u p p o r t of i n i t i a t i v e s of the S e c -

g o s l a v i a a n d a n o t h e r g r o u p of " f r i e n d s " f o r

r e t a r y - G e n e r a l , it l e g i t i m a t e s , with the s t a m p of

Haiti, c o n s i s t i n g of C a n a d a , F r a n c e , the U n i t e d

U N a p p r o v a l a n d s u p e r v i s i o n , the p r e s s u r e s in-

S t a t e s and V e n e z u e l a . I n f o r m a l d i p l o m a t i c s u p -

t e r e s t e d s t a t e s c a n b r i n g to b e a r to f u r t h e r the

port g r o u p s h a v e a l s o b e e n a c t i v e in N a m i b i a ,

p u r p o s e s o f p e a c e and t h e U N .

Nicaragua, Georgia, Afghanistan, and G u a t e m a l a .

T h e " C o r e G r o u p " in N e w York a n d the

P l a y i n g a c r u c i a l role in t h e

Secretary-

" E x t e n d e d P 5 " in P h n o m P e n h t o g e t h e r p l a y e d

G e n e r a l ' s p e a c e m a k i n g and preventive diplo-

a " f r i e n d s " role in the n e g o t i a t i o n and the m a n -

macy functions, these groupings serve four key

a g e m e n t o f the p e a c e p r o c e s s . C o m p o s e d of the

f u n c t i o n s . F i r s t , the l i m i t e d i n f l u e n c e of t h e

Security Council "Permanent Five"—the United

S e c r e t a r y - G e n e r a l can b e l e v e r a g e d , m u l t i p l i e d ,

S t a t e s . F r a n c e . U S S R , C h i n a , a n d the U K — a n d

a n d c o m p l e m e n t e d by the " f r i e n d s . " T h e U N ' s

"extended"

Indonesia,

scarce attention, and even scarcer resources,

J a p a n , a n d o t h e r c o n c e r n e d s t a t e s , it t o o k t h e

to i n c l u d e A u s t r a l i a ,

c a n be s u p p l e m e n t e d by the d i p l o m a c y a n d t h e

lead in t h e c o n s t r u c t i o n of the P a r i s A g r e e -

clout of p o w e r f u l , interested actors. T h e s e c o n d

m e n t s . It p r o v i d e d k e y s u p p o r t to

UNTAC.

v a l u e is l e g i t i m i z a t i o n . T h e v e r y act of c o n s t i -

b o t h p o l i t i c a l a n d f i n a n c i a l , a n d it h e l p e d o r g a -

t u t i n g t h e m s e l v e s as a g r o u p , w i t h the f o r m a l

n i z e I C O R C ( I n t e r n a t i o n a l C o m m i t t e e on t h e

s u p p o r t of t h e S e c r e t a r y - G e n e r a l , l e n d s l e g i t i -

R e c o n s t r u c t i o n of C a m b o d i a ) aid ( a l m o s t $1

m a c y to t h e d i p l o m a t i c a c t i v i t i e s of i n t e r e s t e d

b i l l i o n ) , w h i l e p r o v i d i n g s p e c i a l f u n d s f o r var-

states that t h e y m i g h t not o t h e r w i s e h a v e . It al-

i o u s p r o j e c t s . Yet the E x t e n d e d P5 l a c k e d a

lows for constructive diplomacy when accusa-

f i x e d c o m p o s i t i o n . It, of c o u r s e , i n c l u d e d the

t i o n s of s p e c i a l a n d p a r t i c u l a r n a t i o n a l interest

P5 b u t t h e n i n c l u d e d o r e x c l u d e d o t h e r s on an

c o u l d taint b i l a t e r a l e f f o r t s . In o r d e r to f u l f i l l

ad h o c b a s i s , d e p e n d i n g on t h e issue a n d t o p i c

t h i s c o n c e r n , it is c r u c i a l t h a t t h e U N i t s e l f ,

c o v e r e d a n d the " m e s s a g e " the g r o u p w i s h e d to

t h r o u g h t h e c o n s t a n t p a r t i c i p a t i o n of a s p e c i a l

send.

r e p r e s e n t a t i v e of the S e c r e t a r y - G e n e r a l , b e part

For

example, Thailand

was

excluded

f r o m c e r t a i n m e e t i n g s in o r d e r to s e n d a s i g n a l

of t h e p e a c e m a k i n g p r o c e s s . O t h e r w i s e ,

of c o n c e r n a b o u t its lack of s u p p o r t f o r t h e re-

" f r i e n d s " m a y e x p l o i t the U N label f o r p a r t i s a n

s t r i c t i o n s i m p o s e d on t h e K h m e r R o u g e . In

(even

C a m b o d i a , m o r e o v e r , there w a s not a s o v e r e i g n

v a l u e is c o o r d i n a t i o n . T h e F r i e n d s m e c h a n i s m

g o v e r n m e n t to m o n i t o r or s u p p o r t . M u c h of

provides transparency a m o n g the interested ex-

the E x t e n d e d P 5 ' s d i p l o m a c y was

t e r n a l p a r t i e s , a s s u r i n g t h e m t h a t t h e y a r e all

therefore

if m u l t i n a t i o n a l )

purposes. The

the third

34. Yasushi Akashi, " U N T A C in C a m b o d i a : Lessons for UN P e a c e - k e e p i n g , " the Charles Rostow A n nual L e c t u r e (Washington, D.C.: SAIS, O c t o b e r 1993), and Doyle interviews in P h n o m Penh, M a r c h 1993, and N e w York, N o v e m b e r 1993. 35. Ian J o h n s t o n e and Mark Le Vine, " L e s s o n s f r o m El Salvador." Christian Science Monitor (August 10, 1993).

142

Michael

W. Doyle

working for the same purposes, and when they

p e a c e t r e a t y t e n d to t h i n k in l e g a l ( a u t h o r i t y ,

a r e d o i n g so, a l l o w i n g t h e m t o p u r s u e a d i v i -

p r e c e d e n t ) , not s t r a t e g i c ( p o w e r , i n c e n t i v e s ) ,

sion of l a b o r that e n h a n c e s their j o i n t e f f o r t . It

categories. Treaties thus describe obligations;

ensures

they tend to b e u n c l e a r a b o u t i n c e n t i v e s and ca-

that

diplomats

are

not

working

at

c r o s s - p u r p o s e s b e c a u s e they r e g u l a r l y m e e t and

pacities.

i n f o r m e a c h o t h e r of t h e i r a c t i v i t i e s a n d e n -

All t h e s e m i l i t a t e a g a i n s t c l e a r a n d i m p l e -

c o u r a g e e a c h o t h e r to u n d e r t a k e s p e c i a l t a s k s .

m e n t a b l e m a n d a t e s . D i p l o m a t s seek to i n c o r p o -

A n d f o u r t h , the f r i e n d s m e c h a n i s m p r o v i d e s a

rate into the treaty t h e m o s t c o m p l e t e p e a c e t o

p o l i t i c a l l y b a l a n c e d a p p r o a c h to t h e r e s o l u t i o n

w h i c h t h e p a r t i e s will a g r e e . U N o f f i c i a l s seek

t h r o u g h n e g o t i a t i o n of civil w a r s . It o f t e n turns

to c l a r i f y t h e U N ' s o b l i g a t i o n s . K n o w i n g t h a t

out that o n e p a r t i c u l a r " f r i e n d " c a n a s s o c i a t e

m u c h of w h a t w a s a g r e e d to in the p e a c e treaty

with o n e f a c t i o n , j u s t as a n o t h e r a s s o c i a t e s w i t h

will not be i m p l e m e n t a b l e in the f i e l d , the o f f i -

a s e c o n d . In the C a m b o d i a n

c i a l s w h o w r i t e the S e c r e t a r y - G e n e r a l ' s r e p o r t

peace

process,

C h i n a b a c k - s t o p p e d the K h m e r R o u g e , j u s t as

(which

F r a n c e d i d P r i n c e S i h a n o u k , a n d V i e t n a m to-

a g r e e m e n t ) c o n t r a c t o r e x p a n d t h e m a n d a t e of

g e t h e r w i t h R u s s i a d i d the S t a t e of C a m b o d i a .

the p e a c e o p e r a t i o n . 1 7 C o n f u s e d m a n d a t e s a r e

T h e f r i e n d s o p e n m o r e f l e x i b l e c h a n n e l s of

an i n e v i t a b l e result of this t e n s i o n .

outlines

the

implementation

of

the

c o m m u n i c a t i o n than a s i n g l e U N m e d i a t o r c a n

A second tension also shapes the peace-

p r o v i d e . T h e y a l s o a d v i s e and g u i d e the U N in-

k e e p i n g m a n d a t e . T h e m a n d a t e , like a n a t u r a l

termediaries,

r e s o u r c e c o n t r a c t , is an o b s o l e s c i n g

although the process tends

to

bargain.

w o r k best w h e n they s u p p o r t , r a t h e r than m o v e

W h e n a c o u n t r y b e g i n s a n e g o t i a t i o n w i t h an

out in f r o n t of. the U N .

oil c o m p a n y f o r the e x p l o r a t i o n of its territory, the c o m p a n y

Multidimensional

Peacekeeping

Even

peace

consent-based

h o l d s all t h e a d v a n t a g e s .

The

c o s t s of e x p l o r a t i o n a r e l a r g e w h i l e t h e p o s s i -

agreements

fall

bility of oil is u n c e r t a i n . T h e c o u n t r y

must

a p a r t . In t h e c i r c u m s t a n c e s f a c e d by " f a i l e d

t h e r e f o r e c e d e g e n e r o u s t e r m s . A s s o o n as oil is

s t a t e s " o r p a r t i s a n v i o l e n c e , a g r e e m e n t s tend to

d i s c o v e r e d , the b a r g a i n s h i f t s , as d i s c o v e r e d oil

be f l u i d . In the n e w civil c o n f l i c t s , p a r t i e s c a n -

is e a s y to p u m p and a n y oil c o m p a n y c a n d o it.

not f o r c e p o l i c y on t h e i r f o l l o w e r s a n d o f t e n

T h e old b a r g a i n h a s s u d d e n l y o b s o l e s c e d . 3 8 S o ,

lack the c a p a c i t y or will to m a i n t a i n a d i f f i c u l t

too, with a U N p e a c e k e e p i n g operation. T h e

p r o c e s s of r e c o n c i l i a t i o n l e a d i n g to a r e e s t a b -

spirit of a g r e e m e n t is n e v e r m o r e e x a l t e d t h a n

l i s h m e n t of n a t i o n a l s o v e r e i g n t y . 3 6

at t h e m o m e n t of t h e s i g n i n g of t h e

peace

P e a c e treaties a n d their p e a c e k e e p i n g m a n -

t r e a t y ; t h e a u t h o r i t y of t h e U n i t e d N a t i o n s is

d a t e s t h u s t e n d to b e a f f e c t e d by t w o sets of

never again greater. T h e n the parties a s s u m e

c o n t r a d i c t o r y t e n s i o n s . First, in o r d e r to get an

that the a g r e e m e n t will be a c h i e v e d a n d that all

a g r e e m e n t , d i p l o m a t s a s s u m e all p a r t i e s are in

are c o o p e r a t i n g in g o o d faith. T h e y d e p e n d u p o n

g o o d f a i t h ; t h e y c a n n o t q u e s t i o n the i n t e n t i o n s

the U N to a c h i e v e their v a r i o u s h o p e s . T h e U N

of their d i p l o m a t i c p a r t n e r s . Yet to i m p l e m e n t a

as yet has n o i n v e s t m e n t in r e s o u r c e s or political

peacekeeping

operation,

p r e s t i g e . T h e U N , in s h o r t , h o l d s all the c a r d s .

p l a n n e r s must a s s u m e the o p p o s i t e — t h a t the

Yet as s o o n as the U N b e g i n s its i n v e s t m e n t of

p a r t i e s will not or c a n n o t f u l f i l l the a g r e e m e n t

m o n e y , p e r s o n n e l , a n d p r e s t i g e , t h e n the b a r -

made. Moreover, diplomats who design

gaining relationship alters its b a l a n c e . T h e larger

and

peacebuilding

the

36. T h e s e issues are e f f e c t i v e l y e x p l o r e d in John M a c k i n l a y and Jarat C h o p r a , " S e c o n d G e n e r a t i o n Multinational Operations," Washington Quarterly 15, no. 2 (Spring 1992); A d a m Roberts, "The United Nations and International Security," Survival 35, no. 2 ( S u m m e r 1993); William Durch, ed., The Evolution of UN Peacekeeping (N.Y.: St. Martin's, 1993); Mats Berdal, Whither UN Peacekeeping? Adelplii Paper 281 ( L o n d o n : IISS, 1993); and T h o m a s Weiss, " N e w C h a l l e n g e s f o r UN Military O p e r a tions," Washington Quarterly 16, no. 1 (Winter 1993). 37. I first heard a variation on this point from Edward Luck. 38. See R a y m o n d Vernon, " L o n g - R u n Trends in Concession Contracts," Proceedings of the Sixty-First Annual Meeting of the American Society of International Law (Washington, D.C., 1967).

The United

Nations

and National

Self-Determination

143

the U N investment—these multidimensional op-

their o w n s e l f - i n t e r e s t , as t h e y m o b i l i z e d local

erations

invest-

r e s o u r c e s to c o m b a t local o p p o s i t i o n . O v e r t h e

m e n t s — t h e g r e a t e r is the i n d e p e n d e n t U N inter-

l o n g e r r u n , " n a t i v e " f o r c e s , the Z a m i n d a r s , t h e

represent

multibillion-dollar

e s t in s u c c e s s a n d t h e g r e a t e r the i n f l u e n c e of

K i n g ' s O w n A f r i c a n R i f l e s , a n d o t h e r local b a t -

t h e parties b e c o m e s . S i n c e the parties control an

talions,

e s s e n t i a l e l e m e n t in the s u c c e s s of the m a n d a t e ,

forces that m a d e imperial rule effective, that

t h e i r b a r g a i n i n g p o w e r r a p i d l y rises. S o , in the

p r e s e r v e d a b a l a n c e of local p o w e r in f a v o r of

late s p r i n g of 1 9 9 3 as the c r u c i a l e l e c t i o n s ap-

m e t r o p o l i t a n i n f l u e n c e — a n d that kept it c h e a p .

not

metropolitan

troops,

were

the

p r o a c h e d , U N T A C chief A k a s h i a c k n o w l e d g e d ,

L e a r n i n g f r o m t h e h i s t o r y of i m p e r i a l i n s t i t u -

"I c a n n o t a f f o r d not to s u c c e e d . " 3 9

tion-building

(while

avoiding

imperial

ex-

T h i s d u a l t e n s i o n in d e s i g n i n g p e a c e k e e p -

p l o i t a t i o n a n d c o e r c i o n ) , an e f f e c t i v e a n d a f -

ing o p e r a t i o n s e m p h a s i z e s that t i m e is critical.

f o r d a b l e s t r a t e g y for U N p e a c e o p e r a t i o n s f a c e s

The

a g r e a t e r c h a l l e n g e . It n e e d s to d i s c o v e r w a y s

U N s h o u l d b e r e a d y to i m p l e m e n t

the

m a n d a t e as s o o n a f t e r the p e a c e treaty is s i g n e d

to g e n e r a t e voluntary

as is p r a c t i c a b l e . U N T A C s u f f e r e d a l a r g e d e -

local

c r e a s e in a u t h o r i t y in e a r l y 1992 as t i m e p a s s e d

local r e s o u r c e s for locally

a n d e x p e c t a t i o n s of t h e f a c t i o n s a n d t h e C a m -

political

cooperation from divided

actors

and mobilize legitimate,

p u r p o s e s . 4 0 A n d it m u s t d o so

bodian people were disappointed.

existing collective

rapidly.

R e c e n t p e a c e k e e p i n g e x p e r i e n c e has s u g -

T h e s e t e n s i o n s a l s o e x p l a i n h o w the ideal

gested a s e c o n d p e a c e k e e p i n g i n n o v a t i o n : an ad

f r a m e w o r k ( b o t h legal a n d p o l i t i c a l ) of a treaty

hoc,

c a n d i s s o l v e in d a y s or m o n t h s , as the C a m b o -

m a n a g e a p e a c e p r o c e s s and m o b i l i z e local c o -

semisovereign

mechanism

designed

to

d i a n p e a c e a g r e e m e n t s did a n d h o w the p r o v i -

operation. It has o f t e n been r e m a r k e d that C h a p -

s i o n s of p e a c e a c c o r d s b e c o m e so g e n e r a l , a m -

ter VI p r e s e n t s the U n i t e d N a t i o n s with too lit-

biguous,

the

tle a u t h o r i t y a n d C h a p t e r VII o f f e r s t o o m u c h ;

d e t a i l s h a v e to be w o r k e d out in the i m p l e m e n -

and that C h a p t e r VI is a s s o c i a t e d with too little

t a t i o n p r o c e s s . T o be m i n i m a l l y e f f e c t i v e u n d e r

use of f o r c e and C h a p t e r VII with too m u c h .

or

unworkable

that

many

those c i r c u m s t a n c e s , the UN must

of

innovate.

T h e v a l u e of t h e s e ad h o c , s e m i s o v e r e i g n

O n e c l e a r i m p l i c a t i o n is the i m p o r t a n c e of risk-

a r t i f i c i a l b o d i e s is that t h e y p r o v i d e a p o t e n -

spreading multidimensionality. The UN should

tially p o w e r f u l , political m e a n s of e n c o u r a g i n g

d e s i g n in as m a n y r o u t e s to

a n d i n f l u e n c i n g t h e s h a p e of c o n s e n t . I n d e e d ,

peace—institu-

tional r e f o r m , e l e c t i o n s , i n t e r n a t i o n a l m o n i t o r -

these s e m i s o v e r e i g n artificial bodies can help

ing, e c o n o m i c r e h a b i l i t a t i o n — a s

c o n t a i n the e r o s i o n of c o n s e n t a n d e v e n m a n u -

the

parties

will t o l e r a t e .

f a c t u r e it w h e r e it is m i s s i n g . C r e a t e d by a political

p e a c e treaty, they p e r m i t the t e m p o r a r y c o n s e n -

s t r a t e g y to w i n a n d k e e p p o p u l a r s u p p o r t a n d

sus of the parties to b e f o r m a l l y i n c o r p o r a t e d in

c r e a t e ( n o t j u s t e n j o y ) t h e s u p p o r t of

local

an institution with r e g u l a r consultation and e v e n ,

f o r c e s of order. In a f a i l e d state, as w a s the c a s e

as in the C a m b o d i a n S u p r e m e National C o u n c i l ,

in a s o c i e t y s u b j e c t to c o l o n i a l r u l e , w h a t is

a s e m i a u t o n o m o u s s o v e r e i g n will. T h e s e m e c h a -

m o s t o f t e n m i s s i n g is m o d e r n

organization.

n i s m s h a v e p r o v e d crucial in a n u m b e r of recent

T h i s w a s w h a t c o l o n i a l m e t r o p o l e s s u p p l i e d , in

U N m i s s i o n s . T h e y c a n r e p r e s e n t the o n c e - w a r -

The UN

also needs a flexible

39. Yasushi A k a s h i , interview in " P e a c e in the Killing F i e l d s , " part 3 of The Thin Blue Line ( B B C Radio 4, released 9 May 1993). 40. It is interesting, in this light, to note that some key, early U N experts in peacekeeping were eminent decolonization experts, deeply familiar with the politics of colonial rule, as was Ralph Bunche from the UN T r u s t e e s h i p Division. See Brian Urquhart, Ralph Bunche, an American Life ( N e w York: N o r t o n , 1993), c h a p . 5; and for a discussion of imperial strategy, M i c h a e l D o y l e , Empires (Ithaca: Cornell, 1986), chap. 12. Yet there are key differences. Empires were governed primarily in the interests of the metropole; U N peace operations explicitly p r o m o t e the interests of the host country. And what m a d e imperial strategy work w a s the possibility of c o e r c i v e violence, the o v e r - t h e - h o r i z o n g u n b o a t s that could be, and o f t e n were, offshore. That, for good and bad, is what the U N usually lacks, unless it calls in the e n f o r c e m e n t capacity of the m a j o r p o w e r s . Rehabilitation assistance is s o m e t i m e s an e f f e c t i v e carrot but not the equivalent of the Royal Navy.

144 ring parties and act in the name of a preponderance of the "nation" without the continuous or complete consent of all the factions. They can both build political support and adjust—in a legitimate way, with the consent of the parties— the mandate in order to respond to unanticipated changes in local circumstances. In Cambodia, the Supreme National Council (SNC), constructed by the Paris Peace A g r e e m e n t s , " e n s h r i n e d " C a m b o d i a n sovereignty. The Council, composed of the four factions and chaired by Prince Sihanouk, offered a chance for these parties to consult together on a regular basis and endorse the peace process. It also lent special authority to Prince Sihanouk, who was authorized to act if the S N C failed to achieve a consensus. Beyond that, it e m p o w ered the United Nations, represented by Special Representative Yasushi Akashi, to act in the interests of the peace process, if Sihanouk failed to do so. Artificially created, the S N C thus established a semisovereign legal personality designed to be responsive to the general interests of C a m b o d i a (even when a complete consensus was lacking among all the factions) and to the authority of the United Nations Special Representative. Acting in the name of C a m b o d i a — a s a step in the implementation of the Paris A g r e e m e n t s — t h e S N C adopted all the m a j o r h u m a n rights conventions (including the First and Second Covenants on Human Rights), and it authorized the trade e m b a r g o against illegal exports of logs and gems. It was the forum that endorsed the protracted and sensitive negotiations over the franchise. It legitimated the enforcement of certain elements of the peace, absent the u n a n i m o u s consent of the parties and without the necessity of a contentious debate at the Security Council. It could have exercised greater authority, perhaps even designing an acceptable scheme for rehabilitation, if Prince Sihanouk or Mr. Akashi had been both willing and able to lead it in that direction. The Commission on the Peace (COPAZ) in El S a l v a d o r played a related, although m u c h less authoritative, role in the Salvadoran peace process, serving as a f o r u m f o r consultation a m o n g the F M L N , the g o v e r n m e n t , and the other political parties. Designed to monitor and establish a forum for the participation of civilian society in the peace process, it was the only political institution that e m b o d i e d the full

Michael W. Doyle scope of Salvadoran politics, the only institution that could legitimately speak f o r "El Salvador." Its minimal role in the p e a c e process was unfortunate. And in Somalia, the "Transitional National C o u n c i l " was designed to perform a similar function, but its failure to get off the ground was perhaps the single most disturbing problem in the p e a c e m a k i n g process, one that seriously eroded the attempt to create a peace. An item to note in the design of these s e m i s o v e r e i g n , artificial bodies is that one should try (to the extent that o n e ' s f r e e d o m of negotiation allows) to " p r e v i e w " the peace that the parties and the international c o m m u n i t y seeks. For the Paris Peace A g r e e m e n t s f o r C a m b o d i a , seeking a "pluralist d e m o c r a c y " should have meant expanding the Supreme National Council to also include other bodies, such as one for civil society. It might have included, for e x a m p l e , Buddhist m o n k s , nongovernmental organizations, and other representatives of society outside the state. These supplementary bodies, it should be noted, need not perform executive or legislative functions. The important point is that civil society participate in the decisionmaking process, at a minimum through formally recognized consultative channels. The UN must avoid the trade-offs between too m u c h force and too little. T h e dangers of Chapter VII e n f o r c e m e n t operations, whether in Somalia or Bosnia, leave many observers to think that it is extremely unlikely that troopcontributing countries will actually show up for such operations. T h e risks are m u c h more costly than the m e m b e r states are willing to bear for humanitarian purposes. Yet when we look at Chapter VI operations, we see that consent by parties easily dissolves under difficult processes of peace. UN operations in the midst of civil strife have often been rescued by the timely use of force, as were the operations in the Congo, when Katanga's secession was forcibly halted, and as was the operation in Namibia, when S W A P O ' s (South West African People's Organization) violation of the peace agreement was countered with the aid of South African forces; but both resulted in grave political costs. Given those options, the semisovereign artificial bodies offer the possibility of midcourse adjustments and "nationally" legitimated

The United Nations

and National

Self-Determination

e n f o r c e m e n t . T h e y artificially but u s e f u l l y enh a n c e the p r o c e s s of c o n s e n t in the direction of t h e p r o m o t i o n of p e a c e w h i l e a v o i d i n g the d a n g e r s a s s o c i a t e d w i t h a t t e m p t s to i m p l e m e n t a forced peace. Peacebuilding Multidimensional, second-generation peacek e e p i n g p i e r c e s the shell of national a u t o n o m y b y b r i n g i n g i n t e r n a t i o n a l i n v o l v e m e n t to areas l o n g t h o u g h t to be the e x c l u s i v e d o m a i n of dom e s t i c j u r i s d i c t i o n . If a p e a c e k e e p i n g operation is to l e a v e b e h i n d a l e g i t i m a t e and i n d e p e n d e n t l y v i a b l e p o l i t i c a l s o v e r e i g n , it m u s t h e l p t r a n s f o r m the political l a n d s c a p e by b u i l d i n g a n e w basis for d o m e s t i c peace. T r a d i t i o n a l s t r a t e g i e s of c o n f l i c t r e s o l u tion, w h e n s u c c e s s f u l , were d e s i g n e d to resolve a d i s p u t e b e t w e e n c o n f l i c t i n g parties. S u c c e s s f u l r e s o l u t i o n c o u l d be m e a s u r e d by: (1) the stated r e c o n c i l i a t i o n of the parties; (2) the duration of the reconciliation; and (3) c h a n g e s in t h e w a y parties b e h a v e d t o w a r d e a c h other. 4 1 Yet s u c c e s s f u l c o n t e m p o r a r y p e a c e b u i l d i n g c h a n g e s not m e r e l y b e h a v i o r but, m o r e i m p o r tantly, t r a n s f o r m s i d e n t i t i e s and i n s t i t u t i o n a l c o n t e x t . M o r e than r e f o r m i n g play in an old g a m e , it c h a n g e s the g a m e . T h i s is the grand strategy G e n e r a l S a n d e r son i n v o k e d w h e n he s p o k e of f o r g i n g an alliance with the C a m b o d i a n p e o p l e , b y p a s s i n g the factions. R e g i n a l d A u s t i n , electoral chief of U N T A C , p r o b e d the s a m e issue w h e n he asked what are the "true o b j e c t i v e s [of U N T A C ] : Is it a political o p e r a t i o n s e e k i n g a s o l u t i o n to t h e i m m e d i a t e p r o b l e m of an a r m e d conflict by all m e a n s p o s s i b l e ? O r d o e s it h a v e a w i d e r o b j e c tive: to i m p l a n t d e m o c r a c y , c h a n g e values and establish a n e w pattern of g o v e r n a n c e based on m u l t i - p a r t i s m and f r e e and fair e l e c t i o n s ? " 4 2 U N T A C h e l p e d c r e a t e n e w a c t o r s on the C a m b o d i a n political scene: the electors, a f l e d g ling civil society, a f r e e press, and a c o n t i n u i n g international and t r a n s n a t i o n a l p r e s e n c e . T h e C a m b o d i a n voters g a v e Prince R a n a r i d d h institutional p o w e r and the K h m e r R o u g e was transf o r m e d f r o m an i n t e r n a t i o n a l l y r e c o g n i z e d

145

c l a i m a n t on C a m b o d i a n s o v e r e i g n t y to a domestic guerrilla insurgency. T h e p e a c e b u i l d i n g p r o c e s s , p a r t i c u l a r l y the e l e c t i o n , b e c a m e the politically t o l e r a b l e substitute f o r t h e inability of the f a c t i o n s to reconcile their c o n f l i c t s . T h e U N ' s r o l e , m a n d a t e d by t h e s e c o m plex a g r e e m e n t s rather than by C h a p t e r VII, includes m o n i t o r i n g , substituting for, r e n o v a t i n g , and in s o m e c a s e s h e l p i n g to build the b a s i c s t r u c t u r e s of the state. T h e U N is c a l l e d in to d e m o b i l i z e and s o m e t i m e s to r e s t r u c t u r e and r e f o r m o n c e - w a r r i n g a r m i e s ; to m o n i t o r or to o r g a n i z e n a t i o n a l elections; to p r o m o t e h u m a n rights; to s u p e r v i s e p u b l i c security and h e l p c r e a t e a n e w civilian p o l i c e f o r c e ; to c o n t r o l civil a d m i n i s t r a t i o n in order to establish a transitional. p o l i t i c a l l y n e u t r a l e n v i r o n m e n t ; to begin the e c o n o m i c rehabilitation of d e v a s t a t e d c o u n t r i e s ; a n d , as in the case of C a m b o d i a , to a d d r e s s directly the values of the citizens, with a view to p r o m o t i n g d e m o c r a t i c e d u c a t i o n . T h e parties to these a g r e e m e n t s , in effect, consent to limitation of their sovereignty for the life of the UN-sponsored peace process. They do so because they need the help of the international c o m m u n i t y to achieve peace. But acceptance of UN i n v o l v e m e n t in i m p l e m e n t i n g these agreem e n t s is less straightforward than, for e x a m p l e , c o n s e n t i n g to o b s e r v a n c e of a c e a s e - f i r e . Even when genuine consent is achieved, it is impossible to provide for every contingency in complex peace accords. P r o b l e m s of interpretation arise, u n f o r e s e e n gaps in the accords materialize, and c i r c u m s t a n c e s c h a n g e . T h e original c o n s e n t , as the S a l v a d o r a n p e a c e process suggests, can bec o m e open-ended and, in part, a gesture of faith that later problems can be w o r k e d out on a consensual basis. In the process, the international c o m m u n i t y , represented by the United Nations, e x e r c i s e d a m o n i t o r i n g p r e s s u r e to e n c o u r a g e p r o g r e s s on the r e f o r m of the j u d i c i a r y , the exp a n s i o n of the electoral rolls, and the o p e r a t i o n of f r e e press. Yet a u t h e n t i c a n d f i r m c o n s e n t , in t h e aft e r m a t h of severe civil strife such as that C a m b o d i a e n d u r e d , is rare. T h e international n e g o tiators of a p e a c e treaty and the U N d e s i g n e r s

41. For a good account of traditional views of reconciliation, see A.B. Fetherston,"Putting the Peace Back into Peacekeeping," International Peacekeeping 1, no. 2 (Spring 1994): 11, discussing a paper by Marc Ross. 42. Dr. Reginald Austin (UNTAC, 1993).

146

of a mandate should therefore attempt to design in as m a n y bargaining a d v a n t a g e s f o r the UN authority as the parties will tolerate. Even seemingly extraneous bargaining chips will become useful as the spirit of cooperation erodes under the pressure of m i s u n d e r s t a n d i n g s and separating interests. The UN counted upon the financial needs of the C a m b o d i a n factions to ensure their cooperation and designed an extensive rehabilitation c o m p o n e n t to guarantee steady rewards for cooperative behavior; however, the K h m e r R o u g e ' s access to illicit trade (with the apparent c o n n i v a n c e of elements of the Thai military along the western border) eliminated this bargaining chip. 4 -' And the suspicion of Hun S e n ' s rivals prevented a full implementation of rehabilitation in the 80 percent of the country controlled by his party. The architects of the UN operation should therefore also design into the mandate as much independent implementation as the parties will agree to in the peace treaty. In C a m b o d i a , the electoral c o m p o n e n t and r e f u g e e repatriation seem to have succeeded simply because they did not d e p e n d on the steady and continuous positive support of the four factions. Each had an independent sphere of authority and organizational capacity that allowed it to proceed against everything short of the active military opposition of the factions. Civil administrative control and the cantonment of the factions failed because they relied on the continuous direct and positive cooperation of each of the factions. Each of the factions, at one time or another, had reason to expect that the balance of advantages was tilting against itself and thus r e f u s e d to cooperate. A significant source of the success of the election was Radio U N T A C ' s ability to speak directly to the potential C a m bodian voters, bypassing the propaganda of the f o u r f a c t i o n s and invoking a new C a m b o d i a n actor, the voting citizen. Yet voters are only p o w e r f u l f o r the five minutes it takes them to vote, if there is not an institutional mechanism

Michael W. Dovle

to transfer democratic authority to bureaucratic practice. Now, lacking such a m e c h a n i s m in C a m b o d i a , the voters are vulnerable to the armies, police, and corruption that dominated after the votes were tallied. In these circumstances, the U N should try to create new institutions in order to make sure votes in UN-sponsored elections " c o u n t " more. The UN needs to leave behind a larger institutional legacy, drawing, for example, upon the existing personnel of domestic factions, adding to them a portion of authentic independents, and training a new army, a new civil service, a new police force, and a new judiciary. These are the institutions that can be decisive in ensuring that the voice of the people, as represented by their elected representatives, shapes the future. This is exactly the task that lies ahead in Haiti, following the permissive takeover by the United States negotiated in September 1994. Effective "post-conflict peacebuilding" attempts to settle social conflicts by transformation, but peacebuilding should also be seen as the first step in pre-coriflict preventive action. Conflicts in dynamic societies are natural. T h e key question is whether they are managed peaceably (as through electoral campaigns) or violently (as through civil wars). Ensuring that basic human rights and democratic or internal self-determination are achieved settles some of the causes of past conflict. It also establishes a powerful conflict-resolution mechanism—electoral politics. It was for just these reasons that the peace treaties for Cambodia and El Salvador incorporated commitments to the human rights covenants, 4 4 democratic elections, and judicial reform. Individual rights and majority rule do not, however, resolve all conflicts. Some involve issues of communal identity for which the very question in dispute is, W h o are the legitimate majority? In this case of communal differences, the peace mandate would be well-advised to incorporate a specific provision along the lines of the Liechtenstein Draft C o n v e n t i o n , a l l o w i n g

43. This link was drawn explicitly by Deputy Secretary Lawrence Eagleburger at the Conference on the Reconstruction of Cambodia, June 22, 1992, Tokyo, where he proposed that assistance to Cambodia be "through the SNC—to areas controlled by those Cambodian parties cooperating with UNTAC in implementing the peace accords—and only to those parties which are so cooperating" (Press Release USUN-44-92, June 23, 1992). Disbursing the aid through the SNC, however, gave the Khmer Rouge a voice, as a member of the SNC, in the potential disbursement of the aid. 44. Both human rights covenants, civil-political and economic-social, were adhered to by the SNC during the Cambodian peace process, before the national election.

The United Nations

and National

Self-Determination

f o r c o m m u n a l s e l f - a d m i n i s t r a t i o n . 4 5 If s e p a r a t e

147

hand-off failed because peacemaking stopped

c o m m u n i t i e s h a v e n o r e c o u r s e but s e c e s s i o n to

s h o r t of n e g o t i a t i n g a c o m p r e h e n s i v e , i m p l e -

protect their basic rights, e c o n o m i c

m e n t a b l e a g r e e m e n t that i n c l u d e d b o t h the w a r -

welfare,

a n d c o m m u n a l i d e n t i t y , civil w a r will b e c o m e

lords a n d civil s o c i e t y a n d b e c a u s e t h e i n t e r n a -

t h e s t r a t e g y of c h o i c e . If t h e s e c o n c e r n s c a n be

tional c o m m u n i t y

protected

self-administration

m u l t i - y e a r c o m m i t m e n t to h e l p f o s t e r a S o m a l i

( a n d , in m a n y c a s e s , it a p p e a r s t h e y c a n b e ) ,

c o a l i t i o n p r e p a r e d to build p e a c e f r o m g r o u n d -

then

the

up, p r o v i n c e by p r o v i n c e . 4 7 I n s t e a d , the U N at-

l i n e s of t h e d r a f t c o n v e n t i o n in the n e g o t i a t e d

t e m p t e d to i m p o s e law a n d o r d e r f r o m N e w

by

communal

incorporating

commitments

along

was unwilling to m a k e

a

peace mandate and eventual constitution can

York

p r e c l u d e the e m e r g e n c e of civil v i o l e n c e .

q u e n c e s , a n d t h e n a b a n d o n e d t h e e n t e r p r i s e as

and

Washington,

with

all

the

conse-

s o o n as it e n c o u n t e r e d r e s i s t a n c e .

Conclusions

T h i r d , the U N s h o u l d c o n t i n u e to d e v e l o p a

T h e lessons of international e n g a g e m e n t designed

set of " s t r a t e g i e s of e n h a n c e d c o n s e n t " that p e r -

to p r o m o t e law, order, and (in our time) h u m a n

mit s o c i e t a l t r a n s f o r m a t i o n but that are m u c h

rights and d e m o c r a c y in the face of domestic civil

less c o s t l y b e c a u s e t h e y b u i l d u p o n the e n g i -

d i s o r d e r h a v e recently b e c o m e m o r e clear.

n e e r e d c o n s e n t of o n c e - w a r r i n g f a c t i o n s . N e w

F i r s t , e s t a b l i s h i n g p e a c e in the a f t e r m a t h

s t r a t e g i e s of p e a c e m a k i n g , p e a c e k e e p i n g , a n d

of e t h n i c or civil w a r r e q u i r e s a c o n s i d e r a b l e

p e a c e b u i l d i n g o p e n u p t h e s e p o s s i b i l i t i e s . All

t r a n s f o r m a t i o n — n o w called

t h r e e w e r e e x p l o i t e d e f f i c i e n t l y in C a m b o d i a

"peacebuilding,"

in U N j a r g o n . W a r r i n g p a r t i e s rarely r e c o n c i l e ;

and El S a l v a d o r a n d h e l p a c c o u n t f o r the s u c -

at b e s t , they are t r a n s f o r m e d or f a d e a w a y a n d

c e s s of the U N T A C and O N U S A L o p e r a t i o n s .

a r e r e p l a c e d by n e w p a r t i e s p r e p a r e d to w o r k

T h e s e s t r a t e g i e s are d e s i g n e d t o b u i l d t h e " s o c i a l " a n d " i n s t i t u t i o n a l " c a p i t a l that s u c h

t o g e t h e r for s o m e c o m m o n p u r p o s e s . S e c o n d , that d e g r e e of t r a n s f o r m a t i o n c a n

s o c i e t i e s l a c k . O n e part of that p r o c e s s c a n b e

be a c h i e v e d by m a s s i v e l o n g - t e r m f o r c e , as w a s

"self-administration,"

d o n e d u r i n g c o l o n i a l o c c u p a t i o n s , as of I n d i a

s o m e t h i n g m o r e t h a n e q u a l (but c u l t u r a l l y s u b -

acknowledging

that

by B r i t a i n a n d as in G e r m a n y a n d J a p a n f o l -

o r d i n a t e ) c i t i z e n s h i p a n d s o m e t h i n g less t h a n

l o w i n g W o r l d W a r II by the U n i t e d States. T h e

i n d e p e n d e n c e may preclude the ethnic

U N , h o w e v e r , is i n c a p a b l e of m a k i n g that kind

w a r s and national s e c e s s i o n s that h a v e w r a c k e d

of l o n g - t e r m " w a r , " if o n l y b e c a u s e t h e m e m -

the international system, especially since the

b e r s t a t e s are u n w i l l i n g f o r it to h a v e that k i n d

e n d of t h e C o l d War.

civil

of c a p a c i t y . T h i s is t h e k i n d of t r a n s f o r m a t i o n

E m p l o y i n g s t r a t e g i e s of e n h a n c e d c o n s e n t ,

that o n l y n a t i o n a l or, in s o m e c a s e s , m u l t i n a -

the U n i t e d N a t i o n s c a n play a c o n s t r u c t i v e role

tional f o r c e s can a c h i e v e . W h e n n o o n e c a n ne-

in t h e f o r g i n g of p e a c e a n d r e c o n s t r u c t i o n in

gotiate a peace, and the international c o m m u -

t h o s e a r e a s of the w o r l d in n e e d of a s s i s t a n c e in

nity will n o t t o l e r a t e a c t s of o v e r t a g g r e s s i o n ,

t h e e s t a b l i s h m e n t of h u m a n r i g h t s . A v o i d i n g

s u c h as I r a q ' s i n v a s i o n of K u w a i t , or a l o o m i n g

t h e c o u n t e r p r o d u c t i v e e f f e c t s of a r m e d i n t e r -

h u m a n i t a r i a n d i s a s t e r , d e l e g a t i o n to n a t i o n a l

vention, whether unilateral or multilateral, the

a c t i o n h a s b e c o m e the U N ' s a n s w e r to e x t r e m e

U N c a n be t h e l e g i t i m a t i n g b r o k e r in the m a k -

e m e r g e n c i e s . 4 6 T h e U N can then play a key

ing, k e e p i n g , a n d b u i l d i n g of p e a c e that t a k e s

role in t h e f o l l o w - o n p e a c e b u i l d i n g role (as in

t h e f i r s t s t e p s t o w a r d t h e o p e n i n g of p o l i t i c a l

H a i t i ) . B u t the t r a n s i t i o n n e e d s to b e

well-

space for human rights and participatory c o m -

p l a n n e d a n d r e f l e c t a c o m m i t m e n t to l o n g r u n

m u n a l s e l f - e x p r e s s i o n , as t h e U N d i d in C a m -

d e v e l o p m e n t . T h e U N I T A F to U N O S O M

b o d i a a n d El S a l v a d o r .

II

45. Draft Convention on Self-Determination Through Self-Administration and Comments (Permanent Mission of the Principality of Liechtenstein to the U N , April 1994). 46. For a case for an option similar to this, called "benign spheres of i n f l u e n c e , " see Charles William Maynes, "A Workable Clinton Doctrine," Foreign Policy 9 3 (Winter 9 3 - 9 4 ) : 3 - 2 0 , and see the c o m mentary by Cot and Turk below. 47. A good discussion of these issues can be found in Ken M e n k a u s , "International P e a c e b u i l d i n g " in Walter Clarke and J e f f r e y Herbst, eds. Learning From Somalia (Boulder: Westview, 1996): 4 2 - 6 3 .

jean Cot

148

Commentary Jean Cot

I

agree with M i c h a e l D o y l e that the recent e n -

supported

largement

m a j o r p o w e r s s u c h as the U n i t e d S t a t e s

o f the right and p o s s i b i l i t y

of

U n i t e d N a t i o n s intervention represents c o n s i d -

e r a b l e p r o g r e s s . T h i s i m p l i e s the p o s s i b i l i t y o f employing

appropriate c o e r c i v e m e a s u r e s

in

by the S e c r e t a r y - G e n e r a l

even

if are

hesitant to support t h e m . M y o p i n i o n o b v i o u s l y d o e s not suggest to t r a n s f o r m the U N into a w a r m a c h i n e but to

a c c o r d a n c e with C h a p t e r V I I o f the C h a r t e r o f

p r o g r e s s i v e l y provide it with all the m e a n s n e c -

the U n i t e d N a t i o n s and it a l s o p r e s u p p o s e s that

e s s a r y to e f f e c t i v e l y i m p l e m e n t its i m p o r t a n t

we h a v e the appropriate m e a n s to a c c o m p l i s h

m i s s i o n , including the o n e o f military c o e r c i o n .

such a m i s s i o n .

R e c e n t e x a m p l e s and e x p e r i e n c e s , such as

In v i e w o f this d i l e m m a , I am disappointed at the p o s i t i o n taken by the S e c r e t a r y - G e n e r a l

in B o s n i a and S o m a l i a , s u f f i c i e n t l y

demon-

strate the l i m i t s and d i s a d v a n t a g e s o f d e l e g a t -

in h i s " S u p p l e m e n t to the A g e n d a o f P e a c e , "

ing the e m p l o y m e n t o f f o r c e to a p o w e r o r an

Paragraph 7 7 . T h i s text s u g g e s t s that the c o e r -

o r g a n i z a t i o n w h o s e i n t e r e s t s , at that t i m e , do

c i v e m e a n s that are at the disposition o f the UN

not c o r r e s p o n d c o m p l e t e l y to t h o s e o f the e n -

S e c r e t a r y - G e n e r a l will not be a v a i l a b l e in the

tire international c o m m u n i t y .

near future, e s p e c i a l l y s i n c e the U N already e x -

O b v i o u s l y , military m e a n s that are to be at

p e r i e n c e s s i g n i f i c a n t p r o b l e m s today in c o n -

the i m m e d i a t e d i s p o s i t i o n o f the U N S e c r e t a r y -

d u c t i n g p e a c e k e e p i n g or p e a c e m a k i n g o p e r a -

G e n e r a l will a l w a y s be o f limited i m p o r t . Ini-

tions as proposed under C h a p t e r V I .

tially. h o w e v e r , e v e n a s i n g l e b r i g a d e o f ten

I a g r e e with S i r B r i a n U r q u h a r t that the

thousand men would h a v e an e x t r a o r d i n a r y i m -

S e c r e t a r y - G e n e r a l cannot delay the m a j o r ques-

pact with regard to the c r e d i b i l i t y o f the United

tion r e g a r d i n g the a v a i l a b i l i t y o f i n d e p e n d e n t

N a t i o n s . T h e e s t a b l i s h m e n t o f such a b r i g a d e

m i l i t a r y c a p a b i l i t i e s at his d i s p o s a l to i m p o s e

w o u l d be an i m p o r t a n t step in the right d i r e c -

c o e r c i v e m e a s u r e s o n c e they are d e c i d e d upon

tion and w o u l d d e m o n s t r a t e the c r o s s i n g o f a s y m b o l i c threshold. All the d i f f i c u l t i e s that are

by the U N S e c u r i t y C o u n c i l . T h e S e c r e t a r y - G e n e r a l must first o b t a i n a

to be e x p e c t e d s h o u l d not d e c r e a s e the e f f o r t s

true p o w e r o f c o m m a n d , w h i c h m e a n s a fully

that n e e d to be u n d e r t a k e n in o r d e r to o v e r -

f u n c t i o n i n g g e n e r a l s t a f f w h o l i v e s up to the

c o m e them as q u i c k l y as p o s s i b l e .

e x p e c t a t i o n s o f the i n t e r n a t i o n a l

community.

I h a v e i n s i s t e d on this p o i n t as a p r a c t i -

T h e r e c e n t p r o p o s i t i o n s r e g a r d i n g this i s s u e ,

tioner and as an o f f i c e r for w h o m the q u e s t i o n

w h i c h w e r e m a d e in p a r t i c u l a r by C a n a d a , the

o f the m e a n s o f attainment is i n s e p a r a b l e from

N e t h e r l a n d s , and F r a n c e , s h o u l d be s t r o n g l y

its p r o j e c t e d g o a l .

Commentari/

149

Commentary Danilo Türk

B

e f o r e c o m m e n t i n g on the paper prepared

by Professor Doyle, I wish to make a few r e m a r k s c o n c e r n i n g the discussion that took place at the preceding stage of this conference. I agree with the analysis of the political aspects of the current processes of self-determination offered by Richard Falk. Legal analysts should, indeed, keep in mind the ancient m a x i m E.x factis ius oritur! A solid factual f o u n d a t i o n is necessary for a comprehensive legal analysis. Deductions f r o m the interpretations of the right of peoples to self-determination, as developed in the period of decolonization, will not do. Historically, the principle of self-determination and the subsequently developed right of all peoples to self-determination predate the era of decolonization and have a meaning in the postcolonial circumstances. In this context Professor Falk's characterization of the historical and current p h e n o m e n a represents a vital contribution to the understanding of the m e a n i n g of self-determination today. Let me add, in this connection, the following normative hypothesis: The principle of self-determination has—as does any other legal principle or norm—three basic aspects: the descriptive, the prescriptive, and the constitutional: 1. It describes the essential characteristics of the situations it is intended to address (there are groups of individuals— "the peoples"—claiming a political status of their choice). 2. It prescribes the desired o u t c o m e (certain groups have the right to choose their political status and to pursue their development). 3. It represents a constitutional base upon which more specific norms can be developed in the process of implementation of the basic principle of selfdetermination. The existing f o r m u l a t i o n s in the international instruments related to self-determination have

strengthened the constitutional aspect of the principle that became a part of general international law. H o w e v e r , much more needs to be done to develop its descriptive and prescriptive d i m e n s i o n s . It seems that the present c o n f e r ence and the draft c o n v e n t i o n that was introduced earlier this m o r n i n g represent a useful contribution in this regard. T h e draft c o n v e n tion addresses a variety of possible situations and thus contributes to the richness of the descriptive texture in the domain of self-determination. Furthermore, by providing specific normative responses to different situations it adds the " p r e s c r i p t i v e " e l e m e n t s t e m m i n g f r o m the principle of self-determination. As such, it represents a valuable innovation and an interesting normative response to the needs resulting f r o m the current claims to self-determination. Having made this general remark on the principal subject of this conference, I now wish to proceed to the c o m m e n t s on the paper prepared by Professor Doyle. Here again, a general remark of an introductory character is in order. The end of the Cold War triggered a variety of changes in international relations and their actual scope is not yet clear. Many concepts of international relations have to be rethought and their actual m e a n i n g s sought in the context of the new reality. This need not be a problem, per se. The problem arises when analysis and interpretation of international phenomena is pursued with a reference to m e a n i n g s that belong to an earlier reality. Misunderstandings and conflicting interpretations can be serious. What is " p e a c e " in a given situation and how much more than absence of war is needed for " p e a c e " today? H o w does one d e f i n e a threat to peace and the necessary m e a s u r e s f o r its removal? What should happen if these means are in conflict with a basic value or p r i n c i p l e — s u c h as, for e x a m p l e , the sovereignty of states? H o w does the concept of p e a c e k e e p i n g function in the present situations? Very o f t e n , the analysts and (even m o r e o f t e n ) the d e c i s i o n m a k e r s a p p r o a c h specific

150

s i t u a t i o n s w i t h o u t r e f e r e n c e to basic q u e s t i o n s s u c h as t h e s e . T h i s is s o m e t i m e s u n d e r s t a n d a b l e a n d , in reality, a result of the i m m e d i a t e n a t i o n a l interest that f a v o r s a p a r t i c u l a r interpretation of a basic c o n c e p t — s u c h as "threat to p e a c e " or " p e a c e k e e p i n g . " T h e v a r i e t y of u s a g e s of the c o n c e p t of " p e a c e k e e p i n g " is particularly interesting. Foll o w i n g a p e r i o d of e n t h u s i a s m with the U N p e a c e k e e p i n g ( e x p r e s s e d , inter alia, by the N o b e l P e a c e Prize in 1988), this notion gained new m e a n i n g s in the p o s t - C o l d War era, w h e n it b e c a m e p o s s i b l e f o r the m a j o r p o w e r s and the S e c u r i t y C o u n c i l to agree on the actual use of military force. A m a j o r part (not all cases) of that use of f o r c e w a s g e n e r i c a l l y l a b e l e d as "peacekeeping." "Peacekeeping" became a s y m b o l for a variety of military activities and it a p p e a r e d that the c o n c e p t can be e x t e n d e d alm o s t w i t h o u t l i m i t a t i o n s . P r o b l e m s in p u r s u i t of this a m b i t i o u s and s o m e w h a t u n d i s c i p l i n e d a p p r o a c h had to arise. W h e n p r o b l e m s a r o s e , the d e c i s i o n m a k e r s tried to solve t h e m case by c a s e and the c o m m e n t a t o r s a d d r e s s e d their p r a c t i c a l a s p e c t s — s u c h as the q u e s t i o n of a v a i l a b i l i t y of f o r c e s (most c o m p r e h e n s i v e l y a d d r e s s e d by Sir Brian U r q u h a r t in the New York Review of Books, 24 J u n e 1993), the q u e s tion of s t r a t e g i c d o c t r i n e ( f o r e x a m p l e , J o h n G e r a r d R u g g i e in his Foreign Affairs article entitled " W a n d e r i n g in the V o i d — C h a r t i n g the UN's Strategic Role," November/December 1993), or the f u n c t i o n i n g of the p e a c e k e e p i n g ( A d a m R o b e r t s , The Crisis in UN Peace-keeping, O c c a s i o n a l P a p e r of N o r w e g i a n Institute for D e f e n c e S t u d i e s , Oslo, 1994). C o m m e n t s in these and m a n y other e s s a y s are f o c u s e d on various a s p e c t s of the issues related to p e a c e k e e p i n g w i t h o u t asking the difficult q u e s t i o n s of a p p r o p r i a t e n e s s , l e g i t i m a c y , and the ultimate e f f e c t s of the U N military activities. T h e r e are, h o w e v e r , alternative w a y s of a p p r o a c h i n g the s u b j e c t , i n c l u d i n g t h o s e that p u t the v e r y n o t i o n of " p e a c e k e e p i n g " into question. O n e such alternative w a y is p r o p o s e d by P r o f e s s o r Michael D o y l e of P r i n c e t o n University, in his paper " U N Intervention and National Sovereignty." T h e point of departure taken in this paper is r e f r e s h i n g l y different. H e describes the U N military activities as " U N intervention" and points to the far-reaching political c o n s e q u e n c e s

Danilo

Türk

of various Security C o u n c i l resolutions related to military and n o n m i l i t a r y action a f f e c t i n g the s o v e r e i g n t y of the UN m e m b e r states. It is perfectly possible to argue in f a v o r of e a c h of the r e s o l u t i o n s on s p e c i f i c s i t u a t i o n s (Iraq, Libya. S o m a l i a , Haiti) in t e r m s of their c o m p a t i b i l i t y with the UN C h a r t e r and of their necessity f o r " m a i n t e n a n c e of i n t e r n a t i o n a l p e a c e and security." It is also necessary, h o w e v e r , to e n g a g e in a critical analysis of their c u m u l a t i v e e f f e c t s on slate sovereignty and on the w i s d o m of UN int e r v e n t i o n i s m . W i t h the e x c e p t i o n of the U N enforcement action against Iraq—a UN memb e r that c o m m i t t e d acts of a g g r e s s i o n and occ u p i e d the entire territory of its small neighb o r — t h e S e c u r i t y C o u n c i l did not act on the basis of a s i m p l e and i n d i s p u t a b l e i n t e r p r e t a tion of the UN Charter. Rather, it e m b a r k e d on a risky path of implicit c h a r a c t e r i z a t i o n of situ a t i o n s as c o n s t i t u t i n g a " t h r e a t to p e a c e " by i n v o k i n g C h a p t e r VII of the C h a r t e r , o f t e n in c o n j u n c t i o n with m e a s u r e s o t h e r than t h o s e u n d e r C h a p t e r VII. T h e U N " i n t e r v e n t i o n i s m " has e x p a n d e d in a time w h e n state s o v e r e i g n l y i s — g e n e r a l l y s p e a k i n g — w e a k e n i n g . T h e p r o c e s s of w e a k e n ing of state s o v e r e i g n t y is a global and natural one. It is n e c e s s a r y that the role of state and its s o v e r e i g n t y be d i m i n i s h e d in a period of accele r a t e d g l o b a l i z a t i o n and i n t e r d e p e n d e n c e . In f a c t , the q u e s t i o n w h e t h e r the f u n c t i o n i n g of the international s y s t e m , b a s e d on c o o p e r a t i o n a m o n g s o v e r e i g n s t a t e s , c o r r e s p o n d s to the n e e d s of s o c i e t i e s is b e c o m i n g e v e r m o r e imp o r t a n t . T h e s c o p e of " m a t t e r s w h i c h are e s s e n t i a l l y w i t h i n the d o m e s t i c j u r i s d i c t i o n " is b e i n g d i m i n i s h e d and the s c o p e of i n t e r n a tional j u r i s d i c t i o n e x p a n d e d . T h e r e is no c o m p e l l i n g r e a s o n to e x c l u d e — i n this c o n t e x t — the role of international institutions such as the UN in m a t t e r s of i n t e r n a t i o n a l p e a c e , security, d e v e l o p m e n t , and p r o t e c t i o n of h u m a n rights. H o w e v e r , the p r o c e s s e s of d i m i n i s h i n g t h e s c o p e of state s o v e r e i g n t y and e x p a n d i n g int e r n a t i o n a l c o m p e t e n c e s are not l i n e a r a n d , in a d d i t i o n to that, c a n be m i s m a n a g e d . T h e e x isting international m e c h a n i s m s m u s t t h e r e f o r e be u s e d c a r e f u l l y . A c t i v i s m s h o u l d be m e a sured and c a u t i o u s . I n t e r n a t i o n a l a c t i o n i n v o l v i n g t h e use of f o r c e r e q u i r e s p a r t i c u l a r care in this c o n t e x t . Unilateral military intervention should c o n t i n u e

Commentary

151

to b e p r o h i b i t e d . W e a k e n i n g o f state

sover-

m i l i t a r y f o r c e in B o s n i a and h a s b e e n s e n d i n g

e i g n t y m a y l e a d to s i t u a t i o n s in w h i c h c o l l e c -

various

t i v e — t h a t is, U N — i n t e r v e n t i o n s m i g h t b e le-

equivalent

gitimate

aggression.

and n e c e s s a r y ;

however,

unilateral

i r r e g u l a r units on a s c a l e to

other,

more

direct

that forms

was of

i n t e r v e n t i o n o f o n e state in m a t t e r s o f a n o t h e r

T h e failure to c h a r a c t e r i z e the situation as

s t a t e c a n n o t be j u s t i f i e d by r e f e r e n c e to the

o n e o f a g g r e s s i o n against a state and ( s i n c e 2 2

w e a k e n i n g o f state sovereignty. T h e liberal the-

M a y 1 9 9 2 ) a m e m b e r o f the U N h a s b e e n the

o r i e s that j u s t i f y unilateral military intervention

m a i n s o u r c e o f further m i s t a k e s and inadequate

f o r such p u r p o s e s as p r o t e c t i o n o f human rights

r e s p o n s e s . T h e p e a c e k e e p i n g f o r c e was sent

or prevention o f genocide have only provided

into a situation in w h i c h there was n o p e a c e to

an i l l u s i o n a r y l e g i t i m i z a t i o n f o r m i l i t a r y

k e e p , and it b e c a m e a v i c t i m o f intimidation by

t i o n s that h a v e b e e n — i n a c t u a l

ac-

reality—pur-

sued on the b a s i s o f the national interest o f the i n t e r v e n i n g states.

the aggressor. In the c a s e o f S o m a l i a , the p r o b l e m is diff e r e n t . T h e s i t u a t i o n in S o m a l i a has e m e r g e d

S i m i l a r l y , the c a s e s in w h i c h the S e c u r i t y

and c o n t i n u e s to take p l a c e within the territory

C o u n c i l l e g i t i m i z e d military a c t i o n pursued (to

o f a s i n g l e s t a t e . It has n e v e r b e e n e x p l a i n e d

v a r y i n g d e g r e e s ) by a s i n g l e p e r m a n e n t m e m -

what e x a c t l y r e p r e s e n t e d a threat to the p e a c e

b e r o f the S e c u r i t y C o u n c i l s h o u l d be v i e w e d

and thus j u s t i f i e d military a c t i o n (at the end o f

from

1 9 9 2 ) b a s e d on C h a p t e r V I I . F u r t h e r m o r e , it

the m e a n i n g o f the C h a r t e r and do not n e c -

has n e v e r b e e n e x p l a i n e d why the U N military

essarily

a c t i o n a g a i n s t o n e o f the p a r t i e s in an internal

s k e p t i c a l l y — t h e y represent a departure lead

to the

realization

of

declared

c o n f l i c t should help in a c h i e v i n g a political s o -

goals. U N military o p e r a t i o n s that are m o r e g e n -

lution o f the s i t u a t i o n . O n l y p o l i t i c a l d i a l o g u e

uinely multilateral also require careful e x a m i -

b e t w e e n various groups in S o m a l i a can provide

nation. T h e i r i m p l e m e n t a t i o n can go wrong and

a reasonable expectation for lasting solution.

can r a i s e d o u b t s about the l e g i t i m a c y o f t h e s e

International

UN

that d i a l o g u e .

actions

for

various

reasons.

Professor

involvement

should

strengthen

D o y l e e x a m i n e s the failures o f the U N military

T h e p r e c e d i n g r e m a r k s on the t w o m o s t

o p e r a t i o n s in B o s n i a and S o m a l i a . L e t m e add

p r o b l e m a t i c a m o n g the r e c e n t U N military o p -

a

e r a t i o n s are r e l e v a n t to the d i s c u s s i o n on the

few

suggestions

for

reflection

on

these

failures.

"generations

I b e l i e v e that the m a i n r e a s o n f o r the U N

of peacekeeping"

proposed

by

P r o f e s s o r D o y l e . M y c o m m e n t s are these:

failure in B o s n i a was the inability to c h a r a c t e r -

O n l y the " f i r s t g e n e r a t i o n " can be properly

ize the situation for what it a c t u a l l y i s — a situ-

c a l l e d " p e a c e k e e p i n g . " U N f o r c e s have to h a v e

ation o f a g g r e s s i o n against a U N m e m b e r state.

a l i m i t e d m a n d a t e and c o u l d be h e l p f u l in c i r -

B o s n i a and H e r z e g o v i n a w e r e r e c o g n i z e d in

c u m s t a n c e s in w h i c h they are a b l e to p r e s e r v e

the b e g i n n i n g o f April 1 9 9 2 and s i n c e that t i m e

n e u t r a l i t y and the c o n s e n t o f the p a r t i e s . F u r -

the Y u g o s l a v a r m y ( w h i c h w a s both l e g a l l y and

t h e r m o r e , they h a v e to c o m p l y with the p r i n c i -

in f a c t

ple on n o n u s e o f f o r c e e x c e p t in s e l f - d e f e n s e .

under

Belgrade's

command)

had

to

c o m p l y with the will o f the B o s n i a n g o v e r n m e n t . U s e o f an a l i e n a r m e d f o r c e c o n t r a r y to

The "second

generation,"

involving

the

implementation o f complex peace agreements,

the will o f the " h o s t c o u n t r y " is an a c t o f a g -

is s o m e t h i n g e l s e . It i n v o l v e s v a r i o u s f o r m s o f

g r e s s i o n ( a c c o r d i n g to the U N G A r e s o l u t i o n

post-conflict peacebuilding, a genuinely new

on the d e f i n i t i o n o f

aggression—Resolution

s e r i e s o f a c t i v i t i e s that d e p e n d on the n e e d s o f

3 3 1 4 [ X X I X , A r t i c l e 3 ( e ) ] ) . F u r t h e r m o r e , send-

e a c h s i t u a t i o n . U N a c t i o n b e c a m e p o s s i b l e in

ing m i l i t a r y units f r o m o n e state to a n o t h e r is

s o m e o f t h e s e s i t u a t i o n s o n l y a f t e r the p a r t i e s

an act o f a g g r e s s i o n — i f the e f f e c t o f this p r a c -

in the c o n f l i c t had b e c o m e

tice is c o m p a r a b l e to the e f f e c t s o f o t h e r types

hausted and p e a c e b e c a m e p o s s i b l e — i n t e r alia,

of

due to the e n d i n g o f the p r e v i o u s l y e x i s t i n g in-

aggression

(UN

GA

Resolution

3314

[ X X I X ] , Article 3[g]). The Federal Republic o f Y u g o s l a v i a ( S e r b i a and M o n t e n e g r o ) , was e s t a b l i s h e d on 2 7 A p r i l

which

1 9 9 2 , used

its

sufficiently

ex-

t e r f e r e n c e by a third state. T h e "third g e n e r a t i o n " is m o r e problematic. Military protection o f humanitarian assistance,

152

protection of " s a f e a r e a s , " and creation of " s a f e e n v i r o n m e n t " are risky t a s k s a n d — i n a d d i t i o n to t h i s — a r e d i f f i c u l t to d e f i n e with p r e c i s i o n and carry out in a c c o r d a n c e with the e x p e c t a t i o n s that h a d p r o v i d e d the b a s i s f o r their creation. T h e f a i l u r e s in B o s n i a and S o m a l i a h a v e h a d a s o b e r i n g e f f e c t . T h e l e s s o n s of i n a d e q u a t e of a t t e m p t s to r e s p o n d to a g g r e s s i o n by a p e a c e k e e p i n g o p e r a t i o n ( B o s n i a ) and to an internal conflict by taking sides ( S o m a l i a ) are of g e n e r a l i m p o r t a n c e . M o r e o v e r , since t h e level of c o o p e r a t i o n a m o n g the p e r m a n e n t m e m b e r s of the S e c u r i t y C o u n c i l and the r e a d i n e s s of states to take part in the UN o p e r a t i o n (and their costs) s e e m to be d i m i n i s h i n g , it m i g h t be m o r e realistic not to e x p e c t f u r t h e r a t t e m p t s of the "third g e n e r a t i o n " of p e a c e k e e p i n g in the near f u t u r e . T h e a l t e r n a t i v e p r o p o s e d by P r o f e s s o r D o y l e in the last part of his p a p e r ( d e a l i n g m a i n l y with the " s e c o n d g e n e r a t i o n " of p e a c e k e e p i n g ) requires f u r t h e r r e f i n e m e n t . T h e relative success of the second g e n e r a t i o n of the U N military o p e r a t i o n s s u g g e s t s the c o n c l u s i o n that this type of action is p r e f e r r e d o v e r e n f o r c e m e n t action. H o w e v e r , let m e reiterate: T h i s is the c a s e only if the p a r t i e s in t h e c o n f l i c t are a l r e a d y s u f f i c i e n t l y e x h a u s t e d and if the f o r eign (military) intervention by a third state has ceased. The peace accords become possible o n l y then, and can be f o r m u l a t e d in a s u f f i ciently c l e a r and d e t a i l e d m a n n e r . B a s e d u p o n s u c h g e n u i n e and p r e c i s e a g r e e m e n t s , the U N action can be s u c c e s s f u l . The suggested "internationalist alternat i v e " t h e r e f o r e i m p l i e s that the U N c a n n o t (or should not) d o a n y t h i n g prior to the e m e r g e n c e of c i r c u m s t a n c e s that m a k e a p e a c e a g r e e m e n t p o s s i b l e . If that is the c a s e , it s h o u l d be stated clearly as a part of the U N doctrine. Let m e c o n c l u d e on a g e n e r a l n o t e . It is n e c e s s a r y that the d i s c u s s i o n s on the f u t u r e U N military o p e r a t i o n s a d d r e s s the entire r a n g e of the relevant situations. S o m e d i s c u s s i o n on the actual t y p o l o g y of the potential military o p e r a t i o n s m i g h t be n e c e s s a r y in this c o n t e x t . A s c h e m e that s e e m s to be particularly interesting w a s p r o p o s e d by P r o f e s s o r B r i g i t t e Stern (in h e r p a p e r entitled " L ' é v o l u t i o n du rôle des N a tions U n i e s d a n s le m a i n t i e n de la paix et d e la s é c u r i t é i n t e r n a t i o n a l e s , " s u b m i t t e d to the U N

Danilo

Türk

C o n g r e s s on P u b l i c I n t e r n a t i o n a l Law, N e w York, 1 3 - 1 7 M a r c h 1995). A c c o r d i n g to that s c h e m e , it is possible to e n v i s a g e t w o basic categories of U N military o p e r a t i o n s : Peace, o p e r a t i o n s b a s e d on the c o n s e n t of the parties: • • •

preventive operations, before the conflict classic interposition operation, after a cease-fire operation for consolidation of peace, after the settlement

C o e r c i v e o p e r a t i o n s with d i f f e r e n t a i m s , based on C h a p t e r VII: •

•

operations for the restoration of peace where force is used in an impartial manner against all those who impede the humanitarian or other missions of the UN operations of the imposition of peace where force is used against an aggressor.

T h i s s c h e m e s e e m s particularly u s e f u l for the o r g a n i z a t i o n of d i s c u s s i o n on proposals for the f u t u r e actions by the U N . M y g e n e r a l o b s e r v a t i o n s in this c o n t e x t are: First, p r e v e n t i v e d e p l o y m e n t or " p r e v e n tive o p e r a t i o n s " m u s t be c o n s i d e r e d in all aspects, i n c l u d i n g d e p l o y m e n t of ( u n a r m e d ) military o b s e r v e r s . A c t i v e invitation by the g o v e r n m e n t c o n c e r n e d s h o u l d be d e e m e d p r e f e r a b l e to passive c o n s e n t . S e c o n d , o p e r a t i o n s f o r the r e s t o r a t i o n of p e a c e s h o u l d be a v o i d e d u n l e s s there is s u f f i cient will to use f o r c e , as there is in any o t h e r war. T h i r d , there is a n e e d for judicial (International C o u r t of J u s t i c e ) and political ( G e n e r a l A s s e m b l y ) r e v i e w of the o p e r a t i o n s led by the S e c u r i t y C o u n c i l , w h i c h h a s the p r i m a r y — b u t not e x c l u s i v e — r e s p o n s i b i l i t y f o r the m a i n t e n a n c e of international p e a c e and security. T h e d i s c u s s i o n on t h e s e d i f f i c u l t i s s u e s will c o n t i n u e and will be i n f l u e n c e d by the div e r s i t y of s i t u a t i o n s that the S e c u r i t y C o u n c i l will try to a d d r e s s and by the e v o l u t i o n of the r e l a t i o n s a m o n g the m a j o r w o r l d p o w e r s , that is, t h e p e r m a n e n t m e m b e r s of the S e c u r i t y C o u n c i l . T h e r e f o r e , it w o u l d s e e m w i s e not to s e a r c h f o r a n s w e r s that w o u l d aim at b e i n g final.

CHAPTER 6

The Limits of Self-Determination Emilio J. Cárdenas and María Fernanda Cañás1

The guarantee of minorities' participation in political life is the sign of a morally adult society and an honor for countries in which all citizens are free to participate in the national life in a climate of justice and peace. —John-Paul II. Ten Thoughts for the year 2000, 1994, p. 183.

T

he principle of self-determination originated in the ideal of the corporal integrity of individuals, which was espoused in the English. French, and the U.S. bills of rights. Since 1945, probably no other issue has been more divisive among legal scholars than the question whether there is—or is not—a legal right to selfdetermination. 2 This was not articulated in a comprehensive fashion, however, until the First World War, when it was elevated to the status of a norm, to which the international community rapidly subscribed. Some years later (although it was foreseen in the Atlantic Charter of 14 August 1941) selfdetermination found its way into international law through the United Nations Charter, becoming a formal right at the disposal of all peoples. Yet as soon as one tries to be specific, narrowing down its meaning and examining its concrete application to peoples, many questions begin to surface—and the right answers are simply not available.

The notion of self-determination is imprecise and ill-defined. Its scope is unclear, as are the concepts of self or people, and periodic agonizing about their definitions has not produced consensus. According to the United Nations Charter, all "peoples" have the right to "self-determination" (Article 1, Para. 2 and 55). This has been reiterated over and over—in Resolution 1514 ( X V ) , on the "Granting of Independence to Colonial Countries and Peoples" of the United Nations General Assembly, of 14 December 1960; in the "International Covenant on Human Rights," which was adopted in 1966; and in the "Declaration on Principles of International Law Concerning Friendly Relations and Cooperation Among States, in Accordance with the Charter of the United Nations," of 24 October 1970. Notwithstanding these proclamations, the notion has been the object of continued doctrinal disputes, with attempts to ascertain both who enjoys its protection and w h a t — e x a c t l y — it entails. The academic community has, in the meantime, defined various conceptual categories o f "self-determination." Some people maintain that there is a right to "external selfdetermination," which basically translates into the right to political independence and seems to

1. All views expressed in this work are the personal views of its authors. 2. B.G. Ramcharang, "Individual, Collective and Group Rights: History, Theory, Practice and Contemporary Evolution," International Journal on Group Rights, 1 (1993): 2 7 ^ 3 . Also: Aurelia Critescu, El Derecho a la libre determinación. Desarrollo histórico y actual sobre la base de los instrumentos de las Naciones Unidas (E/CN.4/SUB 2/404/Rev. 1) (1981); Jan Brownlie, Principles of Public International Law, 4th ed. (Oxford: Clarendon Press, 1990), p. 595; James Crawford, The Creation of States in International Law (Oxford: Clarendon Press, 1979), p. 85 et seq.

153

Emilio j. Cárdenas and Maria Fernanda

154

Cañas

Furthermore,

priority w h e n in c o n f l i c t with s e l f - d e t e r m i n a -

they a l s o b e l i e v e that there is a n a r r o w e r right,

t i o n . It m a k e s s e n s e , s i n c e it is n e i t h e r n e c e s -

i n c l u d e the right to s e c e s s i o n .

that is, the right to internal s e l f - d e t e r m i n a t i o n ,

sary n o r prudent to r e v i s e history or injure the

which, being o f a s o m e h o w defensive nature,

n o t i o n o f territorial i n t e g r i t y in o r d e r to pre-

r e l a t e s to the b a s i c p o l i t i c a l right to c h o o s e

serve a m i n o r i t y ' s right to its identity.

o n e ' s g o v e r n m e n t , that is, the right o f p e o p l e to

S i n c e there is no p l a c e in the world, h o w -

assert their will, while it d o w n p l a y s the notion

e v e r , w h e r e territorial integrity c o i n c i d e s with

o f sovereignty.

e t h n i c identity, real p r o b l e m s do multiply.

V e r y few persons in the international c o m -

T h i s is not a new o c c u r r e n c e ; for e x a m p l e ,

m u n i t y now s e e m e a g e r or e v e n ready to a c c e p t

o n e was the o u t c o m e o f the A a l a n d Islands dis-

d i v i s i v e f o r c e s that m a y lead t o w a r d d i s i n t e -

pute. In 1 9 2 0 , at the P a r i s P e a c e C o n f e r e n c e ,

g r a t i o n o r to the f o r m a t i o n o f n e w

the S w e d i s h i n h a b i t a n t s o f t h e s e F i n n i s h

units that c o u l d g e n e r a t e

political

a myriad of

self-

is-

lands r e q u e s t e d a n n e x a t i o n to S w e d e n . T h e y

g o v e r n i n g states. A n y result c a l l i n g f o r a c t i o n

w e r e told that they had no right to

c o u l d m a k e it i m p o s s i b l e to p r e s e r v e a s e m -

A u t o n o m y was r e c o m m e n d e d instead,

blance

an i n t e r n a t i o n a l g u a r a n t e e , t o g e t h e r with the

of

international

consensus

or

order,

r e s u l t i n g in e i t h e r c h a o s o r in the i n c r e a s e o f

demilitarization

factionalism.

archipelago.

and

neutralization

secede. under of

the

At the s a m e t i m e , the i n t e r n a t i o n a l c o m -

In o r d e r to p r e s e r v e the identity o f the is-

m u n i t y is u n d o u b t e d l y c o n c e r n e d by all in-

l a n d s ' p o p u l a t i o n , only t h o s e F i n n i s h residents

s t a n c e s o f the b l a t a n t s u b j u g a t i o n o f g r o u p s

already residing on the islands were authorized

or c o m m u n i t i e s , r e g a r d l e s s o f w h i c h r e g i m e ,

to p u r c h a s e real e s t a t e t h e r e . T h i s w o u l d pre-

p o l i t i c a l f r o n t , or u m b r e l l a o r g a n i z a t i o n is re-

vent the w e l l - k n o w n p r a c t i c e o f " t r a n s f e r r i n g "

s p o n s i b l e . T h i s c o n c e r n has m o t i v a t e d a c t i o n s

population into the area, thus diluting a m a j o r -

g e a r e d t o w a r d p r o t e c t i n g the status o f m i n o r i -

ity and turning it into a m i n o r i t y by f l o o d i n g

ties and c o m m u n a l groups. T h e general

the island with n e w r e s i d e n t s , as has o c c u r r e d

ac-

c e p t a n c e o f a c o m m o n o b l i g a t i o n to p r o t e c t

in other areas o f the world.

o t h e r p e o p l e ' s r i g h t s to i n d i v i d u a l and c o l l e c t i v e e x i s t e n c e and s e l f - e x p r e s s i o n is e x t e n d ing b e y o n d the c o n c e p t

of traditional

self-

determination.

Other European

islands—Faroe,

Green-

land, M a d e i r a , and A z o r e s — h a v e usually f o l lowed the g e n e r a l e x a m p l e o f A a l a n d , v i e w i n g a u t o n o m y in a c u l t u r a l , rather than a p o l i t i c a l ,

E x t e r n a l s e l f - d e t e r m i n a t i o n , as an

ideal,

h a s — s i n c e decolonization—frequently proved to be s o m e w h a t o v e r a m b i t i o u s .

In f a c t ,

way. Clearly, these autonomy-related objectives

the

c a n be a c h i e v e d by o b t a i n i n g o r granting p e o -

right o f s e l f - d e t e r m i n a t i o n d o e s not grant m i -

ple g r e a t e r p o l i t i c a l a u t o n o m y within an e x i s t -

n o r i t i e s the right to s e c e d e , b e c a u s e any at-

ing state, that is, giving them better internal po-

t e m p t a i m e d at the d i s r u p t i o n o f a s t a t e ' s na-

litical

t i o n a l unity and territorial i n t e g r i t y will not

h a v i n g to grant p o l i t i c a l i n d e p e n d e n c e to the

representation,

without

necessarily

m e e t with the f a v o r o f the i n t e r n a t i o n a l c o m -

minorities involved.

munity. N e i t h e r is such an a t t e m p t c o m p a t i b l e

W e reiterate that subnational groups o r m i -

with the purposes and p r i n c i p l e s o f the U n i t e d

n o r i t i e s d o n o t , in p r i n c i p l e , h a v e a legal e n t i -

N a t i o n s C h a r t e r . S e c e s s i o n , t h e r e f o r e , rapidly

t l e m e n t to e x t e r n a l s e l f - d e t e r m i n a t i o n . T h e y do

b e c a m e b o t h the a t t r a c t i o n and the t r a g e d y o f

h a v e a right to a u t o n o m y , as an e x p r e s s i o n o f

self-determination.

the right to internal self-determination. T h r o u g h

N e v e r t h e l e s s , w h e n s e c e s s i o n is a c c o m -

such a u t o n o m y they m a y g o v e r n and i n f l u e n c e

p l i s h e d p e a c e f u l l y , t h r o u g h n e g o t i a t i o n s , the

their o w n political order, c o n t r o l l i n g i s s u e s that

i n t e r n a t i o n a l c o m m u n i t y s e e m s to be i n c l i n e d

m a t t e r m o s t in their daily l i v e s and p r e s e r v i n g ,

to v a l i d a t e it, a c c e p t i n g r e a l i t y o n c e it is in

i n t e r a l i a , t h e i r c u l t u r a l , e t h n i c , and h i s t o r i c a l

effect.

identities.

The

contemporary

tendency

is to

grant

T h e b u i l t - i n c o n t r a d i c t i o n s and p o s s i b l e

p r e f e r e n c e to the p r i n c i p l e o f territorial i n t e g -

e x c e s s e s o f s e l f - d e t e r m i n a t i o n h a v e not o n l y

rity; in other words, s o v e r e i g n t y is c o n s i d e r e d a

c r e a t e d unrest and t u r m o i l g l o b a l l y but h a v e

The Limits

of

155

Self-Determination

also concerned the academic world.1 Evidently,

m i n i m a l l y e x p l o s i v e c o n t e n t f o r t h e d o c t r i n e of s e l f - d e t e r m i n a t i o n , e v e n t u a l l y w o r k e d to e v o l v e

its siren s o n g h a s a l m o s t d i s a p p e a r e d . T h e solution to m a n a g i n g self-determina-

an e v e n m o r e v a g u e b u t c e r t a i n l y m o r e i n c e n -

tion ( w h i c h d e f i e s tidy d e f i n i t i o n s ) a n d c l a i m s

d i a r y t e r m i n o l o g y — t h a t of t h e r i g h t of ' p e o -

d e r i v e d f r o m it h a v e n o t yet b e e n f o u n d ; it

p l e s ' to s e l f - d e t e r m i n a t i o n . " 5

f u n d a m e n t a l l y r e m a i n s a " g r a y a r e a " in p u b l i c policy.

B e c a u s e of t h e e x c e s s e s c o m m i t t e d in its n a m e , c o m m e n t a t o r s n o w s p e a k of " t h e e v i l s of

P r e s i d e n t W i l s o n ' s o w n s e c r e t a r y of state, R o b e r t L a n s i n g , w a s h i g h l y critical of t h e p r e s ident's enthusiasm—and even fervor—vis-á-vis the n o t i o n of s e l f - d e t e r m i n a t i o n ( W i l s o n c l e a r l y

s e l f - d e t e r m i n a t i o n . " 6 T h e y are c o n c e r n e d and, in o u r view, c o r r e c t in t h e i r a s s e s s m e n t . We

probably

did

spawn—as

we

were

w a r n e d — a real F r a n k e n s t e i n ' s m o n s t e r . 7 H a v -

t h o u g h t s e l f - d e t e r m i n a t i o n to be a right of c o l o -

ing r e a l i z e d t h i s t h e h a r d w a y , w e a r e n o w told

nial p e o p l e s ) . L a n s i n g

stated: "The more I

that w e m u s t w i t h d r a w all " m o r a l s u p p o r t " a n d

t h i n k a b o u t ' s e l f - d e t e r m i n a t i o n ' the m o r e c o n -

a p p r o v a l f r o m t h e v a r i o u s m o v e m e n t s t h a t at-

v i n c e d I a m of t h e d a n g e r of p u t t i n g s u c h an

t e m p t to r e s o r t to s e l f - d e t e r m i n a t i o n in o r d e r

idea into the m i n d s of c e r t a i n races, [t is b o u n d

to attain a Utopian i n d e p e n d e n c e . N e v e r t h e l e s s ,

to b e t h e b a s i s of i m p o s s i b l e d e m a n d s .

t h e r e a r e t o o m a n y of t h e m . T h e y h a v e b e c o m e

phrase

is

loaded

with

dynamite.

The

What

a

c a l a m i t y that the p h r a s e w a s e v e r u t t e r e d ! " 4 When

the p e r i o d

i m m e d i a t e l y after the

Second World War ended, self-determination was

understood

to

fundamentally

a destructive concrete

mean

force and,

threat

to

in s o m e

international

cases,

peace

a

and

security. In a n u t s h e l l , it n o w a p p e a r s that the intell e c t u a l i n h e r i t a n c e of s e l f - d e t e r m i n a t i o n , as it

"achieving independence from colonial domi-

is t r a d i t i o n a l l y i n t e r p r e t e d , m a y p r o v e to b e ill-

n a t i o n . " It c e r t a i n l y p r o v e d to be an i m p o r t a n t

s u i t e d to a d d r e s s t h e c a s c a d e of p r e s e n t - d a y

tool through which colonization almost

problems.

van-

ished f r o m our world.

An o v e r w h e l m i n g l y

S e l f - d e t e r m i n a t i o n — w i t h its c a v e a t s — p r o vided t h e legal f o u n d a t i o n f o r d e c o l o n i z a t i o n . N o w the Cold War has ended and the de-

negative

consensus

h a s s u r f a c e d . Yet, w e n o w k n o w w h a t determination

s h o u l d not a n d c a n n o t

selfmean:

f r a g m e n t a t i o n , L e b a n i z a t i o n , or B a l k a n i z a t i o n .

c o l o n i z a t i o n of the T h i r d W o r l d is, f o r all p r a c -

Beyond

tical p u r p o s e s , n e a r l y c o m p l e t e . S e l f - d e t e r m i -

p r o g r e s s t o w a r d t h e d a n g e r o u s r e s u r r e c t i o n of

that,

we

know

that

it c a n

rapidly

n a t i o n s o m e h o w s e e m s to h a v e o u t l i v e d

its

the c o n c e p t of " i n n e r i s o l a t i o n i s m , " w h i c h w a s

u s e f u l n e s s a n d has b e g u n to u n d e r m i n e the p o -

r e s p o n s i b l e f o r the m a d n e s s that led the p e o p l e

tential f o r p e a c e in m a n y r e g i o n s of the w o r l d .

of G e r m a n y to c o m m i t g e n o c i d e . 8 T h i s is an-

A s L . B u c h h e i t a c c u r a t e l y w a r n e d us,

o t h e r s e r i o u s c o n c e r n v o i c e d by t h e s u p p o r t e r s

soon

w h a t " s e e m e d at f i r s t h e a v e n - s e n t to s u p p l y a

of the " n e g a t i v e c o n s e n s u s . "

3. Lee C. Buchheit: Secession: The Legitimacy of Self-Determination (Yale University Press, 1978), pp. 1 - 4 2 . T h i s is a r e m a r k a b l e early study of the p r o b l e m s that the interpretation of the notion of selfdetermination created. Report of the C o m m i s s i o n of Jurists (Larnaude, Huber, and Struycken), League of Nations Official Journal, Sp. Supp., no. 3 (October 1920). See also: J. Barros, " T h e Aaland Islands Q u e s t i o n " (Princeton, 1968), and G u n n a r Jansson: "Self-determination and S e l f - g o v e r n a n c e , " in a seminar on "Self-determination, A u t o n o m y and Independence in the Twenty-First Century," held under the auspices of the United Nations, in Vienna Jan. 16-17, 1995. 4. See the citation of Robert L a n s i n g ' s The Peace Negotiations: A Personal Narrative (Boston, 1921), pp. 97, 98, by Morton Halperin and David J. S c h e f f e r with Patricia L. Small, in: Self-Determination in the New World Order (Carnegie E n d o w m e n t for International Peace, 1992), p. 17. 5. L. C. Buchheit, Secession: The Legitimacy of Self-Determination. 6. A m i t a i Etzioni, " T h e Evils of S e l f - D e t e r m i n a t i o n , " Foreign Policy, no. 89 (Winter 1 9 9 2 - 1 9 9 3 ) : p. 21 et seq. 7. L.C. Buchheit, Secession: The Legitimacy of Self-Determination, no. 1, p. 6. 8. A d o l f Hitler, Mein Kampf (Easton Press, 1994), p. 200. See, particularly, C h a p t e r 11: " R a c e and People."

156

Emilio ]. Cárdenas and María Fernanda

Cañas

T o d a y ' s w o r l d r e q u i r e s , i n s t e a d , that d i v e r -

tain s u r r e n d e r of a n a t i o n ' s c o n t r o l o v e r both its

sity b e r e c o g n i z e d f o r w h a t it is: a k e y s o c i a l

o w n c u r r e n c y a n d its f i s c a l p o l i c i e s . " " T h a t

a n d e c o n o m i c asset. T h e i n t e r n a t i o n a l c o m m u -

surrender," he states " m i g h t bring prosperity,

nity m u s t b e a l e r t e d , o n c e a g a i n , t o h i s t o r y ' s

b u t if t h e i n t e r n a t i o n a l f i n a n c i a l s y s t e m is un-

l e s s o n that l i b e r t y is i m p o s s i b l e w i t h o u t t r u e

s t a b l e — a s it t o o o f t e n h a p p e n s — t h e r e is little

pluralism.9

o r n o a u t h o r i t y to c o n t r o l p o t e n t i a l

massive

c u r r e n c y f l o w s . W i t h the v o l u m e of d a i l y c u r -

A Different and Rapidly Evolving World

r e n c y e x c h a n g e s w e l l in e x c e s s of the G N P s of m a n y c o u n t r i e s , i n d i v i d u a l g o v e r n m e n t s and fi-

It is c o n t r a d i c t o r y to see v a r i o u s c o n f l i c t s lead-

n a n c e m i n i s t r i e s h a v e m u c h less c o m m a n d o v e r

ing t o w a r d an e n d l e s s g o a l of f r a g m e n t a t i o n

t h e s y s t e m t h a n t h e y h a d j u s t a q u a r t e r of a

that p o t e n t i a l l y c a n tear the w o r l d a p a r t , o c c u r -

c e n t u r y a g o . S i m p l y the a w a r e n e s s of t h e m a r -

ring at p r e c i s e l y the s a m e t i m e that m o s t states

k e t ' s d i s a p p r o v a l of c e r t a i n m e a s u r e s (like rais-

are, o n t h e e c o n o m i c f r o n t , m o v i n g u n m i s t a k -

i n g t a x e s ) c a n d e t e r the s o - c a l l e d

ably t o w a r d i n t e g r a t i o n a n d a s s o c i a t i o n .

governments from implementing them."1"

sovereign

T h e f o r c e s of e c o n o m i c s , c o m m u n i c a t i o n s ,

T h e m o n e t a r y crisis, i m m e d i a t e l y a f t e r the

a n d t e c h n o l o g y are b e c o m i n g m o r e i n t e r t w i n e d

M e x i c a n p e s o w a s d e v a l u e d in D e c e m b e r 1994.

e v e r y day, r e v e a l i n g the d e c l i n i n g utility of tra-

that i m p a c t e d m o s t of the m a i n Latin A m e r i c a n

ditional borders. Capital, ideas, information,

and Asian markets e v i d e n c e d where the battle

c u l t u r e s — a n d e v e n p e o p l e ( s i n c e w e are, in-

had to be f o u g h t .

deed, facing a new phenomenon, unknown for m a n y c e n t u r i e s : i.e., the m i g r a t i o n of

The

m i n i s t e r s of e c o n o m y

and

finance

large

f r o m the " e m e r g i n g " c o u n t r i e s q u i c k l y t r a v e l e d

n u m b e r s of p e o p l e a c r o s s f r o n t i e r s ) — c i r c u l a t e

to N e w York, w h e r e , in p r o x i m i t y to t h e m a i n

g l o b a l l y with u n p r e c e d e n t e d s p e e d .

" p l a y e r s " they tried to c a l m i n v e s t o r s a n d c o n -

In t o d a y ' s w o r l d , t h e r e are a l r e a d y s e v e r a l

f r o n t t h e d i s r u p t i o n s in t h e v a r i o u s m a r k e t s by

well-established global issues: environmental

a n n o u n c i n g the various external and d o m e s t i c

protection and cross-border pollution, climate

m e a s u r e s that w e r e b e i n g a d o p t e d .

change, population explosion, energy interde-

T o d a y ' s w o r l d is r a t h e r d i f f e r e n t f r o m y e s -

p e n d e n c e , t e r r o r i s m , d r u g t r a f f i c k i n g , a n d so

terday's. As the U N

f o r t h . All

s t a t e d : " T h e t i m e of a b s o l u t e a n d

will

undoubtedly

remain

on

the

global agenda. changing

our

habits

and

while simultaneously eroding the

life-styles, traditional

n o t i o n of the " n a t i o n - s t a t e . " H e w h o d o e s not r e a l i z e h o w r a d i c a l l y the the a s s u m e d s o v e r e i g n p o w e r s of t h e " n a t i o n is s i m p l y

not

looking

Peace,

for

p a r a g r a p h 17). Yet. in all l i k e l i h o o d , to-

m o r r o w ' s w o r l d will be e v e n m o r e d i f f e r e n t . M a n y political a n d c u l t u r a l f o r c e s s e e m to be o p e r a t i n g in a d i f f e r e n t f r a m e w o r k , their ver-

i n t e r n a t i o n a l f i n a n c i a l r e v o l u t i o n is c h a l l e n g i n g state"

has

exclusive

s o v e r e i g n t y . . . h a s p a s s e d " (An Agenda

T h e logic of a g l o b a l m a r k e t p l a c e is p e r v a sively

Secretary-General

at the

proper

scenario.

tical s t r u c t u r e s strikingly at o d d s with the recent h o r i z o n t a l s t r u c t u r i n g of global e c o n o m y . The multiple uncoordinated

e f f o r t s that

p u s h e d the w o r l d t o w a r d p o l i t i c a l f r a g m e n t a tion ( w h e n the end of the C o l d W a r p r e c i p i t a t e d

P a u l K e n n e d y r e m i n d s us, in t h i s c o n n e c -

a v i r u l e n t o u t b r e a k of t r i b a l i s m a n d n a t i o n a l -

tion, that "the borderless world implies a cer-

ism, p r e s u m a b l y as a c o n s e q u e n c e of e a s i n g the

9. Ernest Geilner, Conditions of Liberty (Penguin Press, 1994), p. 88. 10. Paul K e n n e d y , Preparing for the Twenty-First Century ( N e w York: R a n d o m H o u s e , 1993), pp. 128, 129. A l s o : J o h n L u k a c s , The End of the Twentieth Century and the End of the Modern Age ( N e w York, 1993), p. 264. See also: M a r v i n S. S o r o o s , Beyond Sovereignty: The Challenge of Global Policy (Univ. of S o u t h C a r o l i n a Press, 1986), p. 65. T h e r e are p r o b l e m s that t r a n s c e n d national b o u n d a r i e s and can spill o v e r the b o u n d a r i e s of the state in w h i c h they originate; J o h n Naisbitt, Global Paradox ( 1 9 9 4 ) , and E v a n L u a r d , The Globalization of Politics ( N e w York: N e w York U n i v e r s i t y P r e s s , 1990). A l s o , J o s e p h C a m i l l e r i a n d Jim F a l k , The End of Sovereignty (Edward Elgar, 1992).

The Limits of

Self-Determination

p r i o r r e p r e s s i v e a t m o s p h e r e ) s e e m to d i s p u t e these c o n c u r r e n t e c o n o m i c d e v e l o p m e n t s . While internationalization has taken over in t h e p r i v a t e s e c t o r and is u n i v e r s a l l y prom o t e d by the b u s i n e s s c o m m u n i t y , n a t i o n a l c h a u v i n i s t s ( e s p o u s i n g ethnic, e x t r e m i s t , d e m a g o g i c , or x e n o p h o b i c i d e a s ) are p o u n d i n g the w o r l d ' s table. 1 1 In f a c t , c l a i m s and d e m a n d s invoking alleged rights to "external s e l f - d e t e r m i n a t i o n " are being m a d e on an unprecedented scale. Well over 9 0 0 million p e o p l e , b e l o n g i n g to 233 increasingly assertive groups or communities, a r e — o n e way or a n o t h e r — r e s o r t i n g to such c l a i m s , thus massively abusing the traditional concept of selfd e t e r m i n a t i o n . And t o d a y ' s world hosts nearly 2 0 0 states, as well as 3.000 linguistic groups and 5.000 national minorities. 1 2 In A u g u s t 1992, the s e c r e t a r y g e n e r a l of the U n i t e d N a t i o n s , Dr. B o u t r o s B o u t r o s - G h a l i , a l e r t e d us w h e n , r e f e r r i n g to the d a n g e r s of m i s u s e d " s e l f - d e t e r m i n a t i o n , " he stated: "If e v e r y e t h n i c , r e l i g i o u s or l i n g u i s t i c g r o u p c l a i m e d s t a t e h o o d , t h e r e w o u l d be no limit to f r a g m e n t a t i o n : and p e a c e , security and e c o n o m i c w e l l - b e i n g f o r all w o u l d b e c o m e even m o r e d i f f i c u l t to a c h i e v e . " 1 1 S u d d e n l y , in the s c e n a r i o today, as Patrick E. K e n n o n p o i n t s o u t , t h e r e is not o n e Big E n e m y (a c l e a r r e f e r e n c e to the d e f u n c t Soviet U n i o n ) but a t h o u s a n d little e n e m i e s . An u n p r e d i c t e d f o r m of t o t a l i t a r i a n i s m , like a n e w r e l i g i o n , is s u r f a c i n g in m a n y corners of the g l o b e . U n f o r t u n a t e l y , it has no use for p r a g m a t i s m and n o r o o m for tolerance, ope r a t i n g u n d e r a rigid c o d e of right and w r o n g that b r o o k s no c o m p r o m i s e . T h a t , precisely, is its d e e p t r a g e d y . 1 4 D u r i n g the first half of 1994, n o f e w e r than t h i r t y - s i x a r m e d c o n f l i c t s of an intrastate nature were in progress around the world. M a n y c o m b a t a n t s , in a r a t h e r p r i m i t i v e m e s s a g e , are

157

telling the rest of us that "it is s a f e r to f l e e , fight o r — e v e n — e x t e r m i n a t e , than to c o e x ist." 1 5 T h e w o r l d ' s a r e n a is u n e x p e c t e d l y filled with a variety of " a l l - o r - n o t h i n g p a t r i o t s , " unw i l l i n g to t o l e r a t e , or e v e n c o m p r o m i s e with, t h o s e p e o p l e w h o s e m i n d s are e n t r e n c h e d in the past. T h e y are only c a p a b l e of f u r t h e r divis i v e n e s s , u n a b l e to u n d e r s t a n d that in o r d e r to be united, o n e m u s t t a k e the past into a c c o u n t and also be willing to a c c e p t that there is a f u ture. T h e f u t u r e c a n n o t s i m p l y repeat the past. Yet they lean t o w a r d i s o l a t i o n i s m , r e j e c t universal v a l u e s , s y s t e m a t i c a l l y r e f u s e to f i n d c o m m o n g r o u n d , and d i s r e g a r d the liberties and dignity of others. A l t h o u g h these a t t i t u d e s c a n n o t be j u s t i fied, they are u n d e r s t a n d a b l e b e c a u s e , particularly in t i m e s of war, one d o e s not h a v e to voluntarily s u c c u m b to d e p r a v e d nationalist ideologies: one can u n w i t t i n g l y be s u c k e d into them.16 R e c e n t l y , a y o u n g j o u r n a l i s t v i v i d l y described this p h e n o m e n o n : " W a r is like a m o n ster. a m y t h i c a l c r e a t u r e c o m i n g f r o m s o m e w h e r e far a w a y . S o m e h o w you r e f u s e to b e l i e v e that the c r e a t u r e has a n y t h i n g to d o with your life. You try to c o n v i n c e yourself that e v e r y t h i n g will r e m a i n as it was, that y o u r life will not be a f f e c t e d , e v e n as you feel it c l o s i n g in a r o u n d y o u . You b r e a t h e in death. It i m p r e g nates y o u r sleep with n i g h t m a r e visions of dism e m b e r e d b o d i e s , y o u b e g i n to p i c t u r e y o u r own end." That is the insanity of war: in its m i d s t , irrationality b e g e t s v i o l e n c e . T h u s , there is an urgent need for n e w app r o a c h e s that, w i t h o u t ignoring the h u m a n dim e n s i o n of the p r o b l e m , c o u l d help in f r a m i n g a u s e f u l multilateral r e s p o n s e . S e l f - d e t e r m i n a tion was never intended to be, and must not bec o m e , an instrument of intolerance. It is true that " t h e long history of the h u m a n race s u g g e s t s

11. Patrick E. K e n n o n , The Twilight of Democracy (New York: Doubleday, 1995), p. 270. Jason W. Clay, "States, Nations and Resources, an Interdependent Relationship," The Fletcher Forum of World Affairs 19, no. 1 (1995): 11, defines the present changes in the world's environment in a hilarious nutshell: " G o o d b y e Berlin Wall, Hello Berlin Mall!" 12. John Stremlan, "Antidote to Anarchy," The Washington Quarterly 18, no. 1 (Winter 1995): 33. 13. An Agenda for Peace (United Nations), para. 17. 14. Kennon, The Twilight of Democracy, p. 270. 15. Ibid., p. 271. 16. Slavenka Drakulic, The Balkan Express (1994), p. 52.

158

Emilio /. Cárdenas and María Fernanda

Cañas

that r e s e n t m e n t f u e l s hate; i s o l a t i o n f e e d s p a r a -

g o v e r n m e n t s must be held accountable, inside

noia; cynicism stokes mistrust; and fear gener-

their respective territories, for creating

a t e s f l i g h t f r o m n e i g h b o r l i n e s s , large h e a r t e d -

g r a n t i n g t h e r e i n political g u a r a n t e e s to p r e s e r v e

n e s s a n d the p a t i e n c e n e c e s s a r y to p e r d u r e . " 1 7

not o n l y the r i g h t s of i n d i v i d u a l s , but a l s o their

The Moral Dimension of the Problem

erly r e c o n c i l i n g m i n o r i t y d e m a n d s w i t h

W h e n confronted with intolerance and militant

e x e r c i s e of d e m o c r a c y , a d e l i c a t e b a l a n c i n g act.

and

i d e n t i t i e s as s u c h . T h e p r o b l e m is o n e of p r o p the

e f f o r t s to d e s t r o y the m o s a i c of a p a r t i c u l a r s o -

Until recently, M a r x i s m s e e m e d to p r o v i d e

ciety. w e m u s t u n d e r s t a n d that t h e f o s t e r i n g of

a m o n o l i t h i c s o l u t i o n , o n e of the t w o p o s s i b l e

h u m a n integrity and dignity requires respect

o p t i o n s a v a i l a b l e to m a n k i n d . We n o w k n o w it

f o r o t h e r c u l t u r e s , r a c e s , a n d r e l i g i o n s , all of

to be m e r e l y a Utopian d r e a m . N e v e r t h e l e s s , it

w h i c h h a v e their o w n i n d i v i d u a l c h a r a c t e r i s t i c s

is o v e r — n o t w i t h s t a n d i n g t h e f a c t that w h e n a

and heritage.

s o c i a l o r d e r o r f a i t h c r u m b l e s , t h e r e m a y be,

S u c h r e s p e c t is p a r a m o u n t , not w i t h s t a n d -

h e r e a n d t h e r e , a f e w loyal d e v o t e e s w h o are

ing o n e ' s i n e v i t a b l e r e a l i z a t i o n that all c u l t u r e s

w i l l i n g to f i g h t to the d e a t h for their b e l i e f s . 1 8

c o n t a i n s y s t e m a t i c p r e j u d i c e s that s o m e t i m e s

T h e M a r x i s t d r e a m h a s left b e h i n d a l e g a c y of

b e c o m e institutionalized.

e x p l o s i v e i n t r a s t a t e c o n f l i c t s , in w h i c h f a i t h

T h o s e w h o p r e a c h the d a n g e r o u s g o s p e l of

and h a t e c o m m i n g l e .

religious, cultural, or d e m o g r a p h i c h o m o g e n e i t y

C o n f r o n t e d w i t h this d i s s e n s i o n , w e m u s t

m u s t be told that it g o e s against ihe very grain of

c h o o s e d i a l o g u e as the o n l y road by w h i c h it is

c o e x i s t e n c e . T h o s e w h o h e a r this g o s p e l m u s t

p o s s i b l e to a v o i d the d a n g e r o u s e x t r e m e s of

b e c o m e a w a r e that so-called ancient ethnic ten-

m o n o l o g u e and w a r . 1 9

s i o n s f r e q u e n t l y e r u p t in r e s p o n s e to p r o v o c a -

T h e r e is an u r g e n t n e e d to s y s t e m a t i c a l l y

tions by elites w h o are trying to create a d o m e s -

e l i m i n a t e c o r r o s i v e r e s e n t m e n t and e d u c a t e the

tic political context that they can d o m i n a t e . T h e greatest a b s u r d i t y is that m a n y a d h e r -

p u b l i c on t h e b e n e f i t s of n a t i o n a l i n t e g r a t i o n and mutual understanding.

e n t s of this g o s p e l p r o f e s s to be believers, loyal

T h e e f f i c a c y of d i a l o g u e m u s t be e m p h a -

m e m b e r s of a r e l i g i o n . T h u s , t h e y m u r d e r a n d

s i z e d . It g o e s b e y o n d the d i s c o u r s e of s e d u c -

m a s s a c r e in the n a m e of G o d . A s long as this be-

tion a n d s u g g e s t i o n , since it a p p e a l s to rational

h a v i o r c o n t i n u e s , there will be n o lasting p e a c e .

f a c u l t i e s r a t h e r than to the i m a g i n a t i o n . 2 0 T h i s

T h e w o r l d is, a n d will a l w a y s be, c o m p o s e d of the m a n y . C o m m u n i t y , on the o t h e r h a n d , is d i f f e r e n t f r o m unity. It is a social c o n t r a c t , not an i m p o -

is p r e c i s e l y w h y it is so i m p o r t a n t : it d e a l s with r e a l i t y a n d p o s s i b i l i t i e s . T h e e t h n o c e n t r i s t s of this w o r l d m u s t b e told that they are the c a r i c a ture of u n i v e r s a l i s m .

s i t i o n . S o c i e t y can a n d m u s t c o n t a i n a w i d e d e -

M o d e r n i t y is p e r s o n i f i e d by c o o p e r a t i o n

g r e e of cultural or e t h n i c d i v e r s i t y . It c a n o n l y

and solidarity, not n a t i o n a l i s m . It r e q u i r e s f a i t h

b e e n r i c h e d by d i v e r s i t y , s i n c e i g n o r a n c e will

in t h e e x c e l l e n c e of d i v e r s i t y , built on r e s p e c t

f r e q u e n t l y b e r e p l a c e d by u n d e r s t a n d i n g , t h u s

f o r all c u l t u r e s a n d p e r s o n a l i t i e s . In t o d a y ' s

m a k i n g p e a c e p o s s i b l e . N o t h i n g less.

w o r l d , n o o n e c a n live in c o m p l e t e i s o l a t i o n ;

T h e p o s i t i v e - s u m g a m e of political p l u r a l ism must prevail o v e r the irrational z e r o - s u m p o l i t i c s of e t h n i c n a t i o n a l i s m . T h u s , m a j o r i t y

w e are all i n t e r d e p e n d e n t . 2 1 N a t i o n a l i s m l o o k s i n w a r d ; m o d e r n i s m instead l o o k s a r o u n d a n d f o r w a r d .

17. Jean Bethke Elshtain, Democracy on Trial (New York: Basic Books, 1995), p. xii. 18. Gellner, Conditions of Liberty, p. 37. 19. T z v e k a n Todorov, On Human Diversity ( C a m b r i d g e : Harvard University Press, 1994), pp. xi and XV. See also: V.P. G a g n u n , Jr., "Ethnic Nationalism and International C o n f l i c t , " International Security 19. no. 3 (Winter 1 9 9 4 - 1 9 9 5 ) : 130 et seq. 20. Todorov, On Human Diversity, page xi. 21. See: John Breuilly, Nationalism and the State, 2d ed. (Chicago: University of Chicago Press, 1994), p. ix; and Elie K e d o u r i e , " N a t i o n a l i s m , " 4th ed. ( B l a c k w e l l , 1993), p. 44. Also: A n t h o n y G i d d e n s , Modernity and Self-Identity Self and Society in the Late Modern Age (Stanford University Press, 1991), p. 4 et seq.. and Jan Rensmelnik "General R e p o r t , " in: " C o n s c i e n c e and Liberty," International Journal of Religious Freedom 10, nos. 1 - 2 (1994): 61.

The Limits of

Self-Determination

159

M o d e r n i s m m e a n s b e l i e v i n g that p l u r a l i s m

ties c a n " c l a i m a right to i n t e r n a l s e l f - d e t e r m i -

c a n flourish w i t h i n a u n i f i e d m u l t i c u l t u r a l state

n a t i o n , " in t h e s e n s e of a u t o n o m y w i t h r e g a r d

a n d that e t h n i c g r o u p s n e e d not b e s u p p r e s s e d

to t h e i r c u l t u r a l i d e n t i t y ; h o w e v e r , their a u t o n -

in o r d e r to b u i l d c o m m u n i t y . 2 2

o m y m u s t n o t b e a b u s e d in o r d e r to d e s t r o y the

T h e e x p e r i e n c e s of m a n y c o u n t r i e s , s u c h as F r a n c e , B e l g i u m , S w i t z e r l a n d , a n d o t h e r s , e v i d e n c e t h a t it is p e r f e c t l y p o s s i b l e to s u s t a i n government

responsiveness

and

unity,

even

f o u n d a t i o n of t h e political c o m m u n i t y in w h i c h they live.25 A f u l l e x e r c i s e of ( i n t e r n a l ) s e l f - d e t e r m i n a t i o n s h o u l d not result in h a v i n g t o r e c o g n i z e

when intermingling separate identities and cul-

i n d e p e n d e n t s t a t e h o o d f o r e a c h a n d e v e r y indi-

tures. T h i s is w h a t A r e n d t L i j p h a r t c a l l s c o n s o -

v i d u a l g r o u p o r unit.

c i a t i o n a l i s m , in w h i c h a w i n n e r - t a k e s - a l l attit u d e is s y s t e m a t i c a l l y a v o i d e d .

T h e e x i s t i n g r a n g e of o p t i o n s is w i d e a n d includes empowering previously marginalized

Consequently, community-building efforts,

v o i c e s , by s t r e s s i n g p r o t e c t i o n a n d g u a r a n t e e of

not f r a g m e n t a t i o n c l a i m s , s h o u l d b e a c c o r d e d

m i n o r i t y r i g h t s , c u l t u r a l a n d / o r political a u t o n -

t h e h i g h e s t p r i o r i t y . 2 3 T h i s is o n l y p o s s i b l e if

o m y , a n d so f o r t h .

and when

it is u n d e r s t o o d

that

sovereignty

T h i s is p r e c i s e l y

w h y the

international

m e a n s p o w e r over both people and territory;

c o m m u n i t y h a s s y s t e m a t i c a l l y b e g u n to s i d e -

therefore,

s t e p " e x t e r n a l s e l f - d e t e r m i n a t i o n " a n d h a s in-

sharing—and

even

delegating—

" s o v e r e i g n " a u t h o r i t y is. as m a n y

examples

stead r a p i d l y e v o l v e d t o w a r d p r o v i d i n g g r e a t e r

around

perfectly

protection for the f r e e d o m , dignity, and other

the

world

demonstrate,

practicable.

m i n o r i t i e s ' r i g h t s t h r o u g h a u t o n o m y , or " i n t e r nal s e l f - d e t e r m i n a t i o n . "

A Modern Notion of Self-Determination

T h i s n a r r o w ( i n t e r n a l ) i n t e r p r e t a t i o n of the c o n c e p t of s e l f - d e t e r m i n a t i o n — w h i c h m u s t b e

T h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n is p r o b a -

u n d e r s t o o d n o t as an i n j u n c t i o n t o u n a n i m i t y

to

b u t , on t h e c o n t r a r y , as a f i r m i n v i t a t i o n to

c h o o s e its p o l i t i c a l a l l e g i a n c e to i n f l u e n c e t h e

c o m m u n i t y — c a n potentially prevent the dis-

p o l i t i c a l o r d e r u n d e r w h i c h it l i v e s , " 2 4 a n d to

m e m b e r m e n t of m u l t i c u l t u r a l s t a t e s a n d a v o i d

p r e s e r v e its i d e n t i t y . U s u a l l y — b u t f o r a f e w

t u r b u l e n t i n v i t a t i o n s to c h a o s , h i d d e n b e h i n d

exceptional

the p s e u d o - r i g h t to a l i m i t l e s s ( e x t e r n a l ) n o t i o n

bly "best

viewed

as e n t i t l i n g

a people

cases—those objectives can

perfectly well achieved

be

with less than full

independence.

of s e l f - d e t e r m i n a t i o n . C o n s e q u e n t l y , m i n o r i t i e s — t h a t is, g r o u p s

S e l f - d e t e r m i n a t i o n m u s t not be u s e d as an

of p e o p l e w i t h c o m m o n i d e n t i t i e s — s h o u l d b e

i n s t r u m e n t to a c h i e v e s e c e s s i o n ; t h e r e f o r e , au-

a b l e to a v o i d d i s c r i m i n a t i o n w h i l e c o n d u c t i n g

t o n o m y is t h e m e a n s of u p h o l d i n g the n e c e s -

t h e i r o w n a d m i n i s t r a t i o n s w i t h r e a s o n a b l e au-

sary b a l a n c e b e t w e e n v a r i o u s c o m m u n i t i e s or

t o n o m y ; this i n c l u d e s , but is not l i m i t e d to, c r e -

m i n o r i t i e s in a p l u r a l i s t i c society.

a t i n g p o l i c i e s to o r g a n i z e c o n s u l t a t i v e , legisla-

Self-determination, for political puposes,

tive, and e x e c u t i v e bodies that are structured

c o r r e s p o n d s to the s t a t e s a n d not t o n a t i o n s ,

through periodic and free elections. Decentralized

m i n o r i t i e s , or c o m m u n i t i e s . T h e s e l a t t e r e n t i -

democratic governments for national minorities

22. Etzioni, "The Evils of S e l f - D e t e r m i n a t i o n , " p. 34, and Nicholas Rescher, Pluralism Against the Demand for Consensus (Oxford, 1993), pp. 3, 4. 23. Amitai Etzioni, " T h e Evils of S e l f - D e t e r m i n a t i o n , " p. 35. See also: A n n e Phillips, Democracy and Difference (Pennsylvania State University Press, 1953), p. 150, et seq., and Daniel Thiirer, "National Minorities: A Global, European and Swiss P e r s p e c t i v e , " The Fletcher Forum of World Affairs 19, no. 1 (1955): 53. 24. Morton Halperin and David J. Scheffer with Patricia L. Small, Self-Determination in the New World Order, p. 47. 25. T h o m a s Fleiver, " S t a t e - N a t i o n - N a t i o n a l i t i e s — A u t o n o m y : T h e N a t i o n - S t a t e R e c o n s i d e r e d . Basic C o n c e p t s for Autonomy, Decentralization and M i n o r i t y — P r o t e c t i o n in a P o s t - M o d e r n World," in the seminar mentioned in footnote 2.

160

Emilio j. Cárdenas and María Fernanda

Cañas

which deal with matters that directly protect

D e m o c r a c y p r o v i d e s the s o c i o p s y c h o l o g i -

their o w n i d e n t i t i e s , m u s t t h e r e f o r e b e c o m e the

cal f r a m e w o r k f o r c o m p r o m i s e , b u t it r e q u i r e s

norm.

t o l e r a n c e in o r d e r to f u n c t i o n p r o p e r l y , s i n c e

T h e m a i n g o a l s of this e f f o r t i n c l u d e p r o -

t o l e r a n c e is c r u c i a l in n e g o t i a t i n g a n d s o l v i n g

t e c t i n g t h e m e m b e r s of m i n o r i t i e s , so that t h e y

differences

m a y e n j o y the s a m e i n d i v i d u a l r i g h t s that o t h e r

identities.

between

peoples

of

divergent

c i t i z e n s of t h e s t a t e e n j o y , a n d t h u s b e f r e e

T h e m o d e r n v i e w is t h a t ( i n t e r n a l ) s e l f -

f r o m d i s c r i m i n a t i o n : p r o v i d i n g an e n v i r o n m e n t

d e t e r m i n a t i o n is not an a b s o l u t e r i g h t but a rel-

in w h i c h t h e l a n g u a g e , e d u c a t i o n , a n d c u l t u r e

a t i v e o n e . It has c l e a r limits. T h e m i s t a k e n t e n -

are p r e s e r v e d ; and f r e q u e n t l y granting, when

d e n c y to b e l i e v e that it is a b s o l u t e , that is,

possible,

territorial

u n c o n d i t i o n a l l y a v a i l a b l e to a n y g r o u p and al-

In a n u t s h e l l , it m a y w e l l m e a n t h a t m i -

a w a y . S u c h a p e r s p e c t i v e is s i m p l y not t e n a b l e ,

n o r i t i e s d o h a v e a c e r t a i n " e n t i t l e m e n t " to a

e i t h e r w i t h r e s p e c t to s e l f - d e t e r m i n a t i o n or to

democratic

any other right.29

the

highest

degree

of

autonomy.

l o w i n g t h e right to s e c e d e , is r a p i d l y f a d i n g

government,

but only

within

a

p l u r a l i s t i c n a t i o n a l s c h e m e . P l u r a l i s m , in t h i s context,

means

autonomous

a

plurality

subsystems

of

within

relatively the

domain

T h u s , as a r e l a t i v e r i g h t , " s e l f - d e t e r m i n a t i o n " d o e s not i n c l u d e the " r i g h t to s e c e s s i o n , " except

in e x t r e m e

and

exceptional

circum-

of a s i n g l e s t a t e . - 6 T h i s c a n n o t be u n d e r s t o o d ,

s t a n c e s . 1 0 T h e n a r r o w i n t e i p r e t a t i o n of this right

h o w e v e r , to m e a n a l a n d of d i s p a r a t e g r o u p s

is d e f i n i t e l y p r e v a i l i n g in m o d e r n d o c t r i n e s .

or

communities

and

somehow

without

cohesive

an

society,

underlying containing

diversity.

T h e r e are, in a d d i t i o n , c e r t a i n g r o u p s or c o m m u n i t i e s that e v i d e n c e

f u r t h e r limits

to

s e l f - d e t e r m i n a t i o n . T h e y c a n n o t r e s o r t to in-

Pluralism m u s t , on the o n e h a n d , not e v o l v e into e t h n o c e n t r i s m and result in a c a c o p h o n y of c o m p e t i n g a n d d i s r u p t i v e v o i c e s ; but, on the

voking

its p r o t e c t i o n , b e c a u s e t h e y are

ex-

c l u d e d f r o m it. T h i s is the c a s e f o r large g r o u p s of i m m i -

o t h e r h a n d , a c o h e s i v e s o c i e t y m u s t be p e r m a -

g r a n t s , a l s o r e f e r r e d to as e t h n i c

n e n t l y a n d a c t i v e l y c o n c e r n e d with a v o i d i n g the

(people with c o m m o n national identity, resid-

d i s f r a n c h i s e m e n t of its m i n o r i t i e s . 2 7

diasporas

i n g o u t s i d e a c l a i m e d o r an i n d e p e n d e n t h o m e

A w o r l d d i v i d e d into s e g m e n t s s h o u l d not

t e r r i t o r y ) — a c a t e g o r y that o f t e n , in the i n d u s -

be a l l o w e d to f o r g e a w o r l d of i n t o l e r a n c e . A s

t r i a l i z e d w o r l d , u n f o r t u n a t e l y f u n c t i o n s as a

Amitai

s u b s t i t u t e f o r the n o t i o n of r a c e . 1 1

Etzioni recently reminded

us, " I n a

truly d e m o c r a t i c s t a t e , t h e r e is n o r e a s o n f o r

Another exception concerns so-called pop-

o n e c u l t u r e to try to s u p p r e s s o t h e r s , as long as

u l a t i o n t r a n s f e r s , e n t a i l i n g the d i s p l a c e m e n t of

the others seek self-expression rather than cul-

p e o p l e en m a s s e to t e r r i t o r i e s a c q u i r e d o r a n -

tural d o m i n a n c e or t e r r i t o r i a l s e p a r a t i s m . O t h -

n e x e d by t h e i l l e g a l u s e of f o r c e . C l a i m i n g

e r w i s e . t h e p r o c e s s of e t h n i c s e p a r a t i o n will

s e p a r a t e t e r r i t o r i a l s t a t u s f o r s u c h p u r p o s e s of

n e v e r be e x h a u s t e d . " 2 *

self-determination

would,

if a n y t h i n g ,

only

26. This is the well-known position of T h o m a s Franck. See also: Robert A. Dahl, Dilemmas of Pluralist Democracy: Autonomy Is Control (Yale University Press, 1982). p. 5. 27. See: Ted Robert Gurr, "Minorities at Risk: A Global View of Ethnopolitical C o n f l i c t s " (U.S. Institute of Peace Process. 1993), and Patrick Thornberry, International Law and the Rights of Minorities (Clarendon, 1991). 28. Amitai Etzioni, "The Evils of S e l f - D e t e r m i n a t i o n , " p. 8. 29. See V. Van Dycke, " H u m a n Rights of G r o u p s , " American Journal of Political Science 18 (1974): 13. 30. See: Max M. K a m p e l m a n , "Secession and S e l f - D e t e r m i n a t i o n , " The Washington Quarterly 16, no. 3 ( S u m m e r 1993): 5 et seq. 31. José A. de Obieta Chalband, "El d e r e c h o h u m a n o de la autodeterminación de los pueblos." Tecnos (1985): 60, and Yossi Shain: "Ethnic Diasporas and U.S. Foreign Policy," Political Science Quarterly 109, no. 5 (Winter 1 9 9 4 - 1 9 9 5 ) : 811 et seq.

The Limits of

161

Self-Determination

r e i n f o r c e the p r e v i o u s l y m e n t i o n e d illegality.

T h e y d o not c l a i m i d e n t i t y a b s o l u t i s m . In-

T h i s p r a c t i c e h a s b e e n p a r t a n d p a r c e l of c o l o -

s t e a d , t h e y t e n d to b e l i e v e in u n i t y

n i a l i s m , o c c u r r i n g in a w i d e v a r i e t y of f a s h i o n s

diversity, a concept that defines the only en-

through

in m a n y c o r n e r s of t h e w o r l d . 3 2

d u r i n g a n d l a s t i n g u n i o n . T h e i r v i e w of s e l f -

Various techniques were used: the removal

determination s e e m s to refer to "internal self-

o f p o p u l a t i o n ( a s w i t h t h e c a s e of D i e g o G a r c i a

d e t e r m i n a t i o n , " since they usually claim to be

or the F a l k l a n d / M a l v i n a s Islands);33 discrimi-

interested

natory immigration policies; massive resettle-

s t a t e s in w h i c h t h e y r e s i d e a n d e m p h a s i z e e f -

in b u i l d i n g p a r t n e r s h i p s w i t h

the

m e n t s of i n d i v i d u a l s w i t h a d i f f e r e n t i d e n t i t y ,

f o r t s t o w a r d t h e r e c o g n i t i o n of t h e i r c u l t u r a l ,

in an e f f o r t to " d i l u t e " a p r e e x i s t i n g p o p u l a t i o n ;

civil, political, e c o n o m i c , and social

or a combination

T h e i r e m e r g i n g s t r a t e g y is t h u s p r e d o m i n a t e l y

of o n e o r m o r e of

these

rights.

f o c u s e d on s e l f - d e v e l o p m e n t .

practices. C o m m u n i t i e s that m a y h a v e g r o w n t h r o u g h

Finally, there are the i n d i v i d u a l m i n o r i t i e s

t h e u s e of t h e s e t e c h n i q u e s , l a c k i n g the re-

themselves,

q u i r e d historical c o n t i n u i t y a n d not b e i n g in an-

state's b o u n d a r i e s . T h e y are certainly entitled to

c e s t r a l lands, c a n n o t b e n e f i t f r o m the u m b r e l l a

legal protection as minorities t h r o u g h m a n y pos-

who

may

have

settled

within

a

of s e l f - d e t e r m i n a t i o n , n o t w i t h s t a n d i n g any d i s -

sible a u t o n o m y s c h e m e s , but they are not entitled

g u i s e t h e y m a y h a v e r e s o r t e d to, in t h e d e f e n s e

to the right of (external) s e l f - d e t e r m i n a t i o n . 3 5

of its p e c u l i a r s t a t u s . T h e y are c e r t a i n l y not ex-

In the last t h r e e d e c a d e s , a s e r i e s of U n i t e d

c l u d e d , h o w e v e r , f r o m t h e p r o t e c t i o n that is

N a t i o n s c o n v e n t i o n s h a v e f o c u s e d on d i s c r i m i -

d u e t h e m as m i n o r i t i e s .

n a t i o n , p r o s c r i b i n g its p r a c t i c e a g a i n s t m e m -

T h e r e is a l s o the p a r t i c u l a r c a s e of " i n d i g e n o u s " p o p u l a t i o n s . A n e s t i m a t e d three h u n -

b e r s of m i n o r i t i e s as w e l l as m a j o r i t y g r o u p s . 3 6 In D e c e m b e r

1992, the United

Nations

d r e d m i l l i o n p e o p l e d i s t r i b u t e d in m o r e t h a n

G e n e r a l A s s e m b l y a d o p t e d the " D e c l a r a t i o n on

s e v e n t y c o u n t r i e s , fall into this c a t e g o r y . T h e y

the R i g h t s of P e r s o n s B e l o n g i n g to N a t i o n a l , or

h a v e r e c e n t l y b e c o m e a m a j o r f o c u s of c o n c e r n

E t h n i c , R e l i g i o u s a n d L i n g u i s t i c M i n o r i t i e s . " It

for the

obligates states to protect the existence

international

community,

v o i c e s are f i n a l l y b e i n g h e a r d . 3 4

and

their

and

i d e n t i t y of m i n o r i t i e s w i t h i n t h e i r r e s p e c t i v e

32. Christopher M. G o e b e l : "A Unified Concept of Population T r a n s f e r , " Denver Journal of International Law and Policy 21. no. 1 (Fall 1992): 29, et seq. J. C r a w f o r d , n. 2., p. 86, even doubts that m o d ern international law could accept the application of " s e l f - d e t e r m i n a t i o n " to a situation such as the Aaland Islands. 33. On the displacement of the Argentine population f r o m the Falkland/Malvinas Islands, see the classic and excellent book by Julius G o e b e l , Jr., The Struggle for the Falkland Islands: A Study in Legal and Diplomatic History ( 1 9 2 7 ) , p. 4 3 4 , et seq., and V.F. B o y s o n , The Falkland Islands ( C l a r e n d o n , 1924), pp. 187, et seq. W h e n force has been used to seize territory, it must be recalled that title could only accrue should the dispossessed sovereign express its acquiescence. See also: Rudolf Dolzer, The Territorial Status of the Falkland Islands (Malvinas): Past and Present (1993), O c e a n a Publications, Inc.; Sonia A. M. Viejobueno: " S e l f - D e t e r m i n a t i o n v. Territorial Integrity, The Falkland/Malvinas Dispute with Reference to Recent Cases in the United Nations," in South African Yearbook of International Law, vol. 16 ( 1 9 9 0 / 9 1 ) . See Loren van T h e m a s t Centre for Public L a w Studies, University of South Africa. 34. See D o u g l a s S a n d e r s , " S e l f - D e t e r m i n a t i o n and I n d i g e n o u s P e o p l e , " and G u d m u n d u r A l f r e s s o n , "The Right of Self-Determination and Indigenous Peoples," both in Modern Law of Self-Determination ( M a r t i n u s N i j h o f f P u b l i s h e r s , 1993), pp. 55 and 4 1 , respectively. Also: C . M . B r a l m a n n and M.Y.A. Zieck, " I n d i g e n o u s P e o p l e s , " op. cit., p. 191. Brazil may itself have " l o s t " one indigenous nation per year since the beginning of the present century. See: J.W. Clay, " T h e Ethnic Future of Nations," Third World Quarterly (October 1989): 223, et seq. 35. D e b o r a h Z. C a s s , " R e - t h i n k i n g S e l f - D e t e r m i n a t i o n : A Critical A n a l y s i s of C u r r e n t International Law Theories," Syracuse Journal of International Law and Commerce 18 (Spring 1992): 29. 36. See Frank C. N e w m a n , " A ' N u t s h e l l ' Approach to the U N H u m a n Rights L a w Protecting Minorities," The Fletcher Forum of World Affairs 19, no. 1 (1995): 6, 7.

162

Emilio }. Cárdenas and María Fernanda

Cañás

t e r r i t o r i e s a n d d e t a i l s t h e s p e c i f i c r i g h t s that

A f t e r a s e r i e s of d e b a t e s of a g e n e r a l n a -

m u s t b e t h e o b j e c t of s u c h p r o t e c t i o n . T h e s e in-

t u r e , at a v a r i e t y of l e v e l s , o n t h i s p a r t i c u l a r l y

c l u d e the r i g h t s : to e n j o y t h e i r o w n c u l t u r e ; to

s e n s i t i v e issue, a d r a f t c o n v e n t i o n b e g a n to cir-

p r o f e s s a n d p r a c t i c e t h e i r o w n r e l i g i o n s ; to use

c u l a t e , at the initiative of the L i e c h t e n s t e i n d e l -

their o w n l a n g u a g e ; to p a r t i c i p a t e e f f e c t i v e l y in

e g a t i o n at t h e U n i t e d N a t i o n s .

p u b l i c life, as well as in all d e c i s i o n s h a v i n g to

O u r p r e l i m i n a r y reaction a n d c o m m e n t s on

d o w i t h t h e m i n o r i t y to w h i c h t h e y b e l o n g ; to

it a r e b a s e d o n the text d i s t r i b u t e d in A p r i l

establish and monitor their o w n associations;

1994. A p r e a m b l e sets t h e L i e c h t e n s t e i n D r a f t

a n d t h e r i g h t to e s t a b l i s h a n d m a i n t a i n — w i t h -

C o n v e n t i o n ' s general context and motivations.

out a n y d i s c r i m i n a t i o n — f r e e a n d p e a c e f u l con-

It d o e s n o t , h o w e v e r , in a n y m a n n e r e r a s e o u r

tacts with o t h e r m e m b e r s of their g r o u p o r o t h e r

concerns

c i t i z e n s of o t h e r states to w h o m they are related

point in t i m e , of p r o p o s i n g o r d e b a t i n g a d r a f t

by special ties. It certainly is not a b i n d i n g legal

c o n v e n t i o n to i m p l e m e n t the p r i n c i p l e of s e l f -

i n s t r u m e n t ; but as a s t a n d a r d - s e t t i n g g u i d e l i n e ,

d e t e r m i n a t i o n t h r o u g h s e l f - a d m i n i s t r a t i o n , un-

it will u n d o u b t e d l y be very i n f l u e n t i a l .

about

the a p p r o p r i a t e n e s s ,

at

this

less an u n e q u i v o c a l d e c i s i o n to d o w n g r a d e u n -

N e v e r t h e l e s s , the i n t e r n a t i o n a l c o m m u n i t y

j u s t i f i e d e x p e c t a t i o n s is t a k e n a n d d i s t i n c t l y

has not b e e n , nor d o e s it p r e s e n t l y s e e m to be,

r e f l e c t e d in the text of the r e f e r r e d - t o draft c o n -

r e a d y to e n a c t r u l e s in a t r e a t y that will deal

v e n t i o n , T h i s is not yet the case.

with minorities.

A s of t o d a y , w e r e i t e r a t e , the n o t i o n of

!n c o n c l u s i o n , it m u s t a g a i n be p o i n t e d out

s e l f - d e t e r m i n a t i o n is i m p r e c i s e , its b e n e f i c i a -

that the clear legal priority of r e s p e c t i n g a state's

ries

territorial integrity and political unity o v e r and

p r i n c i p l e or a r i g h t ) u n d e f i n e d , a n d its i m p l e -

i l l - d e f i n e d , its o w n

nature

(whether

a

a b o v e s e l f - d e t e r m i n a t i o n m a y b e c o n d i t i o n e d on

m e n t a t i o n t h r o u g h the y e a r s — e x c e p t f o r the

that s t a t e ' s o b s e r v a n c e of, a n d r e s p e c t for, the

decolonization p r o c e s s — h a s lacked coherence.

minorities

M o r e o v e r , d u e to its direct r e l a t i o n s h i p with the

w i t h i n its t e r r i t o r y . 3 7 It is u n a c c e p t a b l e for m i -

p r o c e s s of d e c o l o n i z a t i o n , it c a n n o t be e a s i l y

norities to be v i c t i m i z e d by a m a j o r i t y g r o u p .

disassociated from independence.

human

rights

of

individuals

T h e r e d e f i n i t i o n of

and

"self-determination"

All of these f a c t o r s , t o g e t h e r with the c u r -

d o e s not i n c l u d e the r i g h t to s e c e d e b u t , in-

rent u n c e r t a i n a n d t r a n s i t i o n a l status of the

s t e a d . t h e r i g h t to a u t o n o m y a n d d e m o c r a c y —

w o r l d , lead us to c o n c l u d e that w h i l e w e c e r -

t h e r i g h t to d e t e r m i n e o n e ' s o w n d e s t i n y , in-

t a i n l y m u s t k e e p t r y i n g to d i s c o u r a g e the c u r -

stead of h a v i n g it i m p o s e d f r o m a b o v e . 3 8

rent a b u s i v e r e l i a n c e on s e l f - d e t e r m i n a t i o n , the road toward a draft convention—particularly

The Liechtenstein Draft Convention on Self-Determination Through Self-Administration

w h e n an a m b i t i o u s i n s t i t u t i o n a l

structure

is

p r o p o s e d — m u s t n e c e s s a r i l y b e a very slow and c a r e f u l o n e . W h i l e w e s h a r e the general c o n c e r n

O n S e p t e m b e r 2 6 , 1991, P r i n c e H a n s A d a m II

b e h i n d the d r a f t e r ' s e f f o r t s , w e b e l i e \ e s o m e of

of L i e c h t e n s t e i n

the p r o p o s a l s d e s e r v e f u r t h e r d i s c u s s i o n .

introduced

an i n i t i a t i v e

on

" s e l f - d e t e r m i n a t i o n " in the G e n e r a l A s s e m b l y

We would like the preamble to recognize that

of t h e U n i t e d N a t i o n s , a n t i c i p a t i n g that his d e l -

the biggest a c h i e v e m e n t of self-determination in

e g a t i o n h a d in m i n d w o r k i n g on t h e t e x t of a

recent history has, in fact, been the decolonization

d r a f t c o n v e n t i o n on the s u b j e c t .

of the w o r l d a f t e r the S e c o n d World War.

37. M a x M. K a m p e l m a n , " S e c e s s i o n and S e l f - D e t e r m i n a t i o n , " The Washington Quarterly 16, no. 3 ( S u m m e r 1993): 8, n. 30. Christian Tomuschat ( " S e l f - D e t e r m i n a t i o n in a Post Colonial World," Modern Law of Self-Determination [Martinus Nijhoff, 1993], p. 9) states: "If the state machinery turns itself into an apparatus of terror, which persecutes specific g r o u p s of the population, those groups cannot be obligated to remain legally under the jurisdiction of that state." 38. See T.M. Franck, " P o s t m o d e r n Tribalism and the Right to Secession," in Catherine Brolmann, Rene L e f e b e r , and M a r j o l e i n e Zieck, Peoples and Minorities in International Law (Martinus Nijhoff Publishers, 1993), p. 20.

The Limits of

Self-Determination

163

We c e r t a i n l y a g r e e that m i s g u i d e d e m p l o y -

d i s t i n g u i s h i n g fact that s e p a r a t e s " c o m m u n i t y "

m e n t of s e l f - d e t e r m i n a t i o n a n d t h e a b s e n c e of

f r o m t h e c o n c e p t of " m i n o r i t y . " N e v e r t h e l e s s ,

an a d e q u a t e m e a s u r e of s e l f - a d m i n i s t r a t i o n , as

o n e c a n f o r e s e e t h e d e t e r m i n a t i o n of t h e " l i m -

a n o p t i o n , h a v e led to c o u n t l e s s w a r s a n d c o n -

ited a r e a " t o be a s o u r c e of p r o b l e m s , p a r t i c u -

f l i c t s (as t h e p r e a m b l e of t h e d r a f t c o n v e n t i o n

larly w h e r e t h e r e m a y b e m e m b e r s of t h e s a m e

f u r t h e r r e m i n d s us). At the s a m e t i m e , it is o b -

" c o m m u n i t y " r e s i d i n g in v a r i o u s p a r t s of t h e

v i o u s that t h e p e r m a n e n t s e a r c h f o r r o a d s to-

world

ward

of

h o m e l a n d . T h i s s i t u a t i o n c o u l d e n h a n c e t h e al-

s e l f - d e t e r m i n a t i o n h a s a l r e a d y b e e n the s o u r c e

r e a d y e x i s t i n g t e m p t a t i o n of a state to try to in-

of t o o m u c h b l o o d s h e d .

t e r f e r e in t h e i n t e r n a l a f f a i r s of a n e i g h b o r i n g

independence

through

the w i n d o w

A s the d r a f t c o n v e n t i o n a r g u e s , s e l f - d e t e r -

in

states

neighboring

their

original

c o u n t r y . In t h i s c o n n e c t i o n , o n e c a n n o t a v o i d

m i n a t i o n is n o t c o t e r m i n o u s w i t h , a n d s h o u l d

recalling

not a l w a y s l e a d to, i n d e p e n d e n c e . T h e r e m u s t

R w a n d a , and Uganda, where Tutsis and Hutus

b e o t h e r n o n t r a u m a t i c a l t e r n a t i v e s at t h e dis-

m o v e d a c r o s s t h e b o r d e r s , d e p e n d i n g on t h e

p o s a l of the c o n f l i c t e d p a r t i e s , s h o r t of i n d e -

p r e v a i l i n g political s i t u a t i o n .

p e n d e n c e ( w h i c h is an e x c e p t i o n a l m e a s u r e and

the

recent

situation

in

Burundi,

A r t i c l e 2.2 of the L i e c h t e n s t e i n D r a f t C o n -

s h o u l d only b e reserved for t h o s e c a s e s in w h i c h

v e n t i o n b r i n g s to c o n t e m p o r a r y

a s t a t e — b e y o n d any d o u b t — d o e s not r e s p e c t

relations another new notion, when

the identity of a minority, a n d p r o v i d e d all other

a b o u t t h e " a s p i r a t i o n s , " i n s t e a d of t h e

criteria for g r a n t i n g i n d e p e n d e n c e are met).

c o m m o n r e f e r e n c e to t h e " w i s h e s " or " i n t e r -

T h e d r a f t c o n v e n t i o n ' s r e a s s u r a n c e s that s e l f - d e t e r m i n a t i o n d o e s not c o n s t i t u t e a t h r e a t to territorial integrity are important and wel-

international it t a l k s more

e s t s , " of t h e p e r s o n s f a l l i n g u n d e r t h e p r o t e c tion of s e l f - d e t e r m i n a t i o n . E v e n m o r e d e b a t a b l e is t h e idea of t h e

c o m e o n e s . In this c o n n e c t i o n A r t i c l e 1, p a r a -

"appropriate"

g r a p h (b), is n e v e r t h e l e s s i n s u f f i c i e n t l y clear.

w h i c h c o u l d h a v e as m a n y p o s s i b l e i n t e r p r e t a -

A n d we further believe that Article 3 should

t i o n s as c a s e s , t r a n s f o r m i n g t h e d r a f t c o n v e n -

s p e c i f i c a l l y r e f e r to the " p a r a m o u n t i m p o r t a n c e

tion into an i r r e l e v a n t d o c u m e n t .

of t h e territorial integrity a n d political unity of

degree

of

self-determination,

S o m e t h i n g very similar occurs with the c o n c e p t s of " r e a s o n a b l e p e r i o d " and " s a t i s f a c -

States." W h e n a c o m m u n i t y is c o n f r o n t e d w i t h the p o s s i b i l i t y of a c h i e v i n g d i f f e r e n t a n d a l t e r n a -

tory e x p e r i e n c e , " which again suggest

many

meanings.

tive levels of s e l f - a d m i n i s t r a t i o n , it will c h o o s e

T h e m a i n o b j e c t i v e of t h e L i e c h t e n s t e i n

t h e b r o a d e r g o a l , that is, a c h i e v i n g f u l l i n d e -

D r a f t C o n v e n t i o n s e e m s to be a v o i d i n g c o n -

p e n d e n c e , a n d will not s t o p t r y i n g to a t t a i n it

f l i c t s by m a k i n g t h e p e a c e f u l use of

e v e n if it later d e c i d e s to settle f o r i n t e r m e d i a t e

determination,

a l t e r n a t i v e s . At least, this is w h a t r e c e n t e x p e r i -

e a s i e r to i n v o k e a n d m o r e e f f e c t i v e . N e v e r t h e -

e n c e s u g g e s t s , p a r t i c u l a r l y in t h o s e c a s e s w h e r e

l e s s . its i n t e n t i o n not to d e c l a r e u n l a w f u l t h e

through

"self-

self-administration"

c o m m u n i t i e s are c o m i n g o u t of a u t h o r i t a r i a n

use of a r m e d f o r c e m a k e s t h e a r g u m e n t f o r its

regimes, and where unity was maintained pri-

p e a c e f u l a p p l i c a t i o n a r a t h e r w e a k o n e . Its text

m a r i l y by u s i n g f o r c e or c o e r c i o n .

s h o u l d i n s t e a d state that its

T h e a m b i g u i t y of c o n c e p t s l i k e " d i s t i n c t

implementation

must o n l y b e a c h i e v e d p e a c e f u l l y .

g r o u p " and " s u f f i c i e n t d e g r e e of o r g a n i z a t i o n "

T h e p r o v i s i o n that f o r e s e e s p r i v a t e c o n t r i -

r e q u i r e s e n d l e s s d e b a t e s in o r d e r to c i r c u m -

b u t i o n s f u n d i n g t h e e s t a b l i s h m e n t of a f o u n d a -

s c r i b e the p a r a m e t e r s of the issue, n e c e s s i t a t i n g

tion is a r i s k y o n e , in w h i c h p r i v a t e i n t e r e s t s

c o n t i n u a l r e c o u r s e to s e t t l e m e n t in c o u r t .

c o u l d c o n t r a d i c t t h o s e of t h e p a r t i e s or e v e n of

T h e n e w c o n c e p t of " c o m m u n i t y " that is

t h e f o u n d a t i o n itself.

i n t r o d u c e d by the d r a f t c o n v e n t i o n , a l t h o u g h in-

F o r t h e s e r e a s o n s , a n d w h i l e the " s t r a t e g y "

n o v a t i v e , d o e s not r e s o l v e t h e u n c e r t a i n t y c r e -

b e h i n d t h e d r a f t c o n v e n t i o n is b e i n g r e v i s e d ,

ated by the traditional d e f i n i t i o n of " p e o p l e . "

t h e best w a y to d e a l w i t h c l a i m s of s e l f - d e t e r -

In t h e n e w c o n c e p t of " c o m m u n i t y , " t h e g e o g r a p h i c a l f a c t o r is p a r a m o u n t , b e i n g

the

m i n a t i o n still s e e m s to r e m a i n o n a c a s e - b y c a s e basis.

164

Emilio }. Cárdenas and María Fernanda

Conclusion

Cañás

letting t h e m e r u p t into w a r and v i o l e n c e . S u c h

T h e r o a d to a l a s t i n g w o r l d p e a c e a n d g l o b a l

s t r u c t u r e s , w i t h f e d e r a l i s m as a p o s s i b l e c e n t r a l

w e l l - b e i n g is t h r o u g h c o m m u n i t y a n d c e r t a i n l y

c o m p o n e n t , m u s t e m b r a c e and r e f l e c t d i v e r s i t y

not t h r o u g h f r a g m e n t a t i o n .

s i n c e " a p r a c t i c a l p l u r a l i s m , not a u n i t a r y u n i -

F o r c o m m u n i t y to p r o s p e r , t h e u n l i m i t e d m o r a l s u p p o r t t r a d i t i o n a l l y g r a n t e d to e x t e r n a l self-determination

must

be

v e r s a l i s m , is t h e l i k e l y d e s t i n y of t h e h u m a n race."41

unequivocally A More

qualified.

Peaceful

World

Should

Follow

M i n o r i t i e s arc to be p r o t e c t e d by g r a n t i n g

If the d i f f e r e n c e s b e t w e e n people are n o t o n l y

t h e m d i f f e r e n t d e g r e e s of a u t o n o m y , r a t h e r than

r e c o g n i z e d , but g u a r a n t e e d , and an u n d e r l y i n g

by p e r m a n e n t l y a l l o w i n g t h e m to a t t e m p t to

s o l i d a r i t y is f o r g e d a c r o s s s u c h d i f f e r e n c e s ,

" p i e r c e the s t a t e h o o d v e i l . " C o n v e r g i n g e f f o r t s

w o r l d p e a c e will n o l o n g e r be m e r e l y a Utopian

must promote democracy and eliminate human

dream.

rights abuses.39

N e v e r t h e l e s s , "if o n e s e e s in d e m o c r a t i c

W h e n confronted with a crisis involving a

p r i n c i p l e s , i n c l u d i n g the i n s i s t e n c e that w e a r e

m i n o r i t y l i v i n g w i t h i n its t e r r i t o r y , t h e state

o b l i g e d to r e a c h out to o n e a n o t h e r , r a t h e r t h a n

s h o u l d r e a l i z e that it m u s t not o n l y t o l e r a t e , but

to e n t r e n c h in o u r v i o l a t e d g r o u p s o n l y a c o v e r

f u l l y r e s p e c t the i d e n t i t y of that m i n o r i t y , in

f o r h i d d e n p r i v i l e g e s , o n e stalls as a c i t i z e n . " 4 2

o r d e r to a v o i d r i s k i n g the i n t e r n a t i o n a l c o m m u -

In f a c t , w e w o u l d be d o i n g w o r s e t h a n s t a l l i n g :

nity a l l o w i n g s e c e s s i o n . O t h e r w i s e , the i n t e r n a -

w e w o u l d fail to build the b r i d g e s that a r e n e c -

tional c o m m u n i t y ' s support for the " s a n c t i t y "

e s s a r y to p r e s e r v e and respect diversity in o r d e r

of the state m a y r a p i d l y f a d e a w a y .

to live t o g e t h e r in a c i v i l i z e d f a s h i o n .

T h e b r o a d i n t e r p r e t a t i o n of e x t e r n a l s e l f -

P r o m o t i n g d e m o c r a c y is not an e a s y t a s k . dispositions,"411

d e t e r m i n a t i o n is, a n d h a s p r o v e d to be, a b l i n d

It r e q u i r e s b o t h " d e m o c r a t i c

alley that c a n d e s t a b i l i z e the i n t e r n a t i o n a l c o m -

w h i c h , in e s s e n c e , m e a n s t h e a b i l i t y " t o w o r k

m u n i t y a n d be c o u n t e r p r o d u c t i v e f o r t h o s e w h o

with others different f r o m oneself t o w a r d s shared

resort to it.

e n d s , " 4 4 and a shared sense of responsibility.

A u t o n o m y , or i n t e r n a l s e l f - d e t e r m i n a t i o n ,

F u r t h e r m o r e , tolerance and sincere readi-

d u l y f i n e - t u n e d to e a c h i n d i v i d u a l c a s e , m a y

n e s s to c o m p r o m i s e — t h e very pillars of d e m o -

i n s t e a d be the m o d e r a t e a n d m o d e r n a n s w e r . A

c r a t i c p o l i t i c s — m u s t be at c e n t e r s t a g e . W i t h -

fundamental

out t h e m , as e x p e r i e n c e c l e a r l y s h o w s , t h e r e is

reexamination

of all

majority-

m i n o r i t y r e l a t i o n s w i t h i n t h e internal s t r u c t u r e s of states s e e m s u n a v o i d a b l e . 4 0

n o l a s t i n g d i a l o g u e and s o c i e t y d i s i n t e g r a t e s . Pragmatism

and

the

ability

to

compro-

T h e g o a l is as u r g e n t as it is a m b i t i o u s : w e

m i s e — n o t m e r e l y t h e o l o g y — m u s t , on a c a s e - b y -

m u s t all f i n d a c r e a t i v e w a y to c h a n n e l c o n -

case basis, prevail in the design of e a c h s p e c i f i c

flicts through political structures, rather than

solution or ad h o c institutional a r r a n g e m e n t .

39. See T h o m a s Carothers, " D e m o c r a c y versus H u m a n R i g h t s ? " The Washington Quarterly ( S u m m e r 1994): 109 et seq. 40. Hurst H a n n u m , " M i n o r i t y Rights. I n t r o d u c t i o n , " The Fletcher Forum of World Affairs (1995): 1. 41. Harlan Cleveland, Birth of a New World (Jossey-Bass Publishers, 1993), p. 76. 42. Jean Bethke Elshtain, Democracy on Trial ( N e w York: Basic Books, 1995), p. 75. 43. Ibid., p. 2. 44. Ibid.

17, no. 3 19, no. 1

165

Commentary

Commentary Gidon

Gottlieb

T

he L i e c h t e n s t e i n D r a f t C o n v e n t i o n outlines c o n s t i t u t i o n a l r e s p o n s e s and a n e w m e c h a n i s m to deal with d e m a n d s f o r s e l f - r u l e in the f r a m e w o r k of s e l f - d e t e r m i n a t i o n . A c o m p a r i s o n with other a p p r o a c h e s should highlight its a d v a n t a g e s f o r states and u n d e r s c o r e its m o d e s t aspirations.

Two Avenues for Ordering Relations Between Communities and Nationalities T h e r e are, and a l w a y s h a v e b e e n , t w o m a i n ave n u e s f o r o r d e r i n g the r e l a t i o n s b e t w e e n national, ethnic, or religious c o m m u n i t i e s , on one h a n d , and the state or its ruler, on the other. O n e a v e n u e o r d e r s r e l a t i o n s on a territorial b a s i s — b e t w e e n t e r r i t o r i e s and a c e n t r a l g o v e r n m e n t , b e t w e e n individuals and the state; the o t h e r o r d e r s t h e m on a c o m m u n a l b a s i s , acc o r d i n g to the n a t i o n a l , r e l i g i o u s , or ethnici d e n t i t y of c o m m u n i t i e s and their m e m b e r s . T h e m o d e r n , W e s t e r n t r a d i t i o n of s t a t e c r a f t is a n c h o r e d in the territorial tradition. In the twentieth century, the m o d e r n Weste r n c o n c e p t of state has e n g u l f e d the e n t i r e p l a n e t , o v e r c o m i n g the t r a d i t i o n s of n u m e r o u s n o n - E u r o p e a n political c u l t u r e s . T h e W e s t e r n c o n c e p t of state e c l i p s e d n o n t e r r i t o r i a l traditions that had long a n i m a t e d the societies of the East and w e r e also p r e v a l e n t in m e d i e v a l Europe. T h e e a r l i e r t r a d i t i o n a f f i r m e d b o n d s of l o y a l t y and o b e d i e n c e b e t w e e n c o m m u n i t i e s a n d their ruler, r a t h e r than b e t w e e n the state and its c i t i z e n s , and w a s c h a r a c t e r i z e d by ties of t r i b u t a r y d e p e n d e n c e b e t w e e n n a t i o n s , kings, and e m p e r o r s as well as by a rich variety of local r e g i m e s , royal c h a r t e r s , c o n c e s s i o n s , and g r a n t s . U n d e r O t t o m a n rule and the " M i l l e t " s y s t e m , i n d i v i d u a l s and c o m m u n i t i e s pres e r v e d their identity and their p e r s o n a l rights; persons carried their legal r e g i m e s with t h e m — their p e r s o n a l r e l i g i o u s s t a t u s g o v e r n e d personal rights. In the W e s t e r n t r a d i t i o n of s t a t e c r a f t a b r o a d v a r i e t y of c o n s t i t u t i o n a l and f e d e r a l

i n s t i t u t i o n s e v o l v e d , g r a n t i n g a u t o n o m y or s o m e m e a s u r e of s e l f - g o v e r n m e n t to c o m m u n i ties organized territorially and featuring diverse f o r m s of r e g i o n a l i s m and d e c e n t r a l i z a t i o n . T h e o v e r a l l s y s t e m is c h a r a c t e r i z e d by n o t i o n s of civil society and the e q u a l i t y of p e r s o n s u n d e r the law. T h e E u r o p e a n U n i o n has b e c o m e an u m b r e l l a o r g a n i z a t i o n , redistributing certain j u r i s d i c t i o n s of s o v e r e i g n t y a w a y f r o m central g o v e r n m e n t s to the B r u s s e l s i n s t i t u t i o n s at a s u p r a n a t i o n a l plane, for their e v e n t u a l reallocation at the i n f r a n a t i o n a l level in a c c o r d a n c e with the principle of subsidiarity. At the e n d of World War I, the v i c t o r i o u s p o w e r s e s t a b l i s h e d e l a b o r a t e legal r e g i m e s for the p r o t e c t i o n of m i n o r i t i e s in the n e w l y f o r m e d states of E a s t e r n and C e n t r a l E u r o p e and the Near East. T h e failure of these r e g i m e s , in the period b e t w e e n World Wars I and II, was a c k n o w l e d g e d by all. In 1945, the Allied p o w ers d r a f t e d in the U n i t e d N a t i o n s C h a r t e r a c o m m i t m e n t to the universal protection of individual h u m a n rights; they m a d e no e f f o r t to revive the special m i n o r i t i e s p r o t e c t i o n r e g i m e s . T h r o u g h o u t the d e c a d e s w h e n the U n i t e d Nations a d d r e s s e d the s e l f - d e t e r m i n a t i o n of c o l o nial peoples, the issue of m i n o r i t i e s in c o m m u nist c o u n t r i e s r e m a i n e d on the s i d e l i n e s . T h e c o m m u n i t y of states t e n d e d to resist, until a d e c a d e ago, m o s t f o r m s of intervention in m a t ters d e e m e d to be essentially within the d o m e s tic j u r i s d i c t i o n of states, i n c l u d i n g t h o s e pertaining to national m i n o r i t i e s . It a f f i r m e d , with g r e a t e r s e r i o u s n e s s than in o u r p r e s e n t t i m e , states' territorial integrity and political unity to be p a r a m o u n t in the i n t e r n a t i o n a l o r d e r in all but the m o s t e x c e p t i o n a l of c i r c u m s t a n c e s . T h i s t r a d i t i o n , and the i n t e r n a t i o n a l legal d o c t r i n e s e n s u i n g f r o m it, e l e v a t e d the s t a t u s of s o v e r eign i n d e p e n d e n c e . In m a n y places, the lure of i n d e p e n d e n c e was r e i n f o r c e d by m o r e m u n d a n e considerations, often becoming a vehicle for r e a l i z i n g p e r s o n a l a m b i t i o n s . In t h e f o r m e r U S S R and in the f o r m e r Y u g o s l a v i a , the q u e s t for i n d e p e n d e n c e d r i v e s p r o v i n c i a l elites living

166

Gidon

Gottlieb

in o b s c u r e c o m m u n i t i e s that h a d . t h r o u g h o u t

e t h n i c o r r e l i g i o u s d o m i n a t i o n . E a r l i e r in this

their history, lived in s u b j e c t i o n to alien rulers.

century the nonterritorial principle had struc-

N o w it is a v e h i c l e for their rise to i n t e r n a t i o n a l

tured a l o n g p e r i o d of p e a c e in L e b a n o n , serv-

p r o m i n e n c e , f o r a c c e s s to t h e t r o u g h of f i n a n -

ing well in the B a l k a n s b o t h b e f o r e and d u r i n g

cial e n t i t l e m e n t s , a n d f o r a seat in t h e i n t e r n a -

the r o u g h rule of M a r s h a l T i t o in Y u g o s l a v i a . It

tional m a r k e t p l a c e

could not, however, withstand hegemonic Ser-

Both a v e n u e s for ordering state relations

b i a n d r e a m s that w e r e c y n i c a l l y

w i t h n a t i o n a l a n d e t h n i c m i n o r i t i e s — t h e terri-

by f o r m e r c o m m u n i s t p o l i t i c i a n s .

manipulated

torial a n d the c o m m u n a l — h a v e h a d d r a m a t i c

More than seventy-five years have passed

d e m o n s t r a t i o n s of their d o w n s i d e . T h e territor-

s i n c e t h e c o l l a p s e of t h r e e g r e a t e m p i r e s in

ial a p p r o a c h , c a r v i n g out t e r r i t o r i e s i n h a b i t e d

W o r l d W a r I: the R u s s i a n , the O t t o m a n , and the

by a m o s a i c of p o p u l a t i o n s , has r e p e a t e d l y led

Austro-Hungarian Empires. The ethnic prob-

to c a r n a g e . R e b e c c a W e s t , in h e r w e l l - k n o w n

lems they

w o r k on the B a l k a n s , c o m m e n t e d on the c o n s e -

s o l v e d , and s a v a g e w a r s ignite t h r o u g h o u t their

q u e n c e s of an a t t e m p t e d t e r r i t o r i a l s e t t l e m e n t

f o r m e r r e a l m s . W h i l e the d e f i c i e n c i e s of b o t h

in M a c e d o n i a . W r i t i n g a b o u t the 1903 M u r z -

the territorial and n o n t e r r i t o r i a l a p p r o a c h e s are

steg A g r e e m e n t b e t w e e n t h e O t t o m a n E m p i r e

a p p a r e n t , n o s u b s t i t u t e f o r t h e m has b e e n de-

and the G r e a t P o w e r s , she o b s e r v e d ,

v i s e d . 1 h a v e a r g u e d e l s e w h e r e 4 ' 1 for a s t r a t e g y

left b e h i n d

remain

largely

unre-

to d e c o n s t r u c t the a t t r i b u t e s of s o v e r e i g n t y and They all passed an imbecile clause by which it was announced that as soon as Macedonia c o u l d be restored to order, the Turkish administrative districts were to be delimited a n e w so that they might c o r r e s p o n d with e t h n o g r a p h i c a l districts. This a u t o m a t i c a l l y provoked civil war of the bloodiest character. For this clause terrified B u l g a r s . Serbs and G r e e k s in M a c e d o n i a w h o knew that there are hardly any districts that arc ethnographically pure in that part of the world, and saw t h e m s e l v e s h a n d e d over to w h a t e v e r race was in the majority, by h o w e v e r small a figure. Each g r o u p t h e r e f o r e attacked both the others, and killed off as m a n y of them as possible, with the object of reducing them to unquestionable minorities. 4 ''

f o r the s y s t e m a t i c a d o p t i o n of l a y e r e d territorial f u n c t i o n a l limits a n d b o r d e r s , as well as f o r f o r m s of i n d i v i d u a l a n d n a t i o n a l i d e n t i t y a n d a s s o c i a t i o n that will t h r e a t e n n e i t h e r the territorial i n t e g r i t y of states n o r u n d e r m i n e t h e i r p o litical unity. T h e n e e d for n o n t e r r i t o r i a l a r r a n g e m e n t s is m o s t p r e s s i n g in a triad of g r a v e

situations:

where ethnic separation cannot occur without d i r e c o n s e q u e n c e s , w h e r e n a t i o n s are d i v i d e d by state b o u n d a r i e s , a n d w h e r e t w o c o m m u n i ties lay c l a i m to h e g e m o n y in the s a m e tract of land. P o l i t i c a l a n d j u r i d i c a l i n v e n t i o n to c r e a t e a " n e w s p a c e " f o r n a t i o n s that h a v e not r e a c h e d i n d e p e n d e n c e m i g h t w e a k e n the f o r c e s of s e p a -

G e n o c i d e , e t h n i c c l e a n s i n g , a n d the " g e n -

r a t i s m that l e a d to s e c e s s i o n . In o t h e r p l a c e s

t l e r " r e m e d y of p o p u l a t i o n t r a n s f e r s are a n d

a n d at o t h e r t i m e s , the t e r r i t o r i a l state w a s not

w e r e , at o n e t i m e or a n o t h e r , all u s e d as an ad-

the e x c l u s i v e p a r a d i g m f o r political o r d e r i n g . A

j u n c t of the territorial a p p r o a c h : in M a c e d o n i a in

"new space" for nonindependent peoples might

1903, in A s i a M i n o r in the 1920s, in India in the

i n v o l v e s o m e f o r m of i n t e r n a t i o n a l legal p e r -

1940s, a n d in C y p r u s a n d in B o s n i a in o u r time.

s o n a l i t y o t h e r t h a n i n d e p e n d e n t s t a t e h o o d ; it

T h e d o w n s i d e of t h e c o m m u n a l a p p r o a c h

c o u l d be g i v e n s h a p e in i n t e r n a t i o n a l o r g a n i z a -

is n o l e s s a p p a r e n t . T h e a t r o c i o u s c i v i l w a r in

t i o n s and in i n t e r n a t i o n a l d i p l o m a c y . It r e q u i r e s

L e b a n o n w a s w a g e d in a state o r g a n i z e d a l o n g

a w i l l i n g n e s s to m o v e b e y o n d t h e c u r r e n t m e t h -

c o n f e s s i o n a l and ethnic lines. L e b a n o n

shat-

o d s of r e s p o n d i n g to n a t i o n a l c l a i m s , in t e r m s

t e r e d w h e n t h e S h i i t e c o m m u n i t i e s s o u g h t to

of t h e p r o t e c t i o n of i n d i v i d u a l h u m a n r i g h t s —

o v e r t h r o w the c o n f e s s i o n a l status quo. conflicts equal

in f e r o c i t y t h o s e w a g e d

Few for

as d i s t i n c t f r o m g r o u p r i g h t s — o r in t e r m s of domestic

constitutional

provisions.

It

45. R e b e c c a West, Black Lamb and Grey Falcon (New York: Penguin Books, 1995), p. 618. 46. Nation Against State, A New Approach to Ethnic Conflicts and the Decline of Sovereignty York: Council on Foreign Relations Press, 1993).

could

(New

Commentary

e v e n lead to the e v e n t u a l e x t e n s i o n of the syst e m of states to include a l o n g s i d e it a s y s t e m of n a t i o n s a n d p e o p l e s that are not o r g a n i z e d terr i t o r i a l l y i n t o i n d e p e n d e n t s t a t e s at all. A n inn o v a t i v e a p p r o a c h r e q u i r e s an a m a l g a m of d o m e s t i c , r e g i o n a l , and i n t e r n a t i o n a l a r r a n g e m e n t s to r e s t o r e flexibility to rigid n o t i o n s of t h e political unity of states. T h e political theory of unitary states, s t e m m i n g f r o m the J a c o b e a n F r e n c h r e v o l u t i o n a r y t r a d i t i o n of "république, une et indivisible," will h a v e to bend if it is not to break in the f a c e of restive national m i n o r i ties. Far f r o m t h r e a t e n i n g the unity and territorial integrity of states, n e w o u t l e t s f o r the exp r e s s i o n of d i s s i d e n t n a t i o n a l i s t c l a i m s c o u l d , on the contrary, r e i n f o r c e the c o h e s i o n of states w i t h p l u r a l i s t i c s o l u t i o n s to the n a t i o n a l i t y p r o b l e m . T h e stability of m u l t i n a t i o n a l and m u l t i c u l t u r a l civil s o c i e t i e s m a y well d e p e n d on their ability to m a k e r o o m for a m e a s u r e of c o m p r o m i s e w i t h c o m m u n i t i e s berit on selfassertion.47

Self-Determination as an Evil? A m b a s s a d o r C á r d e n a s and M a r i a F e r n a n d a C a ñ á s write with e l o q u e n c e and force about the d o w n s i d e of s e l f - d e t e r m i n a t i o n . S e l f - d e t e r m i n a t i o n , they say, s o m e h o w s e e m s to h a v e outlived its u s e f u l n e s s and has b e g u n to u n d e r m i n e the p o t e n t i a l for p e a c e in m a n y r e g i o n s a r o u n d the g l o b e . T h e y recall R o b e r t L a n s i n g , W o o d r o w W i l s o n ' s s e c r e t a r y of state, w h o l a m e n t e d " t h e d a n g e r of p u t t i n g such an idea into the m i n d s of c e r t a i n races. It is b o u n d to be the basis of i m p o s s i b l e d e m a n d s . T h e phrase is loaded with d y n a m i t e . W h a t a c a l a m i t y that the phrase w a s e v e r u t t e r e d ! " T h e y m e n t i o n the " e v i l s " of s e l f - d e t e r m i n a t i o n and say that " w e p r o b a b l y did s p a w n — a s w e w e r e w a r n e d — a real F r a n k e n s t e i n ' s m o n s t e r . " T h e d i m e n s i o n s of the p r o b l e m , they c a u tion, are on an u n p r e c e d e n t e d scale. " W e are n o w told that well o v e r 9 0 0 million p e o p l e , belonging to 2 3 3 increasingly assertive g r o u p s or c o m m u n i t i e s , a r e — o n e w a y or a n o t h e r — r e sorting to such c l a i m s [for e x t e r n a l s e l f - d e t e r m i n a t i o n ] , thus m a s s i v e l y a b u s i n g t h e traditional c o n c e p t of s e l f - d e t e r m i n a t i o n . A n d

167

t o d a y ' s w o r l d h o s t s n e a r l y 2 0 0 states, as w e l l as 3 , 0 0 0 l i n g u i s t i c g r o u p s a n d 5 , 0 0 0 n a t i o n a l m i n o r i t i e s . " I n d e e d , as Dr. B o u t r o s - G h a l i w a r n e d , "If e v e r y e t h n i c , r e l i g i o u s or linguistic g r o u p c l a i m e d s t a t e h o o d , t h e r e w o u l d be no limit to f r a g m e n t a t i o n ; and p e a c e , security and e c o n o m i c w e l l - b e i n g f o r all w o u l d b e c o m e e v e n m o r e d i f f i c u l t to a c h i e v e . " T h e i r c o n c e r n is to m a k e sure that " t h e red e f i n i t i o n " of s e l f - d e t e r m i n a t i o n d o e s not inc l u d e the right to s e c e d e . I n s t e a d , they say, it includes the right to a u t o n o m y and d e m o c r a c y . " T h e m o d e r n notion of (internal) ' s e l f - d e t e r m i n a t i o n ' is, t h e r e f o r e , c e r t a i n l y not an a b s o l u t e right but a relative o n e . It has clear limits. . . . A s a r e l a t i v e right, ' s e l f - d e t e r m i n a t i o n ' . . . d o e s n o t — e x c e p t in e x t r e m e a n d e x c e p t i o n a l c i r c u m s t a n c e s — i n c l u d e the ' r i g h t to s e c e s s i o n . ' " N e v e r t h e l e s s , they c o n c l u d e , " t h e c l e a r legal p r i o r i t y of r e s p e c t i n g a s t a t e ' s territorial integrity and political unity o v e r and a b o v e s e l f - d e t e r m i n a t i o n m a y be c o n d i t i o n e d on that s t a t e ' s o b s e r v a n c e of, and r e s p e c t for, the h u m a n rights of i n d i v i d u a l s and m i n o r i t i e s w i t h i n its t e r r i t o r y . " T h e i r p o s i t i o n is u n a m b i g u o u s : " ' S e l f - d e t e r m i n a t i o n ' m u s t not be used as an i n s t r u m e n t to a c h i e v e secession . . . a u t o n o m y is the m e a n s of u p h o l d i n g the n e c e s sary b a l a n c e b e t w e e n v a r i o u s c o m m u n i t i e s or m i n o r i t i e s in a p l u r a l i s t i c s o c i e t y . " N a t i o n s , c o m m u n i t i e s and m i n o r i t i e s can c l a i m a r i g h t to internal s e l f - d e t e r m i n a t i o n in t h e s e n s e of a u t o n o m y with regard to their cultural identity. In f a c t , C á r d e n a s and C a ñ a s c l a i m , " A n o v e r whelmingly negative consensus has surfaced. Yet w e n o w k n o w w h a t ' s e l f - d e t e r m i n a t i o n ' s h o u l d not and c a n n o t m e a n : f r a g m e n t a t i o n , L e b a n i z a t i o n , or B a l k a n i z a t i o n . " T h e i r m o r a l v i e w of s e l f - d e t e r m i n a t i o n is built on a c o m m i t m e n t to diversity, w h i c h they regard as " a key social and e c o n o m i c a s s e t . " It s t a n d s in o p p o s i t i o n to n a t i o n a l c h a u v i n i s m , tribalism, and racism, w h i c h constitute an u n e x pected f o r m of totalitarianism that has no r o o m for tolerance and that o p e r a t e s with a rigid c o d e of right and w r o n g ; it a l l o w s n o c o m p r o m i s e . T h e C á r d e n a s and C a ñ á s t h e s i s on s e l f d e t e r m i n a t i o n h a s its limits. T h e " n e g a t i v e

47. See the c o m m e n t s of Alvin and Heidi Toffler on minority power in their recent book Creating New Civilization (1994), p. 92ff.

a

168

Gidon

Gottlieb

c o n s e n s u s " against f r a g m e n t a t i o n and B a l k a -

ties to the c o n v e n t i o n shall " t o the fullest ex-

nization, to which C á r d e n a s and C a ñ á s refer,

tent possible . . . avoid any action which would

must be b a l a n c e d against the l e g i t i m a c y

of

impair their territorial integrity and political

c l a i m s o f nations martyred by alien g e n o c i d a l

unity." Admittedly, some o f the language o f the

r e g i m e s . T h u s , the c a s e o f the K u r d s o f Iraq

convention could lend itself to a different inter-

must be assessed in light o f the genocidal poli-

pretation, but its basic thrust is manifest.

c i e s o f the B a a t h i s t g o v e r n m e n t in B a g h d a d ;

T h e L i e c h t e n s t e i n Draft C o n v e n t i o n does

here, " g e n o c i d e " is meant in the strict legal

not, under its present t e r m s , c r e a t e a frame-

sense o f that c o n c e p t . T h e i n e f f e c t i v e n e s s o f

work f o r a d d r e s s i n g c l a i m s f o r union among

d o m e s t i c legal protection written into the laws

e t h n i c g r o u p s and n a t i o n a l i t i e s s e p a r a t e d by

o f Iraq and the i m p o t e n c e o f international law

i n t e r n a t i o n a l f r o n t i e r s . T h e draft c o n v e n t i o n

g u a r a n t e e s e x t e n d e d to the Kurds in the north

will not be r e l e v a n t to c i r c u m s t a n c e s such as

o f the country have left independence the only

t h o s e p r e v a i l i n g in M a c e d o n i a , w h e r e d i f f e r -

untried avenue they can use to escape the tragic

ent e t h n i c c o m m u n i t i e s are i n t e r m i n g l e d or

destiny that has befallen them. T h e geopolitical

live in c l o s e p r o x i m i t y to one another. In such

c a s e for m a i n t a i n i n g the unity o f the state o f

cases,

Iraq c o n t i n u e s to be made, however, but it can

c o m m u n i t y c o u l d be i n t o l e r a b l e for the other

"self-administration"

by

one

ethnic

no longer be advanced in terms o f international

c o m m u n i t i e s that inhabit the s a m e territory.

legitimacy. T h e future o f the Kurds may yet be

T h e p r o b l e m s o f n a t i o n s divided a m o n g sev-

structured within a transnational a r r a n g e m e n t

eral states are acutely felt in the f o r m e r S o v i e t

d o m i n a t e d by the T u r k s rather than by the

U n i o n , where the issue o f R u s s i a n s

regime in Baghdad.

" n e a r a b r o a d " is far f r o m r e s o l v e d ; it could

C á r d e n a s and C a ñ á s " a n urgent need for new

approaches

that

without

ignoring

the

in the

yet b e c o m e the v e h i c l e f o r a " r e c o n q u e s t " o f lands o n c e ruled by the U S S R . In the non-

human d i m e n s i o n o f the p r o b l e m , c o u l d help

R u s s i a n states o f the C I S , the s e l f - a d m i n i s t r a -

in f r a m i n g

tion o f R u s s i a n c o m m u n i t i e s that inhabit de-

a useful

multilateral

response."

" T h e goal is as urgent as it is a m b i t i o u s : we

fined t e r r i t o r i e s w o u l d m i r r o r p r o v i s i o n s

must all find a c r e a t i v e way to c h a n n e l c o n -

the R u s s i a n constitution for n o n - R u s s i a n c o m -

of

flicts through p o l i t i c a l structures, rather than

m u n i t i e s within the R u s s i a n F e d e r a t i o n . T h e

letting them erupt into war and v i o l e n c e . S u c h

p r o b l e m s o f A l b a n i a n s in K o s o v o ; o f Hungar-

structures, with f e d e r a l i s m as a p o s s i b l e c e n -

ians in R o m a n i a , in S l o v e n i a , and in the f o r -

tral

m e r Y u g o s l a v i a ; and o f R u s s i a n s in the " n e a r

component,

diversity.

must

embrace

and

reflect

a b r o a d " will in all l i k e l i h o o d not be s o l v e d

. . . "

In this regard, the L i e c h t e n s t e i n proposal is one that C á r d e n a s and C a ñ á s , in terms o f their own r e a s o n i n g , ought to have supported. T h e L i e c h t e n s t e i n Draft C o n v e n t i o n o f f e r s a modest

constitutional

ingredient o f any future s e t t l e m e n t . T h e L i e c h t e n s t e i n Draft C o n v e n t i o n d o e s not pretend to offer a panacea for the extinction

administration only, for " c o m m u n i t i e s " that are

o f such c o n f l i c t s . It is, in f a c t , a g e n u i n e l y

willing to satisfy their aspirations within the

modest proposal, though a p a t h b r e a k i n g one

territorial limits o f the states that they inhabit.

nevertheless.

It is a p r o p o s a l that, far f r o m raising e x p e c t a -

rights and the c l a i m s o f c o m m u n i t i e s as such.

tions and f a n n i n g

flames

through

al-

though s e l f - a d m i n i s t r a t i o n c o u l d well be an

self-

the

outlet,

o n l y by resort to " s e l f - a d m i n i s t r a t i o n , "

of

For

it b o l d l y a d d r e s s e s

group

secession,

T h e b o l d n e s s o f the draft c o n v e n t i o n can best

could, on the contrary, m o v e such c o m m u n i t i e s

be assessed in comparison with other recent ac-

to a p o l i t i c a l c o m p r o m i s e in t e r m s that need

tions o f the international c o m m u n i t y . T h e texts

not threaten the unity o f the states that might

adopted by the General A s s e m b l y o f the United

adhere to the proposed convention. T h e Liecht-

Nations in regard to national m i n o r i t i e s c o n -

enstein Draft Convention is designed to promote

tinue to address the rights only o f individuals,

the very dialogue that the two distinguished Ar-

not those o f peoples or c o m m u n i t i e s . T h r o u g h -

gentinian authors call for, and it does so while

out its history, the U N

e x p r e s s l y reaffirming in A r t i c l e 3 that the par-

stepped the issue o f group rights and c o l l e c t i v e

has c a r e f u l l y

side-

169

Commentary r i g h t s . 4 8 In e a r l y 1995 t h e C o u n c i l of E u r o p e

internal a s p e c t s o n l y . 5 1 It d o e s not lie, h o w e v e r ,

opened for signature a Framework Convention

w i t h i n t h e p o w e r of g o v e r n m e n t s a n d d i p l o -

f o r t h e P r o t e c t i o n of N a t i o n a l M i n o r i t i e s , b u t

m a t s to i m p o s e a " r e d e f i n i t i o n " that c a n e x -

t h i s text f a i l s , as d i d o t h e r s b e f o r e it, to s p e c i f y

clude independence and secession. The

t h e " p e o p l e s " to w h o m it a p p l i e s . 4 9

that R o b e r t L a n s i n g , W o o d r o w W i l s o n ' s s e c r e -

idea

tary of s t a t e , so f e a r e d h a s i n d e e d t a k e n root

The Redefinition of Self-Determination

d e t e r m i n a t i o n h a s b e e n set l o o s e ; it f e e d s a n d

F r o m a p u r e l y j u r i d i c a l s t a n d p o i n t , the law re-

i n f l a m e s t h e a s p i r a t i o n s of a m u l t i t u d e of e t h -

a n d s p r e a d a c r o s s the p l a n e t . T h e spirit of self-

m a i n s u n s e t t l e d . R u t h L a p i d o t h c o n f i r m s in a n -

nic g r o u p s a n d n a t i o n s that s t r u g g l e f o r a state

o t h e r e s s a y that t h e legal s t a t u s of t h e r i g h t of

of their o w n . M a n y of the c l a i m a n t s for s o v e r -

s e l f - d e t e r m i n a t i o n of p e o p l e s is s h r o u d e d

in

e i g n t y r e f u s e to s e t t l e t h e i r d e m a n d s in ex-

a m b i g u i t y a n d in c o n t r o v e r s y . W h i l e s o m e hold

change for mere domestic constitutional con-

that this d o c t r i n e h a s yet to b e g i v e n the s t a n d -

c e s s i o n s by the states f r o m w h i c h they s e e k to

i n g of a b i n d i n g l e g a l p r i n c i p l e , o t h e r s a r g u e

b r e a k f r e e . Yet C á r d e n a s a n d C a ñ a s c a n o f f e r

that it has a l r e a d y b e c o m e not j u s t a legal p r i n -

c o n s t i t u t i o n a l c h a n g e s o n l y , f o r the t a m i n g of

c i p l e but a p e r e m p t o r y o n e at t h a t , a n o r m f r o m

ethnic conflicts without violence.

w h i c h n o d e v i a t i o n is p e r m i s s i b l e . T h e s t r i k i n g a b s e n c e of c o n s e n s u s a b o u t t h e legal status

of

S e l f - d e t e r m i n a t i o n is an idea that h a s long since e s c a p e d the p r e c i n c t s in w h i c h it w a s first

t h e d o c t r i n e is c o m p o u n d e d by a s i m i l a r lack of

f o r m u l a t e d a n d that has t a k e n root in the politi-

agreement on what constitutes a " p e o p l e " — a

cal i m a g i n a t i o n of c o u n t l e s s n a t i o n s a r o u n d the

crucial issue, since only a " p e o p l e " has the

g l o b e . J u r i d i c a l t i n k e r i n g w i t h d e f i n i t i o n s is a

r i g h t to c l a i m s e l f - d e t e r m i n a t i o n . F o r m e r J u s -

b l i n d a v e n u e ; if a n y t h i n g c a n b e d o n e to h a r -

t i c e F i t z m a u r i c e of t h e I n t e r n a t i o n a l C o u r t of

ness the tide of s e p a r a t i s m that t h r e a t e n s a large

J u s t i c e w r o t e in 1 9 7 3 that " j u r i d i c a l l y , t h e n o -

n u m b e r of s t a t e s , it can b e d o n e o n l y t h r o u g h

tion of a legal r i g h t of s e l f - d e t e r m i n a t i o n is

b e t t e r processes

n o n s e n s e , f o r h o w c a n an as yet j u d i c i a l l y n o n -

c l a i m s , o p e n i n g n e w avenues

e x i s t e n t e n t i t y [a p e o p l e ] be the p o s s e s s o r of a

of national a s p i r a t i o n s in a nonterritorial setting.

for the

resolution

of

such

f o r the e x p r e s s i o n

legal r i g h t " ? 5 0 T h e c a r e f u l a v o i d a n c e by s t a t e s

F r o m a p o l i t i c a l s t a n d p o i n t t h e r e is little

of a c o n s e n s u s o n t h e n o t i o n of a " p e o p l e " in

that s t a t e s c a n d o to d i s c o u r a g e t h e s t a m p e d e

i n t e r n a t i o n a l law e m p t i e s the d o c t r i n e of m u c h

f o r s e l f - d e t e r m i n a t i o n , o t h e r t h a n to l o w e r e x -

of its n o r m a t i v e w e i g h t . By w a y of c o n s t r a s t .

p e c t a t i o n s a b o u t their r e a d i n e s s to a c q u i e s c e to

there

does

exist

a broad

consensus

among

s e c e s s i o n i s t d e m a n d s a n d to o f f e r n e w o u t l e t s

states that i n t e r n a t i o n a l l a w d o e s not r e c o g n i z e

to d e f u s e the c l a i m s of r e s t i v e n a t i o n s a n d p e o -

a r i g h t to s e c e s s i o n . Yet c a n t h i s j u r i d i c a l f o g .

ples. It is p r e c i s e l y on this point that I f i n d the

w h i c h has b e e n d e l i b e r a t e l y m a i n t a i n e d by the

p o s i t i o n of C á r d e n a s a n d C a ñ á s d y s f u n c t i o n a l .

c o m m u n i t y of s t a t e s , b e e x p l o i t e d in o r d e r to

T h e y w o u l d h a v e us n a r r o w a n d r e d u c e t h e p o -

i m p o s e a n e w d e f i n i t i o n of s e l f - d e t e r m i n a t i o n ?

litical o p t i o n s f o r d e f u s i n g s u c h c l a i m s , w i t h

C á r d e n a s and C a ñ á s p r o p o s e a "redefini-

the i m p o s i t i o n of an i n e f f e c t i v e , a priori d e f i n i -

t i o n " ; they w o u l d limit s e l f - d e t e r m i n a t i o n to its

tion of s e l f - d e t e r m i n a t i o n , l i m i t i n g it to internal

48. With the exception of Article 1 of the two Covenants for the Protection of H u m a n Rights adopted some thirty years ago, which a f f i r m the right of undefined " p e o p l e s " to self-determination, a right further elaborated in Resolution 2625 ( X X V ) of the General Assembly in 1970. 49. H u g h Miall. ed., Minority Rights in Europe—Prospects for a Transnational Regime (Council on Foreign Relations Press, 1995). 50. Fitzmaurice. "The Future of Public International L a w , " in Livre du Centennaire (Annuaire de 1'Institut de Droit International, 1973), p. 233. 51. It has been argued that the principle of self-determination e m b r a c e s a right to internal d e m o c r a c y for all peoples e v e r y w h e r e and incorporates the right of self-government under democratic conditions. See T h o m a s Franck, " T h e E m e r g i n g Right to Democratic G o v e r n a n c e , " American Journal of International Law S6 no. 46 {\99\).

170

Cidon

s e l f - d e t e r m i n a t i o n o n l y . T h i s w o u l d m a k e it

The

multiplication

of p o l i t i c a l

Gottlieb

avenues

m o r e , not less, d i f f i c u l t to c h a n n e l e t h n i c c o n -

t h a t c o n c i l i a t e t h e p o l i t i c a l i n t e r e s t s of s t a t e s

f l i c t s a w a y f r o m v i o l e n c e to the m o r e t r a n q u i l

a n d of n a t i o n a l c o m m u n i t i e s w i t h i n t h e m h e l p s

r e a l m of n e g o t i a t i o n s . T h e y a d v a n c e a n a r r o w

m a s t e r t h e d e m o n of e t h n i c c o n f l i c t s . L i e c h t e n -

r e d e f i n i t i o n at a t i m e w h e n , as they t h e m s e l v e s

stein has n o w m a d e a c o n t r i b u t i o n to this e f f o r t ,

r e c o g n i z e , t h e u r g e n t n e e d is to c r e a t e w i d e r

a c o n t r i b u t i o n m a d e p o s s i b l e by the s e l f l e s s a n d

c h a n n e l s t o w a r d w h i c h the a v a l a n c h e of s e c e s -

d i s i n t e r e s t e d i d e a l i s m of its s o v e r e i g n .

sionist d e m a n d s can be peaceably diverted.

Commentary Stephen

P. Marks

A

mbassador Emilio Cárdenas,

permanent

r e p r e s e n t a t i v e of A r g e n t i n a to the U n i t e d

the p r o b l e m ; and a proposed

reformulation.

T h e c o m m e n t a r y o n the d r a f t c o n v e n t i o n e x -

N a t i o n s and p r e s i d e n t of the S e c u r i t y C o u n c i l

p r e s s e s r e s e r v a t i o n s a b o u t the

in J a n u a r y 1995, and his c o l l e a g u e on the d e l e -

p r o j e c t , b a s e d on t h e i r c o n c e r n f o r d i s c o u r a g -

Liechtenstein

gation, Maria Fernanda Cañás, have captured

ing s e c e s s i o n . T h e result is the t w i l i g h t of s e l f -

the e s s e n c e of the c u r r e n t crisis in the d o c t r i n e

d e t e r m i n a t i o n as a d o c t r i n e by w h i c h p e o p l e s ,

of s e l f - d e t e r m i n a t i o n in i n t e r n a t i o n a l a f f a i r s . 5 2

d e f i n e d in t r a d i t i o n a l e t h n i c - l i n g u i s t i c - r e l i g i o u s

U n d e r the t h e m e of " t h e limits of s e l f - d e t e r m i -

p a r a m e t e r s , a c c e d e by right to t h e c o m m u n i t y

n a t i o n . " t h e y h a v e , in f a c t , a n n o u n c e d the t w i -

of n a t i o n s . At t h e s a m e t i m e , t h e i r c o n c l u s i o n

light of t h e d o c t r i n e , if not s o u n d e d its d e a t h

proposes alternative mechanisms for a c c o m m o -

k n e l l . T h e i r c o m p e t e n c e to s e n s e a n d d e s c r i b e

d a t i n g s u c h p e o p l e s by c o n s i d e r i n g t h e m m i -

s h i f t s in the b a l a n c i n g of the c o m p e t i n g p r i n c i -

n o r i t i e s a n d g r a n t i n g t h e m a u t o n o m y rights, al-

ples of territorial integrity of e x i s t i n g states a n d

t h o u g h not n e c e s s a r i l y t h r o u g h a treaty.

t e r r i t o r i a l r e a l i z a t i o n of c o l l e c t i v e i d e n t i t y of n o n s t a t e s h a s b e e n f o r t i f i e d in t h e c a u l d r o n of

Normative Indeterminacy

Security Council politics, where A m b a s s a d o r

T h e i r s t a r t i n g p o i n t is u n a s s a i l a b l e : t h e p o s t -

C á r d e n a s held the a w e s o m e responsibility for

W o r l d W a r II f o r m u l a t i o n s of the r i g h t of self-

g u i d i n g the c o u n c i l t h r o u g h t r o u b l e d w a t e r s of

d e t e r m i n a t i o n of p e o p l e s to f r e e l y d e t e r m i n e

R w a n d a , H a i t i , B o s n i a , s a n c t i o n s on I r a q , a n d

their political, e c o n o m i c , and cultural future

e v e n a b o r d e r c o n f l i c t in h i s o w n r e g i o n b e -

l e a v e s o p e n the q u e s t i o n s of w h o is t h e " s e l f ' ?

tween Peru and Ecuador.

W h a t is a " p e o p l e " ? A n d w h a t d o t h e y d e t e r -

T h e i r p a p e r is in t w o p a r t s , an e s s a y on the

m i n e ? T h e y s e e the o r i g i n of t h e p r i n c i p l e of

l i m i t s of s e l f - d e t e r m i n a t i o n a n d a c o m m e n t a r y

s e l f - d e t e r m i n a t i o n in the " c o r p o r a l i n t e g r i t y of

on the Liechtenstein Draft Convention.

individuals," which they associate with

The

e s s a y f o c u s e s s u c c e s s i v e l y on t h e i n d e t e r m i -

the

E n g l i s h , F r e n c h , a n d A m e r i c a n bills of rights. 5 - 1

n a c y of t h e n o r m , that is, the l a c k of p r e c i s i o n

It is p e r h a p s m o r e a p p r o p r i a t e t o s e e it in t h e

in t h e legal f o r m u l a t i o n s of s e l f - d e t e r m i n a t i o n ;

" c o r p o r a t e " e x i s t e n c e of c o l l e c t i v i t i e s of h u m a n

t h e c u r r e n t t r e n d s in i n t e r n a t i o n a l r e l a t i o n s that

b e i n g s , r a t h e r than in the p r o t e c t i o n of t h e indi-

c h a l l e n g e t h e n o r m ; t h e m o r a l d i m e n s i o n s of

v i d u a l ' s " c o r p o r a l " e x i s t e n c e . T h e e s s e n c e of

52. See Chapter 6 in this volume by Emilio J. Cárdenas and Maria Fernanda Cañás, The Limits of "SelfDetermination" (first published in N e w York, February 14, 1995); (hereinafter cited as " C á r d e n a s and Cañás"). 53. Ibid., p. 154.

Commentari/

t h e s e v e n t e e n t h - and e i g h t e e n t h - c e n t u r y d o c u m e n t s to w h i c h o u r a u t h o r s r e f e r in their f i r s t s e n t e n c e is internal s e l f - d e t e r m i n a t i o n and dem o c r a t i c governance, although their concern seeims to be with external s e l f - d e t e r m i n a t i o n . 5 4 In 1 6 9 8 , an act of "internal s e l f - d e t e r m i n a t i o n " b r o u g h t the " l o r d s spiritual and t e m p o r a l , and c o m m o n s . . . a s s e m b l e d in a full and f r e e repr e s e n t a t i v e of this [ E n g l i s h ] nation . . . " to dec l a r e certain p o w e r s of t h e C r o w n to be illegal a n d c e r t a i n rights of p e t i t i o n , s e l f - d e f e n s e , s p e e c h , a s s e m b l y , e l e c t i o n , j u s t i c e , and r e d r e s s to b e l o n g to the s u b j e c t s . A s R o b e r t D a h l p o i n t s out, they " f o r e s h a d o w e d the f u t u r e dev e l o p m e n t of their d e m o c r a t i c idea, i n c l u d i n g the l e g i t i m a c y — i n d e e d the n e c e s s i t y — f o r repr e s e n t a t i o n . ' " ' 5 T h e F r e n c h text of 1789 and the A m e r i c a n Bill of Rights of 1792 (or the D e c l a r a t i o n of I n d e p e n d e n c e of 1776) s i m i l a r l y aff i r m the n o r m a t i v e basis f o r the m o d e r n state, w h o s e l e g i t i m a c y is m e a s u r e d in t e r m s of res p e c t for rights and the rule of law. T h e legitim a c y of the state is t h e r e f o r e bound up with the e m e r g e n c e of the n a t i o n - s t a t e in the s e v e n t e e n t h t h r o u g h n i n e t e e n t h c e n t u r i e s and the K a n t i a n c o n c e p t i o n of liberal r e p u b l i c a n i s m . M i c h a e l D o y l e has w r i t t e n a u t h o r i t a t i v e l y on this s u b j e c t . 5 6 T h u s , m y first o b s e r v a t i o n r e g a r d i n g the i n d e t e r m i n a c y of the n o r m of s e l f - d e t e r m i n a t i o n , as p r e s e n t e d by C á r d e n a s and C a ñ a s , is that the h i s t o r i c a l b a c k g r o u n d c a n n o t be div o r c e d f r o m the c r e a t i o n of the n a t i o n - s t a t e s y s t e m and the ideal of t h e liberal d e m o c r a t i c f o r m of g o v e r n m e n t . T h e m o r e i m m e d i a t e

171

historical c o n t e x t — a s this and o t h e r p a p e r s at this c o n f e r e n c e d e m o n s t r a t e — i s that of a political p r i n c i p l e of s e l f - d e t e r m i n a t i o n e m e r g i n g a f t e r W o r l d War I and c l o s e l y a s s o c i a t e d with the p r i n c i p l e of n a t i o n a l i s m e x p r e s s e d by relatively homogeneous populations.57 The W i l s o n i a n v e r s i o n also stressed the " i n t e r n a l , " d e m o c r a t i c r e q u i r e m e n t , in the c o n t e x t of the d i s m e m b e r i n g of t h e A u s t r o - H u n g a r i a n and O t t o m a n E m p i r e s . It is the p o s t - U N C h a r t e r h i s t o r y of the n o r m that b l u r s the m e a n i n g of p e o p l e s , d e p r i v i n g it of its n a t i o n a l - e t h n i c - r e l i g i o u s - l i n g u i s t i c c o n n o t a t i o n and l i m i t i n g it to "colonial territories." The principle metamorp h o s e d into a r i g h t , to w h i c h the G e n e r a l A s s e m b l y , e m b o l d e n e d by the a d m i s s i o n of n e a r l y f i f t y f o r m e r c o l o n i e s f r o m 1958 to 1968. w a s w i l l i n g to add the r e s p o n s i b i l i t y of the UN to p r o v i d e a s s i s t a n c e to m o v e m e n t s of n a t i o n a l l i b e r a t i o n a n d t h e d u t y of m e m b e r states to r e n d e r a s s i s t a n c e to the UN in c a r r y ing out this r e s p o n s i b i l i t y . T h e 1970 D e c l a r a tion on F r i e n d l y R e l a t i o n s not o n l y a f f i r m e d this c o l o n i a l status l i m i t a t i o n on the right and the r e s p o n s i b i l i t y to r e n d e r a s s i s t a n c e : it a l s o m a d e c l e a r that territorial integrity of e x i s t i n g states p r e v a i l e d o v e r any c l a i m s to s e l f - d e t e r m i n a t i o n . 5 8 T h u s u n d e r s t o o d , t h e right e x c l u d e d the p o s s i b i l i t y of s e c e s s i o n , at least f r o m " s o v e r e i g n and i n d e p e n d e n t S t a t e s c o n d u c t i n g t h e m s e l v e s in c o m p l i a n c e with the principle of equal rights and s e l f - d e t e r m i n a t i o n of p e o p l e s . . . and thus p o s s e s s e d of a g o v e r n ment r e p r e s e n t i n g the w h o l e p e o p l e b e l o n g i n g to the t e r r i t o r y . " 5 9

54. Cardenas and Canas refer to the principle "espoused in the English, French and the American bills of rights." 55. Robert Dahl, Democracy and Its Critics (Yale University Press, 1989), p. 29. 56. S e e Michael Doyle, "Kant: Liberal Legacies and Foreign Affairs," Philosophy and Public Affairs 12 (1983): pp. 2 0 5 - 2 3 5 and 3 2 3 - 3 5 3 ; Empires (Cornell University Press, 1986); "Liberalism and World Politics," American Political Science Review 80 (1986): 1151-1163. 57. A s Hurst Hannum points out, the principal reference for this association was John Stuart Mill's Considerations on Representative Government. See Hurst Hannum, "Rethinking Self-Determination," Virginia Journal of International Law 34 (1993): 3. 58. Declaration on the Principles of International Law Concerning Friendly Relations and Co-operation A m o n g States in Accordance with the Charter of the United Nations, Resolution 2625 (XXXV). 59. In a similar fashion, this wording suggests that a country such as the Republic of South Africa, which was not conducting itself in compliance with the principle and did not have "a government representing the whole people," was not protected from challenges to its territorial integrity. The next sentence in the declaration seems more absolute and not intended to target unrepresentative states, such as South Africa: "Every State shall refrain from any action aimed at the partial or total disruption of the national unity and territorial integrity of any other State or country."

Stephen

172

T h e a m b i g u i t y in the l a n g u a g e of U N res-

P. Marks

C a n a s . T h e y are c o n c e r n e d w i t h the s i m u l t a n e -

o l u t i o n s p e r s i s t s e v e n t o d a y . At its last s e s s i o n ,

o u s t r e n d s of f r a g m e n t a t i o n a n d g l o b a l i z a t i o n .

t h e G e n e r a l A s s e m b l y r e a f f i r m e d " t h a t the uni-

T h e f o r m e r is the evil w o r k of " n a t i o n a l c h a u -

v e r s a l r e a l i z a t i o n of t h e right of all p e o p l e s , in-

vinists,"64 operating within the political and

c l u d i n g t h o s e u n d e r c o l o n i a l , f o r e i g n a n d alien

cultural structures, and tearing societies apart,

d o m i n a t i o n , to s e l f - d e t e r m i n a t i o n is a f u n d a -

w h i l e the latter is t h e c o n s t r u c t i v e w o r k of the

mental condition for the effective guarantee

private sector, the business c o m m u n i t y , f u n c -

a n d o b s e r v a n c e of h u m a n r i g h t s a n d f o r t h e

t i o n i n g in a " b o r d e r l e s s w o r l d " (to b o r r o w a

p r e s e r v a t i o n a n d p r o m o t i o n of s u c h r i g h t s . " 6 0

p h r a s e f r o m the historian Paul K e n n e d y ) , or the

The right p r e s u m a b l y covers m o r e than

global marketplace.6'1

the

e n u m e r a t e d s i t u a t i o n s of c o l o n i a l , f o r e i g n , a n d

T h e d a n g e r s of t h e c e n t r i f u g a l f o r c e s a r e

a l i e n d o m i n a t i o n , but the a s s e m b l y d o e s not

obvious: hatred, e x t r e m i s m , and

s p e c i f y in w h a t t h e r i g h t c o n s i s t s f o r p e o p l e s

c o n s t i t u t e " a n u n p r e d i c t e d f o r m of t o t a l i t a r i a n -

xenophobia

not u n d e r c o l o n i a l , f o r e i g n , or alien d o m i n a -

i s m . like a n e w r e l i g i o n . " that is " s u r f a c i n g in

tion. T h e a m b i g u i t y is r e i n f o r c e d by the f a i l u r e

m a n y c o r n e r s of the g l o b e " and f e e d i n g m o s t of

of t h e U N to be c o n s i s t e n t e v e n f o r p e o p l e s

the i n t r a s t a t e a r m e d c o n f l i c t s , w h i c h c o n s t i t u t e

u n d e r s u c h d o m i n a t i o n , w h i c h is a r g u a b l y t h e

t h e m a j o r i t y of t h e a r m e d c o n f l i c t s c u r r e n t l y

c a s e of T i b e t a n s . East T i m o r e s e . Kurds,

and

even

Native

Kashmiris.

Americans

b e i n g w a g e d . T h e i r m a i n c o n c e r n is to p r e v e n t

and

t h e a p p l i c a t i o n of s e l f - d e t e r m i n a t i o n in w a y s

B a s q u e s . 6 1 T h e U N h a s not a c t i v e l y s u p p o r t e d

that result in " f r a g m e n t a t i o n , L e b a n i z a t i o n , o r

s e l f - d e t e r m i n a t i o n in t h e s e c a s e s , w h i c h

B a l k a n i z a t i o n . " 6 6 T h e right to s e l f - d e t e r m i n a -

arc

likely to be f o r g o t t e n in the t w i l i g h t of s e l f - d e -

tion d o e s not a l l o w m i n o r i t i e s to s e c e d e " b e -

termination. The

c a u s e a n y a t t e m p t a i m e d at the d i s r u p t i o n of a

situation

was

perhaps

put

m o s t s u c c i n c t l y and a c c u r a t e l y by P r o f e s s o r

state's national unity and territorial

Oscar

will not m e e t with the f a v o r of the i n t e r n a t i o n a l

Schachter.

when

he

urged

that

"we

integrity

s h o u l d . . . not be m i s l e d by the s t r o n g r h e t o r i c

c o m m u n i t y . " a l t h o u g h the i n t e r n a t i o n a l

in f a v o r of s e l f - d e t e r m i n a t i o n in s o m e p l a c e s .

m u n i t y is inclined to v a l i d a t e s e c e s s i o n w h e n it

com-

T h e m o r e r e a l i s t i c c o n c l u s i o n is that n a t i o n -

is a c c o m p l i s h e d " p e a c e f u l l y t h r o u g h n e g o t i a -

s t a t e s of all k i n d s s h a r e a c o m m o n i n t e r e s t in

t i o n s . " 6 7 W h i l e this is c e r t a i n l y true f o r the Slo-

opposition

that

v a k R e p u b l i c , it is a d u b i o u s p r o p o s i t i o n f o r

decolo-

Bangladesh, and, more recently, for Armenia,

to s e l f - d e t e r m i n a t i o n

claims

threaten their national unity."62 The

n i z a t i o n m e a n i n g of s e l f - d e t e r m i n a t i o n has, ac-

Belarus,

c o r d i n g t o C á r d e n a s a n d C a ñ á s , " o u t l i v e d its

Azerbaijan, Tadzhikistan, Turkmenistan, Uzbek-

Ukraine,

Kazakhstan.

Kyrgyzstan,

u s e f u l n e s s . " 6 1 A n y a p p l i c a t i o n or i n t e r p r e t a t i o n

istan. and G e o r g i a . G o r b a c h e v did not a g r e e t o

b e y o n d this historically c o m p l e t e d f r a m e w o r k

their i n d e p e n d e n c e a n d c o n s e n t o n l y c a m e a f t e r

is d a n g e r o u s to i n t e r n a t i o n a l p e a c e . T h e n e w

d e f i a n t a c t s of s e l f - d e t e r m i n a t i o n a n d a c a l c u -

international climate requires new concepts.

lation that p o w e r r e l a t i o n s (not s e l f - d e t e r m i n a tion c l a i m s ) w e r e not f a v o r a b l e to t h e f o r c e f u l

The Changing International Climate T h e d y n a m i c s of the n e w p o s t - C o l d W a r intern a t i o n a l c l i m a t e set t h e s t a g e f o r r e t h i n k i n g s e l f - d e t e r m i n a t i o n , a c c o r d i n g to C á r d e n a s a n d

m a i n t e n a n c e of t e r r i t o r i a l

integrity.

Croatia,

Slovenia, and especially Bosnia present even m o r e a c u t e c a s e s of t h e lack of p e a c e f u l a n d negotiated secession.68

60. Resolution 49/148, adopted on D e c e m b e r 23, 1994. 61. See H a n n u m , p. 36. 62. O s c a r Schachter, International Law in Theory and Practice (Martinus Nijhoff, 1991), p. 120. 63. C á r d e n a s and Cañas, p. 155 in this volume. 64. Ibid., p. 157. 65. Ibid., p. 156. 66. Ibid., p. 155. 67. Ibid., p. 154. 68. See Morton H. Halperin & David J. Scheffer, Self-Determination in the New World Order (Carnegie E n d o w m e n t for International Peace, 1992), pp. 3 2 - 3 8 .

Commentary

173

In t h e s e c a s e s , t h e initial r e a c t i o n of o t h e r

views would generally coincide, and agreement

and

w o u l d not b e d i f f i c u l t in m o s t c a s e s . " 7 ; ! H e

c o u n t r i e s of t h e E U , h a s b e e n to p r e s e r v e t h e

s h a r e s w i t h C á r d e n a s a n d C a ñ á s a p o s i t i v e at-

t e r r i t o r i a l integrity of e x i s t i n g states. T h e p r e f -

titude a b o u t g l o b a l i z a t i o n of the e c o n o m y . W i t h

e r e n c e f o r p e a c e f u l a n d n e g o t i a t e d s e c e s s i o n , to

his c o n s i d e r a b l e e x p e r i e n c e in i n t e r n a t i o n a l fi-

w h i c h C á r d e n a s a n d C a ñ á s r e f e r , is p r o b a b l y

nance, A m b a s s a d o r C á r d e n a s speaks with au-

m o r e a c c u r a t e t o d a y , a f t e r g o v e r n m e n t s real-

t h o r i t y a b o u t the " i n t e r n a t i o n a l f i n a n c i a l r e v o -

countries,

especially

the United

States

i z e d t h e c o n s e q u e n c e s of the rapid r e c o g n i t i o n

l u t i o n " that is " s t r i k i n g l y at o d d s " w i t h t h e

a n d a d m i s s i o n to t h e U N of f o r m e r S o v i e t a n d

chauvinistic upsurge. One cannot help

Yugoslav republics. As Ambassador Cárdenas

d e r i n g w h e t h e r h e g o e s as f a r as K e n n o n in

s t a t e d in a r e c e n t i n t e r v i e w , "If y o u look at the

a n t i c i p a t i n g t h e " t w i l i g h t of d e m o c r a c y "

S e c u r i t y C o u n c i l r e s o l u t i o n s in the past t w o or

international business and national and U N bu-

wonas

t h r e e y e a r s , y o u will f i n d that in a l m o s t e v e r y

r e a u c r a c i e s s o l v e the w o r l d ' s p r o b l e m s , a n d t h e

c r i s i s w e i n s i s t — s o m e t i m e s a p p a r e n t l y o u t of

g o v e r n e d h a v e little or t o k e n i n p u t a n d c e r -

the b l u e — o n preserving the sovereignty

t a i n l y n o real p o w e r .

and

t e r r i t o r i a l i n t e g r i t y of t h e s t a t e . " 6 9 H e a l s o rev e a l s that in the c o u n c i l " w e talk less a n d less a b o u t s e l f - d e t e r m i n a t i o n , b e c a u s e of the f e a r of secession."70

The

globalizing

trends

Cárdenas

and

C a ñ á s i d e n t i f y ( a n d a p p e a r to f a v o r ) call f o r the freezing

of

the

territorial

status

quo—and

t h e r e f o r e t h e " t w i l i g h t of s e l f - d e t e r m i n a t i o n . "

T o i l l u s t r a t e the d a n g e r s of i n t o l e r a n t , p o -

T h e i r a r g u m e n t h a s i m p l i c a t i o n s f o r t h e na-

t e n t i a l l y s e c e s s i o n i s t t r e n d s , the a u t h o r s q u o t e

t u r e — d e m o c r a t i c o r a u t h o r i t a r i a n — o f t h e re-

f r o m P a t r i c k K e n n o n , the f o r m e r C I A a n a l y s t

g i m e s that fit best into t h o s e t r e n d s . S i n c e they

w h o s e e s t h e p o s t - C o l d W a r p e r i o d as o n e of

s u p p o r t h u m a n r i g h t s , it is c l e a r that t h e y d o

c o m p e t i n g t r e n d s of f r a g m e n t a t i o n and g l o b a l -

not f a v o r an a u t h o r i t a r i a n or r e p r e s s i v e s t a t e .

i z a t i o n , in w h i c h " t h e w o r l d of n a t i o n s a p p e a r s

H o w e v e r , like K e n n o n , t h e y a p p e a r to look f a -

to b e t o t t e r i n g b e t w e e n tribe a n d e m p i r e . " 7 1 the

v o r a b l y on the e m e r g e n c e of a f i n a n c i a l and

tribe being "the first d e m o c r a c y " and the e m -

c o m m e r c i a l elite, s u p p o r t e d by n a t i o n a l a n d in-

p i r e b e i n g its c o u n t e r f o r c e , r e p r e s e n t e d by t h e

t e r n a t i o n a l b u r e a u c r a c i e s , that w o u l d c o n t r o l

internationalism

t h e m o v e m e n t of " c a p i t a l , i d e a s , i n f o r m a t i o n ,

of " t h e m o s t d y n a m i c

ele-

people"74

m e n t s of t h e p r i v a t e b u s i n e s s s e c t o r " 7 2 a n d the

cultures—and

bureaucratic

" e r o d e the t r a d i t i o n a l n o t i o n of t h e

sector.

Kennon

concludes

that

d e m o c r a c y d o e s not h a v e m u c h of a f u t u r e . A l -

even

and

"silently 'nation-

state."'75 Democratic governance, under which

t h o u g h this thesis w a s not the f o c u s of the C á r -

the a f f e c t e d p o p u l a t i o n s m i g h t o p t f o r s e l f - d e -

d e n a s a n d C a ñ á s s t u d y , it m i g h t b e i n t e r e s t i n g

termination through independence or challenge

to r e f l e c t o n t h e r e l a t i o n b e t w e e n t h e i r v i s i o n

the p o l i c i e s a n d p r a c t i c e s of t h e f i n a n c i a l a n d

a n d t h a t of K e n n o n . K e n n o n s e e s t h e t w e n t y -

c o m m e r c i a l elites, could conceivably threaten

f i r s t c e n t u r y not as " d e m o c r a c y

triumphant"

t h i s a r r a n g e m e n t . T h e e r o d i n g of s o v e r e i g n t y

b u t as w h a t I w o u l d call " f u n c t i o n a l i s m tri-

a p p e a r s t o be a c c e p t a b l e in t h e c o n t e x t of the

u m p h a n t . " K e n n o n b e l i e v e s t h a t if t h e e l e c t e d

g l o b a l i z a t i o n of the e c o n o m y , but not w h e n the

p o l i t i c i a n s stay out of the way, " n a t i o n a l e x p e r t s

citizens

would be dealing with international e x p e r t s —

e c o n o m i c o r d e r . C á r d e n a s a n d C a ñ á s d o not

wish

to c h a l l e n g e

the

political

or

language—

s p e a k of t h e e r o d i n g of s o v e r e i g n t y by g l o b a l

w i t h o u t t h e i n t e r v e n t i o n of p o l i t i c i a n s , w o r l d

civil society, t h o s e t r a n s n a t i o n a l m o v e m e n t s of

speaking

the

same

professional

69. B a r b a r a Crossette, " U n i t e d Nations: C o n f l i c t s Spark Debate on R o l e , " The New York Times cember 27, 1994): D l l . 70. Ibid. 71. Patrick E. Kennon, The Twilight of Democracy (New York: Doubleday, 1995), p. 270. 72. Ibid., p. 272. 73. Ibid., p. 280. 74. Cárdenas and Cañás, p. 156 in this volume. 75. Ibid.

(De-

174

Stephen P. Marks

activists seeking respect for ecological balance,

d o c u m e n t s . In any c a s e , the a p p e a l to the m o r a l

h u m a n r i g h t s , social j u s t i c e , a n d n o n v i o l e n c e

i m p e r a t i v e s of t o l e r a n c e , p l u r a l i s m , a n d i n c l u -

by c h a l l e n g i n g the l e g i t i m a c y or p r a c t i c e s of

sion are w e l c o m e . C á r d e n a s and Cañás o ffe r

governments

institu-

v a l u a b l e r e f l e c t i o n s on m o r a l v a l u e s . D i s c u s -

global

s i o n c o u l d be e x p a n d e d to i n c l u d e the f o l l o w -

and

intergovernmental

tions, although they do mention

the

c h a r a c t e r of i s s u e s s u c h as t h e e n v i r o n m e n t ,

ing t h r e e sets of v a l u e s that c o m p e t e at d i f f e r -

p o p u l a t i o n , a n d e n e r g y . I w o u l d a r g u e that s u c h

ent l e v e l s (see T a b l e 6 . 1 ) .

m o v e m e n t s , w h i c h a l s o s u p p o r t r i g h t s of m i -

T h e r e are o t h e r l e v e l s at w h i c h t h e s e v a l -

norities and indigenous peoples, constitute a

ues m a y b e r e l e v a n t . I h a v e listed t w o l e v e l s

p o s i t i v e g l o b a l trend that m a y b e m o r e r e l e v a n t

f o r p u r p o s e s of i l l u s t r a t i o n . S e v e r a l p o i n t s c a n

to t h e s o l u t i o n of c l a i m s to s e l f - d e t e r m i n a t i o n

be m a d e c o n c e r n i n g this t a b l e and the a n a l y s i s

t h a n the p o w e r b r o k e r s of the g l o b a l e c o n o m y .

by C á r d e n a s a n d C a ñ á s . T h e d i c h o t o m y f r a g -

C á r d e n a s a n d C a ñ a s w e l c o m e t h e e r o d i n g of

mentation (negative) vs. globalization

s o v e r e i g n t y t h r o u g h t h e g l o b a l i z a t i o n of t h e

tive) or s e c e s s i o n ( n e g a t i v e ) vs. integrity of e x -

(posi-

e c o n o m y but f e a r the c h a l l e n g e to s o v e r e i g n t y

isting states ( p o s i t i v e ) that their p a p e r s u g g e s t s

by c h a u v i n i s t i c c l a i m s to s e l f - d e t e r m i n a t i o n of

m i g h t be n u a n c e d by r e f e r e n c e to t h e s e v a l u e s .

s u b s t a t e g r o u p s . It is not clear, in this a n a l y s i s ,

F o r e x a m p l e , t h e r e are p o s i t i v e v a l u e s in p e o -

h o w the w e a k e n e d state will resist s u c h p r e s -

ple c h e r i s h i n g t h e i r e t h n i c i d e n t i t y a n d a c t i n g

sures. although C á r d e n a s and C a ñ á s acknowl-

to a c h i e v e c u l t u r a l s u r v i v a l a g a i n s t the c e n t r a l -

e d g e that these t w o trends are " c o n t r a d i c t o r y . " 7 6

izing f o r c e s of t h e state or the e c o n o m i c interests of i n t e r n a t i o n a l b a n k s or i n v e s t o r s . W h e r e

Moral

violence

Dimensions

is

used

to

destroy

that

identity

T h e final set of i d e a s C á r d e n a s a n d C a ñ á s p r o -

(through ethnic cleansing, forced displacement,

v i d e c o n c e r n s the v i r t u e s of p l u r a l i s m a n d tol-

or f o r c e d a s s i m i l a t i o n ) , t h e r e m a y b e a s t r o n g

erance, dialogue, and solidarity. Their

argu-

moral

argument

against

preservation

of

the

m e n t is b o t h m o r a l a n d u t i l i t a r i a n . T h e m o r a l

d o m i n a t i n g a n d r e p r e s s i v e state. F r o m this p e r -

a r g u m e n t is that " h u m a n i n t e g r i t y a n d d i g n i t y

s p e c t i v e , the c r e a t i o n of an e n l a r g e d

r e q u i r e f r o m all of us . . . r e s p e c t f o r o t h e r c u l -

state at the e x p e n s e of B o s n i a n s w h o h a v e been

tures.

"must

killed or d r i v e n f r o m a r e a s w h e r e t h e y p r e d o m -

c h o o s e d i a l o g u e as the o n l y r o a d by w h i c h it is

i n a t e d w o u l d b e a m o r a l l y r e p u g n a n t f o r m of

p o s s i b l e to a v o i d t h e d a n g e r o u s e x t r e m e s : of

self-determination. This schema also suggests a

m o n o l o g u e and war."77 The moral basis for

m o r a l basis f o r s e l f - d e t e r m i n a t i o n t h r o u g h self-

races,

religions"

and

that

we

t h e s e p r e s c r i p t i o n s is f o u n d in t h e

epigraph

Serbian

administration. A u t o n o m y and self-administra-

John

tion s h o u l d m a x i m i z e the r e a l i z a t i o n of the v a l -

P a u l II. T h e C a t h o l i c C h u r c h h a s t a u g h t inclu-

u e s of i d e n t i t y , c u l t u r a l s u r v i v a l , a n d v i o l e n c e

s i o n a n d t o l e r a n c e b u t — a s I a m s u r e o u r au-

r e d u c t i o n , in a d d i t i o n to t h e r e l a t e d v a l u e s of

thors would a g r e e — h a s not a l w a y s practiced

t o l e r a n c e a n d p l u r a l i s m a d v o c a t e d by C á r d e n a s

these virtues, including during European colo-

and C a ñ á s .

C á r d e n a s and C a ñ á s c h o s e f r o m Pope

n i z a t i o n of t h e A m e r i c a s , A f r i c a , a n d A s i a . In

T h e y also use a utilitarian argument ac-

r e c e n t t i m e s , the C h u r c h has b e e n s u p p o r t i v e of

c o r d i n g to w h i c h p o l i t i c a l p l u r a l i s m is a p o s i -

t h e m o r a l p r o p o s i t i o n s e s p o u s e d by C á r d e n a s

tive-sum game whereby minority demands can

and Cañás through support for such U N prod-

b e b a l a n c e d w i t h o t h e r i n t e r e s t s to attain t h e

u c t s as t h e U n i v e r s a l D e c l a r a t i o n of

g r e a t e s t g o o d . 7 8 T h i s e m p h a s i s on p l u r a l i s m re-

Human

R i g h t s a n d the I n t e r n a t i o n a l Year of T o l e r a n c e ,

f l e c t s c o n t e m p o r a r y t h e o r i e s of d e m o c r a c y a n d

b u t h a s b e e n less t o l e r a n t of t h e i n c l u s i o n of

justice, whether Robert D a h l ' s p o l y a r c h y 7 9 or

m a j o r g e n d e r c o n c e r n s in the C a i r o a n d B e i j i n g

Rawls' neocontractarianism.

76. 77. 78. 79.

Ibid., p. 158 in this volume. Ibid. Dahl, pp. 2 1 8 - 2 2 4 . John Rawls, A Theory of Justice

(Clarendon Press, 1972).

Commentary

Table 6.1

175

Sets of Values that Compete at Differing Levels

Basic Value

M a n i f e s t a t i o n at L e v e l I

C o m p e t i n g M a n i f e s t a t i o n at L e v e l II

Identity: P a r t of h u m a n s e l f - r e a l i z a t i o n is to i d e n t i f y with a c o m m u n i t y .

Ethnic, national, or religious i d e n t i t y at t h e s u b s t a t e o r t h e trans-state level (e.g., of Serbs, M u s l i m s . Kurds, Kashmiris, etc.)

Species identity (e.g., as h u m a n s , as p a r e n t s , a s w o m e n , as workers, as spiritual or intellectual leaders, as world citizens) prevailing over more e x c l u s i v e i d e n t i t i e s w h e n in conflict

Cultural Survival: It is w o r t h w h i l e t o p r e s e r v e a n d p r o m o t e l a n g u a g e , art, and o t h e r m a n i f e s t a t i o n s of cultural identity.

P r e s e r v a t i o n of c u l t u r a l a r t i f a c t s and traditional practices, resistance to a s s i m i l a t i o n , use of local l a n g u a g e in s c h o o l , a n d s o f o r t h .

N a t i o n a l u n i t y at t h e n a t i o n state level through a s s i m i l a t i o n , i m p o s i t i o n of national l a n g u a g e , etc.

Violence Reduction: Political and cultural aspirations should be realized without r e c o u r s e to v i o l e n c e .

D e n i a l of s e l f - d e t e r m i n a t i o n t o g r o u p s that p r a c t i c e e t h n i c c l e a n s i n g , r e g a r d l e s s of t h e d e m o g r a p h i c b a s i s of t h e i r c l a i m s

R e c o u r s e to v i o l e n c e to a c h i e v e s e c e s s i o n as a last resort against a regime that represses minority rights throueh violence

C á r d e n a s and C a ñ á s r e f e r to their app r o a c h as r e f l e c t i n g " m o d e r n i t y " r a t h e r than " n a t i o n a l i s m , " e q u a t i n g " m o d e r n i t y " with coo p e r a t i o n . solidarity, r e s p e c t f o r diversity, and the m u l t i c u l t u r a l state. For m a n y a u t h o r s , m o d e r n i t y r e f e r s to the s e c u l a r n a t i o n - s t a t e , w h i c h is f u l l y c o m p a t i b l e with n a t i o n a l i s m . O n e m i g h t p r e f e r the c o n c e p t of d e m o c r a c y or liberal d e m o c r a c y b a s e d on p l u r a l i s m (or, as they m e n t i o n , " c o n s o c i a t i o n i s m " ) as m o r e app r o p r i a t e than " m o d e r n i t y " to c a p t u r e their m e a n i n g . In a n y c a s e , their a p p r o a c h o v e r l a p s to a c o n s i d e r a b l e d e g r e e w i t h the a p p r o a c h b a s e d on i n t e r n a t i o n a l h u m a n rights as proposed by several authors, i n c l u d i n g Hurst H a n n u m 8 0 and S. J a m e s A n a y a . 8 1 T h e International C o v e n a n t s of 1966 and n u m e r o u s r e c e n t t e x t s on m i n o r i t y r i g h t s a d o p t e d by t h e U N , t h e Council of E u r o p e , or the C o n f e r e n c e on S e c u rity and C o o p e r a t i o n in E u r o p e set out the rights " e x e r c i s e d by c o m m u n i t i e s , that are essential to protect the identity of threatened peoples, w h e t h e r they are c l a s s i f i e d as m i n o r i t i e s ,

i n d i g e n o u s p e o p l e s , or r e g i o n a l or c u l t u r a l c o m m u n i t i e s . P r o t e c t i o n of these r i g h t s , " H a n n u m c o n t i n u e s , " c o m b i n e d with the right of e f f e c t i v e p a r t i c i p a t i o n in the p o l i t i c a l a n d e c o n o m i c p r o c e s s , is the p r i m a r y c o n t e m p o r a r y r a t i o n a l e f o r the e x e r c i s e of the right of selfdetermination."82 This approach captures more of w h a t C á r d e n a s and C a ñ á s are a r g u i n g than the c o n c e p t of " m o d e r n i t y . "

Conclusion and Comment on the Draft Convention T h e s e r e f l e c t i o n s lead C á r d e n a s and C a ñ á s to c o n c l u d e that in t o d a y ' s w o r l d , s e l f - d e t e r m i n a tion as a political c o n c e p t s h o u l d be l i m i t e d to its internal or " n a r r o w " m e a n i n g , t h u s c o m i n g f u l l c i r c l e b a c k to t h e W i l s o n i a n c o n c e p t . T h e c o n t e n t of t h e right m a y then be s u m m a r i z e d in t w o f e a t u r e s : (1) the right of p e o p l e w i t h i n the state to c h o o s e the structures of g o v e r n m e n t and their p o l i t i c a l l e a d e r s ; 8 3 and (2) special p r o v i s i o n f o r c u l t u r a l , l i n g u i s t i c , e t h n i c , or r e l i g i o u s m i n o r i t i e s to e n j o y p r o t e c t i o n f r o m

80. Hannum, pp. 5 7 - 6 9 . 81. S. James Anaya, " T h e Capacity of International Law to A d v a n c e Ethnic or Nationality Rights Claims," Iowa Law Review 75 (1990): 837 ff. 82. Hannum, p. 62. 83. The paper does not address the issue of alien rights. Are the rights of political participation limited to "citizens" or to all people within the jurisdiction of the state? The h u m a n rights approach would allow limited political participation to noncitizens but full respect for other human rights of all persons.

176

Stephen P. Marks

d i s c r i m i n a t i o n , if t h e y s e e k e q u a l i t y , a n d au-

c a l l y , l o o k f o r o u t s i d e h e l p a n d a u t h o r i z e the

t o n o m y , if t h e y d o n o t w i s h to a s s i m i l a t e . In

use of m u l t i n a t i o n a l f o r c e , a n d I think that w h a t

other words, self-determination mean

effective

political

should

now

w e l e a r n e d is t h a t s o m e t i m e s y o u j u s t c a n ' t

participation

plus

m o v e as f a s t as y o u t h i n k y o u s h o u l d . " 8 7

n o n d i s c r i m i n a t i o n a n d a s u f f i c i e n t d e g r e e of

Their positions on these points obviously

a u t o n o m y to s a t i s f y i d e n t i t y n e e d s w i t h o u t c r e -

affect their attitude t o w a r d the Liechtenstein

a t i n g an i n d e p e n d e n t a n d s o v e r e i g n polity. T h i s

Draft

p o s i t i o n is s i m i l a r to the h u m a n rights a p p r o a c h

T h r o u g h S e l f - A d m i n i s t r a t i o n . T h e y are r e l u c -

j u s t m e n t i o n e d ; h o w e v e r , it d o e s n o t r e s o l v e

tant to a c c e p t f o r m u l a t i o n s in the d r a f t c o n v e n -

the d i l e m m a of the e x e r c i s e of this r i g h t w h e r e

tion that f a i l to s t r e s s " t h e p a r a m o u n t i m p o r -

o n e or b o t h of t h e s e t w o f e a t u r e s are a b s e n t .

t a n c e of t h e t e r r i t o r i a l i n t e g r i t y a n d p o l i t i c a l

Convention

on

Self-Determination

C á r d e n a s a n d C a ñ á s r e f e r to t h i s r e f o r m u l a t e d

unity of S t a t e s . " C o n s i d e r i n g their m o r a l prin-

c o n c e p t of s e l f - d e t e r m i n a t i o n as " r e l a t i v e " and

c i p l e s a n d their o w n r e f o r m u l a t i o n of the right,

s o m e w h a t r e l u c t a n t l y a c k n o w l e d g e that t h e r e

" p a r a m o u n t " m a y not be t h e right w o r d . D o e s

may

circum-

this m e a n that in all c a s e s , integrity of e x i s t i n g

s t a n c e s . " 8 4 Yet that is p r e c i s e l y t h e p r o b l e m :

s t a t e s t r u m p s o t h e r c l a i m s , e v e n in c a s e s of

be

"extreme

and

exceptional

f o r c l a i m a n t s of the right to s e l f - d e t e r m i n a t i o n ,

m a s s i v e v i o l a t i o n s of h u m a n r i g h t s a n d d e n i a l

the c i r c u m s t a n c e s are a l w a y s " e x t r e m e a n d e x -

of

c e p t i o n a l . " C á r d e n a s a n d C a ñ á s c o n s i d e r that

s e e m s to s u g g e s t that s e l f - d e t e r m i n a t i o n is rel-

" t h e best w a y to d e a l w i t h c l a i m s of

ative but state s o v e r e i g n t y is a b s o l u t e .

'self-

d e t e r m i n a t i o n ' still s e e m s to b e on a c a s e - b y c a s e b a s i s . " 8 5 T h i s is n o d o u b t w i s e , b u t w e still d o not h a v e the c r i t e r i a f o r d i s t i n g u i s h i n g admissible from inadmissible claims.

democratic

participation?

Their

analysis

T h e i r m a i n c o n c e r n with the L i e c h t e n s t e i n D r a f t C o n v e n t i o n is that self-determination is too i m p r e c i s e to be the o b j e c t of detailed regulation by treaty. A c o n v e n t i o n is u n n e c e s s a r y and, in

Is t h e r e a r i g h t to d e m o c r a t i c g o v e r n a n c e ,

any c a s e , this d r a f t is too long. T h e y a l s o t a k e

as P r o f e s s o r T h o m a s F r a n c k a r g u e s , a n d a c o n -

issue w i t h several v a g u e t e r m s of the d r a f t c o n -

s e q u e n t d e n i a l of l e g i t i m a c y to a u t h o r i t a r i a n

vention and c o n s i d e r that the text should prohibit

r e g i m e s ' ? 8 6 W h a t are the c o n s e q u e n c e s in t e r m s

r e c o u r s e to f o r c e . A g a i n , o n e m a y ask w h e t h e r

of s e l f - d e t e r m i n a t i o n as r e f o r m u l a t e d b y C á r -

s u c h a p o s i t i o n is c o n s i s t e n t with the p r i n c i p l e ,

d e n a s and C a ñ á s ? Is e x t e r n a l s u p p o r t , u n i l a t e r a l

a c c e p t e d by the i n t e r n a t i o n a l c o m m u n i t y since

or multilateral, for d e m o c r a t i c forces against

the U n i v e r s a l D e c l a r a t i o n , that " r e c o u r s e . . . to

repressive ones authorized? Would

Cárdenas

rebellion against t y r a n n y and o p p r e s s i o n " is rec-

a n d C a ñ á s e x t e n d t h e p r i n c i p l e of

Security

o g n i z e d as " a last r e s o r t " w h e n h u m a n rights are

C o u n c i l R e s o l u t i o n 9 4 0 ( a u t h o r i z i n g the m u l t i n a t i o n a l f o r c e to r e s t o r e A r i s t i d e and s e c u r e t h e d e p a r t u r e of the d e f a c t o a u t h o r i t i e s in H a i t i ) to

not respected by the rule of law. Basically,

Cárdenas

and

Cañás

are

re-

s e r v e d o n the c o n v e n t i o n , w h i l e a g r e e i n g w i t h

other cases? W h e n asked what he thought the

s o m e of t h e e s s e n t i a l o b j e c t i v e s of the text. M y

U N l e a r n e d f r o m the Haiti e x p e r i e n c e , A m b a s -

o w n v i e w is that the d r a f t c o n v e n t i o n o f f e r s an

s a d o r C á r d e n a s r e p l i e d , " P r o b a b l y t h a t , at t h e

a c c e p t a b l e p r o c e d u r e f o r b a l a n c i n g the

t i m e w h e n w e d e c i d e d to rely to the use of m i l -

principles on which Cárdenas and Cañás agree,

itary f o r c e , a f t e r the use of e c o n o m i c s a n c t i o n s ,

n a m e l y , p r e s e r v a t i o n of e x i s t i n g s t a t e s a g a i n s t

that w e c o u l d n ' t d o it o u r s e l v e s r a p i d l y t h r o u g h

s e c e s s i o n i s t c l a i m s a n d p r o t e c t i o n of m i n o r i t i e s

t r a d i t i o n a l m e a n s , a n d , t h e r e f o r e , h a d to, b a s i -

and democratic rights.

two

84. Cárdenas and Cañás, p. 163 in this volume. Furthermore, they argue that independence "is an exceptional measure and should only be reserved for those cases in which a state—beyond any d o u b t — d o e s not respect the identity of a minority, p r o v i d e d all other criteria for g r a n t i n g i n d e p e n d e n c e are met." 85. Ibid. 86. T h o m a s M. Franck, " T h e E m e r g i n g Right to Democratic G o v e r n a n c e , " American Journal of International Law 86 (1992): 46 ff. 87. Cable N e w s N e t w o r k , Inc. (Diplomatic License, January 22, 1995), Transcript #58.

Commentary

In s u m , C á r d e n a s and C a ñ á s have raised the hardest issues of the limits of self-determination and argued persuasively and eloquently for the reduction of this right to its internal dimensions in the post-decolonization era. In this "twilight of (external) self-determination," neither they nor the Liechtenstein Draft C o n v e n tion fully a n s w e r the question of whether and how state sovereignty can be maintained when collective rights of sub-state c o m m u n i t i e s are

177 flagrantly and violently denied. While grappling with the answer to that question, one can easily agree with the w i s d o m of their conclusion that " w e must find a creative way to channel conflicts through political structures, rather than war and violence." The Draft Convention may provide more of a creative way to channel such conflicts than C á r d e n a s and C a ñ á s are willing to acknowledge.

CHAPTER 7

Mayan Self-Determination: Multicultural Models and Educational Choice for Guatemala Kay B. Warren

T

his essay focuses on the Pan-Mayan cul-

dren's needs and subverting the authority o f

turalist m o v e m e n t in G u a t e m a l a , which

Dropout and illiteracy rates are extremely

is promoting the revitalization o f Mayan culture for the 6 0 percent o f the national population

that

is

indigenous. 1

Given

similar

cultural, historical, and c o m m u n i t y

back-

grounds, the m o v e m e n t is working to establish c o m m o n interests across the twenty language groups in the country. Although many o f these language communities are relatively small,

the

largest

four

number

between

3 5 0 , 0 0 0 and one million speakers each. Culturalists also propose a pluricultural

(multi-

cultural) model for participatory democracy. This model would define collective cultural, linguistic, and political rights for Mayan citizens and legitimize their claims for cultural and political space in national educational, judicial,

and administrative

systems

(see

C O M G 1991; C o j t i 1 9 9 4 , 1 9 6 6 ) . Culturalists hope that these c h a n g e s will bring M a y a n s into the mainstream to attack G u a t e m a l a ' s rural

poverty

and

serious

development

dilemmas. This analysis focuses on Mayan critiques o f bilingual education as failing to meet chil-

indigenous

parents

and

communities.

high for indigenous communities. In the past, teachers were S p a n i s h - s p e a k e r s

with

very

limited knowledge o f Mayan culture, meaning that they were unable to communicate directly with incoming students. Bilingual education structurally demoralized children who were pressured to assimilate Hispanic culture and taught that Spanish language and national culture are superior to their own. S i n c e the 1980s, however, Mayan intellectuals have criticized national school policy and formulated alternative models that would reduce alienation, attrition, and illiteracy. T h e essay e x p l o r e s M a y a n alternatives for language policy and elementary education, the rocky e x p e r i e n c e s o f

PRONEBI

(Programa Nacional de E d u c a c i ó n B i l i n g ü e , the nationally funded organization in charge o f fostering more e f f e c t i v e bilingual education), and M a y a n i m a g e s o f federalism that would promote indigenous culture and selfdetermination

within the structure o f the

Guatemalan state.

1. I want to thank the Mayan scholars I cite in this paper for sharing their written work with me and reading the initial draft of this essay. Other information for this analysis came from joint panels and discussions I have had with a wider network of Pan-Mayanists from 1989 to 1995. For additional feedback, my thanks go to John Waterbury, Wolfgang Danspeckgruber, and other participants in the LRPSD seminars. A short version of this analysis, which benefited from feedback from David Maybury-Lewis, appeared in Warren (1994). Finally, I want to acknowledge the important, often contested issues raised in the respondents' commentaries at the close of the essay. See Warren (n.d.c) for a detailed reflection on Levenson-Estrada's critique of the movement from the popular perspective. For details on the issues raised by Centeno, see my analysis of ethnic cleavages within the Mayan community in Warren (1996) and my discussions of public intellectuals, class, and cultural capital in Mayan Public Intellectuals and Indian Cultural Resurgence in Guatemala (n.d.d).

179

180 Mayan Indians in Guatemala are currently promoting cultural resurgence and national unification through an innovative network of research centers and grassroots education programs. They are working to foster a distinctive sense of pueblo, that is, a community of interest for all Mayab' as " a people" or "nation." They are also proposing a pluricultural (multicultural) model for participatory democracy. This model would recognize multiple national cultures rather than the current overarching Hispanic standard, historically established by the Spanish colonizers and later transformed and modernized by their cultural descendants, called Ladinos, who authored "national" culture after independence from Spain in the nineteenth century. To achieve this revitalization, Mayan professionals, teachers, and community activists are using their own substantial resources and backgrounds in law. linguistics, education, agriculture, and religion. Virtually all culturalists, as they are sometimes called, come from rural backgrounds. S o m e have stayed in their home communities, working as agriculturalists, teachers, or extensionists and becoming regional and local leaders in the cooperative movement, religious groups, or local development initiatives. Others have relocated to urban centers to pursue professional training and higher education, working as academics, bookstore owners, publishers, social workers, administrators, teachers, and experts for nongovernmental organizations (NGOs) such as UNICEF. At the end of the workweek, during vacations, and for major events, it is not unusual for professionals to return to their home communities, where close relatives live and where some maintain their own families. This essay is part of a much larger proj e c t to trace the ways in which Mayans, as cultural nationalists and agents of globalization, are developing projects for self-determination in a climate of continuing political uncertainty. 2

Kay B. Warren A set of interrelated theses guides this anthropological analysis: (1) Mayan self-determination represents a distinctive collectively and historically constituted form of agency; ( 2 ) an integral aspect o f self-determination is the particular cultural form and relationship through which Mayans establish its meaning; and ( 3 ) Mayan struggles for self-determination may be muted if they are viewed solely in terms of universalizing schemes, whether they be the liberal language of individual rights or the historical materialist language of oppression and class conflict. Mayan Studies (Estudios Mayas) is an interdisciplinary field of research and social commentary, designed by Mayan culturalists to promote resurgence and unification. Reborn in the early 1980s, it has produced counterhistories denouncing the racism of national histories, searing criticisms of foreign research practices and scholarship, linguistic scholarship to promote Mayan language retention, critiques of Western models of development, and political psychology concerned with counteracting internalized racism. Through this applied research, Mayan intellectuals condemn colonialism as an ongoing issue rather than a moment of sociogenesis five centuries ago at the Spanish conquest. It would be inaccurate to dismiss this cultural revival as parochial, primordial, or detrimental to modern politics. Mayans are highly aware of global identity politics, even more so since Rigoberta Menchu won the 1992 Nobel Prize for Peace. Culturalists bring their own experiences, ideologies, and evolving politics to the international process of ethnic intensification. Culture, history, and politics make Mayan Studies and the culturalist movement a related, yet different, process from ethnic nationalism and multiculturalism elsewhere in the world. This paper deals with the special relevance of language for Mayan cultural revitalization

2. See Warren (1992, 1996, n.d.a, b, and c.). My forthcoming book, Mayan Public Intellectuals and Indian Cultural Resurgence in Guatemala (n.d.d), analyzes the internal politics of the movement and the politics of social scientific readings of Pan-Mayanism.

Mayan

Self-Determination

a n d f o r i m a g e s of n a t i o n - s t a t e r e l a t i o n s . It a l s o illustrates M a y a n c o n s t r u c t i o n s of ling u i s t i c s and c o m p a r a t i v e politics as aspects of t h e interdisciplinary field of M a y a n Studies.

Reading Language as a Political Code

181 r a m i f i c a t i o n s of d e s i g n a t i n g S p a n i s h as t h e official language: T h e w i d e s c o p e o f the [ c o n s t i t u t i o n a l ] artic l e s that institute S p a n i s h as the l a n g u a g e res e r v e d for e d u c a t i o n , h i g h culture, o f f i c i a l c o m m u n i c a t i o n , g e n e r a l p u b l i c administration . . . i m p l i e s that M a y a n languages should carry out s e c o n d a r y f u n c t i o n s , that are dom e s t i c and i n f o r m a l (in l o c a l culture and f a m i l y life). We can say that the constitution g e n e r a t e s l i n g u i s t i c i n e q u a l i t y by g i v i n g h i g h e r rank and formal r e s p o n s i b i l i t y to Spanish.

C u l t u r a l i s t s such as L u i s E n r i q u e S a m C o l o p a n d D e m e t r i o C o j t í C u x i l a r g u e that in G u a t e m a l a l a n g u a g e m u s t be r e a d as a d o u b l e - v o i c e d p o l i t i c a l c o d e , " a s i n d i c a t o r s of t h e e x i s t e n c e and t h e p o l i t i c a l p o s i t i o n of M a y a n c o m m u n i t i e s " ( C o j t í 1991: 6 5 - 6 6 ) . C u l t u r a l i s t s t u d i e s of l a n g u a g e h a v e b e e n disseminated through research presentations a n d adult e d u c a t i o n w o r k s h o p s , t h r o u g h thes e s f o r licenciaturas3 and Ph.D.s, and t h r o u g h p u b l i s h e d w o r k s in linguistics, c o m m u n i c a t i o n s t u d i e s , a n d law. T h e i r c o n t e x t s e n s i t i v e n o t i o n of i a n g u a g e - a s - p r a c t i c e e x a m i n e s the r e g i o n a l d i s t r i b u t i o n of l a n g u a g e g r o u p s in G u a t e m a l a ; p a t t e r n s of m o n o l i n g u a l i s m and b i l i n g u a l i s m in c o m m u n i t y and n a t i o n a l a f f a i r s ; the stakes in p r o d u c i n g stand a r d i z e d w r i t t e n v e r s i o n s of M a y a n lang u a g e s ; state policy with r e g a r d to the " o f f i c i a l " l a n g u a g e f o r a d m i n i s t r a t i o n , the c o u r t s , and educational systems; and the p o w e r s t r u c t u r e s and i d e o l o g i e s inherent in e x i s t i n g a r r a n g e m e n t s . T h i s d i s c u s s i o n d r a w s o n the w o r k of M a y a n e d u c a t o r s , a l o n g w i t h o t h e r M a y a n linguists and anthropologists. My g o a l is to p r e s e n t a s y n t h e s i s of t h e i s s u e s t h e y d e f i n e as c e n t r a l to an a c t i v i s t l i n g u i s tics a n d the c r i t i q u e s of e d u c a t i o n a n d n a t i o n that f l o w f r o m their a n a l y s i s .

At G u a t e m a l a ' s i n d e p e n d e n c e , a 1824 legi s l a t i v e d e c r e e not o n l y a f f i r m e d a s i n g u l a r n a t i o n a l l a n g u a g e but a l s o e n c o u r a g e d m u nicipal g o v e r n m e n t s and priests to e x t i n g u i s h i n d i g e n o u s l a n g u a g e s (cf. S a m 1983: 4 9 ) . T h e c o n s t i t u t i o n s of 1945, 1956, and 1965 r e n e w e d S p a n i s h as the o f f i c i a l l a n g u a g e w h i l e t h e y a d d r e s s e d the i m p o r t a n c e of improving the e c o n o m i c , social, and cultural s i t u a t i o n of t h e i n d i g e n o u s p o p u l a t i o n . A p p a r e n t l y , l a w m a k e r s — i n c o n t r a s t to the cult u r a l i s t s — s a w little c o n t r a d i c t i o n b e t w e e n i m p r o v i n g p e o p l e ' s s t a n d a r d of l i v i n g and w o r k i n g to d i s p l a c e t h e i r h o u s e h o l d a n d c o m m u n i t y l a n g u a g e s . F r o m 1956 o n , c o n stitutions have included formulaic commitm e n t s to n o n d i s c r i m i n a t i o n o n the b a s i s of e t h n i c i t y , r e l i g i o n , sex, a n d so f o r t h . T h i s n o n d i s c r i m i n a t o r y l a n g u a g e w a s no d o u b t influenced by the U N U n i v e r s a l D e c l a r a t i o n of H u m a n R i g h t s p r o m u l g a t e d in 1948, w h i c h , in the e y e s of t h e c u l t u r a l i s t s , h a s o n l y c o n t i n u e d the o d d but r e v e a l i n g c o n t r a d i c t i o n .

T h e first r e a d i n g of l a n g u a g e - a s - p r a c t i c e r e v e a l s p a t t e r n s of i n t e r n a l c o l o n i a l i s m c e n t r a l to G u a t e m a l a as t h e c o u n t r y c u r r e n t l y s t a n d s . C u l t u r a l i s t s o b s e r v e t h a t lang u a g e r e p r e s e n t s k e y d i m e n s i o n s of t h e surr o u n d i n g p o l i t i c a l a n d e c o n o m i c w o r l d s : it is an i n d i c a t o r of t h e r e l a t i v e p o s i t i o n of Mayans and L a d i n o s . D e m e t r i o Cojtí ( 1 9 9 1 : 72) notes the p o w e r f u l m a n d a t e and

A 1978 law e s t a b l i s h e d literacy as a universal right and obligation. Literacy, h o w e v e r , w a s c o n s t r u c t e d as s y n o n y m o u s with " c a s t e l lanizaciôn"—that is, t e a c h i n g S p a n i s h as the p a t h to H i s p a n i c c u l t u r e , a p o l i c y that had begun in 1935 (Herrera 1987: 16). Culturalists a r g u e that the oral status of M a y a n l a n g u a g e s results f r o m c o l o n i a l b a r r i e r s to their w r i t t e n r e p r e s e n t a t i o n a n d t h e " s u b a l t e r n " s t a t u s of

3. T h e licenciatura is an undergraduate d e g r e e that i n v o l v e s a research thesis. M a y a n s , w h o first gained a c c e s s to higher e d u c a t i o n in the last g e n e r a t i o n , g e n e r a l l y f i n i s h this d e g r e e as w o r k i n g adults with f a m i l i e s . A s a result, M a y a n undergraduate t h e s e s are o f t e n social c o m m e n t a r i e s written by e s t a b l i s h e d l e a d e r s w h o are p r o f e s s i o n a l s (that is, they are salaried e m p l o y e e s w o r k i n g in o r g a n i z a t i o n s in a variety of fields).

182 their communities (Cojtí 1991: 67). Indigenous language literacy b e c a m e a priority in 1981 when the protestant S u m m e r Institute of Languages (SIL) suggested that this approach might ease the transition to Spanish for monolingual children (Sam 1983: 53-54). Today, Mayan children f r o m dispersed hamlets in the western highlands, where indigenous people m a k e up the vast majority of the population, often arrive at school with little background in Spanish because their families speak an indigenous language at home. Yet, G u a t e m a l a n education is overwhelmingly in Spanish. In some schools, the transition becomes an abrupt shock: Ladino teachers routinely use Spanish as the only language of c o m m u n i c a t i o n inside and outside the classroom. In other schools, Mayan languages are used as a " p u e n t e ele incorporación," a bridging transition during the initial years of schooling to foster subsequent incorporation into the " r e a l " Spanish curriculum later in school. This philosophy governs an educational system in which 70 percent of the schools offer classes only through the fourth year of primary school and 92 percent of the population over fifteen years of age never finishes primary school, according to 1987 statistics (Herrera 1987: 13). Illiteracy rates are extremely high: 42.9 percent for rural males and 59.3 percent for rural f e m a l e s over the age of fifteen, according to 1989 statistics (see diagram 1). These averages mask other disparities: for departments (that is, states) where Mayans are the majority, illiteracy rates range from 5 2 - 7 5 percent of the population. Fewer than one-third of all Mayan w o m e n have received any formal education at all; so it is not surprising that they are three times more likely to be illiterate than

Kay B. Warren Ladina w o m e n (Herrera 1987: 13; Nunez et al. 1991: 15). 4 The effort to make Spanish the universal national language has never been totally successful. A substantial percentage of the population still retains Mayan languages as their dominant m o d e of c o m m u n i c a t i o n , speaks limited utilitarian Spanish, and is illiterate in all languages. Those with more education are often bilingual in Mayan languages and Spanish. Estimates of the percentage of Mayan speakers are variable, ranging from 36 to 70 percent of the national population (Herrera 1990: 30; Sam 1983: 10, 12); estimates of ethnic M a y a n s are considerably higher, ranging from 42 to 87 percent of the national population (Cojti 1991: 56). The numerical impressions are important. Mayan analysts are quick to point out the ideological nature of how. why, and whether one produces ethnic or linguistic counts of the national population. For instance, one can minimize numbers of Mayan speakers (or, alternatively, indigenous-identified individuals)—as censuses and other studies have d o n e — b y counting only those Mayan speakers who reside in their language-appropriate areas (thus omitting those w h o have permanently settled elsewhere or whose work periodically calls them to other parts of the country), basing estimates on obsolete population counts, using Ladino census takers who make their own arbitrary decisions or rely on Ladino bosses to represent their Mayan workers, or failing to recognize variations in bilingualism (for instance, understanding but not speaking another language) (Sam 1983: 10-12). 5 These issues are important to culturalists w h o do not want M a y a n s to be construed as simply another "ethnic g r o u p " or their status to be one of a

4. Clearly, there are important g e n d e r i s s u e s that n e e d m o r e attention here. A c c o r d i n g to N u n e z et al., the g a p b e t w e e n male and f e m a l e literacy in G u a t e m a l a is c o m p a r a b l e to rates in M a l a y s i a , Mali, Pakistan, and Z i m b a b w e . C o u n t r i e s s u c h as B o t s w a n a , T h a i l a n d , Jordan, N i c a r a g u a , and Haiti h a v e narrower gaps. G u a t e m a l a ' s 4 4 . 0 percent aggregate rate c o m p a r e s to 7 . 4 percent in C o s t a Rica, 2 7 . 9 percent in El Salvador, 4 0 . 5 in Honduras, and 2 4 . 8 in N i c a r a g u a ( N u n e z et al. 1991: 10). 5. Cojti ( 1 9 9 1 : 4 5 ) a l s o notes the f a c e - t o - f a c e n e g o t i a t i o n s of individual M a y a n s and L a d i n o s as t h e y manipulate ethnic c a t e g o r i z a t i o n s in their d e a l i n g s with church authorities (say, at a baptism) and state authorities (for e x a m p l e , at registering a birth).

Mayan

Self-Determination

" m i n o r i t y . " They see these U.S. languages f o r t h e s u b a l t e r n as m a r g i n a l i z i n g and d i s e m powering. T h e s e c o n d r e a d i n g of l a n g u a g e - a s - p r a c tice t r a c e s h i s t o r y t h r o u g h M a y a n l a n g u a g e d e v e l o p m e n t b e g i n n i n g t h o u s a n d s of y e a r s a g o a n d e m p h a s i z e s the m o d e r n p e r s i s t e n c e of M a y a n l a n g u a g e s as a f o r m of g r a s s r o o t s r e s i s t a n c e to internal c o l o n i a l i s m . T h e r e c o n s t r u c t i o n of p r o t o - M a y a n by linguists s t a n d s as a s y m b o l of t h e u n i t y of M a y a n o r i g i n s and a rationale for current cultural unification. T h e b r a n c h i n g and d i s p e r s i o n of M a y a n l a n g u a g e s r e p r e s e n t s t h e p r e - H i s p a n i c history of p o l i t i c a l a n d e c o n o m i c d e v e l o p m e n t that s u s t a i n e d l a r g e l a n g u a g e c o m m u n i t i e s . Subsequently, these communities developed into s e p a r a t e n a t i o n s with the d i s t i n c t i v e M a y a n languages spoken today (see Table 7.1). D e s p i t e the p r e s s u r e s to H i s p a n i c i z e or L a d i n o i z e , M a y a n s h a v e c o n t i n u e d to s p e a k t h e i r o w n l a n g u a g e s . D i a l e c t s of the m a j o r l a n g u a g e s are n o w o f t e n seen as c o m m u n i t y specific identity markers for G u a t e m a l a ' s 3 2 6 municipios ( c o u n t i e s , w h i c h f u n c t i o n as t h e u n i t s of c o m m u n i t y ) . C u l t u r a l i s t s h o l d several explanations for dialect diversification, which they derisively term "babelizacion" ( b a b e l i z a t i o n ) : t h e n a t u r e of the s i x t e e n t h - c e n t u r y S p a n i s h i n v a s i o n that d e c a p i t a t e d i n d i g e n o u s s t a t e s , l e a v i n g local c o m m u n i t i e s to r e s i s t c u l t u r a l a n d p o l i t i c a l d o m i n a t i o n ( C o j t i 1991); the lack of w r i t t e n f o r m s of the l a n g u a g e s ( S a m 1983); and the c o n t i n u i n g i m p o r t a n c e to c o m m u n i t y m e m b e r s of localized i d e n t i t i e s ( H e r r e r a 1990). At p r e s e n t , t w e n t y M a y a n l a n g u a g e s 6 a r e s p o k e n in G u a t e m a l a (see T a b l e 7.1 f o r r o u g h e s t i m a t e s of t h e n u m b e r of s p e a k e r s of e a c h ) . In the past, l i n g u i s t i c r e s e a r c h t e n d e d to f o c u s on d e s c r i b i n g the d i f f e r e n c e s a m o n g l a n g u a g e s and t h e p r o l i f e r a t i o n of d i a l e c t s w i t h i n e a c h of t h e m . M i s s i o n a r y l i n g u i s t s w h o worked with the SIL and the academic

183

linguist Terrance K a u f m a n , w h o had a long h i s t o r y of w o r k i n g w i t h t h e P r o y e c t o Lingüístico Francisco Marroquín, separately d e v e l o p e d a v a r i e t y of a l p h a b e t s to r e p r e s e n t M a y a n l a n g u a g e s . W h e n the r e s u l t i n g t w e n t y "official" alphabets—in some cases, more than one alphabet for a single l a n g u a g e — w e r e r e c o g n i z e d by the g o v e r n m e n t ' s Instituto I n d i g e n i s t a N a c i o n a l ( U N ) , it o n l y h e i g h t e n e d the s e n s e of l a n g u a g e d i v e r g e n c e . K a u f m a n a n d the c u l t u r a l i s t s c r i t i c i z e d the I I N a l p h a b e t s f o r u s i n g S p a n i s h - d e r i v e d ort h o g r a p h y to r e p r e s e n t u n r e l a t e d M a y a n s o u n d s y s t e m s . T h e old s p e l l i n g of K a q c h i kel as C a k c h i q u e l — w h i c h i g n o r e s M a y a n p h o n e m e s in f a v o r of S p a n i s h d i s t i n c t i o n s a n d u s e s t h e H i s p a n i c c o n v e n t i o n of " u " a f t e r the " q , " w h e n , in fact, there is n o s o u n d there at all f e a t u r e s t w o e g r e g i o u s e x a m p l e s f r o m a s y s t e m that the I n s t i t u t o I n d i g e n i s t a N a c i o n a l p r o m o t e d b e c a u s e it w o u l d " f a c i l i tate [ i n d i g e n o u s ] a d a p t a t i o n to S p a n i s h " (cited in S a m 1983: 28). T h i s p h i l o s o p h y f l o w e d f r o m the 1940s i n d i g e n i s t i d e o l o g y in Latin A m e r i c a , w h i c h called for "incorporating indigenous people into n a t i o n a l c u l t u r e , f r e e i n g t h e m f r o m the s i t u a t i o n of i n f e r i o r i t y in w h i c h t h e y m a i n tain t h e m s e l v e s " ( q u o t e d in S a m 1983: 32). T h e s e l f - c o n s c i o u s p a t e r n a l i s m of this imp u l s e c o n t i n u e d d e c a d e s later, as is e v i d e n t in t h e l a n g u a g e of t h e G u a t e m a l a n d i r e c t o r of the IIN w h e n he a d d r e s s e d t h e I n t e r a m e r ican m e e t i n g s in M e x i c o in 1969: For Guatemalan nationals and Americans, this work has the object of justifying the indispensability of an official attitude that treats the indigenous masses in a "certain very special way" that must put aside democratic forms of equal treatment because it must take into consideration the impermeability of the indigenous mind to literacy and Western culture. (Quoted in Sam 1983: 33) Clearly, t h e l a n g u a g e of d e v e l o p m e n t and inc o r p o r a t i o n h a d its o w n p a t e r n a l i s m a n d racism.

6. Readers will see a variety of totals depending on the source. Twenty-nine Mayan languages are spoken throughout southern Mexico and Guatemala. In Guatemala the number currently stands at twenty, with an addition of two non-Mayan indigenous languages.

184

Kay B. Warren

Table 7.1 Number of Speakers of Mayan Languages in Guatemala Language K'iche'

Mam Kaqchikel

Number of Speakers 1,000,000

687,000

Number of Municipalities

Departments Sololá, Totonicapan, Quetzaltenango, El Quiché, Baja Verapaz, Alta Verapaz. Suchitepéquez, Retalhuleu Quetaltenango, Huehuetenango, San Marcos

73

47

56

Tz'utujiil

85,000

Ixil

71,000

Guatemala, Sacatepéquez, Chimaltenango, Sololá, Suchitepéquez, Escuintla, Baja Verapaz Alta Verapaz, El Petén, Izabal, El Quichéé Huehuetenango, Sololá, Suchitepéquez El Quiché

Ch'orti'

52,000

Chiquimula, Zacapa

5

405, 000

Q'eqchi'

361,000

Q'anjob'al

112,000

14 4 7 3

Poqomchi'

50,000

Alta Verapaz, Baja Verapaz, El Quiché

7

Popti'

32,000

Huehuetenango

6

Poqomani

32,000

Guatemala, Jalapa, Escuintla

6

Chuj

29,000

Huehuetenango

3

Sakapulteko

21,000

El Quiché

1

Akateko

20,000

Huehuetenango

2

Awakateko

16,000

Huehuetenango

1

Mopan

5,000

El Petén

4

Sipakapense

3,000

San Marcos

1

Itzaj

3,000

El Petén

6

Teko

2,500

Huehuetenango

2 (plus 2 in Mexico)

Uspanteko

2,000

El Quiché

1

Source: O x l a j u u j Keej Maya' Ajtz'iib', Maya' Chii' ( 1993: 10-19)

F o r the culturalists, t h e s e and o t h e r a n a l y s e s h a v e d e m o n s t r a t e d that castellanización, indigenismo, ladinización, mestizaje, i n c o r p o r a t i o n , and a s s i m i l a t i o n are v a r i a t i o n s on a single t h e m e , the a t t e m p t to u n d e r m i n e i n d i g e n o u s culture and m e r g e M a y a n s into a s y s t e m not of their m a k i n g . T h e p r o b l e m with each of t h e s e f r a m e w o r k s — w h e t h e r they are u s e d to g u i d e national p o l i c y or a c a d e m i c r e s e a r c h — i s that they lend p o s i t i v e value to i m a g e s of m o d e r n i z a t i o n as a linear p r o c e s s t h r o u g h w h i c h i n d i g e n o u s p o p u l a t i o n s will be m e r g e d into the L a d i n o m a i n s t r e a m . T h e y also r e i n f o r c e the s e n s e that national ( L a d i n o ) s o c i e t y can speak f o r the w h o l e (Cojti 1991: 3 1 - 3 8 , 57). D e m e t r i o C o j t i Cuxil argues that the assimilationist mission c o n f u s e s o b j e c t i v e a n d s u b j e c t i v e criteria w h e n o b s e r v i n g c h a n g e and thus fails to consider the s i g n i f i c a n c e of indigenous actions for the people themselves:

the a d o p t i o n o f c h a r a c t e r i s t i c s f r o m a n o t h e r c u l t u r e c a n b e u n d e r t a k e n in o r d e r t o s t r e n g t h e n o n e ' s o w n national identity, not to d e n y or w e a k e n it. For c h a r a c t e r i s t i c s c a n b e a d o p t e d and m a d e o n e ' s o w n , and u p o n d o i n g t h i s , t h e y are d i f f e r e n t f r o m their orig i n b y the d i f f e r e n c e in their m e a n i n g s . . . . T h i s is the c a s e w i t h r e l i g i o u s b r o t h e r h o o d s (cofradías) in G u a t e m a l a , w h i c h h a d a S p a n i s h o r i g i n but f r o m t h i s b e g i n n i n g l o s t their similarity. T h u s , although t w o cultural elem e n t s m a y b e o b j e c t i v e l y c o m m o n and i d e n tical f o r t w o p e o p l e s , t h i s d o e s n o t i m p l y t h e y h a v e the s a m e m e a n i n g or f u n c t i o n f o r both. ( 1 9 9 1 : 36, 38)

By not c o n s i d e r i n g the issue of c u l t u r a l m e a n i n g , a n a l y s t s of m o d e r n i z a t i o n as ass i m i l a t i o n h a v e m i s u n d e r s t o o d the s t r a t e g i c appropriation of colonial culture that M a y a n s u s e d in o p p r e s s i v e c i r c u m s t a n c e s to r e s c u e and r e a f f i r m their identity. In the present, ass i m i l a t i o n i s t s fail to m a k e note of c o e r c i v e s i t u a t i o n s that p r e s s u r e M a y a n s to a b a n d o n

Mayan

Self-Determination

their distinctive dress or even pass as Ladinos for scholarships or factory work. Cultural resurgence and the struggle for rights will allow these individuals to m a k e other choices as they identify as M a y a n s outwardly and inwardly (Cojti 1991: 3 6 - 3 9 ) . The culturalist counterargument distinguishes objective and subjective (i.e., outsider and insider) views of identity to m a k e space for alternatives to the conventional choice of reproducing traditionalist culture or passing into another identity. These analytic moves illustrate the discourse culturalists have elaborated in developing their own brand of constructionism (cf. Warren 1992). Culturalists argue that there is a hidden history of resistance to the impositions of castellanización and indigenismo. As early as 1945, Adrián Inés Chávez proposed a unified alphabet for indigenous languages at the Primer Convención de Maestros Indígenas in Cobán, and m e m b e r s of the A c a d e m i a de la Lengua M a y a - Q u i c h é discussed another alphabet in 1959 and proposed it to the government three years later. The suggestion was rejected in favor of the alphabets produced by the SIL and the UN (Sam 1983: 29). Nevertheless, culturalists worked through the 1970s and 1980s to produce dialect surveys, dictionaries of m a j o r languages, and a unified alphabet. These were important steps in the longer process of language unification. As the projects advanced, linguists such as Enrique Sam Colop began to find "a great deal of similarity a m o n g the f o l l o w i n g language families: Chuj, Konjobal, Acatec, and Jacaltec; among Quiché, Sipacapec, Sacapultec, Tzutujil, and Cakchikel. This means there are not so many social and regional variants within each language; there is, by contrast, a great deal of similarity" (1983: 8). A wider goal for linguistic research coalesced: "It is not important to see how [languages and dialects] are different f r o m each other, but rather to analyze their reunification in order to strengthen them and achieve greater social cohesion" (1983: 19). Standardizing the written forms of Mayan languages is the ambitious next step. T h e choice of a standard dialect is obvious in

185 only one case: For K e k c h i speakers, the Copán dialect is widely accepted as having special prestige. In other cases, standardization will be based on c o m m o n denominators across dialects (Sam 1983: 24). Standardization of written language will allow for mass dissemination of cultural materials, news, creative writings, and texts for formal and n o n f o r m a l education. Spoken dialects will remain as they are, although a few culturalists learning other M a y a n languages have begun to speak, as well as write, in standardized forms that have no specific spatial location because they are, in effect, artificial creations. T h e role M a y a n linguists see for themselves involves carrying out dialect surveys that they can use as the basis for standardization, promoting Mayan alternatives for words that have been borrowed f r o m Spanish, and modernizing Mayan languages so that they maintain their vibrancy and capacity to talk about contemporary issues and technologies. "Modernization" (modernización) would ideally eliminate the present need to code switch between Mayan languages for domestic issues and Spanish for technical matters and thus undercut one element of the internal colonialism promoted by castellanización. The concern with rooting out borrowed words may seem extreme, given that Mayans recognize their active involvement in appropriating and subverting elements from other cultural systems. Yet borrowings are another prime indicator for M a y a n s because their asymmetry reflects the domination of Spanish speakers over Mayan speakers. Furthermore, the distribution of borrowed words reveals Mayan lexical self-sufficiency in agriculture and artisan production, the loss of Mayan vocabulary in areas where their culture has been displaced, and their dependency on Spanish-derived vocabulary in the courts, administration, religion, and the arts. These patterns mirror colonial divisions of l a b o r — M a y a n s specializing in agriculture and crafts and Ladinos in administration and white-collar w o r k — w h i c h culturalists have actively challenged in their careers. Culturalists are seeking to displace c o m m o n images

186

Kay B. Warren

of t h e l i m i t s a n d i n a d e q u a c y of i n d i g e n o u s

s i n c e 1 9 6 4 . C u l t u r a l i s t s s e e it a s a f o r m of

" t o n g u e s " (lenguas), and thus their built-in

i n s t i t u t i o n a l i z e d c o l o n i a l i s m in w h i c h c h i l -

o b s o l e s c e n c e , b y p r o v i d i n g e x p l a n a t i o n s of

dren are taught that their m a t e r n a l " t o n g u e "

existing patterns and their underlying p o w e r

is i n f e r i o r to S p a n i s h as a " l a n g u a g e " a n d in-

structures and imagining alternative models

dividual education and mobility

for the future (Cojti 1991: 6 8 - 6 9 ,

involves

96-97;

assimilation

"Castellanización

O x l a j u u j K e e j 1993).

and

inevitably

Ladinoization:

is a n e d u c a t i v e

process

which tries to give the indigenous population

Alternative Educational Models

n e c e s s a r y k n o w l e d g e f o r u n d e r s t a n d i n g and

The culturalist vision claims equal rights and

u s i n g S p a n i s h w i t h t h e g o a l of f a c i l i t a t i n g

o p p o r t u n i t i e s f o r all l a n g u a g e s in t h e c o u n -

communication

a n d l i v i n g t o g e t h e r in t h e

try. T o r e s p o n d t o c r i t i c i s m s t h a t a r e b e i n g

country" (Sam

1983: 54). T h u s ,

U t o p i a n or u n r e a l i s t i c , t h e y r e f e r t o o t h e r

p r o m o t e r s a r e t r a i n e d b y t h e M i n i s t r y of E d -

countries—Belgium,

Spain,

u c a t i o n to c a r r y o u t t h e t a s k of i n c o r p o r a t i n g

Canada, Peru, and Ecuador, a m o n g o t h e r s —

M a y a n children into national culture through

Switzerland,

bilingual

has

f l u e n c y in S p a n i s h . It is t h e a s y m m e t r y of

b e e n t a k e n s e r i o u s l y in d o m e s t i c p o l i c y a n d

obligations and goals for Mayans and Ladi-

a d m i n i s t r a t i o n . T h e p o i n t is that o t h e r p o l i t i -

n o s , t h a t is, t h e f u n d a m e n t a l l a c k o f r e c i -

cal s y s t e m s — b o t h W e s t e r n a n d L a t i n A m e r -

procity

i c a n — h a v e f o r g e d a l t e r n a t i v e s to t h e m e l t i n g

M a y a n c u l t u r a l i s t s as u n j u s t .

where cultural and linguistic diversity

p o t . In t h e i r v i e w , s o l u t i o n s t o t h e " I n d i a n

in

this

formulation

that

The Programa Nacional de

strikes

Educación

p r o b l e m " n e e d t o w i d e n t h e s c o p e of " t h e

Bilingüe ( P R O N E B I ) , which focuses on edu-

p r o b l e m " a n d r e c o g n i z e that G u a t e m a l a f a l l s

cation f r o m k i n d e r g a r t e n t h r o u g h the third

w i t h i n t h e b r o a d e r c a t e g o r y of m u l t i n a t i o n a l

y e a r of e l e m e n t a r y s c h o o l in f o u r h u n d r e d

s o c i e t i e s , m a n y of w h i c h a l r e a d y a l l o w d i f -

s c h o o l s , b e c a m e a s o u r c e of n e w j o b s f o r

f e r e n t t y p e s a n d g r a d e s of a u t o n o m y : f r o m

y o u n g M a y a n s a n d t h e i m p e t u s f o r s t u d i e s to

federal and

standardize

semifederal

structures

t o n o m o u s regions to policies

to

au-

guaranteeing

and

modernize

Mayan

lan-

guages.7 The program, however, has phrased

c h i l d r e n e d u c a t i o n in t h e i r m a t e r n a l l a n g u a g e

its m i s s i o n as o n e of " n a t i o n a l

and litigants the right to represent

rather than "linguistic autonomy." Cultural-

them-

integration"

s e l v e s in t h e l a n g u a g e t h e y s p e a k . C u l t u r a l -

ists h a v e criticized this institution f o r w h a t

ists t a k e s p e c i a l n o t e of t h e w a y o t h e r s t a t e s

t h e y b e l i e v e is a h i d d e n a g e n d a a n t i t h e t i c a l

recognize more than one official language;

to its a v o w e d g o a l of b i l i n g u a l i s m . B y d o v e -

i n s t i t u t i o n a l l y s u p p o r t r e g i o n a l v a r i a t i o n s in

t a i l i n g its e f f o r t s w i t h t h e n a t i o n a l p o l i c y of

l a n g u a g e u s e ; a n d a l l o w f o r s o m e m e a s u r e of

castellanización,

c u l t u r a l a u t o n o m y or f e d e r a l d e c e n t r a l i z a t i o n

critically w o r k i n g to t r a n s f o r m m o n o l i n g u a l

of a u t h o r i t y o v e r c o u r t s , e c o n o m i c

M a y a n speakers into m o n o l i n g u a l

policy,

and schools ( S a m 1983: 74; C o j t i 1991: 24). of

alternative

educational

A s a c o n t i n u a t i o n of s t a t e p o l i c y in t h e early

1980s, a f o u r - y e a r project to

s y s t e m s a n d c o n s t r u c t i o n s of b i l i n g u a l i s m .

t e a c h i n g m a t e r i a l s in t h e f o u r m o s t

Several

alternative

constructions

Spanish

s p e a k e r s ( C o j t i 1991: 67).

Culturalists want to o p e n s p a c e for the consideration

P R O N E B I is s e e n a s h y p o -

create widely

have

s p o k e n M a y a n l a n g u a g e s w a s s u p p o r t e d by

e m e r g e d and no doubt others will be articu-

U.S. AID, which channeled funds through

l a t e d . O n e a l t e r n a t i v e is t h e c u r r e n t o f f i c i a l

the

s y s t e m — b i l i n g u a l i s m as fluency

Spanish—

Planning and Education. O n c e again, M a y a n

which has driven the national school system

l a n g u a g e s w e r e n o t v a l u e d in t h e i r o w n r i g h t

in

Guatemalan

Ministries

of

Economic

7. See Richards and Richards (1966), for more details on the history of indigenous education and language policy.

Mayan

Self-Determination

18 7

another

hierarchy and with their respective cultural contents. (Sam 1983: 9 8 )

l a n g u a g e ( S a m 1 9 8 3 : 5 5 ) . 8 It r e m a i n s p a i n -

C u l t u r a l i s t s a c k n o w l e d g e that n o t all L a d i n o s

but

seen

instead

knowledge

as

a conduit

naturally expressed

to in

higher

f u l l y i r o n i c that M a y a n t e a c h e r s , u s i n g t h e i r o w n l a n g u a g e s , w e r e r e c r u i t e d to

become

c o m p l i c i t in t h e p r o c e s s of l e a d i n g

Mayan

students away f r o m their maternal language and culture.9

monolingual

s c h o o l s w o u l d o p e r a t e in t h e d e p a r t m e n t a l and national capitals. T h e d e v e l o p m e n t

of

m o n o l i n g u a l r e g i o n a l M a y a n u n i v e r s i t i e s is another future possibility.10

An alternative culturalist plan calls for a strategic

w o u l d be interested, so s o m e

equilibrium

in l a n g u a g e u s e b e t w e e n

maternal and second languages. This option

In Mayan

the

strategic

equilibrium

linguists w o u l d play an

model, important

r o l e in t h e e d u c a t i o n a l p r o c e s s b e c a u s e m a t e -

e n v i s i o n s u n i v e r s a l b i l i n g u a l i s m in the s c h o o l s

rials in all i n d i g e n o u s l a n g u a g e s w o u l d h a v e

as t h e i n s t i t u t i o n a l l y f a v o r e d g o a l , w i t h m o n o -

to b e g e n e r a t e d f o r a f u l l p r i m a r y a n d s e c -

l i n g u a l i s m (in e i t h e r S p a n i s h or M a y a n l a n -

o n d a r y c u r r i c u l u m . T h e i s s u e , as t h e c u l t u r -

g u a g e s ) as an o p t i o n f o r s p e c i f i c c a s e s . B e -

alists s e e it, is m u c h m o r e t h a n o n e of M a y a n

c a u s e e a c h l a n g u a g e b r i n g s its o w n c u l t u r a l

l i n g u i s t s ' p r o d u c i n g t r a n s l a t i o n s of t h e o l d

h o r i z o n , t h i s f o r m of b i l i n g u a l i s m is s e e n as

m o n o l i n g u a l c u r r i c u l u m into the n e w multi-

e n r i c h i n g p e o p l e ' s lives ( S a m 1983: 4 8 ) .

lingual one:

A c c o r d i n g to t h i s m o d e l , t h e f i r s t t w o g r a d e s of e l e m e n t a r y s c h o o l w o u l d b e t a u g h t in t h e l a n g u a g e

of t h e r e g i o n . T h i r d

and

fourth grade would involve a transitional per i o d d u r i n g w h i c h t h e r a t i o s of m a t e r n a l to second

language

would

be

seventy-five/

t w e n t y - f i v e , w i t h t h e g o a l of a f i f t y / f i f t y split in t h e f i f t h y e a r of p r i m a r y s c h o o l t h r o u g h the

university.

The

plan

would

reinforce

r a t h e r t h a n u n d e r m i n e t h e b a s i s of c o m m u nity a u t h o r i t y : Teaching in o n e ' s o w n language, moreover, will make it so that parents contribute more resolutely to the process of teaching and learning. One of the causes of school absenteeism is that a foreign language [i.e., Spanish] creates needs that are incompatible with the c o m m u n i t y . Children will like [the n e w s y s t e m ] because the school will no longer be a torture chamber. Right afterwards, o n e w o u l d enter the process of "castellanizacion," with instruction in Spanish as a s e c o n d language. N e x t , one w o u l d continue in s c h o o l using both l a n g u a g e s , without

Through sociolinguislic investigations [Mayan linguists] will c o m e to know factors of great importance such as the prestige of each language spoken in an area; feelings of language loyalty: relations concerning power, solidarity. ethnic sentiment; [relations c o n c e r n i n g ] responsibility, maturity, and leadership relative to the cultures and languages. They will get to know the stereotypes and attitudes that users of a g i v e n language have of other languages. All linguistic planning should have as a fundamental base sociolinguistic study that will provide fundamental data with which to operate adequately. (Sam 1983: 9 4 )

To a c c o m p l i s h this, n e w university d e g r e e s w o u l d h a v e t o b e d e v e l o p e d in s o c i o l i n g u i s tics, e t h n o l i n g u i s t i c s ,

and

anthropological

linguistics. In r e g i o n a l a f f a i r s , t h i s m o d e l of b i l i n gualism would be a c c o m p a n i e d by the offic i a l i z a t i o n of i n d i g e n o u s l a n g u a g e s in t h e c o u r t s a n d a d m i n i s t r a t i o n . In n a t i o n a l a n d international affairs, however, Spanish would

8. Sam C o l o p carries his argument a step further when he notes that high-status private s c h o o l s which seek to privilege foreign languages and content in their curricula f o l l o w a similar pattern: creating "a weak, dependent, and maladaptive national c o n s c i o u s n e s s " for Guatemalan elites ( 1 9 8 3 : 56). 9. Of course, just because their position is structured to do this d o e s not mean that they carry out this mandate. That the g o v e r n m e n t had doubts w a s clear during the civil war of 1978 to the m i d - 1 9 8 0 s , when bilingual teachers were targeted along with other Mayan leaders (cf. Warren 1993b). 10. Irma O t z o y ( 1 9 8 8 ) and Demetrio Cojtí (n.d.a.) have written important works on Mayans in higher education. B o t h make it clear that reforms are n e e d e d so that M a y a n s d o not f e e l as if they are foreigners on their o w n campuses.

188

Kay B. Warren

still be the official language. The model is designed to prepare indigenous students to deal linguistically with transregional worlds (Sam 1983: 9 8 - 1 1 2 ) . Another culturalist view, however, sees bilingualism as ethnocide, particularly when introduced through primary education in situations of political and economic inequality. Instead o f being enriching or additive, second-language acquisition is seen as subtractive, creating a zero-sum game that when institutionally mandated, threatens children's linguistic development and, in the long run, the integrity and existence of the maternal language: It is c l e a r that s c h o o l s , p r o c e e d i n g

in this

w a y . c o m p l y with t h e c o u n t r y ' s l a w s . T h e y aid M a y a n s p e a k e r s s o that t h e y d o not rem a i n l i n g u i s t i c a l l y i s o l a t e d and e q u i p t h e m w i t h a c o d e that c a n h e l p t h e m d e f e n d t h e i r rights in the l a n g u a g e o f the legal s y s t e m and m e e t the p r e r e q u i s i t e s s o t h e y c a n p r o g r e s s p r o f e s s i o n a l l y and a c a d e m i c a l l y . B u t |these s c h o o l s | a l s o c o n t r i b u t e to the e x t e r m i n a t i o n o f M a y a n l a n g u a g e s . T h e i s s u e is to d e t e r m i n e a kind o f b i l i n g u a l t e a c h i n g that is less i s o l a t i n g and a l s o l e s s a s s i m i l a t i n g . 1991:

(Cojti

114)

The problem is that Mayan languages are currently taught as a means. T h e inevitable result, according to Demetrio Cojti, is ethnocide, no matter how one defines bilingualism (Cojti 1991: 1 0 7 - 1 1 9 , 139). Decentralizing school systems so that most education is carried out in the appropriate regional language is the culturalist solution to this dilemma. The goal is to foster monolingualism in Mayan languages accompanied by instrumental Spanish, given its role in state administration. Spanish as a second language could be offered early in school but would never be given more than 5 percent of classroom time. Or, alternatively, the introduction of Spanish could be held off until secondary school. Because all subjects would be taught in Mayan languages, there

would be no built-in linguistic division of labor and knowledge (Cojti 1991). Clearly, Mayan languages will have to be standardized and modernized to take on this role, particularly in scientific and technical fields, and school materials will have to be developed to reflect Mayan c u l t u r e . " Schools themselves would be contributors to standardization. As Demetrio Cojti asserts, this type of education cannot be enacted without prior commitments to regionalization, the decentralization of development proj e c t s , Mayan autonomy in determining cultural affairs, and the recognition of Mayan languages as official languages for their regions. In departmental capitals where Ladinos and Mayans from a variety of language groups reside, the desired formula could be achieved by having specialized schools, separate classrooms in the same school, or bilingual instructors, depending on the numbers of students for each language in question. Until Mayan universities are available, advanced education would be in Spanish, but when this is changed, then students might be given the choice of a variety of second languages, including English. The ultimate goal of this model is the dominance of Mayan languages in regional affairs (Cojti 1991: 1 2 8 - 1 4 0 ) . Although culturalist models are divergent in their judgment of bilingualism in the schools—one finding enrichment and the other seeing a threat—they share an overarching philosophy. First, they agree that Mayan languages should become the language of instruction for most, if not all, primary education. Second, indigenous languages should be recognized on par with Spanish for the courts and administration. Third, schools need to evaluate their curricula so that they reflect Mayan culture and so that Mayan parents can be seen as knowledgeable resources rather than as ignorant and marginal to the flow of change. Fourth, both models see a necessity for Mayan linguists to standardize and modernize

11. C o j t i d o e s not d e v e l o p the issue o f t h e c o n t e n t o f the c u r r i c u l u m , but his e s s a y on d i f f e r e n c e s b e t w e e n M a y a n and n o n - M a y a n c o n s t r u c t i o n s o f a u t h o r i t y is s u g g e s t i v e ( c f . 1 9 9 1 : 1 5 3 - 1 8 1 ) . M o r e rec e n t l y , M a y a n - L a d i n o c o l l a b o r a t i o n s h a v e p r o d u c e d t e x t s t h r o u g h the I n s t i t u t o de L i n g ü í s t i c a at the U n i v e r s i d a d de R a f a e l L a n d í v a r .

Mayan

189

Self-Determination

w r i t t e n f o r m s of i n d i g e n o u s l a n g u a g e s in a universal alphabet so that w i d e r written literatures can flourish and be disseminated through schools, d e v e l o p m e n t g r o u p s , and p u b l i s h e r s . B o t h m o d e l s m a k e their c l a i m s in the spatial l a n g u a g e of r e g i o n a l i t y . Let us n o w turn to c u l t u r a l i s t c o n s t r u c t i o n s of nation a n d state, w h i c h they j u d g e integral to any a t t e m p t at cultural r e f o r m .

National Culture or National Cultures At t h e heart of culturalist c o n c e r n s is a p r o b l e m a t i z i n g of " n a t i o n a l c u l t u r e . " N a t i o n a l legal a n d e d u c a t i o n a l s y s t e m s h a v e not s h a r e d this c o n c e r n ; f o r t h e m , n a t i o n a l culture is s y n o n y m o u s w i t h c o n t e m p o r a r y L a d i n o c u l t u r e . By c o n t r a s t , c u l t u r a l i s t s a r g u e that this s e l f - s a t i s f a c t i o n o n l y m a s k s a s u b m e r g e d identity crisis: " N a t i o n a l c u l t u r e " is the set of h a b i t s that L a d i n o s p r a c t i c e , a s u m of N o r t h A m e r i c a n - H i s p a n i c e l e m e n t s that d o not d i m i n i s h [national c u l t u r e ] yet r e n d e r it d e p e n d e n t . Jean L o u p Herbert s a y s of this c u l t u r e : " T h e y look e n d l e s s l y f o r a d e f i n i t i o n of n a t i o n a l c u l t u r e : mestizo. Hispanic-American, Iberian-Americ a n , Latin A m e r i c a n , or m o d e r n — e m p t y t e r m s that reflect the alienated search of a m i n o r i t y . " P a r a d o x i c a l l y t h e y h o p e f o r a n d p r e d i c t the d i s a p p e a r a n c e of i n d i g e n o u s c u l t u r e into this historic n o t h i n g n e s s : " I n t e g r a t i o n d o e s not req u i r e that all i n d i g e n o u s p e o p l e are t r a n s f o r m e d into L a d i n o s , but this will p r o b a b l y be their d e s t i n y " ( J o a q u i n N o v a l ) . ( S a m 1983: 6 1 )

T h i s s k e p t i c i s m d e c o n s t r u c t s the r i g h t f u l authority and a u t h o r i t a t i v e n e s s of e x i s t i n g c o n s t r u c t i o n s of " n a t i o n a l c u l t u r e " to r e p r e s e n t the c o u n t r y . 1 2 It is c l e a r to c u l t u r a l i s t s h o w L a d i n o s have b e e n able to r e p r o d u c e the illusion of a h e g e m o n i c n a t i o n a l c u l t u r e — t h r o u g h their m o n o p o l y of the s c h o o l s , c h u r c h , and m a s s m e d i a . Yet, d e s p i t e the i m a g e of h e g e m o n y , alt e r n a t i v e realities e r u p t f r o m t i m e to t i m e to

d e f y its t e r m s e v e n on the h i g h e s t l e v e l . F o r instance, w h i l e a d d r e s s i n g the N a t i o n a l C o n g r e s s in 1975 a b o u t L a d i n o l a n d s e i z u r e s that h a d v i c t i m i z e d M a y a n p e a s a n t s , R e p r e sentative F e r n a n d o Tesagiiic T o h o m sudd e n l y l a p s e d into K ' i c h e ' . H e w a s s u m m a r ily c a l l e d to o r d e r f o r not s p e a k i n g in t h e official language. The incident was reported in t h e n a t i o n a l p r e s s and is still r e f e r r e d to y e a r s later. E n r i q u e S a m C o l o p sees this not as a tactical m o v e but as a m o m e n t w h e n the r e p r e s e n t a t i v e , s p e a k i n g a b o u t an i s s u e that affected him deeply, unconsciously switched to his m a t e r n a l l a n g u a g e in o r d e r to e x p r e s s h i m s e l f m o r e f r e e l y . T h i s f a i l u r e to o b s e r v e " o r d e r " (fait a a I order) a n d the a n g e r it e v o k e d in c o n g r e s s r e v e a l e d t h e a r b i t r a r y a n d i m p o s e d n a t u r e of the o f f i c i a l s y s t e m ( S a m 1983: 6 6 ) . S u c h o r d e r s are f a t e d to c r a c k , and the f i s s u r e o n l y e x p o s e s o t h e r und e r l y i n g r e a l i t i e s : h o w little is a c t u a l l y s h a r e d , h o w m u c h is u n i n t e l l i g i b l e to t h o s e in p o w e r , h o w f r a g i l e t h e c l a i m is to a singular nationality, and how social critiques are d i s s e m i n a t e d in o t h e r t h a n the o f f i c i a l l a n g u a g e . It w o u l d s e e m that this call to o r d e r , a d r a m a t i c s h o w of c o n t r o l , o n l y rev e a l e d a m u c h m o r e f u n d a m e n t a l lack of c o n t r o l . Yet o n c e o n e u n m a s k s the i n s t a b i l ity a n d a r b i t r a r i n e s s of e x i s t i n g a r r a n g e m e n t s , c u l t u r a l i s t s a r g u e it is i m p e r a t i v e that G u a t e m a l a m o v e o n to r e c o g n i z e t h e nat i o n a l s t a t u r e of b o t h , r a t h e r t h a n o n l y o n e , of its c u l t u r e s . A s D e m e t r i o C o j t i C u x i l ann o u n c e s : " G u a t e m a l a is a m u l t i n a t i o n a l society. . . . T h a t is to say ' G u a t e m a l a n cult u r e ' c a n n o t be o t h e r t h a n a c o n f e d e r a t i o n of c u l t u r e s a n d l a n g u a g e s in w h i c h e a c h p r e s e r v e s its o r i g i n a l i t y " ( 1 9 9 1 : 6, 84). M a y a n a n a l y s i s of l a n g u a g e has important implications for national political organization. and others are proposing new

and p o l i t i c s m o d e l s of Culturalists models for

12. C o j t i t a k e s t h i s a s t e p f u r t h e r b y p e r s o n a l i z i n g t h e i d e n t i t y c r i s i s as o n e c h a r a c t e r i s t i c of L a d i n o s ( 1 9 9 1 : 4 - 1 0 ) . A s 1 d i s c u s s in an u p c o m i n g p a p e r , t h i s is a p a r t i c u l a r k i n d of r e v e r s e o r i e n t a l i s m , g i v e n its g o a l is to d e c o n s t r u c t n a t u r a l i z a t i o n s of t h e L a d i n o as d o m i n a t o r b y s h o w i n g t h e v o l a t i l i t y of t h e c a t e g o r y in h i s t o r y a n d lack of p e r s u a s i v e n e s s of t h e t e r m f o r t h e p o p u l a t i o n in q u e s t i o n . If c u l t u r a l i d e n tity i n v o l v e s s e l f - c o n c e p t i o n a n d L a d i n o s resist this, t h e n t h e i r c o n t r o l s e e m s m u c h less c a t e g o r i c a l a n d g i v e n . C o j t i a r g u e s t h a t t h e r e is a p a r t i c u l a r s i g n a t u r e to L a d i n o c u l t u r a l d o m i n a t i o n t h a t f l o w s f r o m their i n s e c u r i t y .

Kay B. Warren

190

d e m o c r a t i c o r g a n i z a t i o n t h a t r a n g e f r o m ter-

e s s e n c e , the t h r e a d of c o m m o n c o n s c i o u s n e s s .

r i t o r i a l a u t o n o m y , to a d m i n i s t r a t i v e r e g i o n a l -

C o n s t i t u t i o n s a n d s t a t u t e s d o n o t really h a v e

i z a t i o n , to c l a s s - b a s e d a n d t r a n s e t h n i c p o l i t i -

t h e c a p a c i t y to a r g u e a g a i n s t this e s s e n c e , f o r

cal b l o c s acting within e x i s t i n g f o r m s

t h e i r s is a n o t h e r n a t u r e : as t e x t s t h e y

of

participatory democracy. For culturalists, the

are

v u l n e r a b l e a n d e p h e m e r a l , as G u a t e m a l a n p o -

e m e r g i n g m e t a p h o r is ' " n a t i o n " as c o n t r a s t e d

litical h i s t o r y c e r t a i n l y s h o w s . A c o m m o n j u -

with "state." Enrique Sam C o l o p (1983: 35)

dicial s y s t e m d o e s not u n i f y d i s t i n c t n a t i o n s

d e f i n e s n a t i o n in t h e f o l l o w i n g t e r m s :

i n t o a s i n g u l a r i t y b e c a u s e this i m p o s e d a b stract u n i f o r m i t y f a i l s to r e l a t e to the c u l t u r a l

Nation is a state of social consciousness, a psychological p h e n o m e n o n . It is collective loyalty that unites a society with its collective past and involves it in c o m m o n aspirations. It is cultural identification, sentiment, and a c o m m o n means of c o m m u n i c a t i o n : language. We do not include the term race because this biological terminology has been surpassed. 1 - 1 This means that a legislated or objective standard does not make a nation. Rather, we insist that it is the psychological or intellectual self-conception of the human group to which we are referring.

reality of t h e i n d i g e n o u s m a j o r i t y ( S a m 1983:

O n t h e o n e h a n d , c u l t u r a l i s t s d i f f e r e n t i a t e be-

divide the country into d e p a r t m e n t s without

t w e e n " s t a t e " — a s a s o v e r e i g n i n s t r u m e n t of

a t t e n t i o n to t h e w a y s l o c a l c u l t u r e a n d h i s -

administration and control over a territory—

tory shape the l a n d s c a p e . 1 4

and " n a t i o n , " which d o e s not a l w a y s have

3 7 - 3 9 ; C o j t i 1991: 11, 20, 3 6 - 3 9 ) . In i m a g i n i n g a m u l t i n a t i o n a l s t a t e , D e metrio Cojti (1991: 6 8 - 7 1 ) suggests a new r o l e f o r M a y a n l a n g u a g e s , as i n d i c a t o r s of regionalized cultural identities or nationalit i e s , w h i c h w o u l d s e r v e as t h e b a s i s f o r t e r ritorial s u b d i v i s i o n s a n d s e l f - g o v e r n m e n t . A s s u c h , t h e y w o u l d b e c o m e t h e b a s i s of p o l i t i cal m o b i l i z a t i o n in o r d e r to b r e a k w i t h e x i s t i n g m o d e l s of i n t e r n a l c o l o n i a l i s m that s u b -

T h i s is w h e r e c u l t u r a l i s t s d i f f e r f r o m t h e

j u r i d i c or political p o w e r or even territorial

popular

e x p r e s s i o n ( C o j t i 1 9 9 1 : 4; S a m

1983: 36).

S e g u n d o E n c u e n t r o Continental de Resisten-

m o v e m e n t , as it w a s p r e s e n t e d at t h e

T h e J e w s w e r e r e c o g n i z e d as a n a t i o n b e f o r e

c i a I n d í g e n a , N e g r a y P o p u l a r , h e l d in 1991

t h e S t a t e of I s r a e l , E n r i q u e S a m C o l o p re-

in Q u e t z a l t e n a n g o , G u a t e m a l a . 1 5 T h e

m i n d s us. T h i s , of c o u r s e , is a t e l l i n g e x a m -

lar m o v e m e n t , h e a d e d by R i g o b e r t a M e n c h ú

popu-

p l e of d i s p e r s i o n a n d r e u n i f i c a t i o n . E l e m e n t s

in G u a t e m a l a b u t m u c h m o r e g l o b a l in its o r -

of n a t i o n e m e r g e f r o m t h e "hilo

de

ganization and financing, has sought to bring

invisible

( t h e i n v i s i b l e t h r e a d of e t h n i c i t y ) ,

t o g e t h e r G u a t e m a l a n s o n t h e b a s i s of c l a s s

which involves identification with a group

a n d w o r k a f f i l i a t i o n s . In G u a t e m a l a , t h i s is a

h a v i n g a c o m m o n h i s t o r y , its o w n c u l t u r e , a

transethnic

c o l l e c t i v e m e m o r y , r e l i g i o n , w a y s of d r e s s ,

M a y a n s . T h e i r w o r k i n g papers b e f o r e the

la etnia"

movement

of

Ladinos

and

a n d f u t u r e a s p i r a t i o n s — i n s h o r t , a d e e p l y felt

c o n f e r e n c e a n d w o r k g r o u p s o n " u n i d a d in-

e s s e n c e (esencia)

dígena

no one else shares. One

y popular"

(indigenous

and

mass

ways—shifting

u n i t y ) s t r e s s e d a l a n g u a g e of c u l t u r a l r e s p e c t

dress, religion, language, work, class, and

and a u t o n o m y for indigenous peoples of the

the r e g i o n w h e r e o n e l i v e s — w i t h o u t losing the

A m e r i c a s . Yet, t h e i d e a that a u t o n o m y m i g h t

c a n c h a n g e in i n n u m e r a b l e

13. On race, see also Cojti (1991: 6, 17-21, 2 6 - 2 7 ) . 14. Actually, some existing departmental divisions conform roughly to cultural and linguistic regionall y . This is even more the case with municipal and hamlet divisions. Yet there has been substantial migration for Mayan businesspeople and the dislocation of hundreds of thousands of Mayans during the civil war of 1978-1985. 15. Popular m o v e m e n t s are work- and class-based organizations: w i d o w s ' groups (CONAV1GUA), peasant groups ( C U C — C o m i t é de Unidad Campesino), student groups, and unions. They often have political roots in working-class movements inspired by historical materialist critiques of capitalism and imperialism. I have resisted the c o m m o n translation of popular as "grassroots" since many other cultural and educational movements in Guatemala are community-based as well.

Mayan

Self-Determination

191

b e e x p r e s s e d in a d m i n i s t r a t i v e

regionaliza-

ular

leadership. On the whole,

w h o want to e v a d e d o m i n a t i o n push for rad-

pop-

ical d e c e n t r a l i z a t i o n . L e b a n o n is a c a s e in

culturalists

point for early culturalist writings, although

t i o n in G u a t e m a l a w a s t r o u b l i n g t o t h e

m o d e l as c a l l i n g f o r t h e i r

the world a b o u n d s with m o r e recent e x a m -

assimilation into national society, m u c h as

p l e s that p r o v e t h e i r p o i n t . W i t h o u t a c o n c e r n

the G u a t e m a l a n

f o r t h e m u l t i n a t i o n a l c h a r a c t e r of t h e c o u n -

j u d g e t h e popular

s t a t e h a s a c t e d in

educa-

o r g a n i z e r s a r e s e e n as

try, r e g i o n a l d e v e l o p m e n t p l a n s that s e e k d e -

externalizing injustice by f o c u s i n g their cri-

centralization are b o u n d to be i n s u f f i c i e n t

tiques on U.S.

( C o j t i 1 9 9 1 : 13, 15).

t i o n a l p o l i c y . Popular

imperialism

and

colonial-

i s m — a n d , more recently, on global "neolib-

Culturalists use comparative

examples

e r a l i s m " — r a t h e r t h a n g i v i n g f i r s t p r i o r i t y to

to m a k e t h e i r c a s e f o r t h e v i a b i l i t y a n d n e -

p a t t e r n s of G u a t e m a l a n r a c i s m , i n t e r n a l c o l o -

cessity of national r e f o r m . First, they s h o w

nialism, and cultural distinctiveness. Despite

t h a t a r a n g e of E u r o p e a n s o c i e t i e s — a l l h i g h

t h e s e d i f f e r e n c e s , c u l t u r a l i s t a n d popular

status a n d d e m o c r a t i c — h a v e a l r e a d y a c h i e v e d

or-

g a n i z a t i o n s s e e i m p o r t a n t o v e r l a p s in t h e i r

what s o m e w o u l d d i s m i s s as an a p o c a l y p t i c

concerns with rights and poverty.

goal for G u a t e m a l a . Latin A m e r i c a n e x a m -

Demetrio Cojti (1991:

12-13,

70-76)

p l e s a r e i n c l u d e d in o r d e r to e s t a b l i s h t h a t re-

v a l i d a t e s an i m a g e of G u a t e m a l a as a f e d e r -

f o r m s h a v e b e e n a t t e m p t e d in N e w

a t i o n of n a t i o n s , e a c h w i t h its o w n g o v e r n -

countries with substantial indigenous popu-

World

ment, territory, laws, and m e a n s for cultural

lations. S e c o n d , they illustrate that p e o p l e s

development. Public administration

caught

would

in m u c h

more

dramatic

diasporas

speak the l a n g u a g e of those g o v e r n e d , not

h a v e r e u n i f i e d t h r o u g h t h e t h r e a d of a c o m -

t h e o t h e r w a y a r o u n d , as is p r e s e n t l y

m o n c o n s c i o u s n e s s to create viable nation-

case;

state

government

would

the

routinely

translate d o c u m e n t s into regional languages. Representatives Mayan

and

from

national

Ladino—would

subunits—

make

up

the

o v e r a r c h i n g g o v e r n m e n t of t h e s t a t e . So far these issues have fallen outside

states. Finally, they s h o w that

s y s t e m m u t e s t h e m . T h e f a i l u r e to n e g o t i a t e pluricultural

alternatives

states

Mayan

shows

apart.

another

"imagined

t h e s c o p e of all p o l i t i c a l p a r t i e s : We have to admit that until now the problem of nationalities has not been resolved by any revolution or counterrevolution, by any reform or counterreform, by any independence or annexation, by a c o u p or countercoup. (Cojti 1991: 13) 1 6

suppressed

ethnicities do not d i s a p p e a r w h e n the larger has

torn

comparative

dimension

communities":

of

other politics

nations

other

as

systems,

p e r c e i v e d as c o u n t e r p a r t s , c a n b e e v o k e d as political leverage to d e m o n s t r a t e the feasibility of i m a g i n e d a l t e r n a t i v e s a n d t h e d a n g e r s of t h e e x i s t i n g s o c i a l o r d e r . 1 7 T h e t h r e a t is as real as it is o b l i q u e . In t h e i r p u b l i c a t i o n s a n d p u b l i c f o r u m s ,

T h e p r o b l e m is m o r e t h a n r e c o g n i z i n g d i f f e r -

Pan-Mayanists have concentrated their efforts

ent nationalities or a s s u m i n g that an abstract

on c u l t u r a l r e v i t a l i z a t i o n a n d e d u c a t i o n , r a t h e r

language

t h a n o n c o n f r o n t a t i o n a l p o l i t i c a l a c t i v i s m or

of

rights

will

easily

transcend

d i v e r s i t y . R a t h e r , it i n v o l v e s c o n c e i v i n g formula "to federate diverse

a

nationalities

party politics. Currently, P a n - M a y a n i s t s are putting their ideas, their cultural politics, to

identities

t h e t e s t : l a n g u a g e c o m m i t t e e s h a v e b e e n set

d e m o c r a t i c a l l y " ( C o j t i 1991: 13). W i t h o u t le-

u p in c o m m u n i t i e s t h r o u g h o u t t h e h i g h l a n d s ;

g i t i m a c y , t h e r i s k is v i o l e n c e , a s t h o s e w h o

M a y a n s c h o o l s a r e b e i n g c r e a t e d b e c a u s e re-

g o v e r n s e e k to i m p o s e t h e i r s y s t e m a n d t h o s e

f o r m e f f o r t s in p u b l i c e d u c a t i o n a r e t o o s l o w

[and] articulate diverse national

16. In this and other central phrasings, Cojti e m p l o y s the Mayan aesthetic of parallel phrasing, m u c h as the k'amol b'ey does in ritual discourses (cf. Warren, in press). 17. While Anderson's ( 1 9 8 3 ) language is useful, the culturalist analysis represents an important critique of his top-down model.

192

Kay B. Warren

or underfunded; and u n i v e r s i t y c e n t e r s are

will c o n f r o n t the political realities o f neolib-

p r o d u c i n g s c h o o l t e x t s and t e a c h e r training

e r a l i s m and the international

materials.

c o m m u n i t y ' s current f o c u s on s c h o o l d e c e n -

E m e r g i n g m o d e l s o f r e v i t a l i z a t i o n and

development

t r a l i z a t i o n and s p e c i a l p r o g r a m s

targeting

nation will c o n t i n u e to r e f l e c t the early de-

young girls as the solution to illiteracy. W h a t

bates o u t l i n e d in this essay.

Undoubtedly,

remains c l e a r is that P a n - M a y a n i s t s will con-

there will be important l e s s o n s learned as

tinue to work toward inclusive definitions o f

P a n - M a y a n i s t s put their educational r e f o r m s

" n a t i o n " to counteract what they see as c o n -

into a c t i o n . O n the one hand, they will f a c e

tinual t r a n s f o r m a t i o n s o f a singular national

with

ideology of coercive assimilation practiced

their own diverse identity politics and devel-

by a range o f political groups on the right as

o p m e n t d i l e m m a s . O n the o t h e r hand, they

well as on the left.

the r e s p o n s e s

o f local

communities

Commentary Miguel Angel

Centeno

M

y initial c o m m e n t has to do with the

captivities, K o s e v o s . and the glory o f caliphate

unfortunately

Baghdad. Rarely do we have a chance to doc-

rare

representation

of

countries analyzed by this c o n f e r e n c e . It is a

ument their activities and we should be im-

very pleasant surprise to see a c o l l e c t i o n o f

m e n s e l y grateful for K a y Warren's fieldwork

c a s e s that is truly global in s c o p e and not yet

for providing such an opportunity.

another a n a l y s i s o f the usual E u r o p e a n sus-

T h e paper a l s o d e s c r i b e s a series o f de-

pects. I would also like to d i s c l a i m any priv-

bates on the

ileged k n o w l e d g e o f G u a t e m a l a . T h e discus-

building or n a t i o n - d e f i n i n g as a m e a n s with

possibility

o f using

nation-

the

w h i c h to fight inequality. T h e struggle be-

c o m p a r a t i v e and t h e o r e t i c a l i m p l i c a t i o n s o f

tween those in G u a t e m a l a w h o would privi-

sion

that

follows

is

directed

at

K a y W a r r e n ' s paper. I will t h e r e f o r e feel free

lege c l a s s and those w h o e m p h a s i z e identity

to ask questions and pose p r o b l e m s that may

have their p a r a l l e l s throughout the world.

seem unrelated to the s p e c i f i c s o f the c a s e or

A g a i n , K a y Warren affords us an opportunity

appear irrelevant to those m o r e f a m i l i a r with

to witness and study this struggle at c l o s e

the c i r c u m s t a n c e s surrounding the rise o f a

quarters.

n e o - M a y a n identity.

United S t a t e s regarding the relative merits o f

Obviously, this is an exciting and interest-

Given

enclave

recent

economies with

and

which

to

discussion

in

the

ethnocentrism attack

as

ing paper. It provides us with very rich data on

means

inner-city

precisely those persons whom a variety o f au-

poverty, this c a s e has o b v i o u s d o m e s t i c i m -

thors (e.g., Gellner, H o b s b a w m , and Ander-

p l i c a t i o n s . T h e s a m e c o u l d be said o f K a y

son) have identified as critical in the develop-

Warren's

ment

teachers,

state. I w o u l d like to h a v e seen m o r e detail

"petit-intelli-

on this c o n c e p t , e s p e c i a l l y in light o f the

of

national

researchers,

consciousness:

journalists—the

discussion

of

g e n t s i a , " if you will. T h e s e are the grassroots

principle

carriers o f new identities, imagined or not.

posed by L i e c h t e n s t e i n .

a

"pluricultural"

of "self-administration"

as

pro-

T h e y are the media through which new or re-

B y q u e s t i o n i n g the p r i n c i p l e o f G u a t e -

vived languages are transmitted, the saviors o f

m a l a n identity, K a y W a r r e n brings to L a t i n

dead poets and tellers o f old battles. F r o m

America

such sources, children learn o f B a b y l o n i a n

b e e n rarely raised by a n y o n e (with n o t a b l e

a series

of questions

that

have

Commentary exceptions, such as Florencia Mallon and Nugent and Joseph). As I was reading the paper, I kept thinking of the possible implications of M a y a n nationalism for the rebellion in Chiapas. How much of the success in E Z L N has to do with a revival of Mayan identity filtering north? Or was class (or simple inequality or misery) more important? I also w o n d e r e d whether such a " p a n - e t h n i c " program could be elaborated in Mexico, where the d i f f e r e n c e s across the Indian groups are much greater. Could we envision a " p a n - p r e - C o l o m b i a n " m o v e m e n t that included alliances of Mixtecs and Nahuas? Finally, this paper offers an in-depth description of processes that have d o m i n a t e d the literature on nationalism for the past several decades. In fascinating ways, the debates in G u a t e m a l a in the 1990s sound a great deal like those raging in the AustroHungarian Balkans of the mid- to late nineteenth century. A state is attempting to impose a single language. The pressure on nonofficial identities increases due to greater e n c r o a c h m e n t by the state into daily life (a e u p h e m i s m for genocide, in the case of Guatemala). Within these struggles, there are fights over alphabets and clear political consequences of apparently academic decisions dealing with linguistics. In short, the struggle for G u a t e m a l a n identity is a story often told in a variety of settings, but rarely with the kind of detail and possibilities for observation that are available here. Precisely because these issues have such obvious relevance to several cases, precisely because of its apparent applicability outside of Central America, I was a bit frustrated with the questions not asked by Kay Warren. These same doubts also haunt the admirable efforts promoted by the Liechtenstein project. First, it seems too easy to associate language with nation. This is an old debate and everyone has an opinion (including that great expert on such questions, Joseph Stalin). We have the standard query of whether Italians m a d e Italian or vice versa. Does literacy connote citizenship? We need to look m u c h more closely at the causal order of this

193 process. I suspect that the answer (as it does so often) will show that language and identity shape each other in an interactive process that can only be defined within a historical setting. I would urge Kay Warren to tell us a bit more of the background behind the P a n - M a y a n m o v e m e n t and the precise circumstances within which it arose. I am also somewhat disconcerted by the ease with which academics, journalists, and policymakers are accepting claims to ethnic separateness. Perhaps because we were surprised by the resurgence of nationalism from the proverbial dustbin after 1989, we may be too hesitant to question the validity of identity claims. We seem too eager to accept at face value definitions of conflict as stemming from ethnic differences. I would like to urge that we adopt a bit more "materialist skepticism." That is, to begin questioning what other possible interests might be involved. T h e reprivileging of culture was a needed turn in social science, but perhaps we have gone too far. This is not to argue for a return to e c o n o m i c determinism where nationalism is dismissed as being either irrelevant or a tool of dominant classes. Rwanda, the Caucuses, and Yugoslavia have taught us that much; but they should also have taught us that nationalism (with respects to Dr. Johnson) is often the first refuge of scoundrels. We also need to work harder on analyzing or defining which characteristics and qualities m a k e for an " a c c e p t a b l e " national group. Should size be an issue? I would not want to deny the rights of any group in a false pursuit of precision, but the c o m m o n use of the word " B a l k a n i z a t i o n " does have real referents. On the other side, calls for pan-ethnicity are often thinly disguised strategies of s u b h e g e m o n y by particular groups. I can easily imagine that PanM a y a n i s m could be interpreted by some as K ' i c h e ' imperialism. This is a critical issue for any discussion of nationalism. I have to disagree with Sir Arthur Watts' and the Liechtenstein proj e c t ' s willingness to leave issues of definition open and a m b i g u o u s . At some point

194

Miguel Angel

d i f f i c u l t d e c i s i o n s h a v e to be m a d e , p r i v i l e g ing o n e i d e n t i t y a n d r e j e c t i n g a n o t h e r . N a t i o n a l i s m is i n h e r e n t l y z e r o - s u m a n d s u c h g a m e s n e e d r u l e s . If, f o r e x a m p l e , w e are truly m o v i n g a w a y f r o m the n a t i o n - s t a t e tow a r d both m o r e g l o b a l and m o r e local d i r e c t i o n s , w h e r e d o e s the p r o c e s s s t o p ? At the l e v e l of M a y a n or N a t i v e A m e r i c a n ? N e w Yorker, B r o o k l y n i t e , F l a t b u s h e r , or r e s i d e n t of S e v e n t i e t h Street? Finally, the p a p e r a l l u d e s to, but n e v e r d i r e c t l y a d d r e s s e s , t h e key q u e s t i o n in the a n a l y s i s of n a t i o n a l i s m : to w h a t e x t e n t are n a t i o n s b o r n or m a d e ? A r e the G u a t e m a l a n c u l t u r a l i s t s d e f e n d i n g a n a t i o n or c r e a t i n g o n e ? O b v i o u s l y , this c a n d e g e n e r a t e into c h i c k e n - e g g q u e s t i o n s , but w e need to m a k e historical "authenticity"' more problematic (e.g., B r e u l l y ) . T h i s is not of m e r e l y a c a d e m i c interest. For the L i e c h t e n s t e i n p r o j e c t it is c r u c i a l , since w h a t e v e r i n t e r n a t i o n a l b o d y is c r e a t e d will, in the e n d , p r o b a b l y rely on

Centeno

history f o r its j u d g m e n t . Let m e suggest o n e e x a m p l e of t h e k i n d s of p r o b l e m that w e m a y e n c o u n t e r . T h e S o v i e t g o v e r n m e n t spent a g r e a t d e a l of e f f o r t s u p p o r t i n g n a t i o n a l i d e n t i t i e s in its C e n t r a l A s i a n r e p u b l i c s . T h e m o t i v a t i o n w a s s i m p l e : an e t h n i c n a t i o n a l i s m was considered safer than one based on Islam. A r e U z b e k , K a z a k h , or T u r k m e n identities p r o d u c t s of p r o p a g a n d a o r d o t h e y reflect "real" differences and important cleavages? Would a Pan-Turkic movement r e p r e s e n t m o r e " a u t h e n t i c " a s p i r a t i o n s or simply reflect Ankara-inspired geopolitics? W h a t a b o u t an I s l a m i c r e s u r g e n c e ? I c a n n o t e x p e c t any c o n f e r e n c e , m u c h less a paper, to o f f e r a n s w e r s , but w e s h o u l d b e g i n w o r k i n g on t h e p o s s i b l e m e t h o d s or r a t i o n a l e s by w h i c h we will try to attain an a n s w e r . I s i n c e r e l y h o p e that Kay W a r r e n will be able to p r o v i d e s o m e g u i d e l i n e s f o r the resol u t i o n of t h e s e i s s u e s as she c o n t i n u e s her exciting work.

Commentary Deborah

Levenson-Estrada

K

ay W a r r e n ' s i n f o r m a t i v e p a p e r p r e s e n t s the v i e w s of a g r o u p of G u a t e m a l a n M a y a n i n t e l l e c t u a l s w h o m W a r r e n calls cult u r a l i s t s . In r e s p o n s e to an e x t r a o r d i n a r i l y racist society, the c u l t u r a l i s t s seek to c r e a t e a P a n - M a y a n m o v e m e n t a n d to p r o m o t e e d u c a t i o n p r o g r a m s that t e a c h M a y a n s t u d i e s ( l i t e r a t u r e , history, a n d art) a n d l a n g u a g e s . T h e s e intellectuals h a v e criticized the lack of e q u a l i t y b e t w e e n S p a n i s h a n d the o v e r t w e n t y M a y a n l a n g u a g e s s p o k e n in G u a t e m a l a , and they wish to f o s t e r the n o t i o n of a single and unified M a y a n people and the s e n s e of, o r e v e n a real, M a y a n n a t i o n . The culturalists', and Warren's, proposition that d e m o c r a c y in G u a t e m a l a c a n n o t exist without equality between peoples and l a n g u a g e s is b e y o n d q u e s t i o n . A n d to that

e n d of d e m o c r a c y — a s well as to o t h e r s — t h e c r e a t i o n of m u l t i c u l t u r a l and m u l t i l i n g u a l edu c a t i o n a l p r o g r a m s is a s o c i a l i m p e r a t i v e . Besides advocating these necessary reforms, w h a t i s s u e s d o the c u l t u r a l i s t s (as d e s c r i b e d by W a r r e n ) a d d r e s s , and w h a t light d o t h e y cast on the d i l e m m a s of G u a t e m a l a n life? P a n - M a y a n i s m is t o d a y b e i n g p r o m o t e d by a s m a l l and g r o w i n g g r o u p of M a y a n int e l l e c t u a l s a n d s t u d e n t s , a n d t h e r e are s i g n s that a m a s s P a n - M a y a n m o v e m e n t c o u l d d e v e l o p f o r t h e first t i m e . G u a t e m a l a n h i s t o r y is r e p l e t e w i t h rural u p r i s i n g s in w h i c h , as far as w e k n o w , e t h n i c i t y w a s o n e of the s e v eral n e s t e d l a y e r s of i d e n t i t y that m o b i l i z e d p e o p l e , but n o b r o a d - b a s e d m o v e m e n t that w a s s e l f - c o n s c i o u s l y or e x c l u s i v e l y P a n M a y a n e m e r g e d in t h e c o l o n i a l p e r i o d , t h e

Commentary 1800s, or the first half of the 1900s. L o c a l identities p r e d o m i n a t e d o v e r o t h e r s . A person w h o m a culturalist or an a n t h r o p o l o g i s t w o u l d i d e n t i f y as a Maya, w o u l d be m o s t likely to . ^ / / - i d e n t i f y as a m e m b e r of his or her local c o m m u n i t y . T h u s , s o m e o n e f r o m T o d o s S a n t o s — a h i g h l a n d t o w n o f t e n cited by s c h o l a r s as a c e n t e r of M a y a n c u l t u r e — w o u l d s e l f - i d e n t i f y as a todosantero, not as a Maya. N o d o u b t t o d a y ' s new P a n - M a y a n m o v e m e n t , with its m a r k e d translocal vision, is in part a r e s p o n s e to the d e s t r u c t i o n of over f o u r h u n d r e d local c o m m u n i t i e s and the m a s s a c r e of tens of t h o u s a n d s of M a y a s in the civil w a r of the early 1980s. T h e w i d e spread use of the term " M a y a " is new, and so is the possibility of unity b e t w e e n the d i f f e r ent p e o p l e — f r o m m e m b e r s of the m i d d l e class to u r b a n m a q u i l a d o r a o p e r a t o r s , landless rural w o r k e r s , p e a s a n t s , and r e f u g e e s — w h o could join this m o v e m e n t . It is important to e m p h a s i z e that p o p u l a r m o v e m e n t s have existed in G u a t e m a l a that lacked an exclusive c h a r a c t e r as ethnic. T h e e n o r m o u s grassroots m a s s m o v e m e n t s of the past f e w d e c a d e s that swept both the c o u n tryside and the c o u n t r y ' s m e g a c i t y , G u a t e mala City, were not primarily ethnic in their i d e n t i f i c a t i o n , even w h e n the m a j o r i t y of their m e m b e r s were people w h o m culturalists w o u l d c h a r a c t e r i z e as M a y a . T h e s e p o p u l a r organizations represented t h e m s e l v e s in multiple w a y s , and they i n c l u d e d e t h n i c i t y as one identification a m o n g others, and without d r a w i n g ethnic b o u n d a r i e s a r o u n d t h e m s e l v e s . For e x a m p l e , the C o m i t e de U n i d a d C a m p e s i n o , ( C U C ) , the largest rural g r o u p of late 1970s and 1980s, and o n e c o m p o s e d of poor w o r k e r s and minifundistas w h o were in their m a j o r i t y M a y a s and in their m i n o r i t y Ladinos (the word used to refer to p e o p l e of m i x e d descent) called itself, simultaneously, an o r g a n i z a t i o n of campesinos, los pobres, and indigenas. L i k e w i s e G A M (Mutual S u p port G r o u p ) and C O N A V I G U A ( N a t i o n a l Coordinating C o m m i t t e e of Guatemalan Widows), organizations of w i d o w s and other relatives of the d i s a p p e a r e d , represent t h e m selves as el pueblo, los pobres, las indigenas, and las mujeres. T h e s e m u l t i p l e i d e n t i f i c a -

195 tions reflect the diversity of the m e m b e r s h i p ; the truth that identity is a l w a y s plural; and a p o p u l a r culture in w h i c h the lines b e t w e e n M a y a and n o n - M a y a are not a l w a y s so clearly fixed throughout G u a t e m a l a . O n e point I am m a k i n g is that there has been a great deal of a g e n c y , and the e n v i s i o n i n g of o n e s e l f as an historical p r o t a g o nist in G u a t e m a l a that has not r e v o l v e d primarily a r o u n d M a y a n cultural r e v i v a l i s m . W h a t w a s very i m p o r t a n t in the 1960s, 1970s, and 1980s to the b u i l d i n g of a sense of pride, e n t i t l e m e n t , and a g e n c y a m o n g poor people, and to the creation of the will to g o out and m a k e history, w a s first C a t h o l i c Action and then T h e o l o g y of Liberation. T h e path R i g o b e r t a M e n c h u ' s f a t h e r w a l k e d in the late 1960s and the 1970s, to give one fam o u s e x a m p l e , was u n d e r s t o o d primarily in C h r i s t i a n , and not n e o - M a y a n . t e r m s . T h e popular c o n s c i o u s n e s s that e m e r g e d in those years w a s fluid and a l l - e m b r a c i n g of the poor. It spoke of a pueblo that included Ladinos and M a y a s , of todos los pobres jodidos as well as of ethnic d i s c r i m i n a t i o n . I d o not believe that grassroots m o v e m e n t s were multiple in their s e l f - i d e n t i f i c a t i o n and included both M a y a s and L a d i n o s , b e c a u s e M a y a s h a v e had until n o w " f a l s e c o n s c i o u s n e s s " and had not c o m e into their o w n as M a y a n c u l t u r a l i s t s . T h e i r p o p u l a r political c o n s c i o u s n e s s reflected class issues, the t h e m e s of T h e o l o g y of L i b e r a t i o n that r e s o n a t e d with their lives a n d , as well, the real a m b i guities and gray areas of the ethnic question. A n o t h e r point I am raising c o n c e r n s the veracity of singling out ethnic identification as the u n i q u e w a y of d e f i n i n g a " s e l f . " T h e culturalists represent G u a t e m a l a n history and society in the f o l l o w i n g b l a c k - a n d - w h i t e way: T h e r e are L a d i n o s — t h e d e s c e n d a n t s of S p a n i a r d s (as Kay Warren d e s c r i b e s t h e m in the b e g i n n i n g of her p a p e r ) a n d M a y a s , the d a u g h t e r s and s o n s of the p r e - c o n q u e s t M a y a s ; the d e s c e n d a n t s of the Spaniards, the L a d i n o s d o m i n a t e G u a t e m a l a a n d this is e x p r e s s e d in e v e r y a r e n a , i n c l u d i n g that of l a n g u a g e ; the M a y a s h a v e been the o p pressed. This representation is terribly static. It m a s k s t r a n s c u l t u r a t i o n , mestizaje, and

196

class d i f f e r e n t i a t i o n . L a d i n o s are as m u c h the o f f s p r i n g of the M a y a as of the S p a n i s h , a n d m o s t L a d i n o s are p o o r p e o p l e . T h e L a d i n o s are not a h o m o g e n e o u s g r o u p a n d t h e y d o not c o n s t i t u t e a people. I see n o r e a s o n in a c o m p e t i t i v e r a n k i n g of the p o o r w h e n life f o r m o s t G u a t e m a l a n s , L a d i n o or M a y a , is a s t r u g g l e f o r m i n i m a l s u r v i v a l in a c o u n t r y r u l e d by a t e r r o r i s t state. T h e c u l t u r a l i s t i m a g e of s e p a r a t e s p h e r e s s t a c k e d on top of one another, as if all L a d i n o s o p p r e s s M a y a s , is m i s l e a d i n g . An e t h n i c p r o f i l e of land t e n u r e — t h a t m o s t land in G u a t e m a l a is o w n e d by L a d i n o s — o b s c u r e s the social reality that 7 5 p e r c e n t of the land is o w n e d by 2 p e r c e n t of the p o p u l a t i o n , a n d m o s t rural L a d i n o s are l a n d l e s s . T h e i m a g e r y of p o l a r L a d i n o / M a y a w o r l d s a l s o m a s k s real b i c u l turalism. A m o n g poor families, one family m a y well e m b r a c e b o t h M a y a a n d L a d i n o ; this is p a r t i c u l a r l y true in the city and p a r t s of the s o u t h e r n c o a s t . M o r e o v e r , t h e r e p r e s e n t a t i o n of a land d i v i d e d b e t w e e n a d o m i nant L a d i n o s p h e r e and a d o m i n a t e d M a y a n o n e s u g g e s t s t h e r e is a L a d i n o w o r l d , but non-Mayas have never organized themselves as, n o r d o they e v e n u n i f o r m l y call t h e m selves, L a d i n o s . T h e n o n - M a y a n G u a t e m a l a n elite generally p r e f e r s to self-identify as white or as E u r o p e a n ( B e l g i a n s , G e r m a n s , or S p a n i a r d s ) rather than L a d i n o , a t e r m that to them stinks of poverty and a lack of " c u l t u r e . " T h e old p a r a d i g m of a s s i m i l a t i o n v e r s u s c u l t u r a l a u t o n o m y or p u r i t y or a u t h e n t i c i t y n e e d s to be g i v e n m o r e n u a n c e , or r e p l a c e d with o n e that d e a l s with the reality of t r a n s culturation and multiculturalism, and from w h i c h e m e r g e s an i d e n t i t y a n d a self (as in s e l f - d e t e r m i n a t i o n ) that is m u l t i p l e and diverse. G u a t e m a l a is a c o u n t r y of s h a r p d i f f e r e n c e s , and t h e r e are areas that are s i m p l y unr e c o g n i z a b l e f r o m o t h e r s . In s o m e p a r t s of G u a t e m a l a it is not c l e a r that the M a y a are so c o m p l e t e l y d i s t i n c t f r o m the m a j o r i t y of L a d i n o s in e c o n o m i c a n d e v e n in c u l t u r a l t e r m s , as I h a v e s u g g e s t e d . In t h e s e g r a y e r areas, a P a n - M a y a n m o v e m e n t for selfdetermination would separate people who are not s e p a r a t e and r e q u i r e t h e m to i d e n t i f y

Deborah

Levenson-Estrada

t h e m s e l v e s in w a y s that are a c t u a l l y artificial and e x t e r n a l . T h e i n v o c a t i o n of a M a y a / L a d i n o split w o u l d f r e e z e m a n y into a L a d i n o i d e n t i t y , w h i c h m a n y d o not c l a i m , e v e n if t h e y n e i t h e r c l a i m a M a y a n identity. In o t h e r a r e a s , p a r t i c u l a r l y t h e w e s t e r n h i g h l a n d s of G u a t e m a l a , the b o r d e r s b e t w e e n M a y a and L a d i n o are clearer. In parts of the western highlands, Mayan self-determination w o u l d be a f o r m of p o p u l a r s e l f - d e t e r m i n a tion, to w h i c h o n l y l a n d r e f o r m c o u l d g i v e t e e t h . E v e n in the m o s t d e n s e l y M a y a n reg i o n s of G u a t e m a l a , h o w e v e r , t h e issue of intense c o m m u n i t i e s ' rivalries, often over land and u s u a l l y e n c o u r a g e d by the military, c o m p l i c a t e the m e a n i n g of M a y a n s e l f - d e t e r m i n a t i o n b e c a u s e it is not c l e a r w h o the self is, or w h o has the p o w e r to d e c i d e that. T h e c u l t u r a l i s t s call f o r M a y a n s t u d i e s and t h e e q u a l t e a c h i n g of M a y a n lang u a g e s — o r , as the c u l t u r a l i s t s s u g g e s t , of o n e of t h e s e as a n e w l y c o n s t r u c t e d s t a n d a r d P a n - M a y a n l a n g u a g e — m u s t be h e e d e d . Such p r o g r a m s w o u l d c h a l l e n g e t h e s t a t u s q u o of s h a r p d i s c r i m i n a t i o n a n d r e c o n f i g u r e the p o w e r of p e o p l e of M a y a n d e s c e n t . In addition, w h e n d e f i n i n g e d u c a t i o n a l p r o g r a m s that will h e l p y o u n g p e o p l e d e c o d e their w o r l d and p r e p a r e t h e m to live in it a n d m a k e it better f o r t h e m s e l v e s a n d o t h e r s , w e m u s t be a w a r e that m o s t c h i l d r e n of M a y a n o r i g i n s t o d a y , b o r n in the c o u n t r y s i d e — w h e r e their p a r e n t s c a n n o t p r o d u c e e n o u g h to live o n — w i l l e n d u p as w o r k e r s in the formal a n d i n f o r m a l e c o n o m y in G u a t e m a l a City. T h i s city, like m a n y in t h e w o r l d , is a m o n s t e r of f a i l e d m o d e r n i t y , a f a s t - p a c e d tinsel m i l i e u w h e r e t h e f a l s e p r o m i s e of total b l i s s t h r o u g h c o n s u m e r i s m is c o n s t a n t l y m a d e , and t h e n c o n s t a n t l y m a d e i n a c c e s s i b l e by h i g h u n e m p l o y m e n t a n d g r o w i n g p o v e r t y . H o w will M a y a n cultural r e v i v a l i s m s p e a k to t h i s ? U r b a n c e n t e r s a r e g r o w i n g in G u a t e m a l a , and the y o u n g p e o p l e in t h e m , the d e m o g r a p h i c n a t i o n a l m a j o r i t y , are m o r e interested in w o r l d y o u t h c u l t u r e l i f e s t y l e s t h a n in traditional o n e s . W a r r e n r e p o r t s at the e n d of h e r p a p e r that c u l t u r a l i s t s a r e n o t p o l i t i c a l activists; instead, t h e y c o n c e n t r a t e on e d u c a tion a n d c u l t u r e . D i s t a n c e b e t w e e n M a y a n

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Commentari/

intellectuals and M a y a n and other activists is not fruitful. There exist many Mayan and other activists in the countryside w h o address issues of land, u n e m p l o y m e n t , and cultural survival, and in the city w h o deal with problems of prostitution, jobs, housing, drugs, and gangs. It is a x i o m a t i c that e d u c a t i o n and culture are i n f o r m e d by and f r a m e d by, as w e l l as frame and i n f o r m , p o l i t i c s . N o doubt " p o l i t i c s " — t h e p o s t - 1 9 5 4 o f f i c i a l parties and the revolutionary

l e f t — h a v e f a i l e d to

resolve

ever d e e p e n i n g p r o b l e m s o f j u s t i c e and p o v erty, but a c o n c e r n for e t h n i c i t y c a n n o t substitute for politics.

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Deborah

Levenson-Estrada

Political Agency, and the Construction of the Self. E d i t e d by Veena D a s and M a m p h e l a Ramphele. W a r r e n , K a y B. n . d . b " E n d u r i n g T e n s i o n s a n d Changing Identities: Mayan Family Strugg l e s in G u a t e m a l a . " In History in Person: of Endemic StrugThe Mutual Construction gles and Enduring Identities. E d i t e d by D o r o t h y H o l a n d and J e a n L a v e . S a n t a F e : SAR Press. Warren, Kay B. n.d.c. " I n d i g e n o u s M o v e m e n t s as a Challenge to a Unified Social M o v e m e n t Parad i g m for G u a t e m a l a . " In Cultures and Politics/Politics of Cultures: Latin American Social Movements Revisited. Edited by Sonia Alvarez, Evelina Dagnino. and Arturo Escobar. W a r r e n , Kay B. n.d.d. Mayan Public Intellectuals Guatemala. and Indian Cultural Resurgence in

CHAPTER 8

The Frontiers of Our Dreams Are No Longer the Same: Cultural Dynamics of Exclusion and Community in France, the United States, and Québec Michèle Lamont1

I

t is self-evident that claims or aspirations to self-determination are more likely to be f o u n d within c o m m u n i t i e s that are m a d e up of members who have a strong sense of common identity and f e l l o w - f e e l i n g . In such c o m m u n i t i e s , m e m b e r s view one another as significant others who share f u n d a m e n t a l moral worldviews and/or cultural traits; this sharing results in a reciprocal sense of responsibility and in a commitment, sometimes costly, to a c o m m o n project of society. Experts agree that such a strong collective identity is one of the key c o m p o n e n t s of the resilient independentist m o v e m e n t in Québec. In this particular case, the symbolic boundary that distinguishes nous-autres (us) from vous-autres (them) is grounded in a history of economic exploitation and political subordination that o p p o s e s both a f r a n c o p h o n e majority and an anglophone minority within Québec and a f r a n c o p h o n e minority and an a n g l o p h o n e majority within Canada. Since the 1960s, the rhetoric of politicians, intellectuals, and artists associated with the Q u é b é c o i s independentist m o v e m e n t has systematically stressed this shared history, a distinct language and culture, and a c o m m o n sense of what it means to live in Québec, of what gives it a very distinct "douceur de vivre" (pleasure of living). This rhetoric has

almost always d o w n p l a y e d alternative segmentation bases that are far more salient in two societies that exercise a strong cultural influence on Québec society, namely, France and the United States. These alternative bases of segmentation are race and poverty in the U.S. case and immigration in the French case. Whereas issues of immigration and citizenship have been at the center of many public debates in France in the eighties, more recently, in the United States, race and poverty have been at the forefront of debates surrounding the crime bill, welfare reform, and health care reform. Under Reagan and Bush, the very programs through which a collectivity typically assumes its responsibility toward its weaker and needier m e m bers were intensely challenged, revealing a deep disengagement toward traditional definition of " u s " as including all Americans. In contrast, in France, " u s " still includes all the French, but with increasing frequency, "les français de souche" (natives) only, while a growing portion of the French population views immigrants—reduced here to Muslim immigrants—as being unable to assimilate a universalistic French culture. In this context, the poor are still included in the definition of the French " u s , " as definitions of the social bond structuring French society continue to

1. This paper greatly benefited from comments from Daniel Latouche, Paul Lichterman, Robert Putnam, Yasemin Soysal, Michel Wievorka, and John Waterbury. The research was supported by the Liechstenstein Research Program on Self-Determination, the National Science Foundation (grant #9213363), and the German Marshall Fund of the United States. 199

200

Michèle

emphasize

a certain humanitarianism

Lament

and

g r a n t s o n t h e b a s i s of m o r a l b o u n d a r i e s that

collective responsibility toward indigent fel-

s t r e s s h o n e s t y a n d i n c l u d e t h e p o o r in t h e

low citizens. T h e s e d i f f e r e n c e s b e t w e e n the

n a m e of m o r a l b o u n d a r i e s g r o u n d e d in altru-

French and American cases remain tant, although

they

have

been

impor-

ism,

solidarity,

and

egalitarianism.

Third,

attenuated

after p r o v i d i n g b a c k g r o u n d i n f o r m a t i o n on

s i n c e t h e a d o p t i o n in C a l i f o r n i a of P r o p o s i -

the Q u é b e c situation, I b r i e f l y d i s c u s s the

tion 187, w h i c h r e s t r i c t s t h e a c c e s s of i m m i -

symbolic

g r a n t s to s o c i a l b e n e f i t s .

francophones and anglophones. I also draw

boundaries

between

Québécois

In t h i s c h a p t e r , I d r a w o n t h e s e c o n d a r y

o n t h e w r i t i n g s of a f e w i n f l u e n t i a l i n d e p e n -

literature, on in-depth interviews conducted

d e n t i s t Q u é b é c o i s i n t e l l e c t u a l s to d e s c r i b e a

with F r e n c h and A m e r i c a n w o r k e r s , and on

m o v e m e n t a w a y f r o m a n i n d e p e n d e n t i s t pro-

recent w r i t i n g by p u b l i c intellectuals on the

ject

independentist

against the a n g l o p h o n e oppressor toward an

movement

in

Québec

to

based

on

moral

boundaries

drawn

s k e t c h a d e s c r i p t i o n of t h e s y m b o l i c b o u n d -

i n d e p e n d e n t i s t p r o j e c t b a s e d o n a m o r e in-

a r i e s t h r o u g h w h i c h c o m m u n i t y is d e f i n e d in

c l u s i v e a n d c o s m o p o l i t a n d e f i n i t i o n of t h e

France, the United States, and Q u é b e c . First,

collectivity.3 This

after p r o v i d i n g b a c k g r o u n d i n f o r m a t i o n on

m o d e l of c h a n g e in n a t i o n a l b o u n d a r y w o r k

the current

that i n v o l v e s a b r o a d e n i n g of c u l t u r a l r e p e r -

some

of

situation

the

in F r a n c e ,

boundaries

that

I discuss

a group

of

redefinition provides

a

toires. This model presents interesting simi-

F r e n c h w o r k e r s d r a w w h e n t h e y a r e a s k e d to

larities with recent French and U.S. trends

d e s c r i b e t h e k i n d s of p e o p l e t h e y l i k e a n d

m a n i f e s t e d in i n c r e a s i n g l y f r e q u e n t c e l e b r a -

dislike, w h o m they feel inferior and superior

t i o n s of m u l t i c u l t u r a l i s m in b o t h c o u n t r i e s .

to. a n d w h o m t h e y a r e s i m i l a r to a n d d i f f e r -

This analysis indirectly highlights moral

e n t f r o m . 2 1 a r g u e that t h e s e b o u n d a r i e s in-

and cultural conditions for self-determina-

c l u d e the p o o r but reject i m m i g r a n t s , e v e n

t i o n by c o m p a r i n g a l t e r n a t i v e l o g i c s of s o c i a l

t h o u g h m a n y F r e n c h c i t i z e n s r e j e c t r a c i s m in

s e g m e n t a t i o n t h a t a r e at w o r k in t h r e e s o c i -

the n a m e of r e p u b l i c a n i s m . S e c o n d , I a n a l y z e

e t i e s . T h e r e s u l t is a c o m p a r a t i v e s o c i o l o g y

h o w a g r o u p of U . S . w o r k e r s d r a w b o u n d a r i e s

of m o d e l s of i n c l u s i o n / e x c l u s i o n that o p e r a t e

and s h o w that they p r e s u m e very d i f f e r e n t

on t h e b a s i s of d i f f e r e n t s p e c i f i c s t a t u s c u e s ,

d e f i n i t i o n s of " p e o p l e l i k e u s " t h a n d o t h e

s u c h as c i t i z e n s h i p , c o l o r , a n d l a n g u a g e . T h i s

F r e n c h I t a l k e d to. T h e s e m e n d r a w m o r a l

c o m p a r a t i v e sociology d o c u m e n t s the condi-

boundaries

African

t i o n s f o r t h e s a l i e n c e of s u c h c u e s , f o c u s i n g

A m e r i c a n s p r i m a r i l y o n t h e b a s i s of w o r k

on their interaction with moral and cultural

e t h i c s . In c o n t r a s t , t h e F r e n c h e x c l u d e i m m i -

boundaries. The quest for self-determination

against

the

poor

and

2. This study draws on interviews conducted with ninety randomly sampled Euro-American blue-collar and low-status white-collar workers residing in the suburbs of Paris and New York. The interviews were anonymous and lasted approximately two hours. They are part of a larger project in which I analyze the grammar of categories and symbolic boundaries through which various groups, including minority groups, distinguish between worthy and less-worthy people in France and the United States. Experimental devices, such as asking interviewees to produce descriptions of representations of social groups, help identify national patterns of symbolic boundaries, or national differences in the mental maps that individuals use to evaluate worth. Descriptions of such national patterns acknowledge, but do not focus on, intranational differences. On the importance of such intranational differences, see Soysal (1994). 3. The analysis of the discourse of Québec intellectuals draws on a few best-selling essays that played an important role in the redefinition of the collective project in Québec after the failure of the Meech Lake Agreement in 1989. These essays were identified with the assistance of a key informant, Daniel Latouche, a noted political scientist who writes a weekly column for Canada's prime francophone daily, Le Devoir, and was, in the early 1980s, a political adviser to René Lévesque. Lise Bissonnette, the influential publisher of Le Devoir, was also consulted on significant recent essays on the future of Québec society.

The Frontiers of Our Dreams Are No Longer the Same

is c u r r e n t l y e p i t o m i z e d , inter alia, b y t h e Q u é b é c o i s case. R e e x a m i n i n g this case through comparative lenses generates new q u e s t i o n s a n d s h e d s light o n t h e s o c i o c u l t u r a l d y n a m i c s b e h i n d this costly and m e a n ingful quest.

French Cultures of Solidarity In a D u r k h e i m i a n v e i n , J e f f r e y A l e x a n d e r ( 1 9 9 2 , 2 9 1 ) a r g u e s that m e m b e r s of national c o m m u n i t i e s o f t e n bel i e v e that "the w o r l d . " and this n o t a b l y inc l u d e s their o w n nation, is f i l l e d with p e o p l e w h o either do not d e s e r v e f r e e d o m and c o m munal support or are not capable of sustaining them (in part b e c a u s e they are i m m o r a l e g o i s t s ) . M e m b e r s of national c o m m u n i t y d o nol want to " s a v e " such persons. T h e y do not w i s h to i n c l u d e them, protect t h e m , or o f f e r them rights b e c a u s e they c o n c e i v e them as being unworthy, amoral, and in s o m e s e n s e "uncivilized."4

In c o n t e m p o r a r y F r a n c e , these u n w o r t h y people are primarily the g r o w i n g n u m b e r of M u s lim i m m i g r a n t s originating f r o m North A f r i c a . T h e i r e x c l u s i o n has to be u n d e r s t o o d in the context of the very f a m i l i a r r e p u b l i c a n ideals that h a v e s h a p e d F r a n c e ' s political c u l t u r e since the R e v o l u t i o n of 1789. T h e s e ideals inc l u d e the J a c o b e a n n o t i o n s of equality, universalism, and national unity that n e g a t e part i c u l a r i s m b a s e d on locality, corporate m e m b e r s h i p , and birth, thereby w e a k e n i n g the probability of p e o p l e ' s d r a w i n g b o u n d a r i e s on the basis of ascribed c h a r a c t e r i s t i c s . T h e state is v i e w e d as the e x c l u s i v e r e p r e s e n t a t i v e of c o m m o n i n t e r e s t a n d c i t i z e n s c o n s t i t u t e an e q u a l and u n d i f f e r e n t i a t e d m a s s , units totally s u b s t i t u t a b l e f o r o n e a n o t h e r . C e n t r a l i z e d ins t i t u t i o n s s u c h as t h e a r m y a n d t h e s c h o o l s y s t e m play an i m p o r t a n t role in t u r n i n g

201

i n d i v i d u a l s into F r e n c h c i t i z e n s and f a c i l i t a t e the a d a p t a t i o n of i m m i g r a n t s into F r e n c h society, t e a c h i n g t h e m to " r e l e g a t e p a r t i c u l a r i s tic traits ( s u c h as r e l i g i o n , l a n g u a g e s , o r m o r e s ) , to the p r i v a t e s p h e r e of f a m i l y l i f e " (Pinto 1988: 17). T h e r e b y , F r e n c h n a t i o n a l i t y d r a w s a c l e a r line b e t w e e n i n - g r o u p a n d o u t g r o u p and d o w n p l a y s internal s t r a t i f i c a t i o n s w i t h i n the p o p u l a t i o n that c o u l d act as alternative identity bases. As such, French society is e s p e c i a l l y i n t o l e r a n t of m u l t i c u l t u r a l ism a n d d i v e r s i t y in p u b l i c life. T h i s w a s p a r t i c u l a r l y true until 1981 w h e n a l a w e n larged the s p h e r e of action of v o l u n t a r y associations, which multiplied rapidly and were used by i m m i g r a n t s and o t h e r g r o u p s to p r o m o t e their p a r t i c u l a r i n t e r e s t s a n d i d e n t i t y within the F r e n c h polity. B e t w e e n 1960 and 1974, the m a j o r i t y of immigrants came from North Africa (Mor o c c o , A l g e r i a , and Tunisia), and they arrived in F r a n c e o f t e n u n d e r t e m p o r a r y p e r m i t s directing t h e m into the w o r s t - p a i d , l e a s t - d e s i r able j o b s in m a n u f a c t u r i n g , m i n i n g , a n d p u b lic w o r k . T h e s e i m m i g r a n t s w e r e a v i s i b l e m i n o r i t y , m o s t l y M u s l i m s , w h o , a f t e r 1974. c o u l d e s t a b l i s h their f a m i l i e s in F r e n c h soil. T h e i r n u m b e r s g r e w rapidly. By t h e m i d e i g h t i e s , t h e y r e p r e s e n t e d 8 p e r c e n t of t h e F r e n c h p o p u l a t i o n ( A r n a u d 1986: 1 6 - 1 8 ) . T h e y c o n c e n t r a t e d on the o u t s k i r t s of m a j o r c i t i e s , w h e r e t h e y e n c o u n t e r e d a v a r i e t y of p r o b l e m s — c r i m e , drugs and alcohol abuse, a l i e n a t i o n — a s s o c i a t e d with p o v e r t y a n d p o o r h o u s i n g . M a n y F r e n c h c i t i z e n s c a m e to blame social problems and u n e m p l o y m e n t on f o r e i g n e r s . A sense of c o m p e t i t i o n a n d t h e b r e a k d o w n of t r a d i t i o n a l w o r k i n g - c l a s s c u l ture eventually translated into x e n o p h o b i a a n d c a l l s f o r r e p a t r i a t i o n of n o n - E u r o p e a n s

4. In this chapter, I draw theoretically on the D u r k h e i m i a n tradition, i n c l u d i n g the work o f A l e x a n d e r and S m i t h ( 1 9 9 3 ) , D i M a g g i o ( 1 9 8 7 ) , D o u g l a s ( 1 9 6 6 ) , G u s f i e l d ( 1 9 9 4 ) , and Z e r u b a v e l ( 1 9 9 1 ) . I a l s o draw on more recent European literature that studies the repertoires of c l a i m s that p e o p l e m o b i l i z e to j u s t i f y their actions and the criteria they use to evaluate the worth of p e o p l e and things in situation of crisis (see D o d i e r 1993 and Wagner 1994). Finally, I draw on U . S . literature that f o c u s e s on the repertoires that p e o p l e m o b i l i z e to d e f i n e reality and particularly the lines that they draw w h e n d i s t i n g u i s h ing worthy and l e s s - w o r t h y individuals ( L a m o n t 1992; Lamont and Fournier 1992). Particularly u s e f u l is the work o f B o l t a n s k i and T h e v e n o t ( 1 9 9 1 ) , w h o study h o w social links that i n v o l v e mutual rights and responsibilities are d e f i n e d in a range of c o m m u n i t i e s organized around the a c h i e v e m e n t o f different types of rationality.

202

Michèle

Lamont

( W i e v o r k a 1992). T h i s m o v e m e n t a m p l i f i e d

the c o m m u n i s t s , quietly a d v o c a t e d

stricter

a n d r e s u l t e d in a m a j o r b r e a k t h r o u g h

measures

when

to

control

illegal

immigration

in t h e 1984 E u r o p e a n p a r l i a m e n t a r y e l e c t i o n

( S c h a i n 1987: 2 4 2 ) . W h i l e t h e s o c i a l i s t s w e r e

the F r o n t N a t i o n a l , w h o s e m a i n p r o g r a m w a s

s o f t - s e l l i n g t h e i m m i g r a n t i s s u e in 1989, t h e

to o p p o s e t h e i m m i g r a t i o n , r e c e i v e d

more

European Parliament decided with near-una-

than

party

n i m i t y t h a t in f u t u r e E u r o p e a n U n i o n e l e c -

l a m e n t e d t h e d i s a p p e a r a n c e of t h e o l d w h i t e

t i o n s , f o r e i g n e r s o u g h t to h a v e t h e r i g h t t o

11 p e r c e n t

of

the

vote.

This

one

v o t e at t h e l o c a l l e v e l ( F e r o n 1 9 8 9 ) . P e o p l e

truly

r e m a i n v e r y d i v i d e d o n w h e t h e r M u s l i m girls

French, where popular culture and collective

s h o u l d b e a l l o w e d to w e a r t h e i r s c a r v e s at

and

culturally

homogeneous

where neighborhoods

France,

were safe and

i d e n t i t y c o e x i s t e d in an o r g a n i c w a y . u n d i s -

s c h o o l , s o m e a p p r o v i n g it in the n a m e o t t h e

turbed

right to b e d i f f e r e n t , o t h e r s o p p o s i n g it in t h e

by the m o r e s ,

smells, and

bizarre

c l o t h i n g of n o n - E u r o p e a n i m m i g r a n t s ( M a y e r

name

a n d P e r r i n e a u 1989).

foulard"

of

lay

education.

The

" a f f a i r e du

(scarf affair) gained a central place

As a counterreaction, a grassroots move-

in r e c e n t d e b a t e s a b o u t F r e n c h s o c i e t y , p r e -

m e n t e m e r g e d a m o n g m i n o r i t y y o u t h a n d at-

c i s e l y b e c a u s e it d r a m a t i z e s t h e c o n f l i c t b e -

t r a c t e d t h e s y m p a t h i e s of s t u d e n t s , s o c i a l i s t

tween the republican ideals to which m a n y

a c t i v i s t s , a n d p e o p l e i n v o l v e d in n e w s o c i a l

a r e a t t a c h e d in t h e n a m e of Liberté,

m o v e m e n t s . T w o t y p e s of a s s o c i a t i o n s w e r e created. A first type used a m o r e c o n f l i c t u a l

of l i b e r t y that is e x p r e s s e d n o t t h r o u g h r e -

language, promoting North African ethnicity

p u b l i c a n i s m but t h r o u g h m u l t i c u l t u r a l i s m a n d

and collective s e l f - d e f e n s e against the police.

t h e r i g h t to s e l f - e x p r e s s i o n . T h e s e p o s i t i o n s

The second type was more a c c o m m o d a t i n g ,

rest o n i n c o m p a t i b l e m o r a l d e f i n i t i o n s of t h e

seeking to organize services and to a d v a n c e

c o m m u n i t y a n d of c u l t u r a l p o l i t i c s .

c i v i l r i g h t s t h r o u g h l e g i t i m a t e c h a n n e l s . Its best-known

representative,

SOS

racisme,

et Egalité

Frater-

nité,

and those w h o upheld a view

T h e c e n t r a l i t y of i m m i g r a t i o n in F r e n c h d e f i n i t i o n s of c o m m u n i t y is a p p a r e n t in t h e

g a i n e d i n f l u e n c e by o r g a n i z i n g m a r c h e s that

w a y t h e F r e n c h w o r k e r s I t a l k e d to d r a w

gathered one hundred thousand

supporters,

boundaries between worthy and less-worthy

w h o w e r e m e t by t o p s o c i a l i s t o f f i c i a l s , r e p -

people. They frequently voiced antagonistic

resentatives f r o m unions and opposition par-

feelings t o w a r d i m m i g r a n t s d u r i n g the inter-

ties, and the n a t i o n ' s p r e s i d e n t . T h i s m o v e -

v i e w s . M a n y e x p r e s s e d e x a s p e r a t i o n at t h e

m e n t d i d m u c h to o r i e n t p u b l i c

discourse

i d e a that M u s l i m i m m i g r a n t s d o not a t t e m p t

t o w a r d t h e idea of a f r a t e r n a l a n d m u l t i e t h n i c

to a s s i m i l a t e i n t o F r e n c h s o c i e t y , b e n e f i t i n g

F r a n c e , w i t h n e w c e l e b r a t i o n s of F r a n c e as a

f r o m the e c o n o m i c and social

" s o c i e t y of m i x e d b l o o d s " (société

t h a t it o f f e r s — i n c l u d i n g f r e e h e a l t h c a r e —

métissée).

advantages

H o w e v e r , w h e r e a s m u l t i c u l t u r a l i s t s s a y that

w i t h o u t b e c o m i n g f u l l m e m b e r s of t h e c o m -

i m m i g r a n t s s h o u l d not b e a s s i m i l a t e d , t h e e x -

munity.5 They primarily rejected

c l u s i o n a r y right argues that they c a n n o t be

with moral a r g u m e n t s against their alleged

a s s i m i l a t e d ( B r u b a k e r 1990: 3 8 3 ) . In t h e past,

aggressiveness and untrustworthiness, their

the F r e n c h Right thought that F r a n c e could

p o o r t r e a t m e n t of h u m a n r i g h t s , p a r t i c u l a r l y

a b s o r b i m m i g r a n t s t h r o u g h t h e s c h o o l i n g sys-

t h o s e of w o m e n , t h e i r i n a b i l i t y t o c o n t r o l

t e m a n d t h e a r m y b e c a u s e of t h e i r " r o b u s t

their children w h o d e f a c e n e i g h b o r h o o d s , the

confidence

unpleasant

in t h e

assimilatory

virtues

of

F r a n c e " (395). A s the e c o n o m i c crisis worsened and Le P e n ' s popularity

surged,

smell

Muslims

of t h e i r f o o d , a n d

their

u n h y g i e n i c r e l i g i o u s r i t u a l s , s u c h as the s l a y -

the

ing of a n i m a l s . A l a r g e n u m b e r of t h e m e n I

socialists grew more cautious and, along with

talked to e x p r e s s e d c o n c e r n f o r the decline

5. A c c o r d i n g to Hollifield and R o s s (1991: 135), the issue of i m m i g r a t i o n in F r a n c e w a s d e f i n e d in " J a c o b e a n terms of citizenship and identity, rather than in d e m o g r a p h i c and e c o n o m i c terms. . . . T h e ' r e p u b lican s y n t h e s i s ' w a s seemingly threatened by the presence of a large Muslim population, w h i c h w a s reluctant to a b a n d o n the religious and cultural d i m e n s i o n s of its identity in f a v o r of a truly French identity."

The Frontiers of Our Dreams Are No Longer the Same

of their neighborhoods, which they associate with the growth of the immigrant population, and for the deterioration of the schools that have a large proportion of children of immigrants. Many remember nostalgically the more homogeneous, integrated, and, therefore, caring communities in which they grew up, where traditional African clothing would never have been seen on the street. The invasion of their immediate environment by immigrants symbolizes for many the collapse of the working-class neighborhood and of working-class culture (Wievorka 1992). Along these lines, several respondents reject immigrants per se, simply because they are other. For instance, an airplane technician confesses, "When I go to a shopping center where you have young North Africans who are hanging out, sometimes I have negative feelings toward them. It is always at the level of the stereotype, the typical reaction toward foreigners, or some foreigners. . . . I ask myself what are they doing here? My reaction is almost at the aesthetic level. Some have 'sales gueules [shifty looks]."' Undoubtedly, this rejection is linked to the defense of "true French culture," which is threatened not only from the inside by foreigners but also from the outside by Americanization. 6 According to Lapeyronnie (1994), the racism of the French is particularly complex because of the universalist claims of French culture, and because, as a colonizing culture, it had to confront the culture of the colonized that negates this ideal of universalism. 7 For instance, paradoxically, cultural nationalists

203

who believe in the values of the French republic, including universalism and equality, can very well view French culture as superior and reject Muslim immigrants in the name of their inferior culture. While being very critical of racism, they can also welcome Portuguese and Italian immigrants who adapt more easily to French society and reject Muslim immigrants for their inability to assimilate (Noiriel 1988). These disjunctions are to a certain extent possible because, as several of my respondents pointed out, black Martiniquais and Guadeloupains are by right and de facto fully and equally included in the national collectivity, again on the basis of republican ideals. The arrival of a rapidly increasing number of West African immigrants, however, is accelerating the undoing of this relative dissociation between race and racism, on the one hand, and anti-immigrant feelings on the other. 8 Still, a recent survey showed that when asked which category of immigrants poses the greatest difficulty for integration, 50 percent of the French respondents identified North Africans, far more than the 19 percent who named black Africans or the 15 percent who named Asians (Horowitz 1992: 19). Because racial discrimination is not acknowledged by governmental agencies, only recently did antiracist organizations propose to send observers to a governmental office to identify racist practices. 9 The importance of immigrants in the boundaries that the French interviewees draw is particularly remarkable when compared with the place that these men give to alternative

6. The strength of anti-immigrant feelings can be measured by the popularity of the Front National, which is stable and hovers around 11 and 14 percent (Perrineau 1991). 7. For the purpose of this chapter, I use the word "racism" to refer only to exclusion based on skin color and distinguish between the exclusion of immigrants and that of blacks. However, I do not disagree with the perspective adopted by Silverman (1992: 8), who uses the term "racialisation" "to refer to the process by which social relations are conceived as structured according to common biological and/or cultural absolutist characteristics." 8. If many respondents made anti-immigrant statements during the interview, many oppose racism. When presented with a list of qualities and asked which of these qualities they view most negatively, half of the French white-collar workers I talked to chose "racist" in contrast to a quarter of their U.S. counterparts. This was also the case for two-thirds of the French blue-collar workers and a little more than a third of the American blue-collar workers. 9. In a manner that is unthinkable in the U.S. context, where affirmative action policies are widely discussed, Bernard (1995: 10) wonders whether France should continue to uphold the myth of a republican and egalitarian state or risk opening the Pandora's box of racial discrimination legislation that could result in more discrimination.

204

b a s e s of c o m m u n i t y s e g m e n t a t i o n in their d i s c o u r s e on " t h e o t h e r . " M o s t i m p o r t a n t l y , t h e s e w o r k e r s t e n d to d o w n p l a y the internal s e g m e n t a t i o n of their society, at least in relation to i n d i v i d u a l s located in the l o w e r e c h e lons of society. 1 0 I n d e e d , they rarely e x p r e s s f e e l i n g s of s u p e r i o r i t y t o w a r d t h e p o o r , the m a r g i n a l , or the d e v i a n t . " T h e s e c a t e g o r i e s of i n d i v i d u a l s are s i m p l y a b s e n t f r o m their d e s c r i p t i o n s of b o u n d a r i e s . Or else these m e n situate t h e m s e l v e s e x p l i c i t l y in r e l a t i o n to such g r o u p s by i n s i s t i n g that " w e are all w a g e e a r n e r s , w e are all e x p l o i t e d . " W h e n a s k e d to c h o o s e , f r o m a list of traits, f i v e qualities that they f i n d particularly i m p o r t a n t in o t h e r s , a third c h o s e b o t h solidaire and cgalitaire in c o n t r a s t to less t h a n a f i f t h of their c o u n t e r p a r t s in the U n i t e d S t a t e s : also, w h i l e n o n e of the F r e n c h c h o s e " s u c c e s s f u l , " again, a f i f t h of their U.S. c o u n t e r p a r t s did. T h e e g a l i t a r i a n d i s c o u r s e s of l o w - s t a t u s w h i t e - c o l l a r w o r k e r s t e n d to f o c u s on t h e s i m i l a r i t i e s b e t w e e n t h e m s e l v e s and b l u e collar w o r k e r s rather than h i g h - s t a t u s w h i t e c o l l a r w o r k e r s . M a n y , like this postal w o r k e r , e x p l a i n that h o w o n e fits in s o c i e t y is less i m p o r t a n t t h a n the p r i o r i t y o n e g i v e s to f a m i l y and l e i s u r e a c t i v i t i e s , that is, to h a v e " f u n in life, l a u g h a lot, be c a l m , a n d not s t r e s s e d . " A certain m o r a l i s m is o f t e n ass o c i a t e d w i t h this r e j e c t i o n of s o c i a l c l i m b ing; to it is o p p o s e d a notion of t o g e t h e r n e s s , "partage," and egalitarianism. Along these lines, the m e n I talked to f r e q u e n t l y had n e g a t i v e a t t i t u d e s t o w a r d m o n e y and p o w e r , w h i c h they m o s t o f t e n e x p e r i e n c e n e g a t i v e l y as s o m e t h i n g that is c o e r c i v e , r e p r e s s i v e , and d i s e m p o w e r i n g . R e s i s t a n c e to a u t h o r i t y is

Michèle

Lammt

also valued. For instance, when asked what k i n d of p e o p l e he likes, a train t i c k e t s a l e s m a n w h o h a s b e e n i n v o l v e d in the Partie C o m m u n i s t e since 1980 says: T h e r e b e l s , t h o s e w h o in r e l a t i o n t o i n s t i t u t i o n s d o not a c c e p t e s t a b l i s h e d r u l e s , like m a r r i a g e . T h o s e w h o c a n b y t h e i r w o r k , iheir a c t i v i t i e s , t h e i r a c t i o n s , try to s t o p a little bit t h i s t r e n d t o w a r d e c o n o m i c p r o f i t , rentability, s p e e d , w h o are c o m p e t i t i v e in w h a t t h e y d o , in t h e i r i d e a s , in w h o t h e y a r e , w h o a r e not out of a c a s t . . . p e o p l e w h o f i g h t , w h o d o not a c c e p t s o c i e t y as it is. w h o r e f u s e a n u m b e r of t h i n g s , like w a t c h i n g t e l e v i s i o n .

F r e n c h w o r k e r s ' d i s c u s s i o n s c o n c e r n i n g welfare recipients are o f t e n e m b e d d e d in a broad critique of the capitalist system and a c c o m p a nied by rhetoric s u p p o r t i n g r e d i s t r i b u t i o n of work. For instance, a bank clerk says, "I think it is u n a c c e p t a b l e that s o m e people are u n e m ployed while others can work as m u c h as they w a n t . " A w o o d s a l e s m a n c o n c u r s w h e n he says that m a r k e t m e c h a n i s m s s h o u l d not d e termine salaries: " E v e n if people have top responsibility. they get an e x t r e m e l y high salary for what, after all, r e m a i n s only a j o b . I think this is not n o r m a l , a l t h o u g h s o m e p e o p l e d o have responsibilities o v e r the lives of others. 1 think all w o r k e r s s h o u l d be r e a s o n a b l y well p a i d . " L i k e m a n y o t h e r s , this s a l e s m a n o p p o s e s classical liberalism and its invisible hand b e c a u s e it is i n h u m a n and p e n a l i z e s the weakest. Again, social w e l f a r e is not in question; the u n d u e protection of f o r e i g n e r s , w h o are not truly part of the collective " u s , " is. T h e F r e n c h inclusion of the p o o r within c o l l e c t i v e d e f i n i t i o n s of c o m m u n i t y is f u r ther illustrated in F r a n c e ' s p o l i c y t o w a r d the

10. T h e b o u n d a r y b e t w e e n the w o r k i n g c l a s s a n d the b o u r g e o i s i e w a s m o r e s a l i e n t t h a n it is n o w in F r e n c h p u b l i c d e b a t e s b e f o r e 1980. Its i m p o r t a n c e h a s d i m i n i s h e d with the d o w n f a l l of t h e F r e n c h C o m m u n i s t Party and the d e c l i n e in the rate of u n i o n i z a t i o n in the late s e v e n t i e s ( M o u r i a u x 1991). T h i s b o u n d ary and the b o u n d a r y d r a w n a g a i n s t i m m i g r a n t s w e r e not very salient in the i n t e r v i e w s that I c o n d u c t e d w i t h p r o f e s s i o n a l s and m a n a g e r s . F o r an e x p l a n a t i o n of t h e s e t r e n d s , see L a m o n t ( 1 9 9 2 ) , c h a p . 3. 11. B o t h in F r a n c e a n d t h e U n i t e d S t a t e s , m e m b e r s of the u p p e r - m i d d l e c l a s s d r a w s t r o n g e r b o u n d a r i e s o n t h e b a s i s of s o c i a l p o s i t i o n t h a n d o m e m b e r s of t h e l o w e r - m i d d l e c l a s s . F r e n c h p r o f e s s i o n a l s a n d m a n a g e r s a r e m o r e l i k e l y to d r a w b o u n d a r i e s o n t h e b a s i s of p o w e r , s o c i a l b a c k g r o u n d , a n d o c c u p a t i o n t h a n t h e i r U . S . c o u n t e r p a r t s , a l t h o u g h t h e y d o w n p l a y the i m p o r t a n c e of i n c o m e as a b a s i s f o r s t a tus. U . S . p r o f e s s i o n a l s a n d m a n a g e r s s t r e s s i n c o m e m o r e t h a n t h e i r F r e n c h c o u n t e r p a r t s , but d o w n p l a y power, social b a c k g r o u n d , and o c c u p a t i o n . T h e r e f o r e , both u p p e r - m i d d l e - c l a s s g r o u p s are s o m e w h a t elitist but u s e d i f f e r e n t l o g i c s of s e g m e n t a t i o n to d r a w s o c i o e c o n o m i c b o u n d a r i e s .

The Frontiers of Our Dreams Are No Longer the Same

p o o r . F o r i n s t a n c e , the S o c i a l i s t P a r t y g a v e p r i o r i t y to u n e m p l o y m e n t f r o m t h e e a r l y eighties onward. Solidarity b e c a m e a m a j o r t h e m e of its p r o g r a m , in part b e c a u s e it n e e d e d to e m b r a c e m a j o r N e w L e f t i s s u e s s u c h as w o r k e r s e l f - m a n a g e m e n t , f e m i n i s m , a n t i n u c l e a r e n e r g y , and the p r o t e c t i o n of the e n v i r o n m e n t in order to a b s o r b activists w h o f o u n d themselves politically h o m e l e s s after 1968 (e.g., K o u c h n e r 1989). M o s t i m p o r t a n t l y , the Parti S o c i a l i s t e c r e a t e d t h e "revenu minimum d' insertion" ( R M I ) to f a cilitate the i n c l u s i o n of the u n e m p l o y e d and of p a r t - t i m e w o r k e r s . T h i s is part of a w e l l e s t a b l i s h e d national tradition of the solidaristic social i n s u r a n c e p o l i c y that f a v o r s the p o o r a n d the s e l f - e m p l o y e d ( f o r a h i s t o r y , s e e P a u g a m 1993 and B a l d w i n 1990; f o r a c o m p a r i s o n of p e n s i o n , p r i v a t e h e a l t h c a r e , p o v e r t y relief, and o t h e r social b e n e f i t s prog r a m s , in F r a n c e , C a n a d a , and the United States, see E s p i n g - A n d e r s o n 1990: 7 0 - 7 1 ) . In this context, it is not surprising to discover that unlike the United States, F r a n c e d o e s include the poor fellow citizen in its collective definition of self. 1 2

Collectivity, American Style T h e c u l t u r a l s k y l i n e of U . S . s o c i e t y has c h a n g e d c o n s i d e r a b l y s i n c e t h e 1960s. T h e civil r i g h t s m o v e m e n t and o t h e r m o v e m e n t s advocating cultural diversity have done m u c h to t r a n s f o r m the c o l l e c t i v e d e f i n i t i o n of w h a t it m e a n s to be a U . S . c i t i z e n in the m i d - n i n e t i e s . I n d e e d , the i n d i v i d u a l r i g h t s r e v o l u t i o n of the sixties has p r o d u c e d an adv a n c e d c r i t i q u e of m o n o l i t h i c E u r o - A m e r i can culture a n d has w i d e l y c o n t r i b u t e d to the d i f f u s i o n of m u l t i c u l t u r a l i s m as an i d e a l . N o n e t h e l e s s , as Edsall and E d s a l l ( 1 9 9 1 : 22) point out, " E q u a t i n g b l a c k s with w e l f a r e dep e n d e n c y , p a t h o l o g i c a l c u l t u r e and c r i m e , o n

205

the o n e h a n d , a n d liberal i n t e l l e c t u a l s w i t h h i g h taxes, b u s i n g , and social ' e x p e r i m e n t s , ' o n t h e o t h e r , h a s r e s u l t e d in v i r t u a l l y u n i n t e r r u p t e d R e p u b l i c a n c o n t r o l of the W h i t e House since 1968." For white middle-class U.S. c i t i z e n s , b e i n g p o o r and b e i n g b l a c k are two negative and closely associated identities against w h i c h they d e f i n e t h e m s e l v e s as a social entity. I n d e e d , " p r e v a i l i n g l y , A m e r i cans have considered themselves a middle c l a s s n a t i o n in the c u l t u r a l s e n s e of c o n f o r mity. A n d if b e i n g m i d d l e class is [the] stand a r d of s o c i a l b e l o n g i n g in the U . S . A . , the u n d e r c l a s s f a l l s short. . . . [By J insisting that the p o o r b e h a v e like t h e m i d d l e c l a s s [the d e m o c r a t i c p a r t y m a k e s ] r e n e w e d . . . att e m p t s to regain w h i t e w o r k i n g class s u p p o r t and t h e r e b y r e a l i g n the e l e c t o r a t e on t r a d i tional left-right g r o u n d s " ( S i l v e r 1993: 3 4 5 460). A l t h o u g h m u l t i c u l t u r a l i s m is a reality in m a n y p a r t s of the c o u n t r y , the s t a t e s m o s t o f t e n c o n t i n u e to p r o m o t e a n o n i n t e r v e n tionist cultural p o l i c y in the n a m e of the cultural m e l t i n g pot and still r e f u s e to r e c o g n i z e the l a n g u a g e of t h e t w e n t y m i l l i o n H i s p a n i c s w h o call the U n i t e d S t a t e s h o m e , a l t h o u g h m a n y h a v e de f a c t o a c c e s s to g o v e r n m e n t a l s e r v i c e s in their o w n l a n g u a g e . To q u o t e M i c h a e l W a l z e r ( 1 9 9 2 : 101), in t h e U n i t e d S t a t e s , "all are f r e e to d o the best t h e y c a n o n t h e i r o w n b e h a l f . B u t t h e y get n o h e l p f r o m the state, t h e y are all e q u a l l y at risk. . . . T h e r e is n o p r i v i l e g e d m a j o r i t y and there are no exceptional m i n o r i t i e s . " Outside a c a d e m i a , a f f i r m a t i v e a c t i o n p o l i c i e s a r e w i d e l y c o n t e s t e d , a n d a r g u m e n t s to d e f e n d t h e m t e n d to be f r a m e d less in t e r m s of r e p r e s e n t a t i o n of m i n o r i t y c u l t u r e t h a n in t e r m s of r i g h t i n g p a s t i n j u s t i c e s a n d s t r u c tural i n e q u a l i t y . C l e a r l y , in t h e m i n d s of m a n y p e o p l e in t h e U n i t e d S t a t e s , b e i n g a

12. However, this universalist principle is sporadically contested, as it was in 1994 by the report La France de /' An 2000, prepared for the prime minister by Alain Mine. While criticizing "l'exclusion à l'américaine," this report proposes to replace the republican principle of equality by that of equity, according to which the needs of citizens would be taken into consideration in the allocation of social benefits, with the consequence that wealthy individuals would not have access to the same benefits as poor people. Opposition to this report in the name of universalism was vehement. For instance, see Simonnot (1994, 1).

206

Michèle

f e l l o w c i t i z e n still m e a n s b e i n g w h i t e 1 3 a n d middle class.14 Although, workers

as

I talked

was

noted,

to did

not

the

French

draw

strong

b o u n d a r i e s a g a i n s t t h e p o o r , t h e o p p o s i t e is t r u e in t h e U n i t e d S t a t e s . I n d e e d , U . S . i n t e r v i e w e e s m o r e often evaluate people on the b a s i s of t h e i r " s u c c e s s " a n d m o r e

readily

draw boundaries against individuals

below

t h e m s e l v e s on the s o c i o e c o n o m i c ladder. For instance, Frank T h o m p s o n , from Hempstead, L o n g I s l a n d , s a y s that if h e h a d to d r a w a line to d i s t i n g u i s h s u p e r i o r a n d i n f e r i o r p e o p l e , h e w o u l d d r a w it a g a i n s t " s o m e p e o p l e o u t t h e r e I t h i n k t h a t c o u l d d o b e t t e r a n d d o n ' t try. There's

nothing

wrong

even

if y o u

don't

w a n t to b e c o m e s o m e t h i n g , but d o n ' t b l a m e s o m e b o d y e l s e f o r it." S i m i l a r l y , an i n s u r a n c e salesman f r o m Linden w h o does not have a c o l l e g e d e g r e e s a y s that h e f e e l s s u p e r i o r to " p e o p l e w h o h a v e n o c o n t r o l o v e r t h e i r lives. . . . I r e f u s e to b e a v i c t i m of a n y k i n d , f o r a n y b o d y . I ' l l n e v e r let it h a p p e n to m e a n d t h e r e ' s n o r e a s o n w h y a p e r s o n s h o u l d b e that w a y . If a p e r s o n j u s t d o e s n o t h i n g to h e l p themselves, I ' m very hard on these p e o p l e . " A l o n g s i m i l a r lines, R o b e r t , a r e c e i v i n g c l e r k in h i s f i f t i e s w h o s e w o r k r e q u i r e s that h e interact with w a r e h o u s e workers, says: I guess I feel I'm better [than the guys in the warehousel. Better educated, better spoken. Intellectually, culturally, I was going to say upwardly mobile, but that's a drive of my own. I mean they go into the break room, they play cards, I don't see any growth there. T h e y ' r e satisfied the way they are. In fact, one of them is a college graduate, which blew me away but he doesn't impress me at all either. . . . I ' m of a higher type. I don't mean to sound, maybe the word is "indignant," about it, but I ' m a higher-level person, that's all there is to it. I mean, I belong where

Lamont

I am [in the office]. I belong with Jim. and I belong with Verne. W e ' v e had more education. Even setting education aside. I mean, they're in a different world. . . . T h e y ' r e just a higher type. . . . I mean, a couple of guys in the warehouse, they just talk stupid. They mumble. They do all kinds of stupid things. . . . They don't conduct themselves as adults. T h e y ' r e children in m e n ' s clothing. . . . I ' m like 'Get away from m e . " ' L i k e R o b e r t , a n u m b e r of U . S . w h i t e - c o l l a r w o r k e r s explicitly want to identify

them-

s e l v e s w i t h i n d i v i d u a l s w h o a r e h i g h e r o n the socioprofessional

ladder,

instead

of

with

b l u e - c o l l a r w o r k e r s or p e o p l e w i t h l e s s e d u c a t i o n ; to t h e m , t h e t w o d i m e n s i o n s a r e i n e x tricably linked. Again, they also have a negative

view

of

the

poor,

readily

defining

s y m b o l i c b o u n d a r i e s a r o u n d i s s u e s of m o r a l ity. T h e y s t r e s s , h o w e v e r , t r a d i t i o n a l d e f i n i t i o n s of m o r a l i t y — t h e T e n C o m m a n d m e n t s a n d t h e d e f e n s e of t r a d i t i o n a l w o r k e t h i c — more

than

the

French

do.

Indeed,

when

a s k e d t o c h o o s e , f r o m a list, t r a i t s t h a t t h e y d i s l i k e d m o s t , h a l f c h o s e " l a z y " in c o n t r a s t to a f i f t h of t h e i r F r e n c h c o u n t e r p a r t s . S i m i larly, w h e n a s k e d to c h o o s e f i v e t r a i t s t h a t they a p p r e c i a t e , nine out of ten r e s p o n d e n t s chose "responsible," and half chose " h a r d w o r k i n g " in c o n t r a s t to, r e s p e c t i v e l y ,

half

a n d o n e - f i f t h of t h e F r e n c h . As others have argued, U.S. citizens associate poverty with irresponsibility, laziness, a n d l a c k of s e l f - s u f f i c i e n c y , a n d t h e s e a s s o c i a t i o n s s h a p e t h e i r p o l i t i c a l d i s c o u r s e in a significant way, particularly their attitudes t o w a r d altruism and the w e l f a r e state ( K a t z 1989). For instance, after declaring p r o u d l y that h e w a s a d i e h a r d R e p u b l i c a n , o n e of t h e m e n I t a l k e d to e x p l a i n e d t h a t b e i n g R e p u b l i can m e a n s " D o n ' t give anything for nothing.

13. Fully 65 percent of the respondents to the 1993 General Social Survey conducted by the National Opinion Research Corporation agree or strongly agree with the statement that "it is a shame when traditional American literature is ignored while other works are promoted because they are by women or by members of minority groups" (DiMaggio and Bryson 1994, Table 1). Verter (1994) also finds that the majority of U.S. citizens uphold the traditional canon to the exclusion of alternative curricula. 14. As many have argued, people in the United States take poverty to reflect personal deficiency, and they often blame the victim for structural inequality. To illustrate this argument, Lomax Cook has found that U.S. adults are less likely to want to help poor adults than any other segments of the needy population, including children and the handicapped, blaming them for their own fate.

The Frontiers of Our Dreams Are No Longer the Same

I work side by side constantly with blacks, and I have no problem with it. . . . I am prejudiced to a point. . . . What is a nice way to say it. . . . I know this is a generality and it does not go for all, it goes for a portion. It's this whole u n e m p l o y m e n t and welfare gig. What you see mostly on there is blacks. I see it from working with some of them and the conversations I hear. . . . A lot of the blacks on welfare have no desire to get off it. Why should they? It's free money. I can't stand to see my hard-earned money going to pay for someone who wants to sit on their ass all day long and get free money. That's bullshit, and it may be white thinking, but, hey, I feel it is true to a point. . . . You hear it on TV all the time: "We d o n ' t have to do this because we were slaves 400 years ago. You owe it to us." I don't owe you shit, period. I had nothing to do with that and I ' m not going to pay for it. . . . Also. I don't like the deal where a black person can say anything about a white, and that's not considered prejudice. But let a white person say even the tiniest little thing about a black person, and bang, get up in front of Reverend Al Sharpton and all the other schmucks. T h a t ' s bullshit. T h a t ' s double standard all the way along the line.

I n c e n t i v e . . . G o get a j o b . . . [We s h o u l d n o t ] m a k e it s o e a s y to stay o n u n e m p l o y ment, o n w e l f a r e . " A n o t h e r e x p l a i n e d that he w a s a c o n s e r v a t i v e R e p u b l i c a n b e c a u s e he d o e s not "like p e o p l e w h o try to take advantage of t h i n g s and take, take, and g i v e nothing b a c k . " T h e s e m e n are angry that t h e y h a v e to pay s o m u c h in t a x e s to support the p o o r w h o " d o n ' t w o r k at all and get e v e r y thing for f r e e . " 1 5 S u c h w i d e l y h e l d attitudes m a k e it d i f f i c u l t to elaborate a p o l i t i c s of inc l u s i o n in the U . S . c o n t e x t . 1 6 A large p o r t i o n o f the U . S . w o r k e r s I t a l k e d to d e f i n e d t h e m s e l v e s as s o m e w h a t racist or p r e j u d i c e d . W h e n a s k e d to w h o m they f e e l superior and inferior, p e o p l e in the U n i t e d S t a t e s c o n s t a n t l y and s u b t l y s h i f t e d f r o m m o r a l to racial b o u n d a r i e s ,

drawing

b o t h at o n c e , a n d j u s t i f i e d racist attitudes via moral a r g u m e n t s . T h e y reject A f r i c a n A m e r i c a n s by d e f i n i n g t h e m as

parasites

w h o are u n a b l e to e d u c a t e their c h i l d r e n properly. T h e s e t h e m e s r e s o n a t e w i t h the e m p h a s i s on r e s p o n s i b i l i t y , s e l f - s u f f i c i e n c y , and the w o r k e t h i c d i s c u s s e d

previously.

207

T h i s p a s s a g e illustrates h o w in the U n i t e d

A g a i n , they a c c u s e b l a c k s o f " g e t t i n g a w a y

S t a t e s , c l a s s , racial, and m o r a l

w i t h murder . . . w i t h t h i n g s that I w o u l d n ' t

work h a n d - i n - h a n d to e n s u r e that the c o m -

e v e n think o f d o i n g " at w o r k ( c i v i l servant).

m u n i t y is d e f i n e d as " p e o p l e like us," and

T h e y v i e w A f r i c a n A m e r i c a n s as " h a v i n g a

the b l a c k s on w e l f a r e are c o n s t r u e d as living

t e n d e n c y to . . . try to get o f f d o i n g less, the

o f f the w h i t e m i d d l e c l a s s . 1 7 T h i s is further

boundaries

least . . . p o s s i b l e as l o n g as t h e y are still

s u g g e s t e d by recent f i n d i n g s on race and so-

able to k e e p the j o b , w h e r e w h i t e s w i l l put

cial p o l i c y support that s h o w , d r a w i n g on a

in that extra o o m p h " ( e l e c t r o n i c s

techni-

national survey, that "the b l a c k - w h i t e g a p in

cian). Another electronics technician sum-

support for m o r e s p e n d i n g o n S o c i a l S e c u -

m a r i z e s the w a y m a n y p e r c e i v e the situation

rity [ w h i c h b e n e f i t s all c l a s s e s and b l a c k s

w h e n he s a y s :

and

whites

alike]

is o n l y

13

percentage

15. Bobo and Smith (1994) provide survey data showing that attitudes toward the poor vary with the phrasing of the question. For instance, they find high levels of support for welfare benefits, such as social security, that are given to "deserving" individuals. 16. Compared with other Western nations, "the U.S. is consistently at the bottom in its suport for different kinds of social welfare benefits" (Shapiro and Young 1989: 69). The only area of exception is education. See also Coughlin 1980. 17. The racist views of the men I talked to are not exceptional. In their extensive study of change in racial attitudes in the United States, Schuman, Steeh, and Bobo (1985) have found that while more educated respondents show higher levels of support to integration, they also tend to oppose placing whites in settings in which they are no longer in the majority (199). More generally, these authors find that, for both blacks and whites, questions that pertain to the implementation of policies " a l w a y s reveal a much lower level of support than for the principles themselves" (197). Furthermore, "by 1983, the approval of integrated marriage had reached only the same level that approval of integrated transportation had reached in the early 1940s [i.e., 40 percent]" (195).

208

Michèle

points [highest for blacks], whereas the gap is 4 8

percentage

refer explicitly

points

to

when

[policies

questions

that

benefit]

Lamont

natives, suggesting a convergence between F r e n c h a n d A m e r i c a n p a t t e r n s of b o u n d a r y drawing.18

This

refocusing

on

external

blacks." ( B o b o and Smith 1994: 388). T h e

b o u n d a r i e s m i g h t be the indirect result of

percentage

for

the new cultural m o v e m e n t toward multicul-

questions pertaining to helping the poor and

turalism that d e p o l a r i z e s a situation that pits

difference

is

24

percent

s u p p o r t i n g w e l f a r e , w i t h o n l y 31 p e r c e n t of

w h i t e s a g a i n s t b l a c k s . It r e m a i n s t o o e a r l y to

the w h i t e s s u p p o r t i n g policies that help the

tell h o w s u c c e s s f u l t h i s m o v e m e n t is, e s p e -

p o o r in c o n t r a s t t o 5 5 p e r c e n t of A f r i c a n

cially

Americans.

such as a c a d e m i a , m u s e u m s , and

outside

liberal

cultural

institutions publicly

Several authors h a v e suggested that f o r

o w n e d m e d i a , and h o w strong will be the

U . S . c i t i z e n s m o r a l o b l i g a t i o n s a p p l y t o an

a n t i - i m m i g r a n t m o v e m e n t a n n o u n c e d by the

i n c r e a s i n g l y l i m i t e d n u m b e r of p e o p l e d e -

a d o p t i o n of P r o p o s i t i o n 187. H o w e v e r , o b -

fined by c o m m o n b l o o d , ethnicity, and reli-

s e r v e r s s u c h as D o n a l d H o r o w i t z ( 1 9 9 2 : 4 )

gion, or by physical p r o x i m i t y that trans-

h a v e n o t e d that " t h e U n i t e d S t a t e s m a y b e in

lates

into

1988;

a similar

Reinarman

level

(Perin

t h e p r o c e s s of r e d e f i n i n g t h e n a t u r e of its s o -

Sleeper

1991:

ciety and p o l i t y — a process prompted by the

income 1987;

Varenne 1977; and W o l f e 1989). P a r a d o x i -

c o n j u n c t i o n of l a r g e - s c a l e i m m i g r a t i o n w i t h

c a l l y , r a c e a n d c l a s s t r a c e t h e l i m i t s of U . S .

the increased e c o n o m i c and political partici-

society, w h i c h f i n d s itself d e e p l y

p a t i o n of p r e e x i s t i n g r a c i a l m i n o r i t y . "

divided

f r o m w i t h i n d e s p i t e t h e c e n t r a l i t y of t h e c u l t u r a l t h e m e s of e g a l i t a r i a n i s m a n d p o p u l i s m

Québec as Belonging

in U . S . c i v i c c u l t u r e queville

(Lipset

1979;

Toc-

If, in F r a n c e , i m m i g r a t i o n s h a p e s t h e m a i n

1945). M o r e o v e r , U.S. civil

reli-

b o u n d a r y that d i v i d e s F r e n c h s o c i e t y , a n d in

g i o n , w i t h its c u l t u r a l t h e m e s of ment

and

individualism

achieve-

(Bellah

1975),

builds on traditional protestant t h e m e s

to

the

United

States

a

mounting

f r o m t h e p o o r a n d t h e A f r i c a n A m e r i c a n s , in

foster class divisions, r e i n f o r c i n g the belief

Québec,

that people

m a i n b a s e s of p o l a r i z a t i o n .

are to be e v a l u a t e d

by

their

material success (Weber 1958). T h e r e f o r e ,

symbolic

b o u n d a r y separates the white middle class language and culture remain

the

Nationalist m o v e m e n t s with corporatist

immigrants, and particularly Caucasian im-

t e n d e n c i e s h a v e a l w a y s b e e n an

migrants, w h o attempt to a c h i e v e this A m e r -

e l e m e n t of t h e p o l i t i c a l s c e n e in Q u é b e c ( B e -

important

ican d r e a m are m a d e part of " u s " (Lieberson

h i e l s 1985). S i n c e t h e s i x t i e s , Q u é b é c o i s n a -

1 9 8 0 ) . T h e s e i m m i g r a n t s still h o l d a p r i v i -

tionalists h a v e attempted to increase

l e g e d p l a c e in t h e c o u n t r y ' s c o l l e c t i v e s e l f -

a b i l i t y to d i r e c t t h e o r i e n t a t i o n of Q u é b e c so-

i m a g e , in p a r t b e c a u s e t h i s c o u n t r y is f i r s t a

c i e t y , in p a r t b y g a i n i n g c o n t r o l o f t h e e c o -

country

"at

n o m i c l e v e r s n o w in t h e h a n d s of t h e f e d e r a l

least f o r W h i t e s , the society c o u l d m a k e n o

s t a t e . T h i s p r o j e c t w a s p r o p e l l e d f o r w a r d in

of

immigrants

and

therefore

distinctions between indigenes and

their

immi-

1 9 6 8 b y t h e c r e a t i o n of t h e P a r t i Q u é b é c o i s

g r a n t s . It h a d n o s t r o n g l y o r g a n i c c o n c e p t i o n

(PQ), whose political agenda centers around

of A m e r i c a n n e s s " ( H o r o w i t z 1 9 9 2 : 8). R e -

t h e p o l i t i c a l s e l f - d e t e r m i n a t i o n of Q u é b é c o i s

cently, debates s u r r o u n d i n g i m m i g r a n t s h a v e

as a c o n d i t i o n f o r t h e c o n t i n u e d s o c i a l , e c o -

a g a i n b e c o m e m o r e c e n t r a l in t h e U . S . p u b -

n o m i c , and cultural d e v e l o p m e n t of Q u é b e c

lic s p h e r e , a n d t h e s e d e b a t e s c e n t e r o n t h e

as a distinct society. T h e P Q c a m e to p o w e r

c o s t of i m m i g r a t i o n — a n d p a r t i c u l a r l y C e n -

in 1 9 7 6 a n d w a s r e e l e c t e d in 1981 f o r a s e c -

tral

o n d t e r m . A f t e r a h i a t u s , it w a s

U.S. and

Caribbean

immigration—to

reelected

18. Of course, the United States has a history of anti-immigrant attitudes, particularly among older and less-educated people (Espenshade and Calhoun 1993).

The Frontiers of Our Dreams Are No Longer the Same again in 1994. 1 9 In 1981, its policy of cultural n a t i o n a l i s m led to the a d o p t i o n of Bill 101 that m a d e F r e n c h the only o f f i c i a l lang u a g e of the p r o v i n c e , e x p a n d e d the use of F r e n c h as the w o r k i n g l a n g u a g e , r e q u i r e d n e w c o m e r s to send their c h i l d r e n to F r e n c h s c h o o l s , and c h a n g e d r e g u l a t i o n s to m a k e French the p r o m i n e n t l a n g u a g e in advertisem e n t s . 2 0 Its policy of e c o n o m i c n a t i o n a l i s m led to the g r o w t h of an important public sector that acts as an i n t e r m e d i a r y b e t w e e n the local b u s i n e s s c l a s s and E n g l i s h C a n a d i a n and foreign capital. Until the end of the seventies, the party also f a v o r e d s o c i a l - d e m o c ratic policies, " s u b o r d i n a t i n g e c o n o m i c rentability to social rentability" (Parti Q u é b é c o i s 1977: 15). The social link that unifies Q u e b e c e r s is very d i f f e r e n t f r o m that f o u n d in France and in the U n i t e d S t a t e s . Q u é b e c society is d e e p l y d i v i d e d n a t i o n a l l y : since the s e v e n ties, m o r e than 65 percent of f r a n c o p h o n e s living in Q u é b e c have consistently chosen to identify t h e m s e l v e s as Q u é b é c o i s rather than C a n a d i a n s or F r e n c h C a n a d i a n s , this selfidentification being the strongest predictor of support for i n d e p e n d e n c e (Cloutier, Gay, and L a t o u c h e 1992). As such, Q u é b é c o i s identify t h e m s e l v e s as m e m b e r s of a distinct n a t i o n within C a n a d a ; w h e r e a s most a n g l o p h o n e s in Q u é b e c d e f i n e t h e m s e l v e s as C a n a d i a n s , all o p h o n e s h a v e a distinct identity of their o w n : they are n e w c o m e r s w h o are e n c o u r a g e d by law to b e c o m e f r a n c o p h o n e but o f t e n i m m i g r a t e to Q u é b e c b e c a u s e they want to b e c o m e part of a p r e d o m i n a n t l y

209

anglophone North American dream. These intranational boundaries shape Québécois and English C a n a d i a n nationalism alike (Jenson 1994). A b o r i g i n a l people, w h o also view t h e m s e l v e s as m e m b e r s of a distinct nation, add to the internal division of Q u é b e c society and to the f r a g m e n t a t i o n of P a n - C a n a d i a n identity. P a n - C a n a d i a n identity itself has been severely dismantled: most people agree that C a n a d a n o w has three nations facing one a n o t h e r — E n g l i s h C a n a d i a n , Q u é b é c o i s , and a b o r i g i n a l — i n addition to a n u m b e r of ethnic groups of recent immigrants. C a n a d i a n and Q u é b e c nationalism are in s o m e w a y s i n c o m p a t i b l e : on the o n e h a n d , C a n a d i a n cultural and e c o n o m i c nationalism h a v e h i s t o r i c a l l y r e i n f o r c e d the C a n a d i a n federal state to c o u n t e r U.S. i n f l u e n c e , t h e r e b y i n f r i n g i n g on or limiting indirectly the j u r i s d i c t i o n of the Q u é b e c g o v e r n m e n t . On the other hand, Q u é b e c nationalists have a l w a y s s t r o n g l y o p p o s e d an i n c r e a s e in the i n t e r v e n t i o n of the f e d e r a l g o v e r n m e n t in Q u é b e c society. F u r t h e r m o r e , the t w o t y p e s of n a t i o n a l i s m s have d e f i n i t i o n s of in-group and o u t - g r o u p that are i n c o m p a t i b l e , C a n a dian n a t i o n a l i s m p r e s u p p o s i n g a single pannational identity d e f i n e d in opposition to the U.S. n e i g h b o r ( B a s h e v k i n 1991: 26; Breton, Reitz, and Valentine, 1980, 289). In Q u é b e c , the f r a n c o p h o n e c o m m u n i t y d e f i n e s itself in o p p o s i t i o n to the a n g l o p h o n e c o m m u n i t y , d r a w i n g on a c o m m o n m o r a l and aesthetic c u l t u r e and a c o m m o n history. At the s a m e time, many Québec intellectuals supported the N o r t h A m e r i c a n Free T r a d e A g r e e m e n t

19. A m o n g the c o n d i t i o n s that m a d e p o s s i b l e the s u c c e s s of the Parti Q u é b é c o i s , social scientists have isolated (1) the e x i s t e n c e o f a s e m i a u t o n o m o u s state that c o u l d be u s e d as a tool for c o l l e c t i v e political and e c o n o m i c d e v e l o p m e n t ; (2) the e x i s t e n c e of an ethnically differentiated population regrouped within the territory o f this s e m i a u t o n o m o u s state; and (3) the rapid g r o w t h of a p r o f e s s i o n a l class that a s s u m e d a strong regional political leadership ( M o n t c a l m 1984: 5 2 ) . 20. It w a s in the n a m e of Q u é b é c o i s c o l l e c t i v e rights to protect their cultural d i s t i n c t i v e n e s s that Bill 101 passed. Many a l l o p h o n e s and E n g l i s h Canadians s a w this and other m e a s u r e s as infringing on their h u m a n rights ( T h o r s e l l 1 9 9 4 ; M a s s e 1994: 128). A b o r i g i n a l s a l s o a p p e a l e d to their c o l l e c t i v e rights w h e n negotiating their p o s i t i o n within the Canadian c o n f e d e r a c y , arguing that c o l l e c t i v e rights supersede individual rights in matters p e r c e i v e d to be vitally important to a c o m m u n i t y . D e b a t e s surrounding the protection o f minorities in Q u é b e c are o f t e n f r a m e d around the o p p o s i t i o n b e t w e e n c o l l e c t i v e and individual rights. C o l l e c t i v e rights ratified by the U n i t e d N a t i o n s entitle p e o p l e to cultural and p o litical s e l f - d e t e r m i n a t i o n . T h e r e f o r e , p e o p l e h a v e the right to g i v e t h e m s e l v e s g o v e r n m e n t s that protect and promote their v a l u e s , their cultures, and the c o m m o n g o o d .

210

Michèle

as a c o n v e n i e n t s o u r c e of e c o n o m i c opment

that

diminishes

devel-

dependency

Ottawa.21 Few Quebecers share with

Lament

f o l k l o r i z a t i o n of f r a n c o p h o n e c u l t u r e

ar.d

on

a r g u e t h a t it d o e s n o t n e e d t o b e s u b s i d i z e d

Pan-

o n a p e r - e v e n t b a s i s b e c a u s e it is a c u l t u r e

C a n a d i a n n a t i o n a l i s t s a v i e w of the U n i t e d

t h a t is f u l l y a l i v e a n d in t h e m a k i n g . 2 2 T h e

States as the m a i n e n e m y ( R e s n i c k

m o d e l o f m u l t i c u l t u r a l i s m à l'américaine

For m o s t , the real " t h e m " r e m a i n s

1990).

is

English

c r i t i c i z e d a s a m o d e l t h a t p r e s u m e s t h a t in-

C a n a d a ( B a s h e v k i n 1991: 165). T h i s orienta-

d i v i d u a l s e n g a g e in t h e i r e t h n i c c u l t u r e v o l -

tion d i m i n i s h e s the s a l i e n c e of i n t r a n a t i o n a l

untarily, m a k i n g their e t h n i c identity salient

differences among francophone Quebecers,

intermittently

m o s t of w h o m s u p p o r t a s t r o n g w e l f a r e s t a t e

w o r d s , in s u c h a m o d e l , e t h n i c c u l t u r e s are

(Baer, Grabb, and Johnston

o n e of m a n y p o s s i b l e lifestyle e n c l a v e s from

1993).

Since the sixties, the federal

govern-

(Waters

1990).

In

other

w h i c h i n d i v i d u a l s m o v e in a n d o u t , a n d as

sym-

such, they are antithetical to " r e a l " historical

b o l i c s t a t u s of t h e f r a n c o p h o n e p o p u l a t i o n in

c u l t u r e s s u c h a s t h a t of Q u é b e c , in w h i c h in-

C a n a d a a n d to i n c r e a s e t h e i r

dividuals

m e n t h a s d o n e m u c h to i m p r o v e the

incorporation

into the national entity (Breton

1984). For

are

organically.21

involved

To

paraphrase Kincaid (1994: 80), participation

i n s t a n c e , it h a s d o w n p l a y e d C a n a d a ' s link t o

in Q u é b e c c u l t u r e is n o t a c o n s u m e r c h o i c e ,

the British e m p i r e and to the royal f a m i l y by

but a d e e p cultural loyalty to a place, w h i c h

adopting a new national anthem, a new con-

l o y a l t y is d e f i n e d b y o n e ' s p o l i t i c a l a n d re-

s t i t u t i o n . a n d n e w d o l l a r b i l l s . It h a s a l s o r e -

g i o n a l i d e n t i t y , a s e n s e of n a t i o n a l c i t i z e n -

n a m e d a n u m b e r of state c o r p o r a t i o n s

and

ship, and an u n d e r s t a n d i n g of s e l f - a c t u a l i z a -

r e c o g n i z e d t h e s t a t u s o f F r e n c h as o n e o f

tion

two official national languages.

identity.

Simultane-

ously. the federal g o v e r n m e n t has p r o m o t e d a p o l i c y of m u l t i c u l t u r a l i s m that h a s b e e n strongly o p p o s e d by the Q u é b e c

intellectu-

als, w h o a r g u e that this m u l t i c u l t u r a l b i l i n g u a l v i s i o n of C a n a d i a n

society

and con-

that

is

mediated

by

this

Since the sixties, Q u é b e c

communal intellectuals

h a v e p l a y e d a n i m p o r t a n t r o l e in d e f i n i n g t h e s y m b o l i c b o u n d a r i e s of Q u é b e c s o c i e t y by celebrating

this

communal

identity

that

Q u é b é c o i s s h a r e , d e f i n i n g it, f o r i n s t a n c e , a s

structs Q u é b e c c u l t u r e as an e t h n i c c u l t u r e

a "linguistic

c o m p a r a b l e t o t h a t of A l b e r t a n s of U k r a i n i a n

g r o u p a n d p r o v i d e s i m a g e s of its r e a l i t y a n d

origin. T h e s e i n t e l l e c t u a l s w a n t to avoid the

o f its c o l l e c t i v e

conscience"

that

unifies

origins and the

the

common

21. M a n y Q u é b é c o i s , h o w e v e r , o p p o s e U.S. cultural i m p e r i a l i s m . A c c o r d i n g to Breton et al. (1980: 302), opposition to U.S. culture is one of the few symbols generative of solidarity between f r a n c o p h o nes and anglophones in C a n a d a : "This American presence does not facilitate the e m e r g e n c e of a Canadian culture, although it may indirectly facilitate cross-cultural c o m m u n i c a t i o n by bringing about a certain degree of h o m o g e n e i t y between f r a n c o p h o n e s and a n g l o p h o n e s " (303). 22. Lise B i s s o n n e t t e ( 1 9 9 2 a : 2 3 1 ) a r g u e s that m u l t i c u l t u r a l i s m C a n a d i a n - s t y l e is a m y t h b e c a u s e almost e v e r y w h e r e e x c e p t T o r o n t o , e t h n i c c u l t u r e s lose their d i s t i n c t i v e n e s s in a C a n a d i a n c u l t u r a l m e l t i n g pot and r e m a i n a l i v e m o s t l y in their f o l k l o r i c d i m e n s i o n s . S h e a l s o a r g u e s ( 1 9 9 2 b ) t h a t U . S . c i t i z e n s and E n g l i s h C a n a d i a n s w h o d e f e n d the s u r v i v a l of Q u é b e c c u l t u r e m o s t o f t e n h a v e in m i n d a c u l t u r e that is "little m o r e than an e t h n i c h e r i t a g e . For A m e r i c a n s w h o still b e l i e v e in the ' m e l t i n g p o t , ' Q u é b é c o i s c u l t u r e a p p e a r s to be a r e m a r k a b l y r e s i s t a n t strain, a b i z a r r e t h r o w b a c k r o o t e d in t h e p r e c i o u s r e l i c s and m e m o r i e s of the F r e n c h r e g i m e . In the e y e s of E n g l i s h C a n a d i ans . . . Q u é b é c o i s c u l t u r e is j u s t o n e stem in the great and c o l o r f u l c u l t u r a l b o u q u e t w h i c h bloss o m s f r o m c o a s t to c o a s t . . . . | T h e y ] u s u a l l y t h i n k of [ Q u é b e c ' s ] h i s t o r i c a l h e r i t a g e . Be it G e n eral M o n t c a l m or M a r i a C h a p d e l a i n e , e v e r y o n e is h a p p y to see us n u r t u r e a vivid m e m o r y of t h e s e l i n g e r i n g t r a c e s of Old F r a n c e in A m e r i c a . " T h i s view of Q u é b e c n a t i o n a l i s m is d i a m e t r i c a l l y o p p o s e d to t h e c o n c e p t i o n of Q u é b é c o i s c u l t u r e as a l i v i n g e n t i t y d e p i c t e d in r e c e n t w r i t i n g s by Québec intellectuals. 23. On the concept of lifestyle enclave, see Bellah, M a d s e n , Sullivan, Swidler, and Tipton (1985).

The Frontiers of Our Dreams Are No Longer the Same

f u t u r e . 2 4 All a g r e e that b e c a u s e Q u é b é c o i s h a v e such a s h a r e d c o n s c i e n c e , they are m o r e than a p o p u l a t i o n : they m a k e up a people. 2 5 F u r t h e r m o r e , b e c a u s e "linguistic identity is a m o n g the p r i m o r d i a l c a t e g o r i e s of c l a s s i f i c a t i o n that c a n n o t be n e g o t i a t e d " ( L o c h e r 1993: 150), a n d b e c a u s e Q u é b e c is d i v i d e d linguistically, l a n g u a g e a n d — b y ext e n s i o n — c u l t u r e are u n a v o i d a b l e c l a s s i f i e r s in this society. A n d this is true e v e n t h o u g h Q u e b e c e r s c e l e b r a t e their o w n culture while increasingly d e f i n i n g t h e m s e l v e s as m e m b e r s of a c o s m o p o l i t a n and i n t e r n a t i o n a l , but increasingly anglophone, culture. Indeed, social scientists find that Q u é b e c nationalism is b e c o m i n g m o r e i n c l u s i v e , p a r t i c u l a r l y a m o n g the y o u n g e r g e n e r a t i o n s ( L o c h e r 1993: chap. 8). A brief survey of recent influential writings by Q u é b e c i n t e l l e c t u a l s s u g g e s t s the centrality of the e m o t i o n a l d i m e n s i o n of Q u é b é c o i s identity and the new salience of a quest for a m o r e c o s m o p o l i t a n f o r m of Québécois nationalism.26 Charles Taylor

211

(1992a: 221), the most respected a n g l o p h o n e n a t i o n a l i s t Q u é b e c intellectual, has a r g u e d that the independentist m o v e m e n t is increasingly b a s e d on an e m o t i o n a l desire for reco g n i z a n c e of Q u é b e c ' s cultural d i s t i n c t i v e ness. A l o n g s i m i l a r lines, writing against a b a c k w a r d - l o o k i n g e s s a y i s t such as D u f o u r ( 1 9 8 9 ) for w h o m the i n d e p e n d e n t i s t m o v e ment is based on a fear of assimilation and a c o m m o n e x p e r i e n c e of e x p l o i t a t i o n and a l i e n a t i o n , M a r t i n M a s s e , in his b e s t - s e l l e r Identités collectives et civilisation. Pour une vision nonnationaliste d' un Québec indépendant, p r o p o s e s that Q u e b e c e r s i n c r e a s i n g l y d o / s h o u l d b a s e their c l a i m to i n d e p e n d e n c e on their desire to fully e x p e r i e n c e their distinct e t h n i c and cultural identity, e x p r e s s e d in " w a y s of dressing, religious c u s t o m s , f a m ily S u n d a y dinners, musical styles, all kinds of f r a m e s of life that c o u l d be d i f f e r e n t but acquire a certain value b e c a u s e of their collective n a t u r e , b e c a u s e they allow the individual to d e f i n e h i m s e l f in relation to his r o o t s " (1994: 79). A c c o r d i n g to Masse,

24. Many of the submissions presented in 1990 by a wide range of intellectuals and by cultural and social groupings to the provincial Belanger-Campeau Commission on the political and constitutional future of Québec society echoes a "need to create a new territory (both geographical and psychological) in which the sacred characteristics of the Québécois identity could be enshrined in a political form and in which a measure of the authority could be regained over social and economic processes which have become increasingly fragile" (Burnett 1992: 224). 25. It was only in the sixties that federal political parties, notably the Progressive Conservatives and the New Democratic Party, recognized the peoplehood of French Canadians. They began advocating a special status for Québec within the Confederation, given that Québecers have a definable territory, common language, common culture, c o m m o n history, and distinct political and economic institutions. According to Baum (1992: 204), their position contrasts with that of the federal Liberal Party, which, when headed by Pierre Eliot Trudeau, "defended the view that French Canadians spread over the whole of Canada, and not Québecers, constitute a people. This sort of peoplehood would not ground the right to self-determination since French Canadians hold no common territory and have no political and economic institutions that enable them to act collectively." 26. Although the present analysis focuses on the writings of a few key individuals, it is also informed by a reading of a larger sample of short pieces by contemporary Québec essayists, scholars, and journalists (Dodge 1992) and on a content analysis of Québec intellectual magazines up to the mid-eighties (Fortin 1993). I am concerned primarily with the writings of Québec intellectuals published after the failure of the Meech Lake agreement, because this event is widely viewed as a watershed in QuébecOttawa relations. This agreement would have recognized that Québec is a distinct society. It would have given the Québec government an obligation to protect Canadian duality on Québec territory and to promote the distinctive features of Québec society within the Canadian confederacy. After the failure of the agreement, the percentage of the Québec population that supported independence soared to a historic high of 63 percent. This failure also resulted in the creation of a new political party in Québec, the Bloc Québécois. This federal party is currently the official opposition party in Ottawa, and its main objective is to promote Québec's independence and to protect Q u é b e c ' s interests in the Canadian confederation.

212 these frames of life will develop more freely in an independent Québec, because they are now constrained by the integrating, but meaningless, d e m a n d s of Pan-Canadian nationalism. This echoes T a y l o r ' s (1992b: 58) point that Q u é b e c ' s cultural nationalism is aimed at "creating m e m b e r s of the c o m m u nity . . . in assuring that future generations continue to identify as French-speakers." For these and other Québec intellectuals, the goal is more the survival of a cultural c o m m u n i t y than it is the survival of a language or the ongoing drawing of moral boundaries against an English Canadian population guilty of past exploitative and colonialist behavior. This non-nationalist rationale for independence is compatible with the interests of minorities in Q u é b e c because, according to Masse, it aims to break the equation between Québécois de souche and Québécois and to equate Québecitude with sharing the same project of society defined by a distinct literature, dance, theater, architecture, visual art, and music. Advocating independence and Québecitude would mean sustaining a collective sense to life in the context of a strong c o m m u n i t y and promoting a view of contemporary Q u é b e c where anglophones are not the immoral oppressors but "an important part of society and North America an important part of our life" (Masse 1994: 185). This perspective is also supported by the Groupe de réflection sur les institutions et la citoyenneté (GRIC), whose members signed a well-publicized manifesto in favor of a pluralistic independent Québec, defining themselves against a more organic nationalism (Groupe de réflection sur les institutions et la citoyenneté 1994). Québec intellectuals increasingly share this cosmopolitan nationalism that aspires—if it is at all possible—to reinforce internal boundaries while downplaying external ones. As Lise Bissonnette (1992a: 232), the influential publisher of Le Devoir, puts it, "the francophone majority does not have to apologize for breathing its own air, and . . . different

Michèle

Lamont

cultures can mingle with the French-speaking one." Again, in this new quest for cosmopolitan nationalism, new definitions of nousautres and vous-autres would be less antagonistic toward English Canada and the United States and more centered around Q u é b e c ' s cultural distinctiveness—within the context of a broadened cultural repertoire. 2 7 A long-term study is needed to identify the stability of these trends. It should be noted that historically, Québec nationalists f r o m l ' A b b é Lionel Groulx onward have proposed a view of French Canadians, or Quebecers, as a race sharing a distinct essence due to its unique shared historical experience and distinct identity (Monière 1977). This organic view of the nation is shared by many nationalist organizations, including the influential Société St-Jean-Baptiste, and is adopted by an important fraction of the Parti Québécois, represented today by former Ministre de l'Education Camille Laurin. Cosmopolitan or pluralist intellectuals have explicitly defined themselves against this line of thought, arguing that immigrants can become "de vrais Québécois." Many anglophones will argue that this weakening of boundaries toward them is far from a reality. Mordicai Richler's Oh Canada, Oh Québec (1992), which associates the history of Québec nationalism with racism and anti-Semitism, was widely reviewed in Canada. It received very negative press in Québec, not only because historians showed the book to be empirically unsubstantiated (see interview with Anctil in Lisée 1992), but also because it came out at the very m o m e n t when the trend of cosmopolitan nationalism was taking off. Whether the trend is becoming a reality remains to be seen. An in-depth study of seven n e i g h b o r h o o d s in Montreal found that this city has a very low level of interethnic conflict c o m p a r e d with other m a j o r North American cities. Although the use of public space, such as public parks, is highly segmented by ethnicity—as well as

27. For more details on this model of cultural o m n i v o r e s applied to U.S. culture, see Peterson 1992.

213

The Frontiers of Our Dreams Are No Longer the Same

by age and g e n d e r — o p e n public conflicts

s u c h as H i s p a n i c s a n d P o r t u g u e s e , a r e t a k e n

between

in as m e m b e r s o f t h e c o l l e c t i v i t y

francophones

and

anglophones

(Noiriel

w i t h i n n e i g h b o r h o o d s a r e r a r e ( G e r m a i n et

1988). For their part, internal

boundaries

al. 1 9 9 4 : 3 1 ) . F u r t h e r m o r e , a c c o r d i n g t o lin-

against blacks and the poor are d o w n p l a y e d

g u i s t i c p o l i c y m a k e r s , t h e s i t u a t i o n of Q u é b é -

in t h e n a m e of F r e n c h u n i v e r s a l i s m a n d a

cois anglophones remains greatly privileged

view

b e c a u s e " t h e y still h a v e r i g h t s , i n s t i t u t i o n s

egalitarianism, and humanism.

of

morality

that

stresses

solidarity,

a n d s e r v i c e s that w o u l d m a k e a l m o s t a n y m i -

In t h e U n i t e d S t a t e s , t h e w h i t e m i d d l e

n o r i t y in t h e w o r l d j e a i o u s . . . . F o r i n s t a n c e ,

class d r a w s boundaries against the poor and

t h e E n g l i s h v e r s i o n of Q u é b e c l a w s is p u t o n

African Americans, with moral

the s a m e foot as the French version. . . .

that s t r e s s r e s p o n s i b i l i t y a n d w o r k e t h i c s . A l -

S y m b o l i s m s p e a k s " ( D u f o u r 1989). Racial

t h o u g h internal class b o u n d a r i e s are

b o u n d a r i e s t h e m s e l v e s are less salient than

forced,

e l s e w h e r e in N o r t h A m e r i c a , in part b e c a u s e

" A m e r i c a n d r e a m " a r e m o r e e a s i l y m a d e part

the n o n - C a u c a s i a n population remains rela-

of t h e c o l l e c t i v e " u s " t h a n a r e A f r i c a n A m e r -

immigrants

who

arguments

partake

in

reinthe

tively small and because m a n y immigrants,

i c a n s . C u l t u r e a n d l a n g u a g e d o n o t p l a y an

s u c h as t h e H a i t i a n s , V i e t n a m e s e , a n d N o r t h

i m p o r t a n t r o l e in t h e b u i l d i n g of b o u n d a r i e s

more

because no specific minority culture exists

r e a d i l y i n c l u d e d in t h e f r a n c o p h o n e c o m m u -

Africans,

are

French-speaking

and

t h a t is i d e n t i f i e d a s p a r t i c u l a r l y in n e e d of

nity. 2 i < I n d e e d , r e s e a r c h s h o w s t h a t F r e n c h -

protection through state intervention.

speaking blacks integrate better into Q u é b e c

contrast

society than English-speaking whites,

between

France

and

the

The

United

lan-

S t a t e s , in t h e i r t r e a t m e n t of r a c e a n d i m m i -

g u a g e o u t w e i g h i n g r a c e in t h e d y n a m i c of

g r a t i o n p o l i t i c s , is w r i t t e n in t h e r o l e t h a t

segregation.-9

F r e n c h l a w a n d t h e U . S . C o n s t i t u t i o n g i v e to minority rights.

Conclusion

Finally,

in t h e

Québec

case,

internal

T h i s b r i e f s k e t c h of t h e e x t e r n a l a n d b o u n d -

class differences are also d o w n p l a y e d

ary

the

strong external b o u n d a r i e s are drawn on the

U n i t e d S t a t e s , a n d Q u é b e c still b e g s q u a l i f i -

b a s i s of l i n g u i s t i c a n d c u l t u r a l d i f f e r e n c e s ,

cation

questions.

opposing English Canadian and Québécois.

H o w e v e r , this sketch d o e s suggest the pres-

R a c e and i m m i g r a t i o n are less salient than

patterns

that

prevail

in

France,

a n d r a i s e s a n u m b e r of

and

e n c e of t h r e e s o m e w h a t c o n t r a s t e d m o d e l s in

t h e y a r e in t h e U . S . a n d F r e n c h c a s e s , b e -

w h i c h m o r a l b o u n d a r i e s p l a y a k e y r o l e : in

c a u s e t h e y a r e s u b o r d i n a t e d to t h e l i n g u i s t i c

France,

and cultural boundary opposing francopho-

external

boundaries

are

erected

toward Muslim immigrants whose particular-

nes and anglophones. Again, moral

i s t i c c u l t u r e is v i e w e d as f u n d a m e n t a l l y in-

aries play a key role here. Moral arguments

c o m p a t i b l e with a universalistic French cul-

j u s t i f y i n g t h e e x c l u s i o n of E n g l i s h C a n a d i -

t u r e . T h e d e f e n s e of F r e n c h c u l t u r e , b u t n o t

ans, h o w e v e r , are primarily b a s e d on a his-

of F r e n c h l a n g u a g e , a l s o p l a y s a n i m p o r t a n t

tory of e c o n o m i c e x p l o i t a t i o n and political

p a r t in t h e c o n s t r u c t i o n o f

bound-

anti-immigrant

s u b o r d i n a t i o n i n s t e a d of w o r k e t h i c p r i n c i -

f e e l i n g s , p a r t i c u l a r l y b e c a u s e t h i s c u l t u r e is

p l e s , as in t h e U n i t e d S t a t e s , o r s o l i d a r i t y a n d

t h r e a t e n e d f r o m t h e i n s i d e as w e l l as f r o m

u n i v e r s a l i s m , as in F r a n c e . T h e r e f o r e , w h e r e -

the outside by Americanization. Historically,

as b o t h t h e F r e n c h a n d t h e Q u é b e c m o d e l s

immigrants

a r e m o r e D u r k h e i m i a n t h a n t h e U . S . m o d e l in

w h o a d a p t to F r e n c h

culture,

28. For a discussion of racism in Canada and the United States, see Reitz and Breton (1994: 130). 29. See Monnier (1993); Deschamps (1990). It should be noted, however, that Lipset (1991) argues that overall, Canadians are less supportive of multiculturalism than people in the United States are. For instance, "A larger proportion of Americans than Canadians (47 to 34 percent) thought it would be better for newcomers to preserve their culture than to assimilate" (187).

214

Michèle

that they d o w n p l a y i n t e r n a l c l a s s d i f f e r e n c e s and maintain stronger external

Lamont

b o u n d a r i e s , m o r a l traits that c a n b e e x p l a i n e d

boundaries

by c i r c u m s t a n c e s i n s t e a d of by e s s e n t i a l i s t ar-

e r e c t e d t o w a r d t h e o u t s i d e , t h e U . S . m o d e l is

g u m e n t s c o u l d b e m o r e a m e n a b l e to c h a n g e

more

and

divided

Americans

internally

against

and the poor, and

African

historically

therefore

could

produce

potentially

w e a k e r internal and external boundaries.

m o r e o p e n t o w a r d t h e o u t s i d e , as is s u g -

F u t u r e r e s e a r c h s h o u l d e x p l o r e t h e s e is-

g e s t e d by t h i s s o c i e t y ' s a b i l i t y to a b s o r b i m -

s u e s at g r e a t e r l e n g t h . It s h o u l d a l s o r e c o n -

migrants.30

s t r u c t t h e c o u r s e of t h e m o r a l s t e r e o t y p i n g of

O f t h e p r i n c i p l e s of d i v i s i o n

analyzed

g r o u p s to e l u c i d a t e t h e c r e a t i o n of w e a k a n d

here—immigration/citizenship, race, poverty,

s t r o n g b o u n d a r i e s . C u r r e n t c h a n g e s in atti-

and l a n g u a g e / c u l t u r e — w h i c h

tudes

ducive

to

integration?

Can

is m o s t one

con-

toward

immigration

in

the

United

establish

S t a t e s m i g h t b e p a r t i c u l a r l y i l l u m i n a t i n g in

w h e t h e r s o c i e t i e s in w h i c h t h e m a i n b o u n d -

t h i s r e s p e c t . F i n a l l y , by c o m p a r i n g t h e i n d e -

aries are primarily based on ascribed c h a r a c -

p e n d e n t i s t m o v e m e n t in Q u é b e c w i t h o t h e r

teristics are m o r e c o n d u c i v e to

self-determination m o v e m e n t s , one can bet-

exclusion

t h a n s o c i e t i e s in w h i c h b o u n d a r i e s a r e b a s e d

ter u n d e r s t a n d

on a c h i e v e d characteristics? W e b e r

b o u n d a r i e s affect the possibility and condi-

(1978)

p o i n t s o u t that a n y a t t r i b u t e c a n b e u s e d f o r

how

internal

and

external

t i o n s of s u c c e s s f o r s u c h m o v e m e n t s .

t h e c r e a t i o n of s t a t u s b o u n d a r i e s , w h i c h s u g -

O n e of t h e m a i n c h a l l e n g e s that F r e n c h ,

g e s t s that n o t r a i t s a r e p e r se m o r e o r less

U . S . , a n d Q u é b e c s o c i e t i e s f a c e at t h i s p o i n t

c o n d u c i v e t o e x c l u s i o n . T h e t y p e s of m o r a l

is t o s u c c e e d in s i m u l t a n e o u s l y m a i n t a i n i n g

or cultural connotations associated with both

a s t r o n g s e n s e of c o l l e c t i v e i d e n t i t y w h i l e re-

ascribed and achieved characteristics appear

d u c i n g t h e b o u n d a r i e s that t h e y e r e c t a g a i n s t

to be m o r e crucial. O n the one h a n d , the pro-

the "other." As w a s noted, there are impor-

m o t i o n of a c o m m o n c u l t u r a l h e r i t a g e is crit-

tant m o v e m e n t s toward the r e c o g n i t i o n

ical in t h e a r g u m e n t s u s e d t o c r e a t e s t r o n g

t h e m u l t i c u l t u r a l c h a r a c t e r of b o t h

external

and U.S. societies (Aufderheide 1991: Ber-

boundaries

both

in

France

Q u é b e c . On the other hand, m o r a l

and

of

French

bound-

m a n 1992; and K o u c h n e r 1989). T h e broad-

a r i e s m i g h t b e m o r e c o n d u c i v e to w e a k e r in-

e n i n g of c u l t u r a l r e p e r t o i r e s , as i l l u s t r a t e d b y

ternal or external b o u n d a r i e s b e c a u s e moral

t h e n e w c o s m o p o l i t a n n a t i o n a l i s m in Q u é b e c ,

c h a r a c t e r is m o r e a m b i g u o u s , l e s s e a s i l y as-

might s h o w the w a y toward a h a p p y c o m p r o -

sessable, and leaves m o r e r o o m for interpre-

mise b e t w e e n exclusion and self-actualiza-

tation than cultural identity. B e y o n d

tion t h r o u g h a collective project.

differences

between

moral

and

these

cultural

30. Although this analysis is primarily based on a discussion of descriptions of boundaries provided by workers, Lamont (1992) showed that French and U.S. upper-middle-class men emphasized race and citizenship very little when they drew boundaries. Class is more salient in the boundary work of U.S. professionals and managers than it is in the boundary work of their French counterparts.

Commentary

215

Commentary Robert Putnam

T

his panel represents an important transition, carrying the questions of self-determination, identity, and community from the non-Western parts of the world to the advanced industrial nation-states, including the United States. In the context of the countries represented in Professor Lamont's paper, I know the United States best, and so I concentrate my comments and illustrations on that case. This essay follows a long-standing tradition of sociological studies of community and of exclusion. Professor Lamont's paper is an interesting and important contribution to that debate about the logic of social segmentation. I want to begin by identifying the important contributions of this paper and then go on to raise a couple of questions suggested by the paper. The paper is important, first, in that it seeks to illuminate the logic of social segmentation by explicitly comparing the patterns of segmentation in the United States, France, and Quebec. On the basis of this comparison, she reaches some striking conclusions. Especially noteworthy is the powerful impact of tradition itself on the logic c f social segmentation. Her account of social segmentation in France makes clear the power of the republican, Jacobean traditions that emerged more than two centuries ago in the context of the Revolution. The importance of cultural traditions in the United States is represented by the Statue o f Liberty and its welcome to immigrants, as well as by that "peculiar institution" of chattel slavery, the two central elements in the pattern of social segmentation that she ascribes to the United States. In the case of Québec, a country, at least in some respects, even older than the United States, Lamont sees the impact of these traditions that impart political and economic exploitation.

So the first significant conclusion in this study is the powerful impact of l o n g s t a n d ing national traditions on patterns of contemporary social segmentation. Secondly, she categorizes the three cases in terms of the logic o f segmentation that each represents. In France the logic of segmentation is based on citizenship, immigration, and perhaps also religion, for the paper argues specifically that Islamic immigrants constitute the out-group in French society. In Québec, language and culture constitute the basis of social segmentation. Finally, Lamont provides an unexpected and perhaps controversial characterization of the United States, in which social segmentation is based as much on class as it is on race. In fact, one of the striking conclusions of the paper is that economic class is actually more important as a basis of social segmentation in the United States than in either of the two other countries. Certainly, one is not disposed to deny the importance of class in the United States, but it is novel to discover evidence that the United States is actually more class-ridden than other advanced nations. Most conventional comparative accounts of the United States conclude that economic class is relatively less important as a basis of social segmentation here than, for example, in the traditional countries of Western Europe. Without adjudicating whether Professor Lamont is right or wrong to say that class is more important in the United States than in France, we are led by this conclusion to examine her methodology, another interesting innovation of this paper. Academics especially will appreciate Lamont's innovative method of elucidating the logic o f social segmentation. T h e study examines, as the title o f paper says, "the frontiers o f our dreams," that is, patterns of social segmentation based on the views that

216 U.S. and F r e n c h w o r k e r s a r t i c u l a t e w h e n asked to describe their moral world. T h i s a p p r o a c h to the study of social s e g m e n t a t i o n is not the only p o s s i b l e app r o a c h , n o r e v e n the m o s t c o m m o n app r o a c h , to ihe e x p l o r a t i o n of social s e g m e n tation. It is p e r h a p s u s e f u l to r e m i n d o u r s e l v e s of o t h e r t e c h n i q u e s f o r s t u d y i n g social s e g m e n t a t i o n . O n e m e t h o d is to study behavioral similarities. C o m p a r e , for e x a m p l e , the results of P r o f e s s o r L a m o n t ' s m e t h o d with the p r o b a ble results of the b e h a v i o r a l a p p r o a c h . Professor Lamont's working-class respondents c a t e g o r i z e p o o r w h i t e s and p o o r b l a c k s within a single group. Behaviorally, by contrast, p o o r w h i t e s and p o o r b l a c k s d o not vote the same way. Indeed, they vote in quite d i f f e r e n t w a y s . Equally, black U.S. c i t i z e n s and white U.S. c i t i z e n s h a v e r e a c t e d in sharply contrasting w a y s to the O.J. S i m p s o n trial. We all w a t c h e d the s a m e flickering images on our T V screens, but in s o m e f u n d a m e n t a l sense, we saw very d i f f e r e n t things. To be sure, that o b s e r v a t i o n d o e s not d e f i nitely a n s w e r the question of social s e g m e n tation, but it illustrates that a d i f f e r e n t m e t h o d o l o g y , not s u r p r i s i n g l y , p r o d u c e s a s o m e w h a t different result. This point applies not m e r e l y to r a c e r e l a t i o n s in the U n i t e d States, but also, for e x a m p l e , to relations bet w e e n R u s s i a n s and Estonians. Probably the most c o m m o n type of m e a sure of social s e g m e n t a t i o n is not behavioral similarities, nor " d o R u s s i a n s and E s t o n i a n s vote in the s a m e w a y ? " but network connections. I n d e e d , the h o a r y classic q u e s t i o n about social s e g m e n t a t i o n is, " W o u l d you let y o u r d a u g h t e r marry o n e ? " T h o u g h that n o w s e e m s a very o l d - f a s h i o n e d q u e s t i o n , it h a s b e e n c o m m o n l y used as a m e a s u r e b e c a u s e the bond of m a r r i a g e is an important test of lines of social s e g m e n t a tion. Similarly, o n e m i g h t use c o n n e c t i o n s of r e s i d e n c e , that is, " W h o are y o u r n e i g h b o r s ? " to test h y p o t h e s e s a b o u t s e g m e n t a tion: T h i s test, unlike P r o f e s s o r L a m o n t ' s , w o u l d p r o b a b l y not p l a c e p o o r b l a c k s and p o o r w h i t e s in the s a m e s e g m e n t of U . S . society.

Robert Putnam In s h o r t , c o m m u n i t y can be d e f i n e d as p e o p l e w h o m you like, or people w h o m you act like, or p e o p l e with w h o m y o u interact. T h e s e three s o m e w h a t d i f f e r e n t m e t h o d s might lead to d i f f e r e n t conclusions. I w a n t to p a u s e b r i e f l y o v e r a n o t h e r question raised by P r o f e s s o r L a m o n t ' s paper, b e f o r e r e f l e c t i n g on a final broad issue. T h e q u e s t i o n m o s t directly related to P r o f e s s o r L a m o n t ' s p a p e r is w h e t h e r her n a t i o n a l typ o l o g y — r a c e and class in the United States, i m m i g r a t i o n in F r a n c e , and l a n g u a g e and culture in Q u e b e c — i s , perhaps, too simple. Simplification is, to be sure, a virtue, but the issue h e r e is w h e t h e r this is an o v w s i m plification. A s the father-in-law of a Hispanic i m m i g r a n t , I have learned, indirectly but vividly, the w a y s that i m m i g r a n t s to the United States are subjected to outrageous disc r i m i n a t i o n and p r e j u d i c e . That e x p e r i e n c e (together with the substantial historiography on i m m i g r a n t s in the United States) leaves m e skeptical of the notion that U.S. citizens are f r e e f r o m e t h n o c e n t r i c attitudes. D e s p i t e the u n d o u b t e d importance of the Ellis Island myth, I remain unconvinced by P r o f e s s o r Lamont that immigrant status is relatively unimportant in France, but that is another debate. I c o n c l u d e by posing a broader q u e s t i o n that r a n g e s well b e y o n d the a p p r o p r i a t e l y tight f o c u s of the L a m o n t essay. W h a t are the broadest trends of our world in the d e g r e e of integration or s e g m e n t a t i o n ? Let m e set the basis for this by asserting that the m o s t basic t r e n d — n o t the m o s t important t r e n d , but the most basic t r e n d — i n world a f f a i r s t o d a y is that t e c h n o l o g i c a l c h a n g e m e a n s that physical distance has e v e r less s i g n i f i c a n c e . T h e fact, to w h i c h I can p e r s o n a l l y testify, that M i c h a e l J a c k s o n is as a v i d l y f o l l o w e d in the y u r t s of O u t e r M o n g o l i a as in the h o m e s of U.S. t e e n a g e r s is a vivid illustration of h o w d r a m a t i c a l l y t e c h n o l o g i c a l c h a n g e has reduced the significance of p h y s ical d i s t a n c e . N o w , if p h y s i c a l d i s t a n c e m e a n s e v e r less, what is the c o n s e q u e n c e of that for the d e f i n i t i o n of c o m m u n i t y ? I note t e l e g r a p h i c a l l y three p o s s i b l e h y p o t h e s e s . T h e first is that the d i m i n u t i o n of

217

Commentary

the i m p o r t a n c e o f d i s t a n c e m i g h t m e a n the emergence of a global c o m m u n i t y — t h e celebration o f c o s m o p o l i t a n i s m and multicultura l i s m , the gradual e r o s i o n o f barriers b e t w e e n different groups. In the U n i t e d States, for e x a m p l e , there is s o m e e v i d e n c e o f an inc r e a s e in intermarriage a c r o s s racial

lines

and a d e c l i n e in t o l e r a n c e for public e x p r e s s i o n s o f racial p r e j u d i c e . T h i s first h y p o t h e sis f o r e s e e s , then, the gradual e m e r g e n c e of a s i n g l e world culture and g l o b a l c o m m u n i t y . T h e s e c o n d h y p o t h e s i s is e p i t o m i z e d by the daily n e w s from B o s n i a , f r o m A f r i c a , and e v e n from parts o f the U n i t e d States, the h y pothesis of

Balkanization.

MTV

notwith-

standing, this p o s i t i o n c l a i m s that traditional c o m m u n i t i e s r o o t e d in b l o o d or in culture w i l l persist. In fact, the e f f a c e m e n t o f p h y s i cal d i s t a n c e m i g h t e v e n lead to an cation

intensifi-

o f c l a i m s of primordial c o m m u n i t y .

T h e third h y p o t h e s i s f o r e s e e s neither a g l o b a l c o m m u n i t y nor a r e i n v i g o r a t e d traditional c o m m u n i t y . R a t h e r in this third v i e w t e c h n o l o g y is d e s t r o y i n g c o m m u n i t y i t s e l f . That is, the future w i l l bring i n d i v i d u a t i o n , f r a g m e n t a t i o n , and i s o l a t i o n . M y o w n current research on s o c i a l ties in the

United

States raises the q u e s t i o n o f w h e t h e r what is e m e r g i n g is. in fact, the f r a g m e n t a t i o n of all sorts o f b o n d s of c o m m u n i t y . T h e s e three scenarios s o briefly sketched are m u c h o v e r s i m p l i f i e d — g l o b a l

commu-

nity, neotraditional c o m m u n i t y , or n o c o m munity at all, but s i m p l y isolated i n d i v i d u a l s f a c i n g a m e d i a - c r e a t e d "virtual" w o r l d in an a n o n y m o u s and s o m e w h a t f r i g h t e n e d w a y . T h e future w i l l u n d o u b t e d l y b e m o r e c o m p l e x than any o f t h e s e three h y p o t h e s e s , but they serve to p r o v o k e a u s e f u l d i s c u s s i o n o f u n d e r l y i n g t e n d e n c i e s in c o m m u n i t y

con-

struction and d e c o n s t r u c t i o n , a t h e m e a l s o illuminated by P r o f e s s o r L a m o n t ' s f i n e essay.

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The Frontiers

of Our Dreams Are No Longer the Same

Lipset, S e y m o u r Martin. 1979. The First New Nation: The United States in Historical and Comparative Perspective. New York: Norton. Lipset, S e y m o u r M a r t i n . 1991. Continental Divide. The Values and Institutions of the United States and Canada. N e w York: Routledge. Lisée, J e a n - F r a n . 1992. " I n t e r v i e w with Pierre L a n c t i l . " In Boundaries of Identity: A Quebec Reader, Edited by William D o d g e , 151-156. Toronto: Lester Publishing Ltd. Locher, Uli. 1993. Les j e u n e s et la langue. Vol. 1 Usages et attitudes linguistiques des jeunes qui étudient en français (de la 4e année du secondaire a la fin du collégial). Québec: Les Publications du Québec. L o m a x C o o k , Fay. 1979. Who Should Be Helped? Public Support for Social Services. Beverly Hills: Sage. Masse, Martin. 1994. Identités collectives et civilisation. Pour une vision nonnationaliste d'un Québec indépendant. Montréal: V L B Editeur. Mayer, N o n n a , and Pascal Perrineau. 1989. Le Front National a découvert. Paris: Presses de la Fondation nationale de science politique. M e r e l m a n , Richard M . 1984. Making Something of Ourselves: On Culture and Politics in the United States. Berkeley: University of California Press. M o n i e r e , Denis. 1977. Le développement des idéologies au Québec. Montreal: E d i t i o n s Québec/Amérique. M o n n i e r . Daniel. 1993. Les choix linguistiques des travailleurs immigrants et allophones: rapport d'une enquête réalisée en 1991. Québec: Publications du Québec. Montcalm, Mary Beth. 1984. " Q u é b e c Separatism in a C o m p a r a t i v e P e r s p e c t i v e . " In Québec: State and Society. Edited by Alain G. G a g non, New York: Methuen, 4 5 - 5 8 . M o u r i a u x , R e n é . 1991. " S t r a t é g i e s s y n d i c a l e s face au c h ô m a g e et a l ' i n t e r v e n t i o n industrielle de l'Etat d a n s la periode 1 9 6 2 - 8 7 . " In Searching for the New France. Edited by J a m e s F. H o l l i f i e l d and G e o r g e Ross. N e w York and L o n d o n : Routledge. Noiriel, G e r a r d . 1988. Le creuset français. Histoire de l'immigration, XIXe-XXe siècle. Paris: Seuil. Parti Q u é b é c o i s . 1977. Le programme économique. Montreal: Editions du Parti Québécois. P a u g a m , Serge. 1993. La société franet ses pauvres. Paris: Presses universitaires de France. Perin, C o n s t a n c e . 1988. Belonging in America. Madison: University of Wisconsin Press. Perrineau, Pascal. 1991. " L e Front National: du désert a l ' e n r a c i n e m e n t . " In Face au racisme, vol 2. Analyses, hypothèses, perspectives. Edited by Pierre-Andre Taguieff. Paris: La Découverte.

219

Peterson, Richard P. 1992. " U n d e r s t a n d i n g Audie n c e S e g m e n t a t i o n : From Elite and M a s s to O m n i v o r e s and U n i v o r e s . " Poetics 21: 2 4 3 258. Pinto, Diana. 1988. " T o w a r d a M e l l o w i n g of the F r e n c h I d e n t i t y ? " Yearbook of French Studies 18: 1 - 1 9 . R e i n a r m a n , C r a i g . 1987. American States of Mind: Political Beliefs and Behavior Among Private and Public Workers. New H a v e n : Yale University Press. Reitz, Jeffrey G., and R a y m o n d Breton. 1994. The Illusion of Difference: Realities of Ethnicity in Canada and the United States. Toronto: C.D. H o w e Institute. R e n a u d , Marc. 1989. " Q u é b e c ' s N e w M i d d l e Class in Search of Social H e g e m o n y : Causes and Political C o n s e q u e n c e s . " International Review of Community Development 37—40: 1-36. R e s n i c k . Philip. 1990. Letters to a Québécois Friend, with a Reply by Daniel Latouche. Montreal: M c G i l l - Q u e e n ' s University Press. Richler, Mordicai. 1992. Oh Canada, Oh Québec: Requiem for a Divided Society. Toronto: Viking. S c h a i n . Martin. 1987. " T h e National Front in France and the Construction of Political Leg i t i m a c y . " West European Politics 10 (2): 229-252. S c h u m a n , H o w a r d , C h a r l o t t e Steeh, and Lawrence Bobo. 1985. Racial Attitudes in America: Trends and Interpretation. Cambridge, Mass.: Harvard University Press. S h a p i r o , Robert Y., and John T. Young. 1989. " P u b l i c O p i n i o n and the W e l f a r e State: T h e United States in C o m p a r a t i v e P e r s p e c t i v e . " Politique Science Quarterly 104: 5 9 - 8 9 . Silver, Hilary. 1993. "National Conceptions of the New Urban Poverty: Social Structural Change in Britain, France, and the United States." International Journal of Urban and Regional Research (17) 3: 3 3 6 - 3 5 4 . Silverman, M a x i m . 1992. Deconstructing the Nation: Immigration, Racism, and Citizenship in Modern France. N e w York: Routledge. Simonnot, Philippe. 1994. "A propos de l ' é q u i t é . " Le Monde ( D e c e m b e r 12): 1. Sleeper, Jim. 1991. The Closest of Strangers: Liberalism and the Politics of Race in New York. New York: Norton. S o y s a l , Y a s e m i n e . 1994. " C h a n g i n g C i t i z e n s h i p in E u r o p e : R e m a r k s on P o s t n a t i o n a l M e m b e r s h i p and the N a t i o n a l S t a t e . " P a p e r presented at the C o n f e r e n c e on Citizenship, Nationality, and M i g r a t i o n in E u r o p e , U C L , London. Taylor, Charles. 1992a. Rapprocher les solitudes. Ecrits sur le fédéralisme et le nationalisme au Canada. Laval: Presses de l'Université Laval.

220 T a y l o r , C h a r l e s . 1992b. Muhiculluralism and "The Politics of Recognition." Princeton: P r i n c e t o n U n i v e r s i t y Press. T h o r s e l l , W i l l i a m . 1994. " C a n a d a : T h e O n c e and F u t u r e N a t i o n . " L e c t u r e p r e s e n t e d at P r i n c e ton University, O c t o b e r 4, 1994. T o c q u e v i l l e , A l e x i s de. 1945. Democracy in America. N e w York: V i n t a g e . V a r e n n e , H e r v e . 1977. Americans Together: Structured Diversity in a Midwestern Town. N e w York: T e a c h e r s C o l l e g e P r e s s . Verter, B r a d f o r d . 1994. " A i m i n g t h e C a n o n : A P r e l i m i n a r y I n v e s t i g a t i o n into D e t e r m i n a n t s of P u b l i c O p i n i o n in t h e C u r r i c u l u m D e b a t e . " P a p e r p r e s e n t e d at the m e e t i n g s of the American Sociological Association, Los Angeles. W a g n e r , Peter. 1994. " A c t i o n , C o o r d i n a t i o n , a n d I n s t i t u t i o n in R e c e n t F r e n c h D e b a t e s . " The Journal of Political Philosophy, vol. 2. W a l z e r , M i c h a e l . 1992. " C o m m e n t . " In C h a r l e s T a y l o r . Miilticidturalism and the Politics of

Michèle

Lamont

Recognition, 9 9 - 1 0 0 . Princeton: Princeton University Press. Waters, M a r y C. 1990. Ethnic Options. Choosing Identities in America. Berkeley, Calif.: University of C a l i f o r n i a Press. W e b e r , M a x . 1958. The Protestant Ethic and the Spirit of Capitalism. N e w York: Scribner. and Society, vol. 1. W e b e r , M a x . 1978. Economy B e r k e l e y : U n i v e r s i t y of C a l i f o r n i a P r e s s . W i e v i o r k a , M i c h e l . 1991. L'espace dit racisme. Paris: Seuil. W i e v i o r k a , M i c h e l . 1992. La France raciste. Paris: Points. Wolfe, A l a n . 1989. Whose Keeper? Social Science and Moral Obligation. B e r k e l e y and Los A n geles: U n i v e r s i t y of C a l i f o r n i a Press. Z e r u b a v e l , Eviatar. 1991. The Fine Line: Boundaries and Distinctions in Everyday Life. N e w York: Free Press.

CHAPTER 9

Self-Determination, Subsidiarity, and Regionalization in Contemporary Western Europe Wolfgang

Danspeckgruber*

T

he quest f o r s e l f - d e t e r m i n a t i o n has y i e l d e d e m i n e n t l y c r e a t i v e and d e s t r u c tive f o r c e s on the E u r o p e a n continent, both in distant and in recent history (since 1989). Yet the s e a r c h f o r i n c r e a s e d s e l f - d e t e r m i n a t i o n , s e l f - r e a l i z a t i o n , and s e l f - a d m i n i s t r a t i o n is not l i m i t e d — a s is c o m m o n l y a s s u m e d — o n l y to c o m m u n i t i e s , g r o u p s , and regions in E u r o p e ' s central, eastern, or s o u t h e a s t e r n parts. On the c o n t r a r y , interest in g r e a t e r a u t o n o m y also p e r v a d e s B e l g i u m . Italy, S p a i n , and the U n i t e d K i n g d o m , as well as the C a n t o n s in Switzerland. Western Europe's drive toward d e e p e r e c o n o m i c - i n d u s t r i a l and p o l i t i c a l s t r a t e g i c i n t e g r a t i o n and w i d e r c o o p e r a t i o n has i n d e e d i n t e n s i f i e d the a p p e a l of s e l f - d e t e r m i n a t i o n and s e l f - r e a l i z a t i o n ( S e l b s t v e r wirklichung) through self-governance. Considerable t e n s i o n s h a v e arisen due to p l a n s to r e d u c e the s o v e r e i g n t y of states a n d the inc r e a s i n g interest in a u t o n o m y c o m m u n a l l y and r e g i o n a l l y . R e g i o n a l i z a t i o n and s u b s i d i a r i t y — w i t h i n t h e f r a m e w o r k of t h e E U M a a s t r i c h t A g r e e m e n t s — p r o v i d e a m e a n s of c o n t i n u e d s e l f - r e a l i z a t i o n on the c o m m u n a l level, in spite of i n t e n s i f i e d e c o n o m i c and industrial integration. T h r e e m a j o r a r g u m e n t s s u r f a c e : (1) Int e r e s t s in s e l f - a d m i n i s t r a t i o n ( a u t o n o m y ) in Western Europe especially concern matters of l i n g u i s t i c s , c u l t u r e , e d u c a t i o n , r e l i g i o n , and r e l a t e d a d m i n i s t r a t i v e , e c o n o m i c , and

political d i m e n s i o n s . Yet t h e y d o not n e c e s sarily i n v o l v e i n d u s t r i a l - t e c h n o l o g i c a l , e c o n o m i c , or s c i e n t i f i c m a t t e r s , w h e r e the need f o r c e n t r a l g u i d a n c e is m o r e r e a d i l y ack n o w l e d g e d — a r e a d i n e s s e v e n e x t e n d e d into c u r r e n c y m a t t e r s ( E M U ) . T h i s also i m p l i e s that in E U - E u r o p e s u c h d e b a t e s are not f o c u s e d o n the c h a n g e of b o r d e r s . (2) S e l f d e t e r m i n a t i o n and s e l f - a d m i n i s t r a t i o n o u g h t not n e c e s s a r i l y result in classical s o v e r e i g n t y and full i n d e p e n d e n c e , but rather, s h o u l d be u n d e r s t o o d to a u g m e n t the l e v e l s of a u t o n o m y / d e c e n t r a l i z a t i o n and s e l f - g o v e r n a n c e . C o m m u n i t i e s that are a l r e a d y u n h a p p y a b o u t the c h a n g e s c o n c o m i t a n t with i n t e n s i f i e d E u r o p e a n i n t e g r a t i o n n a t u r a l l y s h o w e v e n less e n t h u s i a s m a b o u t the f u r t h e r t r a n s f e r of sove r e i g n p o w e r s to B r u s s e l s . (3) T h e p r o c e s s of o b t a i n i n g g r e a t e r s e l f - d e t e r m i n a t i o n h a s to be u n d e r s t o o d in f o u r d i m e n s i o n s — v e r t i c a l , h o r i z o n t a l , bilateral, and internal (see F i g u r e 9.1.). E a c h c a s e is u n i q u e b e c a u s e each c o m m u n i t y has its very o w n history, tradition, loc a t i o n , a n d a s p i r a t i o n s . It is t h u s d i f f i c u l t to d r a w g e n e r a l c o n c l u s i o n s that c a n t a k e into a c c o u n t t h e s e p a r t i c u l a r i t i e s . O n the vertical level a multi-actor situation exists, wherein a u t h o r i t y t r a v e l s and is i m p l e m e n t e d t h r o u g h c o m m u n a l , state, r e g i o n a l , and s u p r a n a t i o n a l organs. Third-party, outside-power interests in a c o m m u n i t y ' s s t r i v e f o r s e l f - g o v e r n a n c e may have decisive impact and may reflect

* T h e author g r a t e f u l l y a c k n o w l e d g e s h e l p f u l c o m m e n t s f r o m M i c h a e l D o y l e , Verena Fried, Richard Kühnel, Walter Hinderer, and John Waterbury, as w e l l as research and editorial a s s i s t a n c e by Margot Siek.

221

222

Wolfgang

Danspeckgruber

Figure 9.1 Systemic Graph

t h e p a r t i c u l a r s of t h e i n t e r n a t i o n a l s y s t e m at

o f f e r e d b y E u r o p e a n o r g a n i z a t i o n s s u c h as

that m o m e n t . O n t h e h o r i z o n t a l

in-

the O r g a n i z a t i o n on Security and C o o p e r a -

c r e a s e d r i g h t s a n d l i b e r t i e s , that is, n e g o t i a -

t i o n in E u r o p e ( O S C E , f o r m e r l y C S C E ) ; a n d

tion, t r e a t y - m a k i n g , and a u t o n o m o u s f i n a n c i a l

a n a n a l y s i s of t h e m e t h o d a n d s u c c e s s of c e r -

p o w e r s , o b t a i n e d by o n e c o m m u n i t y w i t h i n a

tain s e l f - d e t e r m i n a t i o n i n i t i a t i v e s , e s p e c i a l l y

level,

m u l t i e t h n i c state can u s u a l l y be a c h i e v e d o n l y

in

at the e x p e n s e of the rights of o t h e r c o m m u n i -

T h e s e c a s e s t u d i e s d e m o n s t r a t e that c o n t i n u -

ties w i t h i n that s a m e state. T h i s m a y i n s t i g a t e

o u s n e g o t i a t i o n a n d r e a d i n e s s to c o m p r o m i s e

"bilateral" intercommunal (between

Belgium,

South

Tyrol,

and

Catalonia.

various

between people searching for greater deter-

c o m m u n i t i e s ) or i n t e r r e g i o n a l a n t a g o n i s m and

mination and their governments, the absence

t e n s i o n s . Finally, an " i n t e r n a l " set of p o t e n t i a l

of o u t s i d e

p r o b l e m s exists within the very

community

provide acceptable results and contribute to

that s e a r c h e s f o r s e l f - g o v e r n a n c e , d u e to the

both e c o n o m i c and social success and a fruit-

p o s s i b l e p r e s e n c e of s u b c o m m u n i t i e s that m a y

ful relationship with EU institutions.

influence notwithstanding,

can

b e a f f e c t e d . T h e f o r m e r h a s to c o n s i d e r t h e int e r e s t s a n d a s p i r a t i o n s of t h e l a t t e r — a c o n d i -

Self-Determination in Europe

tion not a l w a y s easily fulfilled and often a psychologically d e m a n d i n g one for the c o m -

Background

munity that searches for greater

In t h e 1 9 8 0 s , a n y d i s c u s s i o n of s e l f - d e t e r m i -

autonomy.

Still, it is a n i n h e r e n t p r e r e q u i s i t e f o r t h e d e -

nation

m o c r a t i c b a s i s of s e l f - g o v e r n a n c e .

( p a i n f u l ) r e h a s h i n g of P r e s i d e n t

may

have

been

merely

part

of

a

Woodrow

This chapter comprises three parts: a

W i l s o n ' s i d e a s a n d its e f f e c t s o n E u r o p e a n

conceptual and applied discussion about self-

p o s t - W o r l d War I relations and the Versailles

determination

in

process, or else an idealistic discussion per-

t o d a y ' s W e s t e r n E u r o p e ; a n e x a m i n a t i o n of

t a i n i n g to t h e s e l f - g o v e r n a n c e o f p e o p l e s in

regulations for self-determination and self-

" r e m o t e " T h i r d W o r l d c o u n t r i e s . 1 B y t h e late

administration,

twentieth century, however, two f u n d a m e n -

and

as

self-administration

contained

within

and

1. P r o f e s s o r W o o d r o w W i l s o n ( 1 8 5 6 - 1 9 2 4 ) w a s the t w e n t y - e i g h t h president of the U n i t e d States of A m e r i c a , and the thirteenth president of Princeton University. He referred to s e l f - d e t e r m i n a t i o n in his f a m o u s s p e e c h to C o n g r e s s w h i l e e n u m e r a t i n g fourteen points for a n e w , m o r e peaceful world.

Self-Determination,

Subsidiarity,

and

Regionalization

223

tal d e v e l o p m e n t s c a u s e d a s u d d e n c h a n g e ,

and d i s s a t i s f a c t i o n a m o n g the electorate re-

both theoretically

Strong

garding the overall national e c o n o m i c and

c e n t r i f u g a l f o r c e s in E a s t e r n E u r o p e a n d t h e

sociopolitical situation, with the c o n c o m i -

(former) Soviet Union, created when

tant

and practically.

the

"credibility

gap"

(and

"democracy

rigid, antagonistic global bloc structure dis-

gap"), spoil the relationship between elites

solved,

cen-

and electorates. This applies both within E U

the

m e m b e r s t a t e s , a s w e l l as b e t w e e n n a t i o n a l

concepts

(EU citizens), and Brussels EU officialdom

and s y m b o l s such as sovereignty, autonomy,

(Eurocrats). The EU's simultaneous demand

converged

with

extensive

t r i p e t a l o n e s in W e s t e r n E u r o p e w i t h f o r m a t i o n of the E U . S u d d e n l y ,

b o r d e r s , and so on, b e c a m e reality on the

for e v e r - g r e a t e r s t a n d a r d i z a t i o n , s h a r i n g of

c o n t i n e n t a n d r e i n t r o d u c e d a p e r i o d of s t a t e

c o m m o n v a l u e s , c o n s i d e r a t i o n s of t h e w e a k -

f o r m a t i o n a n d d i s s o l u t i o n in a n e r a

est m e m b e r s , a n d f u r t h e r t r a n s f e r o f p o w e r s

the d e v e l o p m e n t

of a g l o b a l

when

village

had

f r o m m e m b e r g o v e r n m e n t s to E U

institu-

s e e m e d i m m i n e n t . T h e p o w e r of s e l f - d e t e r -

t i o n s c r e a t e s t e n s i o n s as c o m m u n i t i e s s t r i v e

m i n a t i o n in E u r o p e a n p o l i t i c a l c u l t u r e a n d

to r e t a i n i d e n t i t y . H i g h e r d e v e l o p e d , w e a l t h -

c y c l e s of s t a t e f o r m a t i o n h a v e b e e n s t r o n g l y

ier a n d t r a d i t i o n a l l y i n d e p e n d e n t s t a t e s ( f o r

intertwined

with

scientific-technological

instance

Denmark,

France,

England,

and

p r o g r e s s a n d b e e n f u e l e d by t r a d i t i o n a l r i -

Switzerland) remain skeptical against con-

valries between Europe's western and east-

tinuously intensified integration f e a r i n g that

ern

they w e r e to lose m o r e than they

powers

and

the

general

search

for

speedy wealth and prosperity. This inherent

would

gain. T h e y feel that their d o m e s t i c s t a n d a r d s

tension was n o w f u r t h e r affected by the col-

(e.g,. social, educational, e n v i r o n m e n t a l ) far

lapse

ideologies.

exceed the C o m m u n i t y ' s requirements. Sec-

S u c h o b j e c t i v e s o r i g i n a l l y m a d e it p o s s i b l e

o n d l y , t h e u p c o m i n g g e n e r a t i o n a l c h a n g e in

of

social

and

political

f o r Western E u r o p e a n s to r e p l a c e

striving

for political nationalism with increased econ o m i c and social integration albeit stringent

Cold

War

rules.2

Now,

under in

leadership may

s w e e p to p o w e r

younger,

d i s i l l u s i o n e d m e m b e r s of E u r o p e ' s p o s t w a r Wirtschafts-wunder

generation

(economic-

the

m i r a c l e g e n e r a t i o n ) in s e a r c h f o r n e w v a l u e s

p o s t - C o l d War era, the search for power,

and structures and, most importantly, for a

s o v e r e i g n t y , a n d s e l f - d e t e r m i n a t i o n h a s , in

c o n t i n u a l l y i n c r e a s i n g e c o n o m i c w e a l t h . Fi-

its w o r s t i m p l e m e n t a t i o n — p a r t i c u l a r l y

nally, e m e r g i n g populist and radical leaders

in

Eastern—enabled ruthless and opportunistic

m a y feel t e m p t e d to exploit such s e n t i m e n t s

leaders seizing p o w e r , t h u s c o n t r i b u t i n g to

and

tensions, civil strife, and b l o o d s h e d .

tribute to p o p u l a r resilience to i n t e n s i f i e d

Yet

e v e n in t h e i r b e n i g n m a n i f e s t a t i o n s t h e n o t i o n s of " s e l f ' a n d c o m m u n a l i n d e p e n d e n c e a r e i m p o r t a n t t o p i c s in d e b a t e s b e t w e e n t h e EU

members,

concerning

the

Maastricht

Treaty.

hesitations—which

may

further

con-

integration. C o n t r a r y to t h e a s s u m p t i o n s of K e o h a n e a n d N y e , a n d V e r n o n , et al., t h a t a g l o b a l vill a g e w o u l d a r i s e f r o m m o d e r n e c o n o m i c , scie n t i f i c , a n d f i n a n c i a l i n t e r d e p e n d e n c e a n d in-

T h r e e f a c t o r s p o i n t to t h e c o n t i n u i n g at-

dustrial-technological

collaboration,

this

t r a c t i o n o f c o m m u n a l s e l f - g o v e r n a n c e in E U

i n t e r d e p e n d e n c e d o e s n o t s e r v e to n e u t r a l i z e

territory:

o r e r a d i c a t e t h e d e s i r e of

(1)

Widespread

disillusionment

self-governance

2. Historically, the unification of small principalities in the seventeenth century, the levee en mass in the French Revolution in the eighteenth century, and the nationalistic unification of states in the nineteenth century have been inspired by technological progress, power, and related economic considerations. The readjustment and subsequent disintegration of empires and the aspirations of m a j o r powers in the early twentieth century, with the nuclear revolution allowing a chosen f e w — s u p e r p o w e r s — t o assert their global influence during the Cold War, have furthered integration and regionalization in the last decades but have suppressed the realization of communal self-determination and have permitted greater decentralization and independence only insofar as it corresponded to the larger strategic objectives of the major powers.

224

a n d s u s t a i n e d c o m m u n a l identity. 3 Rather, p e o p l e s are e v e n m o r e p r e p a r e d to c l a i m t h e i r p r e s u m e d e x c l u s i v e r i g h t f o r s o v e r e i g n t y , their v e r y o w n c o m m u n a l values and cultural h e r i t a g e , and e n o u g h p o w e r to i n d e p e n d e n t l y d i r e c t t h e i r d e s t i n y . P o s s i bly n e w f o r m s of a "split or d i v i d e d " s o v e r e i g n t y , partial i n t e g r a t i o n (a la c a r t e ) , and appropriately apportioned self-governance b e t w e e n c o m m u n i t i e s , r e g i o n s , s t a t e s , and E U institutions o f f e r a s o l u t i o n . In c o n t e m p o r a r y W e s t e r n E u r o p e it w o u l d be m i s g u i d e d to u n d e r s t a n d t h e c o n c e p t of s e l f - d e t e r m i n a t i o n as s o l e l y or automatically a synonym for complete autonomy, f u l l s o v e r e i g n t y , i n d e p e n d e n c e , and n e w int e r n a t i o n a l b o r d e r s . In E U t e r r i t o r y the s e a r c h f o r s e l f - d e t e r m i n a t i o n d o e s not and cannot strive for such objectives. Rather, s e l f - d e t e r m i n a t i o n ' s o b j e c t i v e s h o u l d include v a r i o u s d e g r e e s of t h e f r e e d o m of g o v e r n a n c e ( a u t o n o m y ) w i t h o u t n e c e s s a r i l y requiring complete separation, which, often p r o v e s e c o n o m i c a l l y d i s a d v a n t a g e o u s and infeasible among EU members. Enhanced s e l f - d e t e r m i n a t i o n also o b l i g a t e s the c o m m u nity in s e a r c h of g r e a t e r l i b e r t i e s to o f f e r t h o s e s a m e r i g h t s a n d p o s s i b i l i t i e s to any s u b c o m m u n i t y in its territory. Arguably, if the international c o m m u n i t y w o u l d h a v e s u c c e e d e d in e n f o r c i n g g r e a t e r a u t o n o m y and a h i g h e r level of s e l f - a d m i n i s tration c o n c o m i t a n t with m a x i m u m p o s s i b l e c o m m u n a l s e l f - r e a l i z a t i o n and e c o n o m i c f r e e d o m in E a s t e r n E u r o p e and t h e f o r m e r Soviet U n i o n at the e n d of the C o l d War, the d i s a s t r o u s c o n f l i c t s in f o r m e r Y u g o s l a v i a 4

Wolfgang

Danspeckgruber

a n d t h e h o r r e n d o u s b l o o d s h e d in the C h e c h e n R e p u b l i c of R u s s i a m a y h a v e b e e n a v o i d e d . 5 U n d o u b t e d l y , a f e a s i b l e and acc e p t e d i n t e r n a t i o n a l legal f r a m e w o r k like the L i e c h t e n s t e i n D r a f t C o n v e n t i o n w i t h the ability to s u p p o r t , verify, and e n f o r c e certain r u l e s on h o w to o b t a i n s u c h g r e a t e r s e l f - d e t e r m i n a t i o n (but not n e c e s s a r i l y a u t o m a t i c i n d e p e n d e n c e ) c o u l d be c r i t i c a l f o r i n t e r n a tional p e a c e a n d p r o s p e r i t y . ( S e e the disc u s s i o n a n d c o m m e n t a r y of the p r o p o s e d L i e c h t e n s t e i n D r a f t C o n v e n t i o n on S e l f Determination through Self-Administration by Sir A r t h u r W a t t s in C h a p t e r 1). S u c h acc e p t e d d e c o u p l i n g or d i s e n g a g e m e n t m e c h a n i s m s u n d e r c r e d i b l e a n d e n f o r c e a b l e international auspices might assure fundamental r i g h t s of c o m m u n i t i e s , and a v o i d b l o o d s h e d and d e s t r u c t i o n — p a r t i c u l a r l y if all p a r t i e s c o n c e r n e d k n e w that those w h o violate such r e g u l a t i o n s w o u l d be p u n i s h e d . Historical

Overview

D u r i n g the P e a c e P r o c e s s of Versailles, the victorious E u r o p e a n p o w e r s , France and E n g land, only a c c e p t e d s e l f - d e t e r m i n a t i o n to the extent that it suited their p o w e r interests and r e l a t i o n s h i p with v a n q u i s h e d G e r m a n y , A u s t r i a - H u n g a r y . and T u r k e y . 5 It w a s c o n s i d e r e d i n a p p r o p r i a t e to a l l o w e x t e n s i v e r i g h t s to s e l f - g o v e r n m e n t to c o m m u n i t i e s or n a t i o n s that suddenly w a n t e d to break away f r o m e m p i r e s — e v e n if they w e r e f o r m e r l y hostile e m pires; certainly the b o r d e r s and s h a p e s of the n e w states w o u l d h a v e to suit the strategic int e r e s t s of the g r e a t p o w e r s . World l e a d e r s realized that the s u c c e s s f u l e m e r g e n c e of n e w

3. R a y m o n d Vernon, Sovereignty at Bay-The Multinational Spread of U.S. Enterprises. ( N e w York: B a s i c B o o k s , 1971); Robert O. K e o h a n e and Joseph S. N y e , Power and Interdependence ( S e c o n d Edition). B o s t o n : Scott, F o r e s m a n , 1989. 4. M i c h a G l e n n y , The Fall of Yugoslavia—The Third Balkan War. Third R e v i s e d Edition, P e n g u i n B o o k s , 1996, esp. chapters 1, 3, 4; J a m e s G o w , Triumph of the Lack of Will: International Diplomacy and the Yugoslav War ( L o n d o n : Hurst & C o m p , 1997); Laura S i l b e r and A l l a n Little, Y u g o s l a v i a — Death of a Nation, P e n g u i n , 1996, esp. Part One; Susan W o o d w a r d , Balkan Tragedy—Chaos and Dissolution After the Cold War ( W a s h i n g t o n , D.C.: B r o o k i n g s , 1995). 5. S e e Henry S. B i e n e n ' s Chapter 10 in this V o l u m e . A l s o , Marie B e n i n g s e n B r o x u p , ed., T h e North C a u c a s u s B a r r i e r — T h e Russian Advance towards the Muslim World, N e w York: St. Martin's Press, 1992, esp. the Introduction. 6. Felix Gilbert, The End of the European Era; John Morton B l u m , Woodrow Wilson and the Politics of Morality ( B o s t o n : Little, B r o w n and Co., 1956).

Self-Determination,

Subsidiarity,

and

Regionalization

225

independent nations might precipitate reac-

powers for state governments encouraged fed-

tionary retaliation and possible insurgence in

eralism and the distribution o f financial and

their own empires, particularly in colonies. S e l f - d e t e r m i n a t i o n in its c l a s s i c a l and

treaty-making powers to substates such as Bundesländer.

nineteenth-century interpretation was c o n c e r n e d with nation building and the estab-

Contemporary

lishment

the

Inherent tensions exist between self-determi-

modern E U - E u r o p e a n c o n t e x t it should be

nation, s e l f - g o v e r n a n c e , and integration in

of classical

sovereignty.

In

Situation

seen as s e l f - g o v e r n a n c e which relates to the

Europe. M a r i o n L e v y , Jr., argues that inte-

capabilities o f keeping or preserving culture

gration

and i d e n t i t y — t h e " s e l f ' — i n a world being

centralization, irrespective o f communal and

overtaken by mass culture. C o m m u n i t i e s are

national interests. 7 B y definition,

as protective to cultural challenges from out-

g o v e r n m e n t s will lose relative power in all

side the continent as they are even to sup-

areas that s u c c u m b to integration ( e c o n o m -

automatically

introduces

stronger national

posed intrusions from a "distant B r u s s e l s . "

ics, f i n a n c e , t e c h n o l o g y , social

Such national " s e l f - d e f i n i t i o n " is particularly

and so forth). T h i s may be avoided in areas

standards,

important in times o f c h a n g e seen as uncer-

where integration is limited, such as culture

tain and c h a l l e n g i n g in popular perception.

and educative policies, or where integration

Under such c o n d i t i o n s ,

and standardization is deliberately excluded.

self-determination

means more than preserving personal and

Until 1993 an overall integrating, centripetal

group rights—it offers c o m m u n a l assurance

trend in the West toward the then European

and stability, though it may not c o n c e r n in-

C o m m u n i t y c o e x i s t e d with a readiness to

ternational e c o n o m i c and political issues. In-

relinquish national sovereign powers in a

habitants o f the Aaland Islands, Scotland, the

generally hostile international framework in

regions and p r o v i n c e s o f B e l g i u m ,

Spain,

e x c h a n g e for better integration and coopera-

Austria, and Italy are certainly aware o f at-

tion, thus, greater wealth and e c o n o m i c pros-

traction

perity, as an E C member. On the one hand,

and power o f that

interpretation.

However, none o f these c o m m u n i t i e s would

states without membership were attracted to

currently try to obtain f u l l - s c a l e

classical

the idea; on the other hand, o n c e the Cold

Regarding

War threat subsided, the states b e c a m e less

e c o n o m i c a l and industrial policy most peo-

ready to accept further transfer o f sovereign

ple still consider full m e m b e r s h i p in the E U

powers to Brussels. It is widely agreed, how-

as the ultimate o b j e c t i v e .

ever, that more direct access to the E U and its

sovereignty

and independence.

During the Cold War, self-determination was particularly discussed in reference to former colonies and Third World countries. It was not really a policy option in either Western or Eastern Europe. Decentralization and federalism (hence, greater degrees o f self-governance) had heightened appeal in certain Western European countries such as Germany, Austria, and Spain—and certainly Switzerland—yet not as much appeal, however, in Eastern Europe, with the exception o f Yugoslavia and the U S S R , where governments used it to defuse interethnic tensions. B y the 1980s, in negotiations for the E E A (European E c o n o m i c Area) and the SEM

(Single

European

Market),

enhanced

institutions can help e n f o r c e and widen the parameters to greater self-realization through self-administration on the regional and subregional level. T h e struggle for

self-gover-

nance in Europe thus contributes to a s e c ondary d i c h o t o m y polarizing the European Parliament ( E P ) and the C o m m i t t e e o f the R e g i o n s ( C O R ) from the C o u n c i l o f M i n i s ters and the g o v e r n m e n t s o f m e m b e r states: the national

governments

within

the

EU

seem opposed to granting too independent a v o i c e to their regions in the E U

process.

T h o u g h in the regions, a more independent role in the E U d e c i s i o n m a k i n g process is perceived to be the p a n a c e a — i n addition to

7. I a m grateful to e x t e n s i v e c o n v e r s a t i o n s with M a r i o n L e v y , Jr., on that subject.

226

Wolfgang

Danspeckgruber

a n d b a s e d u p o n s u b s i d i a r i t y — t h a t w i l l re-

toying with the current international bound-

d u c e t h e p o w e r of r e g i o n a l

aries especially w h e r e v e r large ethnic com-

administration

and provide m a x i m u m financial, scientific,

m u n i t i e s a r e s e p a r a t e d f r o m t h e r e s t of a n a -

and technical assistance for regional cultural,

tion. D e p e n d i n g on the overall international

social and e c o n o m i c d e v e l o p m e n t . For the

situation, and d e p e n d i n g on e m e r g i n g

r e g i o n s , i n t e g r a t i o n t h u s m a n i f e s t s as d e c e n -

tional pressure, opportunistic leaders may be

t r a l i z a t i o n a n d d e v o l u t i o n of p o w e r .

na-

willing to exploit this situation to their ad-

The European states remaining outside

v a n t a g e a n d f o r p o l i t i c a l c a p i t a l in t h e n a m e

t h e E U , in t h e e a s t e r n a n d s o u t h e a s t e r n p a r t s

of s e l f - d e t e r m i n a t i o n . S u c h m i s u s e of

of E u r o p e a r e still d o m i n a t e d b y c o n f l i c t i n g

c o n c e p t will c h a l l e n g e t h e r e l a t i o n s w i t h t h e

centrifugal and centralizing forces and by the

E U a s w e l l as p e a c e a n d p r o s p e r i t y in t h e

search for national-sovereign values and a

region.

n e w r o l e in E u r o p e . M a n y ( l i k e

the

Slovakia,

R o m a n i a , B u l g a r i a ) e x p e r i e n c e tension be-

Conceptual

tween

A c c o r d i n g to B o r k e n h a g e n , a " n e w n a t i o n a l -

their

reassertion

of

independence,

Considerations

f i n d i n g a n e w E u r o p e a n identity, and contin-

i s m h a s e m e r g e d in W e s t e r n E u r o p e , w h i c h

u i n g n e e d f o r a s s u r a n c e that t h e i r f u t u r e will

s u p e r f i c i a l l y f l a u n t s t h e p o p u l a r n o t i o n that

b e f r e e of ( R u s s i a n )

Indeed,

the supranational u n i f o r m i t y of the EU was

w h i l e t r y i n g to e s t a b l i s h this e q u i l i b r i u m a n d

interference.

preventing a national identity and ignoring

stability they w o u l d like to m a x i m i z e their

l o c a l n e e d s . " 8 A c c o r d i n g to K o n r a d G i n t h e r ,

e c o n o m i c p r o s p e r i t y . It s e e m s as if C E E g o v -

s e l f - d e t e r m i n a t i o n in E u r o p e h a s t w o p r i n c i -

e r n m e n t s a n d e l e c t o r a t e s h a v e t o m a k e u p for

pal o b j e c t i v e s : a p e o p l e ' s d e m a n d t o d e t e r -

l o s s of s e l f - g o v e r n a n c e d u r i n g t h e last f i v e

m i n e its o w n p o l i t i c a l a n d l e g a l f a t e a n d t h e

decades.

r e a c t i o n t o t h i s d e m a n d by a h i g h l y

orga-

T h i s p r e s e n t s a n o t h e r p r o b l e m in t h e in-

nized E u r o p e a n state c o m m u n i t y via a p p r o -

ternal relationship with minorities and those

p r i a t e u s e a n d a d a p t a t i o n of its l a w s , r e g u l a -

w h o d o n o t b e l o n g to t h e s t a t e s ' p r e d o m i n a n t

tions, and institutions.9 The t w o

e t h n i c g r o u p . E s p e c i a l l y in t h e n e w d e m o c -

e n c o m p a s s a r a n g e of a t t i t u d e s

r a c i e s , little r e a d i n e s s e x i s t s to d i v e s t p o w e r s

t h e t h r e e f r e e d o m s , liberté,

a n d r i g h t s to n a t i o n a l m i n o r i t i e s . In m a n y

( w h o s e c o n c e p t s w e r e prevalent d u r i n g the

fraternité

cases they are treated a c c o r d i n g to the past

French

e x p e r i e n c e s of t h e d o m i n a n t c o m m u n i t y . A c -

depth

tual

transfer

t r a n s l a t i o n i n t o a c t u a l d a i l y p o l i t i c s , that is,

b a s i c p o w e r s of g o v e r n a n c e a n d c o n t r o l to

i n t e r n a l a n d e x t e r n a l s o v e r e i g n t y o n b o t h the

centers other than

individual and group/state level.

willingness

to r e l i n q u i s h

or

a supranational

EU

is

r a t h e r l i m i t e d — i n s p i t e of t h e r h e t o r i c a l a s s u r a n c e s t o t h e c o n t r a r y . I n d e e d , d e s p i t e all governments

having signed the Charta

of

P a r i s of 1 9 9 0 , w h i c h g u a r a n t i e s t h e i n v i o l a bility of t o d a y ' s b o u n d a r i e s e x c e p t f o r a l t e r ations through peaceful means, certain (Eastern)

European

leaders

appear

to b e

still

Revolution

égalité,

extremes

concerning

by

and were discussed

Rousseau)

and

their

in

respective

In the birth of popular sovereignty, the sovereignty of the monarch was transferred to the people, but the unit in which this sovereignty was to be operative was the nation. It was a nation in that people were to consent to be governed. If people were sovereign as a nation, they had to be free to form their own state, and the state had to be free to establish

8. Franz H.U. Borkenhagen, "Regions in Europe," Aussenpolitik (November 1994): 182-188; Ole Waever, "Nordic Nostalgia: Northern Europe After the Cold War," International Affairs 68, no. 1, (1992): 7 7 - 1 0 2 . 9. Konrad Ginther, "Selbstbestimmung in Europa," Herbert-Miehsler-Gedächnisvorlesung an der Oesterreichisches Handbuch des Völkerrechts, vol. 1, 2nd ed. (Vienna. 1991), pp. 323 ff; Konrad Ginther, Herbert Isak, eds.. Seif Determination in Europe (proceedings of an international workshop, Academy of Graz, Vienna, 1991).

Self-Determination,

Subsidiarity,

and

227

Regionalization

its own government. Each people had an inherent right not only to choose their own form of government but to determine their status as a state. These choices mark the difference between internal and external SelfDetermination. The first concerns the right of a people to form a national unit. The second concerns the right of the national unit to determine its own destiny, primarily in the form of a state. The concept of nationalism has come to be associated with the latter. Democracy provides the justification and means for the former. 10

e x a m i n e individual cases on the spot, m e d i ate b e t w e e n t h e p a r t i e s , a n d o f f e r r e c o m m e n d a t i o n s a n d s u g g e s t i o n s to t h e O S C E . R o b e r t Z a a g m a n e x a m i n e s t h i s q u e s t i o n in d e t a i l ; see pp. 248ff. The Helsinki Discussion VI, "The Human clear

Dimension," demonstrates

tendency

toward

individual

a

human

rights protection and also provides the m e a n s "to explore further avenues for more effective . . . p r o m o t i o n of the ethnic, cultural, linguistic, and religious identity of national minorities."11 T h e Helsinki Final Act of the

European

C S C E of 1975 d e a l s w i t h s e l f - d e t e r m i n a t i o n

Organizations

In a n u m b e r of E u r o p e a n ( r e g i o n a l ) o r g a n i -

in its P r i n c i p l e V I I I , " E q u a l i t y

zations, specific regulations have been writ-

D e t e r m i n a t i o n of t h e P e o p l e s . " 1 2

ten to facilitate the c o n s o l i d a t i o n

governments

of

new

still w i d e l y

oppose

and

Self-

European granting

d e m o c r a c i e s a n d , p o t e n t i a l l y , to p r o v i d e a s -

m i n o r i t y r i g h t s that g o b e y o n d p r o t e c t i n g in-

s i s t a n c e to e m e r g i n g s t a t e s . F o r e x a m p l e , E u -

d i v i d u a l s . T h e C o u n c i l of E u r o p e

r o p e ' s o l d e s t d e m o c r a t i c g u a r a n t o r , the C o u n -

that

cil of E u r o p e , d e v e l o p e d

members

a specific

guest

in

addition of

to

protecting

minority

groups,

suggests individual European

status for new m e m b e r s , with one condition:

s t a t e s s h o u l d a l s o o f f e r p r o t e c t i o n to e a c h

the f u l f i l l m e n t of a h u m a n r i g h t s p r o t o c o l a n d

g r o u p as a " c o l l e c t i v e l e g a l p e r s o n . " 1 3 T h e

v a r i o u s d e m o c r a t i c d u t i e s as a p r e r e q u i s i t e

E u r o p e a n U n i o n , as a s u p r a n a t i o n a l

f o r m e m b e r s h i p . T h e C o n f e r e n c e on S e c u r i t y

w i t h t h e r i g h t to i n t r u d e i n t o t h e s o v e r e i g n t y

a n d C o o p e r a t i o n ( C S C E ) led to t h e H e l s i n k i

of its m e m b e r s , s u p p o r t s the s e a r c h f o r g r e a t e r

entity

A c c o r d 1 9 7 5 — c a l l e d , s i n c e 1994, t h e O S C E

independence and self-governance under cer-

(Organization for Security and Cooperation

tain c i r c u m s t a n c e s , particularly on the re-

in E u r o p e ) — a n d c r e a t e d a s p e c i f i c p o s t , an

gional level.

O S C E High C o m m i s s i o n e r on National Mi-

The European self-determination debate,

n o r i t i e s , w h o h a s t h e d u t i e s of a s s i s t i n g in

in light of the L i e c h t e n s t e i n D r a f t C o n v e n t i o n ,

c o n f l i c t a v o i d a n c e a n d o f f e r i n g p r o t e c t i o n to

p a r t i c u l a r l y r e f l e c t s t h e s e c o n c e r n s in A r t i c l e s

minorities. The high commissioner

I V a n d V, w h i c h a r g u e f o r c o m m u n i t i e s ' r i g h t

would

10. Harold S. Johnson, "Self Determination: Western European Perspective," in Yonah Alexander and Robert A. Friedlander, Self-Determination: National, Regional, and Global Dimensions (Boulder, CO: Westview Special Studies in National and International Terrorism, 1980), pp. 8 1 - 8 5 . 11. CSCE Helsinki; quoted by Konrad Ginther, "Selbstbestimmung in Europa," 12. See CSCE Documents, Vienna: "The participating states will respect the equality and right of selfdetermination of the peoples, by acting any time in accordance with the objectives and principles of the Charter of the United Nations and the appropriate laws and regulations of the international law, including those which refer to the integrity of states. According to the principle of equality and self-determination of the peoples, all peoples have [at] any time the right to determine freely, and without external infringement, their internal and external status as well as their political, economic, and cultural development according to their own desires" (Translation WFD; Article VIII CSCE Final Act). Also quoted by Prince Alois of Liechtenstein, "Der Liechtensteinische Entwurf fuer eine Konvention ueber das Selbstbestimmungsrecht im Vergleich zum Heutigen Voelkerrecht" (master's thesis—Diplomarbeit, MA in Sciences of Laws, University of Salzburg, 1993), p. 12; also Ruth Lapidoth, "Sovereignty in Transition," Journal of International Affairs (Winter 1992): 3 3 7 - 3 3 8 ; and Ruppert Emerson, "Self Determination," American Journal of International Law 65 (1971): 459^175. 13. Konrad Ginther, "Selbstbestimmung in Europa," Hurst Hannum, "Rethinking Self-Determination," Virginia Journal of International Law 34, no. 1 (Fall 1993).

228 to m a x i m u m s e l f - g o v e r n a n c e . 1 4 Article V mandates especially the right of communities to participate actively in public affairs and even to have their own police force. The latter may be problematic, in light of the Second Pillar of the Maastricht Accords on home affairs.

Subsidiarity 1 5 Subsidiarity describes a system of decentralization and distribution of p o w e r — r e a l l y a devolution of power from central authorities to local and c o m m u n a l ones. In the specific EU context, subsidiarity means that the executive and legal powers should make decisions usinjg a process that involves the people they affect. Subsidiarity, as laid down in the opening article of the Treaties of Maastricht on the European Union, r e f l e c t s — a c cording to Article 3 A — " a c o m m i t m e n t to create an ever closer union a m o n g the peoples of Europe in which decisions are taken as closely as possible to the citizens." 1 6 Depending on the matters concerned, subsidiarity should allow for a maximum of self-

Wolfgang

Danspeckgruber

governance and autonomy in an overall centrally governed environment. The concept has been applauded as a principle for determining how powers should be divided or shared between different levels of government. Subsidiarity obviously draws criticism from those who argue for centralized leadership and who oppose devolution of power to the periphery or the provinces. It offers a sophisticated legal mechanism that can be used to help avoid nationalistic tensions and thus permit devolution in areas relevant to sociocultural identity, while continuing central governance in other political and economic matters. It may therefore be an efficient way to reconcile nationalistic tendencies—indeed it may serve as a valve to release such tensions and permit aspirations for self-governance and cultural identity. In a future EU of twenty states or more, maximum devolution of power and administrative competence in areas close to communal identity will be a conditio .sine qua non for a functioning EU, not only in order to satisfy communal/national ambitions in search for greater self-governance, but to

14. The Liechtenstein Draft Convention on S e l f - D e t e r m i n a t i o n Through Self-Administration, pp. 3 8 - 4 0 in this volume. 15. I am grateful to Veronica Tucker for preliminary research, Summer 1994. Alois Riklin, Gerard Batliner, ed., Subsidiarität: ein interdisziplinäres Symposium (Liechtenstein-Institut in Bendern, Vaduz: Verlag der Liechtensteinischen Akademischen Gesellschaft, 1994); Alain Delcamp. Definition and Limits of the Principle of Subsidiarity: Report prepared for the Steering Committee on Local and Regional Authorities (Strasbourg: Council of Europe Press, 1994); Making Sense of Subsidiarity: How Much Centralization for Europe? (London: Centre for Economic Policy Research, 1993); Pat Devine, Yannis Katsoulacos, Roger Sugden, eds., Competitiveness, Subsidiarity and Industrial Policy ( N e w York: Routledge, 1996); Millon-Delson, Chantal, L'Etat subsidiaire: inference et non-ingerence de letat: le principe de subsidiarite au.x fondements de l'histoire europeenne (Paris: Presses universitaires de France. 1992). 16. See also: George A. Berman, "Taking Subsidiarity Seriously: Federalism in the European Community and the United States," Columbia Law Review 94, no. 2 (March 1994): 331 —456; "Interinstitutional Declaration on Democracy, Transparency, and Subsidiarity," Bulletin of the European Community, no. 10 (1993): 118-120; "The Principle of Subsidiarity," Commission of the European Communities, Communication of the C o m m i s s i o n to the Council and the European Parliament (November 1992); "Report to the European Council on the Adaptation of Community Legislation to the Subsidiarity Principle," Commission of the European Communities (November 1993); Thomas C. Fischer, "Federalism in the EC and the U.S.: 'A rose by any other name . . . ,"' Fordham International Law Journal 17, no. 389 (1994): 4 2 1 - 4 4 0 ; Karl-Heinz Neureither, "Subsidiarity as a Guiding Principle for European Community Activities," Government and Opposition 28, no. 2 (London, 1993): 2 0 6 - 2 2 0 ; Scott A. Peterson, and D. Millar, "Subsidiarity: A Europe of the Regions Versus the British Constitution?" Journal of Common Market Studies 32, no. 1 (March 1994): 4 6 - 4 7 ; Anthony L. Taesdale, "Subsidiarity in PostMaastricht Europe," Political Quarterly 64, no. 2 (April-June 1993): 187-197; Shirley Williams, "Sovereignty and Accountability in the European Community," Political Quarterly 61(1990): 299-317; "Trial by Subsidiarity," The Economist, no. 7766 (July 1992): 15; "Figuring Out Subsidiarity," The Economist, no. 7839 (November 1993).

Self-Determination,

Subsidiarity,

and

229

Regionalization

render the administration and implementation

d e c e n t r a l i z a t i o n h a s c o m m e n c e d in t h e d i r e c -

of the E U m o r e e f f e c t i v e .

tion of f a v o r i n g Länder,

nations, autonomous

c o m m u n i t i e s , and regions with the p o w e r to Historical

m a k e and enforce laws and regulations. Such

Background

P o p e P i u s X I f i r s t e m p l o y e d s u b s i d i a r i t y as a

m o r e a u t o n o m o u s r e g i o n s w o u l d b e a b l e to

d o c t r i n e of C a t h o l i c s o c i a l p h i l o s o p h y . In h i s

p a r t i c i p a t e in m e e t i n g s of t h e E C ' s C o u n c i l of

Encyclica

of 1 9 3 1 , h e

M i n i s t e r s . 1 9 A c c o r d i n g to P e t e r s o n , h o w e v e r ,

Quadragesimo

Anno

i m p l i e d t h a t s o c i a l l i f e in m o d e r n s t a t e s h a d

a paradoxical situation existed, inverting the

disintegrated m a i n l y b e c a u s e the state had

a r g u m e n t w h e n it w a s r e a s o n e d that t h e n e e d

u s u r p e d t h e f u n c t i o n s of s m a l l s o c i a l g r o u p s ,

to t r a n s f e r s o v e r e i g n t y t o t h e E u r o p e a n C o m -

s u c h as t h e f a m i l y . H e a s s e r t e d that it w a s an

m u n i t i e s w a s j u s t i f i e d by s u b s i d i a r i t y b e c a u s e

i n j u s t i c e a n d a d i s r u p t i o n of t h e p r o p e r o r d e r

o n l y c o m m o n p o l i c i e s in t h e e n t i r e E C terri-

f o r a state to r e s e r v e f o r itself the right to

t o r y c o u l d m a t c h t h e s c a l e of t h e p r o b l e m s

p e r f o r m c e r t a i n f u n c t i o n s that c o u l d b e p e r -

a n d c r e a t e an e f f e c t i v e c o m m o n a p p r o a c h . 2 0

f o r m e d m o r e efficiently by smaller

social

In t h e

1980s subsidiarity gained

rele-

g r o u p s . 1 7 T h i s E n c y c l i c a t e s t i f i e s to t h e Vat-

v a n c e in t h e d e v e l o p m e n t of t h e S E A a n d

i c a n ' s s t r o n g c o n t e m p t f o r t h e rise of s o c i a l -

particularly regarding the E C ' s e n v i r o n m e n -

ist i d e o l o g i e s a n d i d e a s in E u r o p e ( e s p e c i a l l y

tal s t a n d a r d s a n d r e g u l a t i o n s . T h e n , h o w e v e r ,

t h e p o w e r f u l m o v e m e n t in t h e U S S R ) a n d

s u b s i d i a r i t y s e r v e d as a g u a r a n t o r a g a i n s t t h e

their intrusion into f a m i l y life and educa-

w e a k e n i n g of s t r o n g n a t i o n a l e n v i r o n m e n t a l

tional and social structures.18

s t a n d a r d s t h r o u g h the i m p o s i t i o n of less string e n t E C o n e s . 2 1 In t h e p o l i t i c a l

Subsidiarity

and Modern

spectrum,

several c o m p e t i n g stands then e m e r g e d . Pe-

Europe

In m o d e r n E u r o p e a n politics, s u b s i d i a r i t y as a

terson enumerates three competing "ideolo-

c o n c e p t h a s r e m a i n e d o r i e n t e d to d e v o l u t i o n

g i e s " of s u b s i d i a r i t y : 2 2

a n d the c i r c u m s t a n c e s u n d e r w h i c h p u b l i c a u t h o r i t i e s s h o u l d i n t e r v e n e in s o c i a l a n d e c o -

1. T h e C h r i s t i a n D e m o c r a t i c v e r s i o n e m -

n o m i c a f f a i r s . In p a r t i c u l a r , t h e C h r i s t i a n D e -

braces the C a t h o l i c social p h i l o s o p h y . Small

m o c r a t s ( p e r h a p s b e c a u s e of t h e i r p a r t i c u l a r

social

socioreligious

s o v e r e i g n in p l u r a l i s t s o c i e t y , y e t u n i t e d in a

inclination)

in

the

govern-

groups

should

be a u t o n o m o u s

and

m e n t s of t h e 1 9 7 0 s w e r e m a j o r s u p p o r t e r s of

c o m m o n morality which stresses duty

t h i s i d e a . In t h e 1 9 6 0 s a n d 1 9 7 0 s , a n d e s p e -

h a r m o n y . T h e state s h o u l d assist t h e m , but

and

cially since the S E A (Single European Act)

h a s n o r i g h t to s u b s t i t u t e f o r s o c i a l g r o u p s

d e v e l o p m e n t s and the Giscard d ' E s t a i n g Re-

n o r t o b e s h a c k l e d b y t h e i r d e m a n d s ; in c o n -

p o r t o n t h e a p p l i c a t i o n of t h e p r i n c i p l e of

trast, the state should serve the public g o o d

s u b s i d i a r i t y , a d e v e l o p m e n t of a d m i n i s t r a t i v e

and p r o v i d e the legal order. Christian D e m -

17. John Peterson, "Subsidiarity: A Definition to Suit Any Vision?" Parliamentary Affairs 47, no. 1 (January 1994): 118. 18. Ewald Link, Das Subsidiaritaetsprinzip, sein Wesen und seine Bedeutung fiter die Sozialethik (Freiburg: Herder, 1955); Rolf G. Heinze, ed., Neue Subsidiarität: Leitidee für eine Zukünftige Sozialpolitik (Opladen: Westdeutscher Verlag, 1986). 19. Carles Alfred Gasöliba i Böhm, "The Application of Subsidiarity," in Andrew Duff, ed., Subsidiarity Within the European Community (Federal Trust Report, 1993) p. 71. 20. John Peterson, "Subsidiarity: A Definition to Suit Any Vision," p. 120. 21. Deborah C. Cass, "The Word That Saves Maastricht? The Principle of Subsidiarity and the Division of Powers Within the European Community," Common Market Law Review 29, no. 5 Dordrecht (December 1992): 1107-1136; Karlheinz Neunreither, "Subsidiarity as a Guiding Principle for European Community Activities," Government and Opposition, vol. 28, no. 2 (London, 1993): 2 0 6 - 2 2 0 ; John Peterson, "Subsidiarity: A Definition to Suit Any Vision," p. 118. 22. John Peterson, ibid.

230

Wolfgang

Danspeckgruber

o c r a t s t a k e a d y n a m i c v i e w of p o l i t i c s , e n v i -

keeping maximum

sion state intervention only for limited peri-

c o m m u n i t i e s — i n the s a m e vein, the

Länder

o d s to a d d r e s s s p e c i f i c s o c i a l n e e d s , a n d s e e

also fought against transferring too

much

t h e m s e l v e s as d e f e n d e r s of c h u r c h a n d t h e

p o w e r to " r e m o t e B r u s s e l s , " i.e., t h e E U . T h e

family.

p o w e r in t h e h a n d s of

B r i t i s h v e r s i o n o p e r a t e s a c c o r d i n g to a re-

2. T h e s e c o n d , a l t e r n a t i v e i d e o l o g y

is

s t r i c t i v e i n t e r p r e t a t i o n of E U p o w e r s as it

b a s e d on t h e p r i n c i p l e s of G e r m a n f e d e r a l -

employs

ism and specifically d e f i n e s the duties and

r e s t r i c t i v e i n f l u e n c e in a r e a s that a r e i m p o r -

p o w e r s of d i f f e r e n t l e v e l s of g o v e r n m e n t in

tant f o r s o v e r e i g n n a t i o n a l i n t e r e s t .

E u r o p e . T h e G e r m a n Länder

w a n t to

subsidiarity

to

neutralize

EU's

see

In t h e 1 9 9 0 s E U m e m b e r n a t i o n s h a v e

and—if

expressed persistent concern about retaining

a n y t h i n g — e n l a r g e d , as t h e y a r e g u a r a n t e e d

s o m e d e g r e e of c o m m u n a l s e l f - g o v e r n a n c e .

b y t h e Grundgesetz

Constitution),

First, t h e B r i t i s h r e f u s e d to a c c e p t t h e f e d e r a l

a g a i n s t t r e s p a s s by E C i n s t i t u t i o n s a n d d e e p -

v o c a t i o n in t h e M a a s t r i c h t T r e a t y . T h e n , t h e

ening European integration.

M a a s t r i c h t a g r e e m e n t s w e r e r e j e c t e d in t h e

their substantial powers protected (Federal

3. T h e c o n s e r v a t i v e B r i t i s h i n t e r p r e t a t i o n

f i r s t r e f e r e n d u m in D e n m a r k . F r a n c e

also

of s u b s i d i a r i l y e m e r g e d in t h e a f t e r m a t h of

had difficulties with achieving a consensus

the

Confer-

on r a t i f i c a t i o n . M o r e o v e r . G e r m a n y w a s less

e n c e ) of M a a s t r i c h t . B r i t i s h c o n s e r v a t i v e s s e e

r e c e p t i v e to E U d e m a n d s a f t e r t h e u n i f i c a -

s u b s i d i a r i t y s i m p l y as a p r i n c i p l e f o r l i m i t i n g

t i o n . F i n a l l y , t h e d o m e s t i c s u c c e s s of c o n s e r -

the E C ' s powers. T h e y a s s u m e a n a r r o w def-

vative rebels battling Prime Minister M a j o r ' s

inition w h i c h s a n c t i o n s E C a c t i o n o n l y w h e n

plan f o r a s m o o t h a n d s p e e d y r a t i f i c a t i o n f u r -

it is n e c e s s a r y to e n s u r e t h e S E M " f o u r f r e e -

ther stymied pro-Maastricht

d o m s . " British c o n s e r v a t i v e s r e f u s e to a c c e p t

U K . T h e m o r e c e n t r a l i z e d g o v e r n m e n t s of

t h e c o n t i n e n t a l v e r s i o n of s u b s i d i a r i t y w h i c h

F r a n c e a n d E n g l a n d a r e r e t i c e n t t o w a r d its

1991 1GC ( I n t e r g o v e r n m e n t a l

e f f o r t s in t h e

c a n b e u s e d to j u s t i f y d e c e n t r a l i z i n g p o w e r s

i m p l e m e n t a t i o n , w h i l e g o v e r n m e n t s of m a j o r

to s u b s i d i a r i t y o r s u b - n a t i o n a l u n i t s of g o v -

f e d e r a l s t a t e s s u c h as B e l g i u m ,

e r n m e n t . T h e B r i t i s h c o n s e r v a t i v e s insist on a

and Spain f a v o r the c o n c e p t .

v e r s i o n of " t e r r i t o r i a l g o v e r n m e n t " w h i c h resists any constraints, internal or external, on the a u t o n o m y of c e n t r a l g o v e r n m e n t .

The

legal

regulations

in

Germany, the

tricht A g r e e m e n t s e x p r e s s this

Maas-

ambiguity

about subsidiarity: Article 3A argues that d e c i s i o n s s h o u l d be m a d e with the partici-

These

ideological

interpretations

of

sub-

p a t i o n o f t h e c i t i z e n s , i d e a l l y at t h e l e v e l

s i d i a r i t y r e f l e c t t h e n o t i o n of s e l f - g o v e r n a n c e

of local g o v e r n m e n t

and thus determination;

while Article 3B employs subsidiarity

most

prominentin

e s p o u s i n g t h i s i d e o l o g y a r e t h e s c h o o l s of t h e G e r m a n Länder. cratic power

level, would

On the Christian D e m o -

maximum be

given

possible; to

divide p o w e r b e t w e e n the E U and m e m b e r states,

according

to

whichever

is

and

moral

effective.21 Article

"small

social

G e r m a n y ' s and B e l g i u m ' s interests,

social to

whenever

3A

seems

to

most reflect while

g r o u p s " w i t h i n a s t a t e ; in t h e g o v e r n m e n t , o n

A r t i c l e 3 B r e f l e c t s t h o s e of t h e U K a n d D e n -

the other hand, w o u l d be vested with only

m a r k , e n s u r i n g the p r i m a c y of the nation-

l i m i t e d p o w e r . T h e G e r m a n p l a n is b y f a r t h e

state

m o s t i n c l i n e d to f a v o r s e l f - d e t e r m i n a t i o n a n d

c h e c k i n g t h e p r o c e s s of i n t e g r a t i o n .

in

EC

decisionmaking,

as

well

as

Obvi-

23. Article 3B states that "in areas which do not fall under its exclusive competence, the community shall take action in accordance with the principle of subsidiarity, only if and insofar [italics by WFD] as the objectives of the proposed action cannot be sufficiently achieved by the member states and can therefore by reason of the scale or effects of the proposed action be better achieved by the community."

Self-Determination,

Subsidiarity,

and

Regionalization

231

o u s l y , A r t i c l e 3 A h a s g e n u i n e a p p e a l f o r all

the intellectual underpinning for a " E u r o p e

p e o p l e s i n t e r e s t e d in d e c e n t r a l i z a t i o n a n d re-

of t h e R e g i o n s . "

gionalization, especially the G e r m a n

Länder,

the Spanish a u t o n o m o u s regions, the Belgian

Regionalism and Regionalization

regions

In E U E u r o p e t h e t e n d e n c y t o w a r d r e g i o n a l -

,and Austrian

Bundeslander.

who

long for m a x i m u m self-governance. Further-

ization—hence

more, Article 3A offers the basis for exten-

regional cooperative v e n t u r e s — c a n n o t be ma-

sive regional cooperation.

t e r i a l i z e d w i t h o u t an e f f e c t i v e l y i m p l e m e n t e d

S u b s i d i a r i t y is t h u s c r i t i c a l in t h e d e s i g n

the

formation

of

greater

s u b s i d i a r i t y . B o t h c o n c e p t s r e p r e s e n t an in-

of a m o r e d e m o c r a t i c a n d e f f i c i e n t m u l t i -

c r e a s i n g l y i m p o r t a n t a s p e c t in t h e

t i e r e d s y s t e m in a u n i f i e d E u r o p e . P e t e r s o n

t i o n a l s y s t e m , b u t a r e of p a r t i c u l a r r e l e v a n c e

interna-

suggests that t w o conditions must be met:

in an E U p r e p a r i n g f o r i n t e g r a t i o n a n d c e n -

Subsidiarity should be defined more broadly;

t r a l i z a t i o n in f i n a n c e , i n d u s t r y , e c o n o m y a n d

and regulations s h o u l d only advise on the

e v e n c e r t a i n a s p e c t s of s e c u r i t y p o l i c y c o n -

a p p r o p r i a t e r e s p o n s i b i l i t i e s f o r e a c h l e v e l of

s i s t i n g of s o o n to b e t w e n t y s t a t e s . T h e d r i v e

government

f o r i n c r e a s e d r e g i o n a l i z a t i o n r e p r e s e n t s a nat-

rather than prescribe

m o d e s of a c t i o n .

specific

ural r e a c t i o n , n a m e l y p r o t e c t i o n of r e g i o n a l

24

T h u s f a r , s u b s i d i a r i t y h a s b e e n u s e d to cncourage discussions on subnationai

gov-

e r n m e n t in E U p o l i c y m a k i n g , e s p e c i a l l y in i m p l e m e n t i n g r e g i o n a l d e v e l o p m e n t . T h e reg i o n s ' p o l i t i c a l i n t e r e s t in E u r o p e h a s g r o w n after a period during which most EU states have decentralized

p o w e r s at h o m e

while

t r a n s f e r r i n g p o w e r s to t h e E U . In 1 9 9 6 t h e I G C d i s c u s s e d t h e p o s s i b i l i t y of g i v i n g l o c a l , subnational

authorities

actual

legislative

p o w e r s at t h e E U l e v e l . O n e m e t h o d of i m p l e m e n t i n g t h e p o l i c y w o u l d b e to e m p o w e r the C o m m i t t e e of t h e R e g i o n s .

2i

This process

of s e n d i n g r e p r e s e n t a t i v e s of s u b n a t i o n a l g o v e r n m e n t s t o h e l p p a r t i c i p a t e in E U d e c i s i o n m a k i n g would provide the desired " n e a r n e s s " to a v e r a g e c i t i z e n s . S u b s i d i a r i t y

comprises

identity a n d p a r t i c u l a r i t y , h e n c e o f f e r i n g a d e f e n s e m e c h a n i s m to i n c r e a s i n g d e m a n d s f o r i n t e g r a t i o n — r e g i o n a l i z a t i o n r e f l e c t s the intention of p r e s e r v i n g s o m e d e g r e e of s e l f - g o v e r n a n c e on a l e v e l i n d e p e n d e n t f r o m n a t i o n a l b o u n d a r i e s . It i n t r o d u c e s h e n c e a n o t h e r a d m i n i s t r a t i v e l a y e r — i n a d d i t i o n to state a n d supranational

EU governance—in

order

to

f i n d n e w , m o r e e f f i c i e n t w a y s to a d m i n i s t e r (and even finance) independently

organized

projects i m p o r t a n t for the c o m m u n i t y / r e g i o n concerned. Such projects may range

from

e c o n o m i c s to cultural s p o n s o r s h i p and education, f r o m infrastructure to e n v i r o n m e n t a l and scientific-technological cooperation, and even certain foreign policy matters and operations against organized crime.26 Successful

24. See Peterson. "Subsidiarity," pp. 123ff. 25. Marc Wilke and Helen Wallace, Subsidiarity: Approaches to Power-Sharing in the European Community (RIIA Discussion Papers, No. 27, 1990): "Overall Approach to the Application by the Council of the Subsidiarity Principle and Article 3b of the Treaty of the European Union," EU—Conclusion of the Presidency—Edinburgh, December 12, 1992, SN 456/92, Annex 1 to Part A; "Subsidiarity," EU— Conclusion of the Presidency—Edinburgh, December 12, 1992, SN 456/92, Annex 2 to Part A. 26. Regionalization such as the emergence of subregions, comprising several smaller states or parts of states according to infrastructural needs, is based upon ethnic, historical, geographic, and climatic similarities. Non-state-based is regional in the sense that it takes place in a part (i.e., region) of Europe, and does not follow extra-European definitions of economic or power blocs. In many ways it continues the previously indicated trend of the relative reduction of stateism in exchange for more naturally—that is, geographically—and hence more homogeneously grown regional cooperation; Wolfgang Danspeckgruber, Regionalization, Sub-Regionalization, and Security in Central Eastern Europe (CIS, Princeton University, 1996) (continues).

Wolfgang

232

regionalization thus serves the E U ' s inter-

Danspeckgruber

cultural situations, as well as climatic sim-

ests as well. R e g i o n a l c o o p e r a t i o n on a bi-

ilarities and

lateral

a d d t o t h e a p p e a l of s u c h n e t w o r k s . 2 7

level

between

states

and/or

provinces m a y also stimulate local industry and i n f r a s t r u c t u r e w i t h o u t requiring vast financial

or

other

program

assistance

For

the

interactions/communications, regions

of

central

Europe,

a r o u n d t h e t e r r i t o r y of the f o r m e r A u s t r o -

by

Hungarian Monarchy, regionalization rep-

Brussels or the national g o v e r n m e n t s . T h e

r e s e n t s a c o n t i n u a t i o n of a natural s o c i o p o -

new Europe may encourage such

endeav-

o r s , if o n l y f o r c o n s i d e r a t i o n s of a f i n a n c i a l

litical

interaction

existent

before

1914.

D u r i n g the Cold War, regional c o o p e r a t i o n

n a t u r e , or to r e v i t a l i z e a r e a s and thus p r e -

initiatives—above and beyond political co-

v e n t s o c i a l p r o b l e m s or e x t e n s i v e e c o n o m i c

o p e r a t i o n — b e g a n apparently originally to

migration.

c r e a t e e x a m p l e s of s u c c e s s f u l c o o p e r a t i o n

Regionalization can comprise

smaller

with d e m o c r a c i e s . P e r h a p s also with the in-

states (CEI, Baltic, and Benelux) and parts

t e n t i o n t o s o f t e n an a l r e a d y a n d s t e a d i l y d e -

of s t a t e s ' r e g i o n s ( A R G E s — A r b e i t s g e m e i n -

c l i n i n g c o n t r o l of M o s c o w

schaft

and

Alpenlander—or

Alpine

States

to

counteract

in t h e

increasing

region

economic

Working Group). Such cooperation can also

p r o b l e m s . 2 8 T h e g o v e r n m e n t s in E a s t a n d

exist

West Central Europe then favored certain

in

the

form

of

networks

between

cities delineated a c c o r d i n g to historic and

schemes

geographic

infrastructural

(like cultural e x c h a n g e , scientific c o o p e r a -

criteria

and

of c o o p e r a t i o n

with

each

other

n e e d s . In m o s t c a s e s , s i m i l a r o r c o m p a r a b l e

tions) eventually e x p a n d e d into m o r e costly

challenges suggest benefits from coopera-

p r o j e c t s l i k e i n t e r a c t i o n in t r a n s p o r t

tion

nology, environment, energy

that

far

exceed

its

possible

costs

tech-

cooperation,

( R h i n e - R h o n e cities, Euro cities). C o m p a -

and industrial training.29 These

rable

o b t a i n e d c o n s i d e r a b l e d y n a m i c at t h e t i m e

ethnic,

historical,

geographic,

and

endeavors

Barry Jones and Michael Keating, eds., The European Union and the regions; N e w York: O x f o r d University Press. 1995; Joachim Jens Hesse, ed.. Regionen in Europa= Regions in Europe = Regions en Europe, Baden-Baden: N o m o s , 1995; Claude D u Granrut, Europe, le temps des Regions; preface de Jean-François Deniau. Paris: Libr.generale du droit et de la jurisprudence, c l 9 9 4 ; L e o van den Berg, Governing metropolitan regions. Aldershot: Avebury. 1993: W o l f g a n g Haubrichts. Reinhard Schneider, eds., Grenzen und Grenzregionen. Saarbrücken: Saarbrückner Druckerei und Verlag, 1993; Robert Lafont, La nation. I'etat, les regions: reflexions pour une fin de siede et un commencement d'Europe, Paris: Berg International, 1993; R. Cappellin, P.W.J. Batey, Regional networks, border regions, and European integration. London: Pion, 1993; John Bachtier; Socio-economic situation and development of the regions in the neighbouring countries of the community in Central and Eastern Europe : final report to the European Commission. Brussels: C o m m i s s i o n of the European C o m m u n i t i e s . Directorate-General for Regional P o l i c i e s ; Lanham, M D : U n i p u b distributor, 1992; Robert Leonardi and R a f f a e l l a Y. Nanetti, eds., The Regions and European integration: the case of Emilia-Romagna. London; N e w York: Pinter Publishers, 1990; Regional research in an international perspective. M ü n c h e n : V. Florentz, 1984; D u d l e y Seers and Kjell Ostrom, The Crises of the European regions. N e w York: St. Martin's Press, 1983 27. W o l f g a n g Danspeckgruber, "The European E c o n o m i c Area, the Neutrals, and an Emerging Architecture," in Gregory Treverton, ed., The Shape of the New Europe ( N e w York: Council on Foreign Relations, 1992), pp. 9 2 - 1 3 0 . 28. See Emil Staffelmayr, "Die D y n a m i k der Entwicklung in Europa," Oesterreichisches Jahrbuch für Politik 1990 (Wien, 1991), pp. 7 1 1 - 7 2 0 ; Martin Eichtinger, "Oesterreichs Außenpolitik in Zentralund Osteuropa nach d e m A n n u s mirabilis 1989," in Ilona Slawinski und Joseph P. Strelka, e d s . , Viribus Unitis—Oesterreichs Wissenschaft und Kultur im Ausland—Impulse und Wechselwirkungen, Festschrift für Bernhard Stillfried aus Anlaß s e i n e s 7 0 (Wien: Geburtstags, Peter Lang, 1996), p. 118. 29. See W o l f g a n g Danspeckgruber, Regionalization. Sub-Regionalization, and Security in Central Eastern Europe, pp. 2 8 - 3 4 ; Klaus-Peter Weiner, " B e t w e e n Political R e g i o n a l i z a t i o n and E c o n o m i c G l o b alization: P r o b l e m s and Prospects o f European Integration," Internationa! Journal of Political Economy, Spring 1992, pp. 4 1 - 6 1 .

Self-Determination,

Subsidiarity,

and

233

Regionalization

a r o u n d the fall of t h e W a l l in 1990, t h o u g h t h e y h a v e b e e n o v e r t a k e n by e f f o r t s to j o i n t h e E U and N A T O . G e n e r a l l y s p e a k i n g , ideological fatigue, e c o n o m i c interests, and modern technological progress have cont r i b u t e d to t h e c h a n g e s in t h e i n t e r n a t i o n a l system and geopolitics. This system expanded infrastructure cooperation in telecommunications, transportation, and env i r o n m e n t a l m a t t e r s , a n d f u r t h e r s the m o b i l ity of p e r s o n s and a c c e s s to g r e a t e r m a r k e t s , etc., but also e d u c a t e s c o n s u m e r s f o r s p e c i f i c t a s t e s and n e e d s . S m a l l e r a r e a s w i t h a d d i tional e t h n i c and r e l i g i o u s b i n d s , a n d linked by cultural and historic c o m m u n a l i t i e s certainly benefit f r o m intensified cross-border c o o p e r a t i o n , i.e. r e g i o n a l i z a t i o n . 3 0 A r g u a b l y the l o n g - r a n g e g o a l of s u c cessful European unification appears more a t t a i n a b l e via r e g i o n a l c o o p e r a t i o n . G r a n t i n g d e c i s i o n - m a k i n g p o w e r s to r e g i o n a l / l o c a l g o v e r n m e n t s f a c i l i t a t e s the p r o c e s s of p r o v i d i n g c o n c r e t e p r o b l e m s with q u i c k s o l u t i o n s . d i r e c t l y b e n e f i t i n g the p e o p l e c o n c e r n e d . 1 1 As a r g u e d a b o v e , i n t e r r e g i o n a l c o o p e r a t i o n can a l s o o v e r c o m e r e g i o n a l rivalries and e x t e n s i v e d i s p a r i t i e s in e c o n o m i c and i n d u s t r i a l d e v e l o p m e n t via a p o o l i n g of r e s o u r c e s . It c o u l d m u t u a l l y b e n e f i c i a l l y influence educational, scientific-technological, and e n v i r o n m e n t a l s t a n d a r d s — p a r t i c u l a r l y in c a s e E U r e g i o n s c o o p e r a t e w i t h t h o s e still o u t s i d e the E U . Regionalization furthers decentralization and democratization by instilling responsibility and a u t o n o m y f r o m b e l o w , w h i c h o u g h t to inspire r e g i o n s to d e v e l o p a p p r o p r i ate c a p a b i l i t i e s in o r d e r to c o m p e t e w i t h other regions. S i n c e r e g i o n a l i z a t i o n s e e m s to

be a b l e to m a k e u p f o r m i s s i n g s t r u c t u r a l support f r o m central (national or supranat i o n a l ) a u t h o r i t i e s , r e g i o n s m i g h t f i n d the p r o s p e c t of i n t e r r e g i o n a l fiscal o p e r a t i o n s especially a p p e a l i n g . A n e w p h e n o m e n o n , on the o n e h a n d , is the g r e a t e r s e a r c h f o r s p e c i a l statute and rela t i v e i n d e p e n d e n c e b y m a j o r c i t i e s in E u r o p e , e.g. H a m b u r g , B e r l i n , V i e n n a , F r a n k f u r t h , a n d G e n e v a — t h o u g h b a s e d on t h e i r very h i s t o r i c e x p e r i e n c e . O n the o t h e r h a n d , t h e e m e r g i n g t r e n d of t r a n s - E u r o p e a n city c o o p e r a t i o n ( T E N ) in f o r m of h i g h - s p e e d rail and f i b e r - o p t i c / s a t e l l i t e c o m m u n i c a t i o n netw o r k s 3 2 will permit cities to o f f e r u n i q u e adv a n t a g e s to b u s i n e s s , i n d u s t r y , a n d h o u s e h o l d s a n d will t h u s f u r t h e r c o n t r i b u t e to an i n c r e a s e d rift and u n e v e n d e v e l o p m e n t with rural areas. 3 - 1 A n e g a t i v e f o r m of i n t e r a c t i o n m a y emerge between regions regarding minorities, n a t i o n a l i t i e s , and e n v i r o n m e n t a l issues. M i g r a t i o n a n d c h e a p " i m p o r t e d " labor, or guest w o r k e r s , m a y i n f r i n g e u p o n l a b o r m a r kets a n d e d u c a t i o n a l - s o c i a l s t r u c t u r e s h e n c e causing tensions and challenging regional c o h e s i o n . I n c o m p e t e n c e or u n w i l l i n g n e s s to change plans regarding major construction projects with environmental repercussions like h y d r o p o w e r p l a n t s or n u c l e a r p o w e r p l a n t s can a d d to i n t e r - r e g i o n a l p o l i t i c a l frictions. In g e o p o l i t i c a l t e r m s , the m a j o r r e g i o n s of E u r o p e , n a m e l y , the N o r d i c a r e a , t h e D a n u b i a n Central European region, and the M e d i t e r r a n e a n r e g i o n via A u s t r i a and S w i t z erland (ARGE-Alp-Adria, Arge-Donaulander, and C E I ) are l i n k e d via, or n e i g h b o r o n , the territory of united G e r m a n y . Primarily f o r

30. "Westeuropas R e g i o n e n , " Der Bürger im Staat (Landeszentrale für politische Bildung, Baden-Württ e m b e r g ) Vol. 3 7 , N o . 7, 1987; D . G e r d e s , " A u f s t a n d in der P r o v i n z , " ibid., pp. 71 ss; Steiner, Isak, Marko, eds., A l l e Macht n a c h unten? Regionen lind Gemeinden gestalten die neue Demokratien Europas, Graz, 1992. 31. S e e the interesting article o n the P e n t a g o n a l e by H a n s - P e t e r N e u h o l d , " R e n a i s s a n c e o f R e g i o n a l ism," Der Standard. January 4, 1991, p. 4 (transcribed in F B 1 S - W E U - 9 1 - 0 3 8 , p. 2). 32. Panayotis G e t i m i s and Grigoris Kafkalas, eds., Urban and regional development in the new Europe: policies and institutions for the development of cities and regions in the single European market, Athens: Urban and R e g i o n a l D e v e l o p m e n t Policy: T O P O S , 1993; Mick D u n f o r d and Grigoris Kafkalas, eds., Cities and regions in the new Europe: the global-local interplay and spatial development strategies, London: B e l h a v e n Press; N e w York: C o p u b l i s h e d in the A m e r i c a s with Halsted Press, 1992. 33. I am indebted for these points to Prince Hans A d a m II o f Liechtenstein.

234

Wolfgang

Danspeckgruber

sociopolitical reasons, too extensive a depen-

of t h e t w e n t i e t h c e n t u r y b e c a u s e of t h e a b o v e

d e n c e o n G e r m a n y is p e r c e i v e d to b e n e i t h e r

d e s c r i b e d p o s i t i v e c o n t r i b u t i o n s to c o n t i n e n t a l

a t t r a c t i v e n o r d e s i r a b l e to C E E c o u n t r i e s . T h e

i n t e g r a t i o n as w e l l as b y h e l p i n g t o o v e r -

s a m e is t r u e f o r w h a t m a n y c o n s i d e r to b e an

c o m e e c o n o m i c , ideological, and social dis-

overly large trade d e p e n d e n c e on R u s s i a or

p a r i t i e s in c e n t r a l E a s t e r n E u r o p e .

C I S ( C o m m o n w e a l t h of I n d e p e n d e n t S t a t e s )

g l o b a l c o m p e t i t i o n a n d u n c e r t a i n t y in t h e in-

countries.

ternational situation have further contributed

Strategies

for

counterbalancing

Rising

that G e r m a n i n f l u e n c e , e x c e p t for the opti-

to r e g i o n a l i z a t i o n . In a d d i t i o n , Laender

m u m s o l u t i o n of f u l l E U or N A T O m e m b e r -

c o m m u n i t i e s a r e i n t e r e s t e d in t h e i r local p o l -

and

s h i p , i n c l u d e e i t h e r t h e f o r m a t i o n of e x t e n -

itics, identity, and w e l l - b e i n g and see re-

sive bilateral ties with other m a j o r outside

g i o n a l c o o p e r a t i o n as a n e f f e c t i v e m e a n s t o

powers,

the

r e a l i z e t h e i r o b j e c t i v e s . P e o p l e s in E u r o p e ,

of

b o t h E a s t a n d W e s t , a n d in t h e B a l t i c a n d t h e

that

is,

France,

Britain,

and

United States, or else the e n h a n c e m e n t

s t r o n g e r i n t e r - r e g i o n a l t i e s , in o t h e r w o r d s ,

Mediterranean

regionalization.

n e e d f o r i n t e g r a t i o n in c e r t a i n e c o n o m i c , in-

T h e f o r m a t i o n of r e g i o n a l , a n d

espe-

regions,

have

realized

the

dustrial, and even financial (currency) mat-

c i a l l y s u b r e g i o n a l , c o o p e r a t i v e v e n t u r e s is a

ters. S i m u l t a n e o u s l y

" v a r i a t i o n of i n t e r - s t a t e r e g i o n a l i n t e g r a t i o n "

their e f f o r t s on a smaller, regional scale for

w i t h the e m p h a s i s on " b u i l d i n g f r o m b e l o w , "

several considerations:

which

may

offer

increased

they have

intensified

networking,

strengthening, and integration on the local

1. Economic

problems

and

disappoint-

level, a n d h e n c e e n h a n c e d d e m o c r a t i z a t i o n at

ments:

the f o u n d a t i o n . A m o n g other benefits, this

r e g i o n a l d i s p a r i t i e s in i n c o m e , w e a l t h , e m -

R e g i o n a l i z a t i o n can be a reaction to

p r o m o t e s t h e b u i l d i n g of h u m a n ties, t h e e n -

p l o y m e n t , or G D P . R e g i o n a l i z a t i o n m a y t h u s

h a n c e m e n t of s t a b i l i t y a n d p e a c e , t h e u l t i -

equal the search for more prosperity. C o o p -

m a t e r e d u c t i o n of t h e r e l e v a n c e o f e x t e r n a l

e r a t i o n , p o o l i n g of r e s o u r c e s , a n d e c o n o m i e s

borders.14

of s c a l e a r e of o b v i o u s a d v a n t a g e f o r p e o p l e s

Subregional cooperation contributes

to

in c o m p a r a b l e s i t u a t i o n s a n d c o n f r o n t e d by

democratization and a u t o n o m y and the p o w e r

international

of local p o l i t i c s — h e n c e o f f e r i n g an e f f i c i e n t

c o u l d a l s o o f f e r a s o l u t i o n t o t h e a b s e n c e of

v a l v e f o r t h e n a t i o n a l i s t i c a s p i r a t i o n of s e p a -

e f f e c t i v e E U or other " o u t s i d e "

ration. In v i e w of the a d m i n i s t r a t i v e a n d e c o -

f o r p r o j e c t s ; a g r e a t a d v a n t a g e to S o u t h e a s t -

n o m i c r e f o r m s u n d e r t a k e n in m a n y of the n e w

ern Europe for example.

democracies,

intraregional

cooperation

be-

competition.

2. Psychosociological

Regionalization

issues:

assistance

Regional-

tween E U and n o n - E U m e m b e r s contributes

ization offers new ways to realize the ethnic

to t h e r a p i d d i s t r i b u t i o n 3 5 of B r u s s e l s ' k n o w -

a n d n a t i o n a l i n t e r e s t s of t h e g r o u p / c o m m u -

h o w a n d r e s o u r c e s , as w e l l as W e s t e r n E u -

n i t y , e v e n a c r o s s s t a t e b o r d e r s — t h a t is, it

rope's political culture and values.

promotes inclusive regional values and identities

Why and How Regionalization

Now?

R e g i o n a l i z a t i o n h a s r e n e w e d a p p e a l at t h e e n d

(culture,

religion,

etc.)

particularly

w h e n p e r c e i v e d in r e l a t i o n to t h e o t h e r c o h o r t s in t h e s a m e state a n d t h e d i s t a n t f e d e r a l

34. Péter Hardi, "Hungarian Foreign Policy: Integration into Europe," in Hans-Peter Neuhold, ed., New Forms of Cooperation in a Changing Europe—The Pentagonal/Hexagonal Experiment (Vienna: Braumuller, 1991), p. 17. 35. Làszlo J. Kiss, "The Pentagonale Initiative—A Hungarian C o m m e n t , " in Hans-Peter Neuhold, ed., New Forms of Cooperation in a Changing Europe—The Pentagonal/Hexagonal Experiment, p. 101.

Self-Determination,

Subsidiarity,

and

Regionalization

235

true

g i o n a l s t a b i l i t y , p e a c e , a n d a b e n e v o l e n t atti-

with a p o w e r f u l — a n d d i s t a n t — E U adminis-

tude held by outside powers, w h o must have

authority. This assumption also holds

t r a t i o n t h a t h a s little u n d e r s t a n d i n g of t h e re-

no

gional particularities. Regional cooperative

region.

projects

may

reflect

common

concerns,

conflicting

strategic

5. International

interests

influence

in

and

the

weight:

t h r e a t p e r c e p t i o n s , o r i n t e r e s t s , t h a t is, t h e y

R e g i o n a l c o o p e r a t i o n o f f e r s less p o w e r f u l

represent a search for change and new op-

p e o p l e s the c h a n c e to join forces and

p o r t u n i t i e s in o r d e r to g e t o u t of a d i s a d v a n -

more effectively, with one voice. Regional-

act

taged (economic, industrial, strategic) posi-

ization thus benefits the weaker and

t i o n ( f o r e x a m p l e , that of t h e S l o v a k s ) . T h e s e

disadvantaged a c t o r s — p e r h a p s more so than

projects may also emerge from

the stronger ones (see the respective C E E na-

long-term

p e r s o n a l r e l a t i o n s h i p s — s u c h as t h e o n e b e -

tional positions). Regionalization can

tween (local) C E E intellectuals and

result f r o m greater international

artists

w h o collaborated already during the

Cold

War.

more

also

openness

a n d i n f o r m a t i o n , a h e i g h t e n e d r e a d i n e s s to trade, and a clearer, more educated opinion

3. Orientation:

A f t e r being blocked for

about the real international situation.

(See

several decades, regionalization now enables

p a r t i c u l a r l y t h e d e v e l o p m e n t s in c e r t a i n C E E

those interested within Central and Eastern

c o m m u n i t i e s in w h i c h t h e lack of a c c u r a t e

E u r o p e to f i n d w a y s a n d m e a n s to c o m m u n i -

information about other countries and their

c a t e a n d i n t e r a c t m o r e i n t e n s e l y w i t h o n e an-

respective society and challenges originally

o t h e r a n d o t h e r s in t h e s a m e g e o g r a p h i c a l re-

hampered regionalization.)

gion f r o m w h o m they had been

separated

6. "Fatigue":

Increasing dissatisfaction

d u r i n g t h e C o l d War. P e o p l e s l i v i n g in E a s t -

with the existing system and search for m o r e

ern states may have greater affinities with

a p p r o p r i a t e a n d n e w a l t e r n a t i v e s that s a t i s f y

certain Western societies with which

practical, cultural, ethnic, and

they

h a d p r e v i o u s l y b e e n a l l i e d — p a r t i c u l a r l y in

criteria. O n e incentive for

sentimental

regionalization

t h e H a p s b u r g a r e a . T h u s , r e g i o n a l i z a t i o n re-

was the desire to o v e r c o m e external

f l e c t s a r e a c t i o n to t h e i m p o s i t i o n of an as

b o u n d a r i e s a n d to c u l t i v a t e c o n t a c t s a n d c o -

yet

o p e r a t i o n i n d e p e n d e n t of r e l u c t a n t a d m i n i s -

unaccepted

(European)

geopolitical

order. Such regional cooperation also permits c o m m u n i t i e s to take matters into their own hands, thus allowing for more

state

trative and political central leaderships.

7. Outside/international

encouragement:

direct

T h e r e is i n c r e a s i n g r e a d i n e s s t o a c c e p t a n d

a n d d e m o c r a t i c g o v e r n a n c e ( m a t t e r s of c o n -

s u p p o r t t h e p h e n o m e n o n of r e g i o n a l i z a t i o n .

c e r n r a n g e f r o m c u l t u r a l a n d e d u c a t i v e to in-

In e c o n o m i c , p o l i t i c a l a n d s e c u r i t y r e a l m s ,

frastructural and financial dimensions).

e n h a n c e d r e g i o n a l c o o p e r a t i o n c o n t r i b u t e s to

4. Geographical, matic

parameters:

topographical, Regionalization

cliclearly

p e a c e a n d p r o s p e r i t y as l o n g as it h a s e n o u g h positive external support.

f o l l o w s r o u t e s of t r a d e , c o m m u n i c a t i o n , a n d mountain passes, plains, and so forth. G e o -

Forms of Contemporary Cooperation

graphical, topographic, and climatic parame-

T h e r e n a i s s a n c e of r e g i o n a l i z a t i o n a n d

ters a r e t h u s i m p o r t a n t in o r d e r to e n c o u r a g e

g i o n a l i s m in E u r o p e m e a n s n o l e s s t h a n t h e

g r a s s r o o t s r e g i o n a l i n t e r a c t i o n . T h i s a l s o in-

s u c c e s s f u l s p r e a d i n g of d e m o c r a t i c v a l u e s of

i n t e r a c t i o n , that is, s e a l a n e s , v a l l e y s , r i v e r s ,

Regional re-

fluences c o m m u n a l character, related histor-

s e l f - g o v e r n a n c e on the local

ical e x p e r i e n c e s , m u t u a l l y a c c e p t e d b e n e f i t s

democratization, liberalization, and decentral-

level—hence,

and customers preferences, tastes, interests,

ization. Fundamentally, there are five f o r m s

a n d s o o n . A p r e c o n d i t i o n , h o w e v e r , is r e -

of r e g i o n a l a n d s u b r e g i o n a l c o o p e r a t i o n :

Wolfgang

236

1. G r e a t e r s e l f - a d m i n i s t r a t i o n w i t h i n a state—hence, decentralization—and, generally, the i n t r o d u c t i o n of a f e d e r a l s y s t e m inc r e a s e s rights and o b l i g a t i o n s ( t r e a t y - m a k i n g p o w e r ) f o r the Bundeslander/Canton/Conc o m i t a t / P r o v i n c e ; t h e y m a y , of c o u r s e , a l s o c o l l a b o r a t e directly within a g i v e n s t a t e — s e e B e l g i u m , Italy, and S p a i n as e x a m p l e s . 2. In g e o g r a p h i c a l l y a d v a n t a g e o u s locations, such substate units may collaborate and e n h a n c e c o o p e r a t i v e a c t i v i t i e s . If it is cooperation b e t w e e n only t w o different states, this w o u l d be bilateral; in the event of m o r e , it w o u l d be m u l t i l a t e r a l . M u l t i l a t e r a l u n d e r t a k i n g s , e v e n if n o o r g a n i z a t i o n is f o r m e d , t e n d to h a v e s m a l l a d m i n i s t r a t i o n s , yet they c a n still a f f e c t l a r g e - s c a l e p o l i c i e s a n d integration. 3. L a r g e r - s c a l e r e g i o n a l c o o p e r a t i o n — hence, regionalization—may develop within d e l i n e a t e d g e o g r a p h i c a l z o n e s or a l o n g l i n e s of c o m m u n i c a t i o n , s u c h as s e a - l a n e s , v a l l e y s , r i v e r s , or m o u n t a i n p a s s e s ; t h e b o r d e r s will be e i t h e r set by t o p o g r a p h i c a l b o u n d a r i e s or b y t h e a d m i n i s t r a t i v e / l e g a l l i m i t s of the u n i t s i n v o l v e d . A c c o r d i n g to t h e size of the a r e a a n d the a c t o r s i n v o l v e d , s u c h e n d e a v o r s are f r e q u e n t l y on the m u l t i lateral level and create c o n s i d e r a b l e attention and i m p a c t . C o n s e q u e n t l y , t h e y t e n d to c r e a t e c o n t r o v e r s y a n d o p p o s i t i o n by o t h e r s t a t e s w h o m a y f e a r a l e s s e n i n g of s o v e r e i g n p o w e r s . R e g i o n a l p r o j e c t s c a n be u n d e r t a k e n o n s t a t e l e v e l , t h u s b e c o m i n g int e r s t a t e p r o j e c t s ; or t h e y c a n r e m a i n o n a s u b s t a t e level i n v o l v i n g p r o v i n c e s , C a n t o n s , a n d Lander—hence, intrastate. 4. R e g i o n a l c o o p e r a t i o n , as a strategy of p r o v i n c e s a n d r e g i o n s in the E U , a t t r a c t s s p e c i a l a t t e n t i o n and g r e a t e r f u n d i n g by the European Commission, EU institutions, and w i t h i n E u r o - r e g i o n p r o j e c t s ; f u r t h e r m o r e it p e r m i t s E U a d m i n i s t r a t o r s to s u g g e s t s u c h c o o p e r a t i o n as a n o t h e r m e a n s to s p u r i n d u s trialization, trade, and e c o n o m i c developm e n t in a g i v e n r e g i o n . 5. A s p e c i a l f o r m of r e g i o n a l c o o p e r a -

Danspeckgruber

tion h a s e m e r g e d f r o m c o m m o n interest and the n e e d to a d d r e s s s i m i l a r c h a l l e n g e s and p r o b l e m s in m a j o r u r b a n areas. C o o p e r a t i o n b e t w e e n cities, a c i t y - n e t w o r k , is d e v e l o p i n g n o w on a larger E u r o p e a n scale. U r b a n a r e a s that h a v e h i s t o r i c a l l y b e e n i n t e r a c t i n g , s u c h as V i e n n a , B r a t i s l a v a , and B u d a p e s t , h a v e rea c t i v a t e d t h e i r m u t u a l c o o p e r a t i o n in m a n y a r e a s , i n c l u d i n g the d e v e l o p m e n t of s h a r e d infrastructure. Regionalization and Democracy Federalism and T h e d e v o l u t i o n and d i s t r i b u t i o n of e n h a n c e d p o w e r s f r o m central authority to regional a n d local o n e s is a p r e c o n d i t i o n l o r the p e r m i s s i o n and d e v e l o p m e n t of i n t e n s i f i e d regional c o o p e r a t i o n . D e c e n t r a l i z a t i o n g e n e r ally e v o l v e s f r o m overall stability and d i m i n ished threats and p e r c e p t i o n s of threats, g e o graphical distance, industrial-technological and e c o n o m i c b e n e f i t s and i n c e n t i v e s , a n d a f u n c t i o n i n g d e c i s i o n m e c h a n i s m . It leads to, or d e p e n d s on, a f e d e r a l s t r u c t u r e and c e r tainly p r o v i d e s an incentive f o r d e m o c r a c y . Increasingly, federal states /Lander in Western Europe have also attained treatym a k i n g p o w e r s in t h e r e a l m s of f o r e i g n , e c o n o m i c , environmental, and fiscal policies. Subregionalization permits more effective dealings with specific c h a l l e n g e s — geographic/topographic, infrastructure, env i r o n m e n t a l , a n d so f o r t h , w h i c h a r e n o t n e c e s s a r i l y r e l e v a n t f o r o t h e r u n i t s of t h e same states concerned. P r o v i d i n g t h e f r e e d o m f o r t h i s k i n d of c o o p e r a t i o n will s e r v e as a v a l v e f o r l o c a l / c o m m u n a l searches for self-realization, and will s t r e n g t h e n d e m o c r a t i c p a r t i c i p a t i o n . O n the supranational level, this m a k e s subs i d i a r i t y r e l e v a n t . In light of t h e a d v a n t a g e s of m o r e d i r e c t o p e r a t i o n a n d d e c i s i o n m a k ing by local g o v e r n m e n t , s u b s i d i a r i t y r e p r e s e n t s t h e l e g a l ent t o g e t h e r w i t h g r e a t e r a c t i v i t i e s by t h e C O R ( C o m m i t t e e of t h e Regions) for fruitful and efficient regionalization.

Self-Determination,

Subsidiarity,

and

Regionnlization

237

In t h e E u r o p e o f 1 9 9 6 , i n h a b i t a n t s of

vance. Indeed, both attempt to e x a m i n e the

v a r i o u s r e g i o n s ( a s in C e n t r a l E a s t e r n E u -

o b j e c t i v e a n d s u b j e c t i v e a s p e c t s of s e l f - d e -

r o p e and the Baltic area), are trying to real-

termination. A third systemic

ize greater a u t o n o m y vis-à-vis both the E U

would employ Robert Gilpin's cost-benefit

authorities and their o w n national

a n a l y s i s a n d t h e c a u s e s o f c h a n g e in t h e in-

central

explanation

equilibrium.16

g o v e r n m e n t by asking for greater structural

ternational and intranational

s u p p o r t in o r d e r t o f u l f i l l t h e i r o b j e c t i v e s

T h e r e a s o n w h y r e g i o n a l i z a t i o n is b e c o m i n g

for

greater

competitiveness,

more

jobs,

a n a p p e a l i n g o p t i o n is t h a t c h a n g e h a s o c -

h i g h e r s t a n d a r d s of living, b e t t e r s c h o o l s ,

c u r r e d in t h e n a t i o n a l a n d c o n t i n e n t a l

a n d so f o r t h . A r e w a r d i n g strategy w o u l d be

tem. Fluidity and motion invite

to request supportive (financial)

a n d d e m a n d a d a p t a t i o n , i n c l u d i n g r e f o r m of

attention

sys-

alteration

f r o m the E U , w h i l e , s i m u l t a n e o u s l y s e e k i n g

s t r u c t u r e s . In s u c h t i m e s , g r e a t e r a w a r e n e s s

a g r e a t e r v o i c e in E U d e c i s i o n m a k i n g p o l i -

of t h e " s e l f ' a n d n a t i o n a l v i r t u e s c a n b e o b -

cies

served. This motivates citizens to undertake R e g i o n a l i z a t i o n is t h u s in d i r e c t r e l a t i o n

new

ventures

for

obtaining

self-governance.

or

retaining

t o s u b s i d i a r i t y in E U E u r o p e . N e i t h e r w o u l d

greater

e x t e n s i v e regionalization be feasible without

concerns

it, n o r c o u l d s u b s i d i a r i t y b e u n d e r s t o o d w i t h -

s t r a t e g i c u n d e r p i n n i n g s c a p a b l e of c a u s i n g

o u t the o b j e c t i v e of g r e a t e r r e g i o n a l c o o p e r -

a n d b e i n g e x p o s e d to c h a n g e . T h u s r e g i o n a l -

all

the e c o n o m i c ,

Regionalization political,

and

ation. Consequently, the C O R and any c o m -

i z a t i o n o c c u r s o n c e t h e o v e r a l l p a t t e r n s of

munity

sees

trade, industrialization, and power structure

s u b s i d i a r i t y as a c r i t i c a l s i n e q u a n o n . T h e

on a national, regional, and continental scale

concept

c h a n g e , a n d it will c o n t i n u e until a n e w e q u i -

in of

favor

of

regionalization

self-determination

f i n d s its e x p r e s s i o n in g r e a t e r

in

Europe

independent

g o v e r n a n c e a n d t h e a p p e a l of r e g i o n a l i z a t i o n

l i b r i u m on t h e c o n t i n e n t is f o u n d .

a m o n g areas with their unique cultures and

Three Case Studies 37

traditions. T h e s e d e v e l o p m e n t s are c o m b i n e d

Initiatives t o w a r d s e l f - g o v e r n a n c e and greater

w i t h d i m e n s i o n s of a u t o n o m o u s f e d e r a l i n d e -

a u t o n o m y carried t h r o u g h in the regions of Bel-

p e n d e n c e p r o g r a m s and reflect the

limita-

g i u m , the A u t o n o m o u s R e g i o n of C a t a l o n i a in

t i o n s of t h e c h o i c e s a v a i l a b l e to t h e c o m m u -

S p a i n , a n d S o u t h Tyrol or A l t o A d i g e in Italy

n i t i e s in a n e v e r m o r e i n t e g r a t e d

s e r v e as e x a m p l e s of the s u c c e s s f u l d e v o l u t i o n

Europe.

G i n t h e r refers to "internal c o l o n i a l i s m , " a

of p o w e r in c o n t e m p o r a r y W e s t e r n

term used by the Western E u r o p e a n regional-

A n a l y s e s of these r e g i o n s ' e x p e r i e n c e s illustrate

Europe.

i z a t i o n m o v e m e n t that a d d r e s s e s d o m i n a n c e

c e r t a i n c o m m o n a l t i e s in o b t a i n i n g a high level

a n d d e p e n d e n c e in t h e r e l a t i o n s h i p b e t w e e n

of s e l f - g o v e r n a n c e w h i l e c o n t i n u i n g p e a c e f u l

m e t r o - c e n t e r and p r o v i n c e s . H e asserts that

cohabitation in a multiethnic e n v i r o n m e n t . E a c h

there are t w o m a j o r d e f i n i n g d i m e n s i o n s to

c a s e , in its p a r t i c u l a r d e t a i l s a n d v i e w e d a l o n g

s e l f - d e t e r m i n a t i o n : t h e t h e o r y of p e r s i s t e n c y ,

t h e lines of larger m e t h o d o l o g y , p r o v i d e s a

w h i c h r e l a t e s to r e g i o n a l i z a t i o n m o v e m e n t s

m o d e l fit to b e e m u l a t e d in t h e interest of si-

of m i n o r i t y / e t h n i c g r o u p s ; and the " m o t i v a -

m u l t a n e o u s l y b r i n g i n g p e a c e to c o m m u n i t i e s

t i o n t h e s i s , " w h i c h t r i e s to s e e w h y s e l f - d e -

d e m a n d i n g greater a u t o n o m y and facilitating

termination has (once again) obtained rele-

d e v o l u t i o n of p o w e r to r e g i o n s in E u r o p e .

36. Robert Gilpin, War and Change in World Politics. 37. Prepared with the assistance of Margot Siek.

Wolfgang

238

Dcmspeckgriiber

Belgium

h a b i t , w o r k , l i v e , a n d p a r t i c i p a t e a c t i v e l y in

T h e K i n g d o m of B e l g i u m h a s t h e t y p i c a l E u -

public affairs and politics on an equal basis

r o p e a n h i s t o r y of a s m a l l s t a t e in a r e l a t i v e l y

while retaining their specific identities.

disadvantageous geostrategic location. Today

A f t e r t h e t r a u m a of b o t h w o r l d w a r s — i n

h e r c a p i t a l is h o m e to t h e h e a d q u a r t e r s of t h e

w h i c h B e l g i u m h a d b e e n a v i c t i m of a g g r e s -

European Union and N A T O and many other

sion d e s p i t e its d e c l a r e d n e u t r a l i t y — l a n g u a g e

i m p o r t a n t i n t e r n a t i o n a l o r g a n i z a t i o n s . In a d -

a n d e d u c a t i o n h a d b e c o m e o n e of t h e m o s t

d i t i o n to all t h e i n t e r n a t i o n a l a t t e n t i o n m a g -

i m p o r t a n t p o i n t s of c o n t e n t i o n b e t w e e n t h e

n e t i z e d by t h e s e i n s t i t u t i o n s , B e l g i u m r e p r e -

t h r e e c o m m u n i t i e s . In t h e 1 9 3 0 s , s i g n i f i c a n t

sents

major

e f f o r t s w e r e u n d e r t a k e n to i n t r o d u c e a d e g r e e

(regional) ethnic groups within one state: the

the

convergence

of

three

of e q u a l i t y b e t w e e n the D u t c h and F r e n c h lan-

Flamons, the Wallons, and the G e r m a n s . T h e

g u a g e . In a d i s p u t e r e g a r d i n g F r e n c h l a n g u a g e

s p e c i a l e t h n i c c h a r a c t e r of t h e c o u n t r y is a

t r a i n i n g , the E u r o p e a n C o u r t of H u m a n R i g h t s

r e s u l t of t h e c o h a b i t a t i o n of t h e m e m b e r s of

f o u n d that t h e c h a l l e n g e d s t a t u t e d i d i n d e e d

these communities, speaking French, Dutch,

v i o l a t e t h e H u m a n R i g h t s C o n v e n t i o n in c e r -

a n d G e r m a n , all r e s i d i n g o n B e l g i a n t e r r i -

tain respects. 3 1 ' At l o n g last, a r e v i s e d c o n s t i -

t o r y . T h e p r o t e s t a n t F l e m i s h c o m m u n i t y in

t u t i o n c a m e i n t o f o r c e in 1970. but this o c -

the north s p e a k s Dutch and represents the

c u r r e d o n l y a f t e r the socialist g o v e r n m e n t fell

majority

Catholic

w h e n F l e m i s h m e m b e r s r e s i g n e d in 1968. T h e

F r e n c h - s p e a k i n g W a l l o n s live in t h e s o u t h

in

the

country.

The

r e v i s i o n i n c l u d e d a m e n d m e n t s to r e c o g n i z e

and a small protestant and catholic G e r m a n -

a n d s a f e g u a r d the i n t e g r i t y of t h e t h r e e c o m -

s p e a k i n g c o m m u n i t y inhabits the southeast

munities, while three linguistic regions were

around Malmedy. That community's

recognized: the French Wallons. the

s p r i n g f r o m t h e A u s t r i a n c o n t r o l of sterreich,

roots

Vordero-

o r t h e A u s t r i a n N e t h e r l a n d s in t h e

sixteenth and seventeenth centuries.

Dutch

F l a m o n s , and t h e m i x e d D u t c h - F r e n c h r e g i o n of B r u s s e l s . M e m b e r s of p a r l i a m e n t b e c a m e

Basi-

divided

into

Dutch-

cally, t h e s h a p e of t h e t e r r i t o r y — w i t h t h e e x -

groups.

The

councils

c e p t i o n of t h e P r i n c e B i s h o p of L i e g e — h a s

f o r m e d h a d p o w e r s and r e s p o n s i b i l i t i e s in cul-

r e m a i n e d the s a m e since then.38

tural, e d u c a t i o n a l , a n d o t h e r a p p r o p r i a t e m a t -

T h e d i f f e r e n c e in e t h n i c c h a r a c t e r , l a n g u a g e , a n d r e l i g i o n , as w e l l a s e c o n o m i c industrial development, suggests both source a n d s c o p e of its p o t e n t i a l t e n s i o n s a n d a n i m o s i t i e s . O n l y in 1 9 9 3 d i d t h e K i n g d o m of B e l g i u m a d o p t a f e d e r a l s t r u c t u r e that a l l o w s for d i f f e r e n t l a n g u a g e c o m m u n i t i e s to co-

and

French-speaking

they

independently

ters. E v e n t h e u n i v e r s i t i e s o f B r u s s e l s Louvain

became

divided

along

and

linguistic

l i n e s . 4 0 " D e s p i t e all the a p p a r e n t legal p r e d i s p o s i t i o n s , t h e m a j o r u n d e r l y i n g i m p a c t of t h e struggle

for local

supremacy

between

the

g r o u p s c o n t i n u e d . " I r v i n g is q u o t e d as s a y i n g that " e v e r y g o v e r n m e n t f r o m 1 9 6 8 [to] 1 9 8 0

38. Richard Lewis, "The Example of B e l g i u m , " Global Forum Series Occasional Papers, no. 9 6 - 0 1 . 2 . (April 1996), p. 3 39. In the 1960s French-speaking parents appealed to the European C o m m i s s i o n of Human Rights contesting the e f f e c t i v e denial of French language instruction to their children. Especially, "as it prevented certain children from having access to French language s c h o o l s near Brussels on the basis of their parents' residence" Hurst Hannum, op. cit., p. 4 0 8 . 4 0 . Hurst H a n n u m , ibid. John F i t z m a u r i c e , The Politics of Belgium: A Unique Federalism, with a f o r e w o r d by G u y S p i t a e l s ( B o u l d e r : W e s t v i e w Press, 1996); B i t s c h , M a r i e - T h e r e s e . La Belgique enlre la France el /'Allemagne, 1905-1914-, preface de R e n e Girault (Paris: P u b l i c a t i o n s de la Sorbonne, 1994); M o m m e n , Andre, The Belgian Economy in the Twentieth Century ( L o n d o n , N e w York: R o u t l e d g e , 1994); Hayt, Franz et D e n i s e G a l l o y , La Belgique, des tribus gauloises a I'etat federal ( B r u x e l l e s : D e B o e c k universite, 1994); N e w m a n , Saul, The Ethnic Dilemma: The Rise and Decline of Ethnoregional Political Parties in Scotland. Belgium and Quebec Ph.D. T h e s i s , Princeton University, 1989); Chris Rudd, Coalition Formation in Belgium 1965-8 (Dept. of G o v e r n m e n t , University of E s s e x , 1985).

Self-Determination,

Subsidiarity,

and

239

Regionalization

fell as a direct result of the c o m m u n i t y prob-

the r e g i o n a l , n a t i o n a l l e v e l and e v e n certain

lem." 4 1

t r e a t y - m a k i n g p o w e r s in f o r e i g n r e l a t i o n s . 4 4

D u r i n g the late 1 9 8 0 s , another c o n s t i t u -

T o d a y ' s w o r k i n g m o d u s v i v e n d i w a s thus

tional adaptation o f the ( r o u g h l y s i x t y - t h o u -

a c h i e v e d by o f f e r i n g the four r e g i o n s e x t e n -

sand-person) German-speaking group was

s i v e and e q u a l r e s p o n s i b i l i t i e s , particularly

f o r m a l l y r e c o g n i z e d . H e n c e , the r e f o r m cre-

in e d u c a t i o n , p u b l i c i n f r a s t r u c t u r e , and re-

ated

lated f i n a n c i a l m a t t e r s . 4 5

three

linguistic

communities—the

D u t c h , F r e n c h , and G e r m a n — a n d f o u r reg i o n s , the D u t c h , the F r e n c h , the G e r m a n ,

Catalonia

and the b i l i n g u a l B r u s s e l s c o m m u n i t y . It is

C a t a l o n i a is o n e o f the m o s t p r o s p e r o u s and

p r o b a b l y u n i q u e , in that it o f f e r s the c o m -

p r o m i n e n t r e g i o n s in the m o d e r n K i n g d o m

m u n i t i e s e x t e n s i v e l i n g u i s t i c , c u l t u r a l , and

o f S p a i n . T h a n k s a l s o to the 1 9 9 2 O l y m p i c

e d u c a t i o n a l r i g h t s , a n d state f i n a n c e s n o w

G a m e s in B a r c e l o n a and an a c c o m p a n y i n g

a l l o w r e v e n u e s to f l o w to the r e g i o n s and

e x c e l l e n t p u b l i c relations o p e r a t i o n , it is in-

communities,

while

the

regions

were

ternationally

recognized

that

Catalonia's

granted certain territorial c o m p e t e n c e s . T h i s

capital B a r c e l o n a stands for significant influ-

completed

federal

e n c e and c a p a b i l i t i e s b e y o n d the region. T h e

structure that c o n s i d e r e d the p e c u l i a r i t i e s o f

the

introduction

of

a

s t r u g g l e for i n d e p e n d e n t p o w e r by S p a i n ' s

r e g i o n s and B r u s s e l s

regionally oriented groups such as the Catalans

in the K i n g d o m

of

Belgium.42

and the B a s q u e s , has its historic roots in ten-

B e l g i a n s v o t e three t i m e s , to

their

linguistically

divided

according regions.

41

M o r e o v e r , r e g i o n s and c o m m u n i t i e s are inc l u d e d in a f e d e r a l structure w i t h rights on

s i o n s b e t w e e n the h o u s e of B o u r b o n - P a r m a and interested outside parties such as Archduke Charles o f Austria in the s e v e n t e e n t h century. 4 6

41. Hurst H a n n u m , quotes R.E.M. Irving, The Flemings and Wallons of Belgium, London: Minority Rights Group Report, No. 46 (1980), p. 12. 42. Richard Lewis. "The Example of Belgium," p. 15. 43. Stefaan de Rynck, "The Europeanization of Regional Development Policies in the Flemish Region." EU I Working Paper RSC, No. 94/5, p. 4. See also Jonathon E. Helmreich, Belgium and Europe: A Studyin Small Power Diplomacy; Robert Moreau, Combat syndical et Conscience wallonne: Du syndicalisme clandestine au mouvement populaire Wallon ( 1943-1963) (Liège: Fondation A Renard, 1984); Joseph R. Rudolf, Robert Thompson, Ethnoterritoria! Politics, Policy, and the Western World (Boulder, Colo.: Lynne Rienner Publishers, 1989); Charlie R. Steen, The Time of Troubles in the Low Countries (New York: P. Lang, 1989). 44. This will be once for the lower house of the parliament, once for the senate, and once for the regional councils in Dutch-speaking Flanders, francophone Wallonia, bilingual Brussels, and Germanspeaking area—but inhabitants in the German area vote four times, as they can elect members to the French- and German-speaking councils. After May 1995 the number of seats in the Belgian federal parliament will be 150 instead of the current 212, and the senate will become a chamber of reflection, with 71 seats against the current 184. 45. T h e "Accords des St. Michel" paved the way for the 1993 constitutional reform, which provides that the regional councils control foreign trade, education, cultural affairs, environmental issues, and linguistic policies. All councils have the power to pass decrees, ordinances, and regulations. The key dossiers of finance and fiscal affairs, defense, social security, foreign affairs, and justice remain in the power of the federal government. 46. Richard Gunther, ed., Politics, Society, and Democracy: The Case of Spain (Boulder: Westview Press, 1993); Josep Miquel Sobrer, Catalonia, a Self-Portrait, edited and translated from the Catalan. (Bloomington: Indiana University Press, 1992); Jean Claude Morera, Histoire de la Catalogne: audela et en deca des Pyrenees (Paris: l'Harmattan, 1992); Contemporary Catalonia in Spain and Europe, Gaspar de Portola Catalonian Studies Program, Symposium on Contemporary Catalonia in Spain and Europe (University of California, Berkeley, 1989); The Usatges of Barcelona: The Fundamental Law of Catalonia, translated and with an introduction by Donald J. Kagay (Philadelphia, Penn.: University of Pennsylvania Press, 1994).

Wolfgang

240

Danspeckgruber

In 1914 t h e g o v e r n m e n t of t h e K i n g d o m

d u e to t h e e s t a b l i s h m e n t of t h e F r a n c o d i c t a -

of S p a i n a g r e e d to t h e d e l e g a t i o n o f l i m i t e d

t o r s h i p , C a t a l o n i a c o u l d o n l y f u n c t i o n as a n

p o w e r s to r e g i o n s s u c h as C a t a l o n i a , but w e l l

a u t o n o m o u s region f r o m July 1936 to March

b e l o w the a s p i r a t i o n s of c u l t u r a l a n d r e g i o n a l

1 9 3 7 . 4 8 D u r i n g F r a n c o ' s r e i g n f r o m 1 9 3 8 to

a u t o n o m y . In 1 9 3 1 , d u r i n g t h e S e c o n d

Re-

1 9 7 5 , n o p o s s i b i l i t y of f u r t h e r d e v e l o p m e n t

public, the n e w constitution p r o c l a i m e d by

e x i s t e d . In f a c t , e v e n t h e u s e of t h e C a t a l a n

the Cortes p r o v i d e d for S p a i n ' s decentralized

l a n g u a g e w a s p r o h i b i t e d , a n d e d u c a t i o n a l and

o r g a n i z a t i o n , c o m p r i s e d of a u t o n o m o u s r e -

cultural institutions were closed. Partly due

gions within the state. Provinces "with c o m -

to t h e r o l e of t h e C a t h o l i c C h u r c h , as well as

m o n h i s t o r y , c u l t u r e , a n d e c o n o m y " w e r e al-

to its f a v o r a b l e g e o p o l i t i c a l l o c a t i o n , C a t a l o -

l o w e d to o b t a i n an a u t o n o m y s t a t u t e a c c e p t e d

n i a w a s t h e h a r b i n g e r of o n e of t h e m o s t vo-

by t h e C o r t e s a n d s u b j e c t to a

c i f e r o u s r e s i s t a n c e s t o F r a n c o . In t h i s u n f o r -

within

region.

t u n a t e i n s t a n c e , C a t a l a n s p i r i t r e s u l t e d in a

T h e r e g i o n s h a d v e s t e d n o a u t h o r i t y , that is,

h i g h n u m b e r of d e p o r t e e s f r o m t h e a r e a t o

the central g o v e r n m e n t maintained exclusive

Nazi

rights regarding national defense, foreign and

t h a u s e n ) . 4 9 In c o n t r a s t to t h e B a s q u e c o u n t r y

diplomatic relations, church-state

relations,

and other areas, however, there was no guer-

c u s t o m s and t a r i f f s a f f a i r s , i n t e r n a t i o n a l c o m -

rilla m o v e m e n t in C a t a l o n i a f i g h t i n g f o r c o m -

mercial

the

plebiscite

soon-to-be-autonomous

agreements,

monetary

issues

and

banking, and telecommunications.47

concentration

camps

(such

as

Mau-

plete independence even though very strong c o m m u n i t y i d e n t i f i c a t i o n t o o k p l a c e in t h e

T h e c o n s t i t u t i o n s e p a r a t e d t h e p o w e r s in o r d e r to set s t a n d a r d s b e t w e e n c e n t r a l a n d re-

p o p u l a t i o n , a n d i n g r a i n e d in t h e m an u n b e n d ing s e n s e of i d e n t i t y . 5 0

g i o n a l g o v e r n m e n t . T h e c e n t e r set t h e r e s p e c -

T h r o u g h o u t the process of the transition

tive n o r m s , while the region had the respon-

to

sibility

a u t o n o m y , C a t a l o n i a h a s p r o v e n to b e o n e o f

for

administration.

Hierarchically

democracy

and

increased

regional

o r d e r e d f i e l d s of j u r i s d i c t i o n t o u c h e d p e n a l ,

t h e m o s t i n d u s t r i a l i z e d a n d l e a s t v i o l e n t re-

s o c i a l , and c o m m e r c i a l c o d e s as w e l l as p r o -

g i o n s of S p a i n , a n d its p e o p l e m a y b e t h e

c e d u r a l l e g i s l a t i o n , m e a s u r e m e n t s , n a t u r a l re-

m o s t S p a n i s h of t h e S p a n i a r d s , d e s p i t e b e i n g

sources, property rights (except those for cen-

primarily Catalan.51

tral—that

is,

public—purposes),

and

r e g u l a t i o n of m e d i a a n d c u l t u r a l p u b l i c p e r -

South

f o r m a n c e s . In a d d i t i o n , e x e c u t i v e p o w e r in

In c o m p a r i s o n , S o u t h T y r o l ' s s t r i v i n g f o r in-

C a t a l o n i a w a s e x e r c i s e d by a p r e s i d e n t a n d

d e p e n d e n c e v a r i e s w i d e l y in its n a t i o n a l e t h -

a n e x e c u t i v e c o u n c i l c h o s e n by t h e r e g i o n a l

n i c a n d h i s t o r i c a l c o n t e x t s f r o m t h e e f f o r t s of

Tyrol or Alio

Adige

parliament. T h e president was the official

B e l g i u m a n d C a t a l o n i a . Yet r e g a r d i n g

r e p r e s e n t a t i v e of t h e r e g i o n , b o t h to t h e n a -

p o s i t i v e r e g i o n a l ( E u r o p e a n ) i n f l u e n c e on t h e

the

t i o n a l g o v e r n m e n t a n d to o t h e r a u t o n o m o u s

s t r u g g l e of S o u t h T y r o l e a n s f o r g r e a t e r s e l f -

r e g i o n s . C a t a l o n i a w a s t h e o n l y r e g i o n to e x -

d e t e r m i n a t i o n and c o n n e c t i n g to the rest of

p l o i t this l e g a l a d m i n i s t r a t i v e p o s s i b i l i t y f o r

Tyrol,

autonomy. A Catalan a u t o n o m y statute was

c o m m o n a l i t i e s w i t h t h o s e of t h e r e g i o n s of

a p p r o v e d b y t h e S p a n i s h C o r t e s in 1 9 3 2 , b u t

B e l g i u m a n d C a t a l o n i a in r e c e n t h i s t o r y .

South

Tyrolean

experience

shows

47. Hurst Hannum, p. 264. He cites the Spanish Constitution, Article 11. 48. Ibid. 49. Larrieu, Jean, Vichy, 1'occupation nazie et la resistance catalane: Catalunya nord 1939-1944 (Perpignan: Centre de recerques i d'estudis catalans, Universität de Perpinya, 1994). 50. Balcells, Albert, Catalan nationalism: past and present, edited and introduced by Geoffrey J. Walker (New York: St. Martin's Press, 1996); Juan Diez Medrano, Divided Nations: Class, Politics and Nationalism in the Basque Country and Catalonia (Ithaca: Cornell University Press, 1995); Shafir, Gershon, Immigrants and Nationalists: Ethnic Conflict and Accommodation in Catalonia, the Basque Country, Latvia, and Estonia (Albany: State University of New York, 1995). 51. Richard Gunther, ed., Politics, Society, and Democracy : The Case of Spain.

Self-Determination,

Subsidiarity,

and

Regionalization

241

K n o w n as S o u t h T y r o l b y A u s t r i a n s a n d

P r o v i n c e of B o l z a n o , the status of a special

as A l t o A d i g e b y I t a l i a n s , t h e t e r r i t o r y j u s t

autonomous region within Italy—indeed, a

south of the B r e n n e r Pass, on the S o u t h e r n

s t a t u s n o t e n t i r e l y u n l i k e that of C a t a l o n i a in

F l a n k of t h e A l p s , c h a n g e d r u l e r s a n d n a t i o n ality

at t h e e n d

of W o r l d

I.52

War

This

Spain.

Unfortunately

for

the

South

Ty-

r o l e a n s , h o w e v e r , R o m e d e c i d e d to u n i f y p o -

p r o c e s s w a s c o n f i r m e d in t h e T r e a t y o f St.

litically and administratively the

G e r m a i n as t h e A l l i e s s o u g h t to p u n i s h A u s -

speaking region with the ethnically

German-

tria a n d t o r e w a r d I t a l y f o r s h i f t i n g s i d e s d u r -

n e i g h b o r i n g p r o v i n c e of T r e n t i n o . T h i s m o v e

ing t h e G r e a t W a r — h e n c e , p r o v i d e it w i t h a

s e c u r e d a n I t a l i a n - s p e a k i n g m a j o r i t y in t h e

Italian

territorial extension and a defensible military

area and effectively prevented

f r o n t i e r . 5 3 N i n e t y - s i x p e r c e n t of t h e r e g i o n ' s

p o w e r on t h e l o c a l level to t h e G e r m a n - s p e a k -

p o p u l a t i o n w a s G e r m a n - s p e a k i n g in

ing S o u t h T y r o l e a n s t h e m s e l v e s .

1915,

but t h e r i s e of f a s c i s m in I t a l y led to a h a r s h

viewed

this

n e w situation as a b r e a c h of contract

and

solini)

p r e s e n t e d t h e p r o b l e m to t h e U n i t e d N a t i o n s

to

substantial

settlement

of

Austrian

Parliament

of

policy of Italianization ( c o n d u c t e d by M u s and

The

transfer

I t a l i a n - s p e a k e r s f r o m t h e M e z z o g i o r n o in t h e

in 1 9 6 0 , w h i l e s e v e r a l S o u t h T y r o l e a n m i l i -

n e w I t a l i a n r e g i o n . T h e A x i s p o w e r s in t h e

t a n t s w a g e d a l o c a l b o m b i n g c a m p a i g n . In

Second

and

1967, the Italian g o v e r n m e n t r e s e n t e d A u s -

Italy) permitted ideals of sel f - d et er m i n at i o n

World War

(the Third

Reich

t r i a n i n t e r f e r e n c e " i n its i n t e r n a l a f f a i r s " s u f -

to be entirely s u b s u m e d by their larger na-

f i c i e n t l y to v e t o A u s t r i a n m e m b e r s h i p in t h e

tional ideological objectives and war aims.

E E C . A u s t r i a a n d Italy e n t e r e d i n t o d i r e c t ne-

A f t e r W o r l d W a r T w o , t h e o l d b o u n d a r i e s re-

g o t i a t i o n s in 1 9 6 8 a n d p a v e d t h e w a y f o r a c -

m a i n e d f i x e d , in s p i t e of e f f o r t s by A u s t r i a to

t i v e p o l i t i c a l p a r t i c i p a t i o n of t h e

change

speaking

them. The

victorious Allies

(UK,

South

Tyrolean

German-

People's

Party

U n i t e d S t a t e s , a n d U S S R ) r e c o m m e n d e d that

(SVP). A " p a c k a g e a g r e e m e n t , " the "South

Austrian and Italian f o r e i g n ministers negoti-

Tyrol

ate

ethnically

f r o m negotiations, and the S V P accepted the

resulting

a r r a n g e m e n t by a n a r r o w m a j o r i t y in 1969. T h e

special

provisions

unique region

for

the

South Tyrol. The

Package"

(Siidtirol

Paket),

resulted

G r u b e r - d e Gaspari Agreement was appended

P a c k a g e a l l o w e d f o r t r a n s f e r of

to t h e A l l i e d P e a c e T r e a t y w i t h Italy in 1947.

p o w e r s to the P r o v i n c e of B o l z a n o ( B o z e n ) f o r

It r e p r e s e n t e d G r u b e r a n d d e G a s p a r i ' s a c -

r e c o g n i t i o n of G e r m a n as an o f f i c i a l l a n g u a g e

cord

in the r e g i o n , a n d f o r p r o p o r t i o n a l r e p r e s e n t a -

to g r a n t

South

Tyrol,

officially

the

significant

52. South Tyrol was transferred to Italy in fulfillment of the Secret Treaty of London (April 1915), as a reward for Italy's entry into the war on the Allied side. 53. Morrow, Duncan, "Regional Policy as Foreign Policy: The Austrian Experience," Regional Politics and Policy: An International Journal 2, no. 3 (1992): 39. For Austrian perspectives, sec various issues of the Aussenpolitische Bericht, Federal Ministry of Foreign Affairs (Vienna, 1970s to 1990s); also Ermacora, Felix, Siidtirol: die verhinderte Selbstbestimmung (Wien: Amalthea, 1991); Josef Fontana, ed., Freiberg, Walter, Siidtirol und der italienische Nationalismus: Entstehung und Entwicklung einer europäischen Minderheitenfrage, quetlenmässig dargestellt (Innsbruck: Wagner, 1989); Weiss, Klaus, Das Südtirol-Problem in der Ersten Republik: dargestellt an Österreichs Innen-und Aussenpolitik in Jahre 1928 (Wien: Verlag für Geschichte und Politik; München: R. Oldenbourg, 1989); Veiter, Theodor, Bibliographie zur Südtirolfrage (19451983) (Wien: Braumüller, 1984); Peter Bettelheim, Rudi Benedikter, eds., Apartheid in Mitteleuropa? Sprache und Sprachenpolitik in Südtirol (La lingua e la politica delle lingue nel Sudtirolo) (Wien: J & V, 1982). For other positions: Freschi, Louis, Le Haut Adige-Tyrol du Sud: autonomie et développement (Grenoble: Editions des Cahiers de l'Alpe, de la Société desecrivains dauphinois, 1988); Klaus Eisterer, Rolf Steininger, Die Option: Südtirol zwischen Faschismus und Nationalsozialismus (Innsbrucker Forschung zur Zeitgeschichte, Band 5, Innsbruck: Haymon, 1989); Felix Ermacora, ed., Geheimbericht der Südtiroler Delegation zur Pariser Konferenz ¡946: mit einer historischen und aktuellen Standortbestimmung (Wien: Amalthea, 1987).

242

Wolfgang

tion of G e r m a n - a n d I t a l i a n - s p e a k e r s in all

Danspeckgruber

s e p a r a t i o n . E m b l e m a t i c of c o o p e r a t i o n a m o n g

p u b l i c s e r v i c e p o s i t i o n s . 5 4 At t h e s a m e t i m e ,

political elites f r o m d i f f e r e n t p a r t i e s are the

parallel to t h e P a c k a g e a so-called " C a l e n d a r of

e l i t e - l e d n e g o t i a t i o n s that h a v e b r o u g h t a b o u t

O p e r a t i o n s " was agreed upon and the various

t h e s u c c e s s in e a c h of t h e t h r e e c a s e s . E l i t e s

steps to be taken and t h e a p p r o p r i a t e t i m e t a b l e

w i t h a n i n t e r e s t in s o l u t i o n s t y p i c a l l y w o r k

were

toward

enumerated.

Through

this

precise

acceptable For

agreements, instance,

the

including

p l a n n i n g of p r e d e t e r m i n e d a c t i o n s a n d r e a c -

compromise.

Catalans'

tions on t h e part of t h e p a r t i e s f o r t h e i m p l e -

s t r o n g s e n s e of s o c i a l r e s p o n s i b i l i t y t o w a r d

m e n t a t i o n of t h e a g r e e m e n t , t h e O p e r a t i o n s

l e s s - d e v e l o p e d r e g i o n s in S p a i n , r e i n f o r c e d

C a l e n d a r h e l p e d to build u p c o n f i d e n c e a n d —

b y t h e t e r m s o f t h e S p a n i s h c o n s t i t u t i o n of

despite

several

delays—substantially

con-

tributed to the resolution of the p r o b l e m . 5 5 Since

1985,

the

neo-fascist

1 9 7 8 , o b l i g a t i n g all s i g n a t o r i e s to r e s p e c t the i n t e g r i t y of t h e K i n g d o m of S p a i n ( a n d p e r -

Italian-

haps

influenced

by

Spanish

traditions

in

nationalist MSI, campaigning for strength-

c o m m u n i s m and socialism), consistently em-

ened Italian control over the region, has be-

p h a s i z e d a p e a c e f u l p r o c e s s of d e v o l u t i o n .

Italian-speaking

U n d e r l y i n g t h e B e l g i a n c o h e s i o n is a s i m i l a r

p a r t y in t h e B o l z a n o C i t y C o u n c i l . N o n e t h e -

b r a n d of n e g o t i a t i o n that is i n s p i r e d b y t h e

c o m e the most significant less, t h e Paket

is j u d g e d a m a j o r s u c c e s s a n d

B e l g i a n p o l i t i c a l s y s t e m of

consociational

h a s p r o v e n t h e t e n a c i t y a n d w i l l i n g n e s s to

d e m o c r a c y , a n d t h e f a c t that B e l g i a n l e a d e r s

o b t a i n a n e g o t i a t e d s o l u t i o n o n t h e p a r t of

h a v e r e m a i n e d c o n v i n c e d t h a t n o n e of t h e

V i e n n a a n d R o m e . O f p a r t i c u l a r h e l p to that

Belgian political regions could stand alone

s a t i s f y i n g end was the a b s e n c e of n e g a t i v e

and remain e c o n o m i c a l l y solvent and politi-

outside

cally secure.

interference

by

foreign

powers—

rather than enticing potential difficulties, Eur o p e a n s t a t e s p u s h e d b o t h p a r t i e s to b r i n g about a feasible and acceptable solution.

In c o n t r a s t , t h e S o u t h T y r o l e a n ence

Increase

J

of

not

characterized

by

experiidentical

p r o c e s s e s of n e g o t i a t i o n a m o n g r e g i o n a l a n d central

The Process

is

government

l e a d e r s o r by

entirely

p e a c e f u l m e a n s of g a i n i n g n a t i o n a l a n d inter-

Obtaining

national attention. Already, the very c o m i n g

Self-Administration

The Belgian regions, the a u t o n o m o u s region

i n t o b e i n g of S o u t h T y r o l is b a s e d u p o n c r e -

of C a t a l o n i a , a n d t h e G e r m a n - s p e a k i n g m a -

a t i o n d u r i n g c o n f l i c t , n a m e l y , d u r i n g t h e final

j o r i t y of S o u t h T y r o l h a v e all a c h i e v e d c o n -

s t a g e of t h e A u s t r o - I t a l i a n c o n f l i c t in W o r l d

siderable

centralized

War One. The region's ensuing ethnic devel-

p o w e r s of their federal institutions or capi-

o p m e n t in t h e i n t e r w a r p e r i o d a n d t h e r e a f t e r

autonomy

from

the

t a l s . M a j o r f a c t o r s of s u c c e s s f u l d e c e n t r a l -

w a s a r e s u l t of i d e o l o g y in a t e n s e r e g i o n a l

i z a t i o n in all t h r e e c a s e s i n c l u d e t h e n a t u r e of

environment. Consequently, the South

the interactions b e t w e e n political elites and

r o l e a n p r o c e s s of m o v i n g t o w a r d g r e a t e r s e l f -

electorate and the political culture. Arguably,

g o v e r n a n c e entails a substitution of sorts, a

Ty-

the n e c e s s a r y m e c h a n i s m s of s u c c e s s f u l ef-

r e p l a c e m e n t of l o c a l a n d r e g i o n a l

f o r t s t o w a r d i n c r e a s e d s e l f - g o v e r n a n c e in-

m e n t c o o p e r a t i o n by i n t e r n a t i o n a l a n d c e n t r a l

clude elites' cooperation, deceleration,

a u t h o r i t y n e g o t i a t i o n , t h a t is, d i r e c t i n v o l v e -

the

govern-

r o l e of i n t e r n a l o r g a n i z a t i o n s , a n d t h e m e c h -

m e n t of I t a l i a n n a t i o n a l a d m i n i s t r a t o r s

anisms

A u s t r i a as Schutzmacht

of E u r o p e a n i z a t i o n

and

territorial

and

(protection power).

54. The Package consists of 137 detailed measures to be taken in favor of the people of South Tyrol. They are intended to guarantee the ethnic, cultural, and economic survival of the German-speaking and Ladino groups. Some favor the minorities—that is, use of languages and access to civil service jobs— others are designed to strengthen the region economically; Alois Mock, "South Tyrol Conflict Resolved: A Contribution to European Stability," Austrian Information 45, no. 7/8 (1992): 6. 55. Interestingly, the Camp David Agreement between Israel and the Arab Nations apparently had a similar calendar included. Ibid.

Self-Determination,

Subsidiarity,

and

Regionalization

E a c h r e g i o n ' s h i s t o r y of s e l f - d e t e r m i n a tion "in the m a k i n g " t h u s c o n t a i n s a p a r t i c u lar m e c h a n i s m of i m p l e m e n t a t i o n of s e l f g o v e r n m e n t that o f f e r s a g e n e r a l o u t l i n e of steps to g r e a t e r a u t o n o m y . T h e p h e n o m e n o n to be n a m e d the " d e c e l e r a t i o n m e c h a n i s m " s i m u l t a n e o u s l y d e f i n e s a n d d e s c r i b e s the e f f o r t s of c e n t r a l g o v e r n m e n t s t r y i n g to halt t h e p r o c e s s of d e c e n t r a l i z a t i o n and d e v o l u tion of p o w e r to r e g i o n a l authorities. To date, the m o s t d a n g e r o u s m e a n s of s l o w i n g that p r o c e s s of d e v o l u t i o n i n c l u d e s c e n t r a l a u t h o r i t i e s ' i n s i s t e n c e on w o r k i n g t h r o u g h t h e e s t a b l i s h e d legal and g o v e r n m e n t a l s y s t e m s . T h e e f f e c t of the central f o r c e s ' p r o c r a s t i n a t i o n , or t h e i r r e l u c t a n c e to c e d e a u t h o r i t y , h o w e v e r , d o e s not halt the p r o c e s s of d e v o lution. O n the c o n t r a r y , c e n t r i f u g a l f o r c e s m a y be e x a c e r b a t e d a n d lead to a v a r i e t y of piecemeal reforms and possibly entice abrupt, radical, and potentially violent c h a n g e , e s p e c i a l l y if s e g m e n t s of a p o p u l a tion in a c o m m u n i t y lose trust (and h o p e ) in t h e n e g o t i a t i o n p r o c e s s f o r greater a u t o n o m y . P o s i t i v e i m p l e m e n t a t i o n of d e c e n t r a l i z a t i o n r e f o r m s by the actual a u t h o r i t i e s c o n t r i b u t e s to stability and, indeed, sometimes helps a v o i d the search f o r m o r e e x t e n s i v e and radical d e m a n d s . In m a n y c a s e s , a c c e p t e d s y m b o l i s m s and c o m p r o m i s e s are m o r e r e l e v a n t t h a n actual s u b s t a n t i v e g a i n s ! An " i n t e r n a l o r g a n i z a t i o n m e c h a n i s m " is d e s i g n e d to d e s c r i b e t h e s p o n t a n e o u s f o r m a t i o n of i n s t i t u t i o n s t h a t t r a n s f o r m ref o r m s m a d e on p a p e r i n t o i n s t i t u t i o n a l reality. It is i m p o r t a n t to p e a c e f u l d e v o l u t i o n of p o w e r a n d s i g n i f i e s t h e e f f o r t s of r e g i o n a l a u t h o r i t i e s , l e a d e r s in i n d u s t r y , c o m m e r c e , e d u c a t i o n , and private citizens to exercise their newly increased autonomy. Further m e c h a n i s m s w o r k to f a c i l i t a t e s u c c e s s f u l , peaceful efforts toward increased self-gove r n a n c e r e l a t e d to E u r o p e a n i z a t i o n , t h e f o r m a t i o n of t r a n s n a t i o n a l t r a d e , a n d / o r p o l i t i cal a g r e e m e n t s b e t w e e n national and

243

regional units, across political divisions. T h e f u n c t i o n of all f o u r m e c h a n i s m s c a n be s e e n in the e x a m p l e s of B e l g i u m , C a t a l o nia, and S o u t h Tyrol. G o v e r n m e n t a l d e c i s i o n s in B e l g i u m a r e m a d e by p a r t y e l i t e s . Party p r e s i d e n t s a r e e l e c t e d t h r o u g h c o n s e n s u s or a c c l a m a t i o n . T h e s e party p r e s i d e n t s s h a p e the p e r s o n a l i t y and interests of their parties. " S i n c e the s e v enties, the p r e s i d e n t s of g o v e r n m e n t a l p a r t i e s h a v e b e c o m e t h e k e y a c t o r s of the p o l i t i c a l system and, for instance, determine governm e n t a l p o l i c i e s m o r e than d o o t h e r p o l i t i c a l e l i t e s , s u c h as m i n i s t e r s . " 5 6 T h e e n o r m o u s i n f l u e n c e of party elites is c l o s e l y c o n n e c t e d with t h e f o r m of d e m o c r a c y that h a s d e v e l o p e d in B e l g i u m . M a r k e d by " s h a r p p l u r a l d i v i s i o n s and c l o s e elite c o o p e r a t i o n , " 5 7 it is c h a r a c t e r i z e d by Liesbet H o o g h e as a c o n s o ciational d e m o c r a c y . C o n s o c i a t i o n a l i s m c o n t r i b u t e s to c o h e sion w i t h i n i n d i v i d u a l B e l g i a n p o l i t i c a l parties, n o n e of w h i c h c o u l d h o p e to partici pate in national g o v e r n m e n t w i t h o u t p r e s e n t ing a united f r o n t to v o t e r s and w i t h o u t app e a r i n g united on the issue of party d e m a n d s at the interparty negotiating table. B a r g a i n i n g , through w h i c h each actor is satisfied with the r e s u l t i n g c o m p r o m i s e , b e c o m e s the m a j o r m e t h o d small political parties a t t e m p t to use to f o r m c o a l i t i o n g o v e r n m e n t s and to i n f l u e n c e legislation and policy. H o o g h e f i n d s that the m o s t s u c c e s s f u l m e a n s of c o n f l i c t m a n a g e m e n t within this b a r g a i n i n g p r o c e s s a l l o w s actors to use n o r m a l legal and d e m o c r a t i c proc e d u r e s as b a r g a i n i n g chips. In this way, party l e a d e r s a g r e e to stretch e x i s t i n g r u l e s t e m porarily to their m u t u a l c o n v e n i e n c e in o r d e r to o v e r c o m e d e a d l o c k , w h i l e , at t h e s a m e time, they leave the state structure intact. O n e of t h e f o r t u i t o u s a s p e c t s of t h i s p r o c e s s is that e a c h a c t o r e x p e c t s e n o u g h f r o m t h e c o n s o c i a t i o n a l b a r g a i n i n g t a b l e that t h e p r o c e s s of e f f e c t i n g c h a n g e is s l o w . P o tential f o r c o n f l i c t is i n e v i t a b l y d u l l e d d u r i n g

56. Lieven de Winter, "The Selection of Party Presidents in Belgium: Rubber-Stamping the Nominee of the Party Elites," European Journal of Political Research 24 (1993): 243. 57. Liesbet Hooghe, "Belgium: From Regionalism to Federalism," Regional Politics and Policy: An International Journal 3 (Spring 1993): 59-68.

244

Wolfgang

t h e l o n g c o u r s e of t h e n e g o t i a t i o n .

Hooghe

internal

organization

Danspeckgruber

mechanism

exist

in

s t a t e s that " f r o m a c i t i z e n s ' p e r s p e c t i v e , this

slightly different forms. Valles and Foix de-

practice risks creating legal and d e m o c r a t i c

s c r i b e t h e p r e s e n c e of S p a i n ' s o w n b r a n d of

insecurity and m a y cause political alienation.

d e c e l e r a t i o n m e c h a n i s m in that

F r o m t h e p e r s p e c t i v e of t h e m a i n a c t o r s in t h e

interethnic

games,

political it

seems

p r e f e r a b l e to a f o r m a l d e v o l u t i o n of c o m p e t e n c i e s , " w h i c h has an u l t i m a t e o b j e c t i v e in s e c e s s i o n . S u c c e s s in B e l g i u m s e e m s to have d e p e n d e d upon concern for g r o u p aut o n o m y r a n k i n g h i g h e r t h a n i n t e r e s t in i n d i v i d u a l p a r t i c i p a t i o n at t h e d i f f e r e n t l e v e l s of

In c o m p a r i s o n , S i a m a k

decisionmaking.58 N o n e t h e l e s s , l o c a l a c t o r s h a v e b e e n inv o l v e d in t h e p r o c e s s of d e v o l u t i o n of p o w e r in B e l g i u m , e v e n if t h e i r i n v o l v e m e n t

has

b e e n i n s p i r e d by t h e d i r e c t i o n of h i g h e r - l e v e l leaders.

So-called

Community

Regional

Development

Institutes

(RISO)

for

provide

the i n t e r n a l o r g a n i z a t i o n a n d s t r u c t u r e n e c e s s a r y f o r t h e p l a n n i n g a n d i m p l e m e n t a t i o n of p o l i c i e s e n c o u r a g i n g d e v o l u t i o n of p o w e r to t h e r e g i o n s w h e n it d o e s o b t a i n t h e s a n c t i o n of t h e c e n t r a l g o v e r n m e n t .

51

'

G o v a e r t s p r e s e n t s t h e R I S O of L e u v e n in F l e m i s h V l a a m s community

the "transition to d e m o c r a c y " which took place between 1976 and 1978 reflects an agreement between the Francoist sectors, conscious of the need for reform so as to preserve part of their power, and the sectors of democratic opposition, conscious of their organizational and mobilizing weakness in front of the coercive institutions of the Francoist state. 61

Brabant

development

in a s t u d y

of

organizations

in

F l a n d e r s s i n c e 1987. T h e m e e t i n g s are g e a r e d t o settle p r o b l e m s o c c u r r i n g b e t w e e n v o l u n tary w o r k o r g a n i z a t i o n s a n d t h e m u n i c i p a l i t y . T h e R I S O s y s t e m is n o t f a i l - s a f e , b u t it d o e s e m b o d y a s u c c e s s f u l m o d e l of a r e g i o n a l institution t a k i n g c h a r g e of its n e w p o t e n t i a l f o r p o w e r on the regional and local level.

60

In S p a i n t h e e l i t e s ' c o o p e r a t i o n m e c h a nism, the deceleration m e c h a n i s m , and the

Khatami

describes

t h e p r o c e s s in a v e r y s i m i l a r w a y : Many people believe that the extension of autonomy to all Spanish regions was due to the wish of political elites in Madrid to prevent the three regions with a historical tradition of autonomy [from] achieving full self-determination, by slowing down the pace at which powers were being devolved to the regions. 6 2 T h e i m p r e c i s e w o r d i n g of t h e S p a n i s h c o n s t i t u t i o n of 1 9 7 8 p e r m i t s t h e c e n t r a l g o v e r n m e n t to d r a m a t i c a l l y d e c e l e r a t e t h e d e v o l u t i o n of p o w e r

to t h e r e g i o n s e v e n

while

g r a n t i n g c e r t a i n c o n c e s s i o n s to the s e v e n t e e n a u t o n o m o u s regions. K h a t a m i , Valles, and F o i x all m e n t i o n t h e S p a n i s h r e g i o n s ' l a c k o f i n t e r n a l o r g a n i z a t i o n s c a p a b l e of c a p i t a l i z i n g on their new opportunities for self-govern a n c e . All t h r e e w o u l d a g r e e t h a t o n l y t h e most highly organized, affluent, and ideologi c a l l y u n i t e d of t h e r e g i o n s c a n m a k e a c t u a l advances toward enhanced self-governance. Some

Spanish

regions,

Catalonia

in-

c l u d e d , a r e n o t a b l e e x c e p t i o n s to t h e r e c e n t

58. Ibid. 59. The RISO were first created in the 1980s to facilitate and coordinate local projects, and to lobby and develop regional strategies. These organizations screen all project proposals in regions seeking government funding for voluntary organization on a yearly basis, and select and integrate the proposals in an annual c o m m u n i t y development plan for their region. The final plan then goes to the Ministry of Family and Social Welfare for approval. For detailed analysis, see Ward Govaerts, "Regional Institutes for Community Development in Flanders, Belgium: Their Relationship to Regional and Local Authorities," Community Development Journal 26, no. 2 (April 1991): 149. 60. The RISO facilitates networking with local authorities and with the O C M W in the interest of community development. C o m m u n i t y work in Flanders is largely shaped and coordinated by the center. Nonetheless, programs are initiated by local organizations and coordinated by the intermediaries provided through the RISO; Govaerts, op. cit., 149-151. 61. Josep Ma Valles, and Monteserrat Cuchillo Foix, "Decentralization in Spain: A Review," European Journal of Political Research 16 (1988): 395. 62. Siamak Khatami, "Decentralization: A Comparative Study of France and Spain Since the 1970s," Regional Politics & Policy: An International Journal 1, No. 2 (1991): 173.

Self-Determination,

Subsidiarity,

and

Regionalization

S p a n i s h r u l e of r e g i o n a l o r g a n i z a t i o n . C a t a l o n i a — a l o n g with the Basque Country, G a l i c i a , A n d a l u c i a , a n d the C a n a r i e s , r e g i o n s that all h a v e a s p e c i f i c p o l i t i c a l t r a d i t i o n of a n a t i o n a l i s t o r r e g i o n a l party, is c h a r a c t e r ized by the " t e r r i t o r i a l " q u a l i t y of s o m e of its political parties. T h e territorial p a r t i e s a s p i r e to p a r t i c i p a t e in p o l i t i c s at the ( c e n t r a l ) state level, f i g h t i n g the e l e c t i o n f o r the state p a r liament. Although they must work with strongly centralized financing mechanisms, they a d o p t o r g a n i z a t i o n a l s t r u c t u r e s that f o r m a l l y a d j u s t to the e x i s t e n c e of t h e n e w regional g o v e r n m e n t s . It is r e a s o n a b l e to a r g u e that the first m a j o r i n t e r n a l o r g a n i z a t i o n m e c h a n i s m s are the r e g i o n a l political p a r t i e s themselves. A s in B e l g i u m , w h e r e the p a r t i e s are split a c c o r d i n g to b o t h r e g i o n a n d e t h n i c c o m m u n i t y (i.e., l a n g u a g e ) , the political circ u m s t a n c e s of C a t a l o n i a m a k e b a r g a i n i n g a n d c o m p r o m i s e the best m e a n s of r e g i o n a l a d v a n c e m e n t . I n t e r v i e w s c o n d u c t e d by F r a n s c e s c o M o r a t a point to " t h e e x i s t e n c e of a regional elite w h i c h is h i g h l y p r o f e s s i o n a l i z e d a n d with a t e n d e n t i o u s l y p r a g m a t i c and rather anticentralist behavior. '63 Political elites a n d p o l i t i c a l o b s e r v e r s a g r e e t h a t reg i o n a l p a r t y l e a d e r s in C a t a l o n i a h a v e the m o s t i n f l u e n c e o n r e g i o n a l g o v e r n m e n t , selection of c a n d i d a t e s in r e g i o n a l e l e c t i o n s , and h o w to v o t e o n i s s u e s in the r e g i o n a l p a r l i a m e n t , m u c h as t h e o t h e r c a s e s t u d y s h o w s that B e l g i a n p a r t y p r e s i d e n t s d o . 6 4 Khatami suggests that "consociational arrangements a m o n g p a r t i e s r e p r e s e n t i n g n a t i o n a l as well as r e g i o n a l i n t e r e s t s , " like t h o s e w h i c h s e e m to w o r k in B e l g i u m , " c o u l d [also] h e l p r e d u c e p o l a r i z a t i o n of p a r t i e s r e p r e s e n t i n g the d e m a n d s f o r m o r e d e v o l u t i o n a n d f o r the p r e s e r v a t i o n of t h e ' n a t i o n a l unity a n d int e g r i t y ' " in S p a i n . 6 5 Yet M o r a t a h i g h l i g h t s t h e i m p o r t a n c e of t h e e x i s t e n c e of trust

245

a m o n g p o l i t i c a l o p p o n e n t s and the n e c e s s i t y of a s t r o n g c o n s e n s u s that the regional e x e c u tive m u s t not be s t r e n g t h e n e d at the e x p e n s e of p o w e r s h e l d by the regional a s s e m b l y . 6 6 It m a y be p r e s u p p o s e d that t h e S p a n i s h central g o v e r n m e n t m a k e s e f f o r t s to slow the p r o c e s s of d e v o l u t i o n . U n w i t t i n g l y , the reg i o n s t h e m s e l v e s h a v e a l s o c o n t r i b u t e d to the p r o c e s s of d e c e l e r a t i o n by c h o o s i n g to reproduce inherited administrative structures. C a t a l o n i a is an e x c e p t i o n , p e r h a p s bec a u s e of its o w n a f f l u e n c e and u n i f y i n g s e n s e of c u l t u r a l a n d h i s t o r i c identity. C a t alonia s t a n d s out a m o n g S p a n i s h r e g i o n s as a p r o l i f i c p r o d u c e r of its o w n r e g i o n a l institutions, d e s i g n e d to facilitate c a p i t a l i z a t i o n on the i n c r e a s e d r e g i o n a l a u t o n o m y that has, at least in t h e o r y , b e e n g r a n t e d by the c e n t r a l g o v e r n m e n t ; this h a s c o n t r i b u t e d at least as m u c h to C a t a l a n s u c c e s s as has the s u c c e s s f u l b a r g a i n i n g of its r e g i o n a l l e a d e r s . T h e long list of C a t a l a n internal o r g a n i z a t i o n s inc l u d e s the n u m e r o u s C a t a l a n cultural institut i o n s , the G e n e r a l A s s e m b l y of C a t a l o n i a , and the U n i v e r s i d a d A u t o n o m a de B a r c e l o n a . T h e B e l g i a n r e g i o n s ' individual rights to m a k e trade a g r e e m e n t s with foreign states, independent of the permission of central Belgian a u t h o r i t i e s , p r o v i d e s the best e x a m p l e of E u r o p e a n r e g i o n s ' e x e r c i s i n g l i m i t e d r i g h t s to a u t o n o m y t h r o u g h the " m e c h a n i s m of E u r o p e a n i z a t i o n . " P e r h a p s it is o n l y n a t u r a l that B e l g i u m , the host c o u n t r y of the E U , p e r m i t s its r e g i o n s e x t e n s i v e f o r e i g n - t r e a t y - m a k i n g powers. Inversely, heightened competence may reduce c o m m u n a l drive for further enh a n c e d a u t o n o m y . T h e C a t a l a n s also e x t e n d their p o l i t i c a l r e a c h b e y o n d the g r a s p of the c e n t r a l g o v e r n m e n t by c o n c e n t r a t i n g o n c e r tain " f o r e i g n a f f a i r s , " o n a t t r a c t i n g i n v e s t ments, tourism, and political contacts f r o m E u r o p e . U n l i k e t h e o t h e r r e g i o n s in S p a i n , " C a t a l o n i a is c o n s i d e r e d to be m o d e r n , sta-

63. Franscesco Morata, "Regions and the European Community: A Comparative Analysis of Four Spanish Regions," Regional Politics and Policy: An International Journal 1, no. 2 (1991): 215. 64. Francesco Morata, "Regions and the European Community," p. 215. 65. Siamak Khatami, "Decentralization: A Comparative Study of France and Spain Since the 1970s," p. 180. 66. Francesco Morata, "Regions and the European Community: A Comparative Analysis of Four Spanish Regions," p. 215.

246

Wolfgang

Danspcckgruber

b l e , a n d a u t o n o m o u s in its p o l i t i c a l a c t i v i t y , "

N o r t h a n d S o u t h T y r o l h a v e e x p l o i t e d all

a n d it is a l s o c h a r a c t e r i z e d as " n o n - c o n s e n -

p o s s i b l e o p p o r t u n i t i e s to m a x i m i z e c o n t a c t s

s u a l , n o n - p r o g r a m m a t i c a n d n o n - u n i t a r y in

between

n a t u r e . " P e r h a p s t h a t c h a r a c t e r is t h e s e c r e t

f o r m e d the Interregional Parliamentary C o m -

themselves since

1970 and

have

for Catalonia's modern, stable, and prosper-

m i s s i o n , a j o i n t c o m m i s s i o n of t h e p r o v i n c i a l

ous a u t o n o m o u s situation. Catalonians desire

assemblies

greater a u t o n o m y for their region but not

w o r k o u t p r o b l e m s in t h e p r o v i n c e s . J o i n t

of N o r t h

and

South Tyrol,

to

necessarily full independence f r o m Spain. To

sittings o c c u r regularly. A n n u a l " S o u t h Tyrol

this effect, Catalonian leaders p r a g m a t i c a l l y

consultations"

change their strategy

politicians together to participate with Aus-

to fit the

occasion.

bring

all

leading

Tyrolean

regions

tria's foreign policy elite and f o r m the basis

s h o w s that " C a t a l o n i a p r e s e n t s the highest

of f e d e r a l c o n t a c t s b e t w e e n t h e A u s t r i a n a n d

M o r a t a ' s analysis of f o u r S p a n i s h

l e v e l of e c o n o m i c a d a p t a t i o n t o t h e e x i g e n -

Italian g o v e r n m e n t s . T h u s , South Tyroleans

c i e s tied to t h e r e a l i z a t i o n of t h e s i n g l e m a r -

have used their relationship with, and back-

k e t in s o m e of t h e k e y s e c t o r s

ing

concerned

with industrial restructuring, the tertiary sec-

by, A u s t r i a

to s t r e n g t h e n

their

voice

w i t h i n t h e i r o w n s t a t e , Italy.

tor. t h e s t r u c t u r e of S M E s ( t h e m o s t d y n a m i c

The A R G E Alp has provided Tyroleans

o n e s ) a n d t h e u s e of h i s t o r i c a l - e n v i r o n m e n t a l

w i t h f u r t h e r - r e a c h i n g s e l f - d e t e r m i n a t i o n by

resources for tourism,"67 with "associationali s m " as a k e y to s u c c e s s .

bringing South Tyrol into direct relationships w i t h s i m i l a r r e g i o n s in o t h e r c o u n t r i e s . It is

S o u t h T y r o l d e m o n s t r a t e s t h e v a l u e of

w i d e l y c o n s i d e r e d to b e t h e " b r a i n c h i l d " of

E u r o p e a n - d i r e c t e d a s s o c i a t i o n a l i s m to s u c -

f o r m e r T y r o l e a n Landeshauptmann

cessful

Modern

W a l l n o f e r , t h e late c h a i r m a n of t h e T y r o l i a n

S o u t h T y r o l h a s g a i n e d d r a m a t i c a l l y by e x -

P e o p l e s P a r t y ( O V P ) . 6 X T h e i n t e r e s t of c r e a t -

regionalization,

as

well.

ploiting the E U ' s regionalization ments

in

the

form

of

the

Euro

arrangeregion

Eduard

ing t h e A R G E lay in e c o n o m i c o p p o r t u n i t i e s provided by northern Italy's and

southern

a r r a n g e m e n t s . Factors leading to increased

Germany's dynamic

economic

1 9 7 2 c o m p l e t i o n of t h e B r e n n e r A u t o b a h n

and

other

self-governance

for

regional growth.

The

South Tyroleans include the extensive (and

t h r o u g h t h e a g e n c y of t h e A l p i n e

important for Europe) trans-frontier North-

B r i d g e p r o v i d e d o n e of t h e n e e d e d i n t e r n a l

Europa

S o u t h i n t e r a c t i o n t h r o u g h t h e I n n Valley, a n d

organization mechanisms, a transport corri-

particularly South Tyrolean

industriousness

d o r b e t w e e n M i l a n a n d M u n i c h that r u n s d i -

a n d t o u r i s m , its r e l a t i o n s h i p w i t h A u s t r i a n

rectly through Tyrol. This important strategic

N o r t h T y r o l , I n n s b r u c k , O s t T y r o l , a n d Vo-

North-South artery has increasingly proven

rarlberg. For instance, Austria (financially)

a n e n v i r o n m e n t a l p r o b l e m d u e to t h e m a n y

e n c o u r a g e s y o u n g South T y r o l e a n s to c o m e

t h o u s a n d s of c a r s a n d t r u c k s that t r a v e l it

to study and take a p p r e n t i c e s h i p s . Further-

each day. Joint e f f o r t s by local inhabitants

more, Alto Adige has been active with Swiss

h a v e u n i f i e d t h e r e g i o n f u r t h e r in d e m a n d i n g

c a n t o n of G r i s o n s , West G e r m a n

Bavaria,

f r o m E U and Austria and Italy financial sup-

Alpine

port to m o v e the cars f r o m the road on a n e w

and

Italian

Lombardy

in t h e f i r s t

A R G E (Arbeitsgemeinschaft Alpenlander, or

rail-tunnel system—the new Brenner-Base-

Alpine States Working Group), created

T u n n e l as p a r t of t h e T E N ( T r a n s - E u r o p e a n -

1972.

in

Network

Projects).

Both

of t h e s e

67. Morata, "Regions and the European Community," p. 215. 68. Morrow, Duncan, "Regional Policy as Foreign Policy: The Austrian Experience," p. 30.

factors

Self-Determination,

Subsidiarity,

and

Regionalization

247

w o u l d f u n c t i o n to help secure N o r t h - S o u t h

d i s t i n c t i o n s f o m e n t e d n a t i o n a l i s m in a W a l l o -

Tyrolean relations.69 The working

nia with increasing socioindustrial p r o b l e m s

group's

s u c c e s s led t o n u m e r o u s i m i t a t i o n s . 7 0 M o r row

even

so

H o o g h e writes that "nationalists d e m a n d

" [ e ] x t r e m e n a t i o n a l i s t e l e m e n t s in b o t h A u s -

. . . m a x i m u m control o v e r s y m b o l i c and dis-

tria and S o u t h Tyrol h a v e long r e g a r d e d Eu-

t r i b u t i v e f u n c t i o n s o f t h e s t a t e in o r d e r t o

integration

far

as

to

as t h e b e s t

assert

s u c h as u n e m p l o y m e n t , a n d s o f o r t h .

that

ropean

goes

means

by

shape or s a f e g u a r d a national

community.

w h i c h to r e u n i f y the Tyrolean and G e r m a n

T h e p o w e r o f a m o d e r n s t a t e r e l i e s u p o n its

V o l k . " 7 1 T h e p r o j e c t of a E u r o - R e g i o n T y r o l

c o n t r o l o v e r a f i x e d t e r r i t o r y , w h e r e it c a n

c o m p r i s i n g Tyrol (Austria), South Tyrol, and

perform these functions. Thus

T r e n t i n o ( I t a l y ) is b e i n g p u r s u e d as a f o r m of

n e e d t e r r i t o r y . " T h e t e r r i t o r i a l a p p r o a c h of

institutionalized transborder cooperation.72 A

d r a w i n g a n d r e d r a w i n g b o u n d a r i e s s o that in-

related Austro-Italian f r a m e w o r k agreement

terethnic group contact was lessened became

on t r a n s b o r d e r c o o p e r a t i o n by regional au-

the d o m i n a n t strategy for conflict m a n a g e -

thorities p e r m i t s the c o n c l u s i o n

m e n t in B e l g i u m a n d t h e m o s t

of

agree-

nationalists

significant

m e n t s b e t w e e n a u t h o r i t i e s of t h e r e s p e c t i v e

motivating

p r o v i n c e s in b o t h s t a t e s w i t h i n t h e i r r e s p e c -

f r o m regionalism to federalism.71

tive a d m i n i s t r a t i v e a n d legal p o w e r s . Regarding

other

experiences,

Perhaps Liesbet

H o o g h e relates that the B e l g i a n state

was

Valles Spain

and

factor

in

Belgium's

surprisingly, Foix

about

mirror Hooghe's

the

evolution

findings

of

regionalization

in

conclusions

about

c r e a t e d b y a c o a l i t i o n of t r a d i t i o n a l g r o u p s ,

B e l g i u m . Valles and Foix see a relationship

s u c h as t h e n o b i l i t y , t h e l a n d o w n e r s , a n d t h e

between "the practically simultaneous

Catholic C h u r c h , and the n e w m i d d l e classes

p e a r a n c e of p o l i t i c a l p a r t i e s a n d t h e i n t r o -

c o m p r i s e d of i n d u s t r i a l i s t s a n d t h e

ap-

intelli-

d u c t i o n of a n e w l e v e l of s u b - n a t i o n a l g o v -

gentsia. The coalition fragmented after Bel-

e r n m e n t s . " 7 4 T h e y note that territorial parties

g i u m g a i n e d its i n d e p e n d e n c e , a n d p o l i t i c s

h a v e a p p e a r e d m o s t a b u n d a n t l y in t h o s e a u -

suddenly b e c a m e competitive. Political party

t o n o m o u s c o m m u n i t i e s with a specific polit-

divides f o r m e d along liberal and conserva-

ical t r a d i t i o n of a n a t i o n a l i s t o r

tive ( C a t h o l i c ) ideological lines. H e n c e , dif-

party. T h u s ,

f e r e n t f r o m t h e C a t a l o n i a n v e r s i o n of n a t i o n -

Belgian nationalists acting through political

according

to t h e s e

separatist analysts,

a l i s m , m o d e r n political c l e a v a g e s a n d m o d e r n

c h a n n e l s s o u g h t t e r r i t o r y , w h e r e a s it s e e m s

p o l i t i c s c a m e b e f o r e n a t i o n a l i s t m o v e m e n t s in

as t h o u g h S p a n i s h n a t i o n a l r e c o g n i t i o n

Belgium.

provoked

d i s t i n c t t e r r i t o r i a l u n i t s in S p a i n w a s n e e d e d

Flemish nationalism, whereas socioeconomic

t o c a t a l y z e d i s t i n c t p o l i t i c a l e l e m e n t s in t h e

Language

grievances

of

69. Eastern Alpine regions established the ARGE Alpen-Adria in Venice in 1978. French, Italian, German, and Swiss Alpine regions, provinces, cantons, and departments created COTRAO for the western Alps in 1982. By 1990. ARGE Alp membership grew to eleven, with the addition of Austrian Salzburg, Swiss St. Gallen and Ticino, and West German Baden-Württemberg. In its first twenty years of existence, "the loose collection of neighboring provinces and regions developed an informal infrastructure of intergovernmental consultation and information exchange, administrative co-operation and a series of conferences on important themes for Alpine and transalpine development"; Morrow, "Regional Policy as Foreign Policy: The Austrian Experience," 31. 70. ARGE Alpen-Adria was the first to cross truly untouched boundaries. Under the aegis of that ARGE in 1986, regions from member states of NATO, the Warsaw Pact, nonaligned countries, and neutral states were in one grouping for the first time. 71. Morrow, Duncan, "Regional Policy as Foreign Policy: The Austrian Experience," p. 40. 72. It is interesting to note the great opposition of Rome against the opening of an independent office in Brussels. 73. Liesbet Hooghe, "Belgium: From Regionalism to Federalism," pp. 4 4 - 6 4 . 74. Josep Ma Valles, and Monteserrat Cuchillo Foix, "Decentralization in Spain: A Review." p. 405.

248

Rob Zaagman

r e g i o n s there, e v e n if distinct cultural and

c a s e s o f B e l g i u m ' s r e g i o n s and C a t a l o n i a ,

historical regional identities had b e e n r e c o g -

national political m o b i l i z a t i o n and territorial subdivision

nized f o r centuries. O n the o t h e r hand, in the

successful

a m o n g distinct groups

practi-

c a l l y o c c u r r e d in parallel.

Commentary Rob Zaagman75

T

he importance o f national minority ques-

the c o n t i n u e d pursuit o f the i m p l e m e n t a t i o n

tions has long b e e n r e c o g n i z e d by the

o f the r e l e v a n t rights. T h e i m p o r t a n c e the

Organization for S e c u r i t y and Cooperation in

O S C E attaches to these issues is reflected in

E u r o p e ( O S C E ) , and this o r g a n i z a t i o n

the e s t a b l i s h m e n t in 1 9 9 2 o f the o f f i c e o f the

has

dealt with them e x t e n s i v e l y . Starting in 1 9 7 2

High C o m m i s s i o n e r on National M i n o r i t i e s ,

as the C o n f e r e n c e on S e c u r i t y and C o o p e r a -

mandated to prevent violent ethnic c o n f l i c t .

tion in E u r o p e , or C S C E , it was first a forum

W h a t has a l s o b e c o m e c l e a r is that na-

w h e r e the two o p p o s i n g b l o c s w o u l d m e e t ,

tional m i n o r i t y q u e s t i o n s are by their very

t o g e t h e r with the neutral

nonaligned

nature highly political issues, requiring a pri-

states o f E u r o p e , to d i s c u s s their r e l a t i o n s

m a r i l y p o l i t i c a l a p p r o a c h in which human

and

and try to a c h i e v e s o m e p r o g r e s s . A f t e r the

rights and legal c o n s i d e r a t i o n s must be e m -

m o m e n t o u s c h a n g e s in the c o m m u n i s t c o u n -

bedded. Often they are intimately c o n n e c t e d

tries, the m i s s i o n o f the O S C E c h a n g e d , al-

to the heart o f the e x i s t e n c e o f states, touch-

beit still i n c o m p l e t e l y , to be a f o r u m

for

ing upon the r e l a t i o n s h i p b e t w e e n

regions

c o m p r e h e n s i v e security d i s c u s s i o n s , c o n f l i c t

and the center, borders, and the territorial in-

prevention,

tegrity o f states. A l s o , they often have to do

and

crisis

management.

All

O S C E c o m m i t m e n t s are a p p l i c a b l e in all its

with the s e l f - a w a r e n e s s and c o m m o n histo-

participating

ries o f g r o u p s o f p e o p l e . A s an important

states—the

United

States,

C a n a d a , all states on the territory o f the for-

f a c t o r in m a n y c o n c r e t e situations, social and

m e r S o v i e t Union ( F S U ) , and all other E u r o -

e c o n o m i c p r o c e s s e s and the pain that o f t e n

pean states ( e x c e p t the f o r m e r Y u g o s l a v re-

accompanies

p u b l i c o f M a c e d o n i a , or F Y R O M , w h i c h is

equation.

an o b s e r v e r , and A n d o r r a ) . In actual

t h e m are part o f the

ethnic

fact,

In c o m p a r i s o n , the right to self-determi-

h o w e v e r , the O S C E ' s c o n c r e t e a c t i v i t i e s are

nation has r e c e i v e d scant attention in the

c o n c e n t r a t e d on central and Eastern E u r o p e ,

OSCE

including the F S U .

H e l s i n k i F i n a l A c t o f 1 9 7 5 as o n e o f the ten

T h e same is true for the treatment o f na-

framework. Although

principles

guiding

relations

listed in the between

the

tional m i n o r i t y q u e s t i o n s within the O S C E .

O S C E states and r e a f f i r m e d in several other

Initially

and

O S C E d o c u m e n t s , it has n e v e r b e e n e l a b o -

g r e a t - p o w e r divide, they were f r a m e d e x c l u -

rated or used p o l i t i c a l l y e x c e p t by a few kin

s i v e l y in t e r m s o f a s p e c i f i c

states

obscured

by the i d e o l o g i c a l

(individual)

human rights perspective. In " p o s t - W a l l " E u r o p e , h o w e v e r , the e x p l o s i v e p o t e n t i a l

of

m a n y o f them b e c a m e all t o o apparent and

with

affiliated

minorities

in

other

states. T h i s is a r e f l e c t i o n o f the unease with w h i c h states g e n e r a l l y v i e w this p o t e n t i a l l y disruptive principle.

they are now m a i n l y seen f r o m the angle o f

In the f o l l o w i n g , I will d e s c r i b e both the

c o n f l i c t p r e v e n t i o n , a l t h o u g h that i n c l u d e s

O S C E n o r m s p e r t a i n i n g to s e l f - d e t e r m i n a -

7 5 . I thank Arie B l o e d and A n d e r s R o n q u i s t for their invaluable c o m m e n t s on an earlier draft.

Commentari/

249

tion and those r e g a r d i n g national m i n o r i t i e s and persons b e l o n g i n g to them, and try to ana l y z e their p o t e n t i a l r e l e v a n c e f o r the issue of territorial a r r a n g e m e n t s such as a u t o n o m y . F u r t h e r m o r e , I will g o into the o n e O S C E b o d y specifically m a n d a t e d to deal with m i n o r i t y - r e l a t e d issues, the O S C E H i g h C o m m i s s i o n e r on National Minorities.

OSCE: The Normative Angle We should r e c o g n i z e first of all the political nature of O S C E c o m m i t m e n t s . T h e y are the direct products of politico-diplomatic negotiations and a r e f l e c t i o n of political interests. A l t h o u g h not legally b i n d i n g , their political p r o s c r i p t i v e and p r e s c r i p t i v e f o r c e is g e n e r ally a c c e p t e d by the O S C E states. S e c o n d , the d y n a m i c s of the O S C E n e g o t i a t i o n s imm e d i a t e l y a f t e r 1989 h a v e f o r c e d s o m e reluctant states, including a f e w f r o m the West, to m a k e c o n c e s s i o n s on national minority issues. T h e g e n e r a l a t m o s p h e r e at that t i m e was very c o n d u c i v e to a c h i e v i n g results. Central and East E u r o p e a n states were g e n erally e a g e r to p r o v e their c o m m i t m e n t to b e c o m i n g real E u r o p e a n s , to d e m o c r a c y and the rule of law, and to m a k i n g d e v e l o p m e n t s irreversible. T h e West m a d e extensive use of this w i n d o w of o p p o r t u n i t y , a l t h o u g h it w a s in several issues not prepared to g o as far as certain new d e m o c r a c i e s . H o w e v e r , e v e n then there was a limit to what s o m e of t h e m would accept with regard to (persons belonging to) national minorities. Third, one has to note that since 1 9 8 9 - 1 9 9 0 , there has been a very clear overall d e c r e a s e in the willingness of states to adopt f u r t h e r c o m m i t m e n t s . O n e c o u l d even say that the results c o n t a i n e d in the O S C E C o p e n h a g e n D o c u m e n t of 1990 w o u l d be i m p o s s i b l e to a c h i e v e today. Already at the G e n e v a m e e t i n g on national minorities of 1991, the m a i n e f f o r t had to be to p r e v e n t steps b a c k w a r d f r o m the C o p e n hagen a c h i e v e m e n t s , a l t h o u g h s o m e valuable

a d d i t i o n s w e r e p o s s i b l e . ( I n d e e d , at later O S C E meetings, almost no further progress with regard to n o r m s could be achieved.) Let m e p r e s e n t the m a i n n o r m a t i v e a c h i e v e m e n t s of the O S C E in the t w o areas of s e l f - d e t e r m i n a t i o n and m i n o r i t i e s . T h e Helsinki

Final

Act16

of 1 A u g u s t 1 9 7 5 c o n -

tains a list of ten principles g u i d i n g relations b e t w e e n participating states. Of r e l e v a n c e in this c o n t e x t are P r i n c i p l e s VII (respect f o r h u m a n rights and f u n d a m e n t a l f r e e d o m s ) , VIII (equal rights and s e l f - d e t e r m i n a t i o n of p e o p l e s ) , and IV (territorial integrity of states). T h e f o u r t h p a r a g r a p h of P r i n c i p l e VII deals with the p r o t e c t i o n of p e r s o n s b e l o n g ing to national m i n o r i t i e s (equality b e f o r e the law and e n j o y m e n t of their h u m a n rights and f u n d a m e n t a l f r e e d o m s ) . T h e r e f e r e n c e to " p e r s o n s " e s t a b l i s h e s the individual app r o a c h the O S C E d o c u m e n t s take with regard to this issue. ( H o w e v e r , certain c o m m i t m e n t s in the 1990 C o p e n h a g e n D o c u m e n t d o introduce a collective d i m e n s i o n . ) Like other i n t e r n a t i o n a l o r g a n i z a t i o n s , the O S C E d o e s not h a v e a d e f i n i t i o n of what c o n s t i t u t e s a national minority. In view of the fruitless efforts within the U N to a c h i e v e international c o n s e n s u s on such a d e f i n i t i o n , the O S C E states h a v e not e v e n tried. ( A l t h o u g h this state of affairs is p e r h a p s unsatisfactory f r o m a legal or a c a d e m i c point of view, it d o e s a l l o w f o r a m u c h larger r o o m of political m a n e u v e r w h e n d e a l i n g with issues involving national minority questions.) Principle VIII states the respect for "the equal rights of p e o p l e s and their right to selfdetermination, acting at all times in conformity with the p u r p o s e s and principles of the C h a r ter of the U n i t e d N a t i o n s a n d with the relevant n o r m s of i n t e r n a t i o n a l law, i n c l u d i n g t h o s e relating to territorial integrity." T h e i m p o r t a n c e of the territorial integrity of states, not only as a c o u n t e r b a l a n c e to the

76. Unless otherwise indicated, all OSCE documents referred to in this article have been published in Arie Bloed, ed., The Conference

ments, 1972-1993

on Security

and Cooperation

(Dordrecht/Boston/London, 1993).

in Europe: Analysis

and Basic

Docu-

250

Rob

Zaagman

r i g h t to s e l f - d e t e r m i n a t i o n b u t a l s o t o o t h e r

not, h o w e v e r , a m o u n t to establishing collec-

H e l s i n k i p r i n c i p l e s , is c o n f i r m e d e x p l i c i t l y

tive rights within the O S C E . ) Article

in P r i n c i p l e I V of t h e F i n a l A c t . 7 7 T h e f e w

states that " P e r s o n s b e l o n g i n g to

later O S C E d o c u m e n t s w h i c h mention self-

minorities can exercise and enjoy their rights

determination

did

not

go

beyond

these

formulations. 7 1 *

(32)

national

i n d i v i d u a l l y as w e l l as in community

with

o t h e r m e m b e r s of t h e i r g r o u p . " A r t i c l e ( 3 3 )

T h e fact that (national) m i n o r i t i e s

are

r e f e r s to t h e p r o t e c t i o n a n d p r o m o t i o n of t h e

t r e a t e d in o n e p r i n c i p l e , p e o p l e s in a n o t h e r

i d e n t i t y of n a t i o n a l m i n o r i t i e s , that is, of t h e

(without defining what constitutes a people),

collectives.

a n d that t h e y a r e c a l l e d d i f f e r e n t l y , l e a d s o n e

T h e f i r s t ( i n d i r e c t ) r e f e r e n c e e v e r to a u -

to c o n c l u d e t h a t t h e s t a t e s w a n t e d t o c l e a r l y

t o n o m y in O S C E d o c u m e n t s c a n b e f o u n d in

distinguish between a people and a minority

article (35), second paragraph: "The partici-

( w h i c h c o u l d b e p a r t of a p e o p l e ) . T h e r e f o r e ,

p a t i n g S t a t e s note

m i n o r i t i e s as s u c h d o n o t h a v e a r i g h t to s e l f -

protect and create c o n d i t i o n s for the p r o m o -

d e t e r m i n a t i o n . In a n y c a s e , in n o O S C E d o c -

t i o n of t h e e t h n i c , c u l t u r a l , l i n g u i s t i c a n d re-

the e f f o r t s u n d e r t a k e n to

u m e n t s are n a t i o n a l m i n o r i t i e s i s s u e s , i n c l u d -

l i g i o u s i d e n t i t y of c e r t a i n n a t i o n a l m i n o r i t i e s

ing t h e r i g h t s of p e r s o n s b e l o n g i n g to t h e m ,

b y e s t a b l i s h i n g , as one of the possible

l i n k e d to t h e r i g h t t o s e l f - d e t e r m i n a t i o n , ei-

t o a c h i e v e t h e s e a i m s , appropriate

t h e r e x p l i c i t l y o r i m p l i c i t l y . T h e s u b j e c t of

autonomous administrations

territorial a u t o n o m y , which a p p e a r s for the

to t h e specific

f i r s t t i m e in an O S C E d o c u m e n t in 1 9 9 0 , is

cumstances

also nowhere

dance

linked to

self-determination

(see below).

means local or

corresponding

historical and territorial

of s u c h m i n o r i t i e s a n d in

with

the

policies

ciraccor-

of t h e S t a t e

con-

cerned" (emphasis added).

A f t e r Helsinki, by far the most relevant

Note, h o w e v e r , the highlighted

words.

standard-setting document for national mi-

These

n o r i t y i s s u e s is t h e J u n e 1 9 9 0 C o p e n h a g e n

mented

D o c u m e n t , C h a p t e r IV. A t t h e i n t e r n a t i o n a l

m e n t s of f a c t . I n s t e a d of a m o v e m e n t t o w a r d

level,

acceptance

its r e l a t i v e l y

far-reaching

m e n t s a r e still u n s u r p a s s e d , 7 9

commit-

although

are not c o m m i t m e n t s

to b e

by states but only cautious of

autonomous

implestate-

arrangements,

it

they reflect what reluctant but hard-pressed

d o e s c o n t a i n a n u m b e r of q u a l i f y i n g p h r a s e s

s t a t e s w e r e p r e p a r e d t o a c c e p t in t h i s c o n -

and escape clauses. (The document

shows,

sensus document.80 Furthermore, Article (37)

i n t e r a l i a , t h e s h i f t that h a d t a k e n p l a c e in t h e

m a k e s e x p l i c i t r e f e r e n c e t o t h e p r i n c i p l e of

O S C E toward positive governmental action

t e r r i t o r i a l i n t e g r i t y of s t a t e s .

in f a v o r of m i n o r i t i e s . )

The November

1990 Charter of Paris,

T h e i n d i v i d u a l r i g h t s a p p r o a c h is c l e a r l y

w h i c h h a s little n e w s u b s t a n c e to o f f e r a f t e r

dominant although there are s o m e provisions

t h e C o p e n h a g e n D o c u m e n t a d o p t e d that s a m e

with a "collective d i m e n s i o n . " (These

year, r e a f f i r m s the c o m m i t m e n t to protect the

do

77. Also of relevance to this "balancing act," but not limited to these subjects alone, is the provision in the Final Act immediately after Principle X: "All the principles set forth above are of primary significance and, accordingly, they will be adequately and unreservedly applied, each of them being interpreted taking into account the others" (emphasis added). 78. The January 1989 Vienna Concluding Document. Principle (4), repeated this principle in extenso; already less extensive is the November 1990 Charter of Paris (section "Friendly relations among states"), which text is repeated in the February 1991 Report of Valletta (Introduction). 79. See, for example, Arie Bloed, "The OSCE and the Issue of National Minorities," in Alan Phillips and Allan Rosas, eds., Universal Minority Rights (Turku/London, 1995), pp. 113-122, at p. 114. 80. Hurst Hannum is therefore too optimistic when he writes that "The reference in paragraph 35 to 'appropriate local or autonomous administrations' is an important indicator of the kinds of solutions that CSCE states may be willing to envisage." See Hurst Hannum, ed., Documents on Autonomy and Minority Rights (Dordrecht/Boston/London: Martinus Nijhoff Publishers, 1993), p. 61.

Commentari/ identity of minorities and to respect the right to e x p r e s s a n d p r o m o t e that identity. It also r e a f f i r m s w i t h o u t f u r t h e r e l a b o r a t i o n the principles of equal rights of peoples and their right to s e l f - d e t e r m i n a t i o n and those relating to the territorial integrity of states. In S e c t i o n IV of the G e n e v a R e p o r t of July 1991, a u t o n o m y r e a p p e a r s ( f o r the last time) in O S C E d o c u m e n t s , but again in nonc o m m i t t a l t e r m s ( e m p h a s i s added): Aware of the diversity and varying constitutional systems a m o n g them, which make no single approach necessarily generally applicable, the participating States note with interest that positive results have been obtained by some of them in an appropriate democratic manner by, inter alia: . . . •

•

•

local and a u t o n o m o u s administration, as well as autonomy on a territorial basis, including the existence of consultative, legislative and executive bodies chosen through free and periodic elections; self-administration by a national minority of aspects concerning its identity in situations where autonomy on a territorial basis does not apply; decentralized or local forms of government: . . .

T h e p a r t i c i p a t i n g states are of the v i e w that these or other a p p r o a c h e s , individually or in c o m b i n a t i o n , could be helpful in i m p r o v i n g the situation of n a t i o n a l m i n o r i t i e s on their territories. A g a i n , t h e s e p h r a s e s d o not c o n t a i n a c o m m i t m e n t to p r o m o t e or i m p l e m e n t aut o n o m o u s a r r a n g e m e n t s . H o w e v e r , at this point a n u a n c e has to be a d d e d : T h i s text is m o r e e l a b o r a t e on the issue of s e l f - a d m i n i s tration than the C o p e n h a g e n D o c u m e n t and contains a c a u t i o u s l y p o s i t i v e a s s e s s m e n t of some (unnamed) existing cases. One could even argue that the fact that the O S C E states admit that in s o m e c a s e s positive results had been o b t a i n e d by t h e m and that they c o u l d be h e l p f u l d o e s m a k e it d i f f i c u l t to d i s b a n d such a r r a n g e m e n t s w h e r e they exist. At any rate, after G e n e v a an a u t o m a t i c link b e t w e e n territorial a u t o n o m y and separatism could n o

251 longer be credibly argued. In addition, the G e n e v a Report (Section V) reiterates "the right of persons belonging to national minorities to exercise and enjoy their rights alone or in c o m m u n i t y with others." T h i s n o r m a t i v e state of a f f a i r s and the n e g o t i a t i n g h i s t o r y of m e e t i n g s such as the o n e s in C o p e n h a g e n and G e n e v a lead to the c o n c l u s i o n that, first, the situation within the O S C E is o n e of strong skepticism toward the s u b j e c t of s e l f - d e t e r m i n a t i o n , let alone s e p a r a t i s m and e f f o r t s to p r o m o t e secession. 8 1 T h i s state of a f f a i r s is a direct reflection of, on the one hand, the restrictive views m a n y O S C E states take c o n c e r n i n g the subject and, on the other, the fact that most other states are not interested in f u r t h e r i n g the issue. T h e y are clearly a w a r e that a n o t h e r approach would lead to an even more chaotic situation in the O S C E area than already e x ists ( Y u g o s l a v i a , N a g o r n y - K a r a b a k h , A b k hazia, and C h e c h n y a ) . S e c o n d , with regard to territorial a u t o n o m y f o r m i n o r i t i e s , the O S C E d o c u m e n t s are c l e a r l y limited in their s c o p e . T h e r e app e a r s to be s o m e f l e x i b i l i t y on the part of states but to what e x t e n t this can lead to practical results d e p e n d s greatly on the conc r e t e s i t u a t i o n at h a n d . In v i e w of p r e s e n t day v i e w s a n d p o l i t i c a l t e n d e n c i e s , both at national and i n t e r n a t i o n a l levels, one should not e x p e c t a lot to h a p p e n . T h e i n s i g h t s g a i n e d by the O S C E High C o m m i s s i o n e r on N a t i o n a l M i n o r i t i e s in this r e g a r d r e i n f o r c e this c o n c l u s i o n .

OSCE: The Practical Angle T h u s , O S C E n o r m s d o not g i v e m u c h support for c l a i m s to s e l f - d e t e r m i n a t i o n or territorial a u t o n o m y . M o r e o v e r , in political practice p r u d e n c e will prevail a n d m o s t states will g e n e r a l l y avoid raising these tricky and politically u n p r o d u c t i v e issues (except s o m e kin states). If in s o m e c o n c r e t e c a s e or other, the issue d o e s a p p e a r on the a g e n d a , O S C E states will c o m e out in s u p p o r t of territorial integrity, as w a s d e m o n s t r a t e d in the cases of

81. See also Jan Helgesen, "Protecting Minorities in the C o n f e r e n c e on Security and Cooperation in Europe (CSCE) Process," in International Journal on Group Rights 2, no. 1 (1994): 7 - 3 4 , at p. 15.

252

Rob

Zaagmcm

Ukraine and C r i m e a and the Russian Feder-

a c t i v i t i e s of t h e O S C E H i g h C o m m i s s i o n e r

ation and C h e c h n y a . 8 2

on National

A strong factor determining states' perc e p t i o n s is t h a t s e c e s s i o n o r c h a n g i n g b o r -

M i n o r i t i e s a n d of t h e

OSCE

l o n g - t e r m m i s s i o n s in t h e f i e l d . In t h e f o l l o w i n g , I will c o n c e n t r a t e o n t h e f o r m e r .

d e r s is a l m o s t n e v e r a real s o l u t i o n b u t g i v e s r i s e t o n e w p r o b l e m s of t h e s a m e c a t e g o r y .

The High

In v i e w of t h e n u m b e r of m i n o r i t i e s a n d of

on National

the fact that they are often dispersed

over

The only specifically minority-related O S C E

large regions, living intermingled with per-

b o d y is its h i g h c o m m i s s i o n e r o n N a t i o n a l

s o n s b e l o n g i n g to o t h e r g r o u p s , m a n y states would have (new) minorities

Commissioner Minorities

new

M i n o r i t i e s . T h e m a n d a t e of t h e O S C E h i g h

within

c o m m i s s i o n e r , a d o p t e d in J u l y 1 9 9 2 b y t h e

their borders. Secession might thus very well

Helsinki s u m m i t m e e t i n g , reflects the recog-

l e a d t o a n u m b e r of u n s t a b l e s t a t e s , l e a d i n g

n i t i o n o f t h e p o l i t i c a l n a t u r e of m i n o r i t y is-

to a l e s s s t a b l e a n d l e s s s a f e E u r o p e .

sues. The

T h e s e s t a t e v i e w s d o , of c o u r s e , a l s o d e -

high

commissioner's

tasks

are

f r a m e d in p o l i t i c a l t e r m s a n d his t o o l s a r e e s -

t e r m i n e the course d i s c u s s i o n s and actions

s e n t i a l l y t a i l o r e d to d e a l w i t h p o l i t i c a l i s s u e s ,

c a n t a k e w i t h i n the O S C E b o d i e s . T h e O S C E

a l t h o u g h of n e c e s s i t y l e g a l f a c t o r s a r e in-

is, a f t e r all, still a c o n s e n s u s - b a s e d o r g a n i z a -

c l u d e d as w e l l . H e is not a j u d g e d e a l i n g o u t

t i o n in w h i c h t h e f u l l b o d y of s t a t e s d e t e r -

sentences or a lawyer d e t e r m i n i n g

m i n e s w h a t will a n d will n o t b e d o n e ( t h e r e

t h e law

whether

a r e a f e w e x c e p t i o n s to this r u l e ) . It is t h e r e -

c o m p r o m i s e s that will be a c c e p t e d by all di-

h a s b e e n o b e y e d . H e h a s to f i n d

f o r e h i g h l y u n l i k e l y t h a t an O S C E a r r a n g e -

r e c t l y c o n c e r n e d p a r t i e s a n d that a n s w e r to

m e n t w i l l b e e s t a b l i s h e d o r b e m a n d a t e d to

t h e r e q u i r e m e n t s of t h e c o n c r e t e s i t u a t i o n .

p r o m o t e t h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n of p e o p l e s o r t e r r i t o r i a l a u t o n o m y

arrange-

T h e t a s k of t h e h i g h c o m m i s s i o n e r is t o p r e v e n t c o n f l i c t , not t o p r o t e c t ( p e r s o n s b e l o n g i n g to) m i n o r i t i e s o r to p r o m o t e m i n o r -

ments for national minorities. H o w e v e r , w h a t t h e O S C E is in a p o s i -

i t y - r e l a t e d r i g h t s . O f c o u r s e , t h e r e is a s t r o n g

t i o n t o o f f e r is its r o l e as a n i m p a r t i a l , n o n -

link b e t w e e n o n e a n d t h e o t h e r ( s e e b e l o w ) .

c o e r c i v e t h i r d party. T h e b a s i c p o s i t i o n m a k -

A c c o r d i n g to his m a n d a t e , t h e h i g h c o m m i s -

ing s u c h a r o l e p o s s i b l e is e s t a b l i s h e d in t h e

s i o n e r is a n i n s t r u m e n t of c o n f l i c t p r e v e n t i o n

G e n e v a R e p o r t ( S e c t i o n II): " I s s u e s c o n c e r n -

w h o will p r o v i d e " e a r l y w a r n i n g ' " a n d , as a p -

i n g n a t i o n a l m i n o r i t i e s , as w e l l a s c o m p l i -

p r o p r i a t e , " e a r l y a c t i o n " at t h e e a r l i e s t p o s -

ance with international obligations and com-

s i b l e s t a g e in r e g a r d t o t e n s i o n s

m i t m e n t s c o n c e r n i n g t h e r i g h t s of p e r s o n s

n a t i o n a l m i n o r i t y i s s u e s that h a v e t h e p o t e n -

b e l o n g i n g t o t h e m , a r e m a t t e r s of l e g i t i m a t e

tial to d e v e l o p i n t o a c o n f l i c t . T h u s , t h e h i g h

international concern and consequently

do

c o m m i s s i o n e r h a s a t w o f o l d m i s s i o n : f i r s t , to

not c o n s t i t u t e e x c l u s i v e l y an internal affair

try t o c o n t a i n a n d d e e s c a l a t e s u c h t e n s i o n s

of t h e r e s p e c t i v e S t a t e . " M o r e in g e n e r a l , t h e

a n d , s e c o n d , to a l e r t t h e O S C E

O S C E is f a r a h e a d of a l m o s t e v e r y o t h e r in-

s u c h t e n s i o n s t h r e a t e n t o d e v e l o p to a l e v e l

t e r n a t i o n a l o r g a n i z a t i o n in its m a n d a t e t o b e -

at w h i c h h e c a n n o t c o n t a i n t h e m w i t h t h e

c o m e b e n e v o l e n t l y i n v o l v e d in t h e i n t e r n a l

m e a n s at h i s d i s p o s a l .

a f f a i r s o f its p a r t i c i p a t i n g s t a t e s .

whenever

T h e h i g h c o m m i s s i o n e r h i m s e l f d e c i d e s in

Facilitated by the p r a g m a t i s m and flexibility that are characteristic of the

involving

OSCE,

w h i c h s i t u a t i o n s h e w a n t s to b e c o m e i n v o l v e d a n d w h e n , h a s t h e c o m p e t e n c e to t r a v e l t o a

possible solutions could be explored on a

state w i t h o u t t h e explicit c o n s e n t of e i t h e r t h e

c a s e - b y - c a s e a p p r o a c h . T h e r e is a l r e a d y a

O S C E o r the visited state b e i n g n e c e s s a r y , a n d

w e a l t h of e x p e r i e n c e a v a i l a b l e t h r o u g h the

is e q u a l l y f r e e in h i s c h o i c e of i n t e r l o c u t o r s .

82. See, for example, the declaration on Ukraine and Crimea by the C S C E Committee of Senior O f f i cials (Annex 2 to 27-CSO/Journal no. 3 of 15, June 1994) and the O S C E Permanent Council declaration on Chechnya (Journal no. 16 of April 11,1995).

Commentary

H e will f o r m u l a t e r e c o m m e n d a t i o n s f o r the state c o n c e r n e d and will e n s u r e the n e c e s s a r y f o l l o w - u p , including subsequent visits. A s his p r i m a r y task is to p r e v e n t c o n f l i c t , r e f e r e n c e to O S C E n o r m s will be limited to t h o s e c o m m i t m e n t s that a r e r e l e v a n t to that task in t h e g i v e n c o n c r e t e s i t u a t i o n . Restrictive as this m a y s e e m , in practice quite a r a n g e of O S C E c o m m i t m e n t s m a y be of r e l e v a n c e to a p a r t i c u l a r s i t u a t i o n , i n c l u d i n g more general O S C E human dimension n o r m s . w M o r e o v e r , it m a y very well be that t h e r o o t s of t e n s i o n s in a p a r t i c u l a r c a s e are not or not m a i n l y n o n c o m p l i a n c e with O S C E commitments, since O S C E c o m m i t m e n t s do not n e c e s s a r i l y c o v e r all issues r e l e v a n t to a particular situation. The present high c o m m i s s i o n e r , M a x van d e r S t o e l , has i n d e e d , f r o m lime to time, r e f e r r e d to UN or C o u n c i l of E u r o p e i n s t r u m e n t s . T h e p r e s e n t high c o m m i s s i o n e r h a s e m p l o y e d a p r a g m a t i c p o l i t i c a l a p p r o a c h , trying f i r s t to i d e n t i f y t h e m a i n c a u s e s of tension, and. second, to explore the p o s s i b i l i t i e s f o r m u t u a l l y a c c e p t a b l e first s t e p s to r e m o v i n g t h e s e c a u s e s . D u r a b l e sol u t i o n s are o n l y p o s s i b l e if t h e r e is a s u f f i c i e n t m e a s u r e of c o n s e n t on all s i d e s dir e c t l y c o n c e r n e d . M o r e o v e r , an i m p a r t i a l third party like the H i g h C o m m i s s i o n e r c a n o n l y f a c i l i t a t e the b e g i n n i n g of a p r o c e s s of r a p p r o c h e m e n t a n d r e c o n c i l i a t i o n that the p a r t i e s t h e m s e l v e s will h a v e to d e v e l o p a n d b r i n g to f r u i t i o n ; i m p o s e d a r r a n g e m e n t s will a l m o s t n e v e r c o n t r i b u t e to s t a r t i n g s u c h a process. In a l m o s t all c a s e s , a r r a n g e m e n t s inv o l v i n g or e v e n a p p r o a c h i n g t e r r i t o r i a l a u t o n o m y are politically not v i a b l e . 8 4 T h e h i g h c o m m i s s i o n e r h a s f o u n d that d e m a n d s f o r

253 t e r r i t o r i a l a u t o n o m y a r e a l m o s t a l w a y s rej e c t e d o u t of h a n d by t h e g o v e r n m e n t c o n cerned. Opposition politicians representing the m a j o r i t y p o p u l a t i o n g e n e r a l l y share such a g o v e r n m e n t p o s i t i o n . P e r c e p t i o n s of territorial a u t o n o m y as a first step t o w a r d secess i o n or a B o s n i a - l i k e s i t u a t i o n a r e o f t e n s t r o n g d e t e r m i n i n g f a c t o r s . P r o p o s a l s to int r o d u c e territorial a u t o n o m y ( a n d s o m e t i m e s a l s o i d e a s on local s e l f - a d m i n i s t r a t i o n ) are l o o k e d at f r o m this point of view. If a m i n o r ity w o u l d insist on such an a r r a n g e m e n t , this w o u l d o n l y result in a s t r o n g i n c r e a s e of tensions, instead of b u i l d i n g t h e m d o w n . 8 5 S u c h a r r a n g e m e n t s are o n l y a real o p t i o n w h e n rel a t i o n s are a l r e a d y m o r e or less r e l a x e d and not a u s e f u l i n s t r u m e n t f o r m a k i n g t h e m relaxed. A s an a c c o m p a n y i n g m e a s u r e , a bilateral t r e a t y that w o u l d c o n f i r m t h e e x i s t i n g b o r d e r s a n d g u a r a n t e e t h e p r o t e c t i o n of m i n o r i t i e s c o u l d s o m e t i m e s be h e l p f u l to e a s e t e n s i o n s . H o w e v e r , treaties very o f t e n are the e n d p r o d u c t of a p r o c e s s of r a p p r o c h e m e n t and not an i n s t r u m e n t of r e c o n c i l i a t i o n . First, t h e r e are s i t u a t i o n s in w h i c h e f f o r t s to c o n c l u d e a b i l a t e r a l t r e a t y o n l y s e r v e to u n d e r line d i f f e r e n c e s of o p i n i o n . S e c o n d , e v e n in c a s e s w h e r e bilateral treaties m i g h t be within r e a c h , any a t t e m p t to f o r c e t h e t e m p o of neg o t i a t i o n s m a y p r o d u c e the o p p o s i t e of what is i n t e n d e d . In o n e o r t w o c a s e s t h e h i g h c o m m i s s i o n e r h a s f o u n d it f r u i t f u l to e x p l o r e the iss u e s of local s e l f - a d m i n i s t r a t i o n as p o s s i b l e s o l u t i o n s to m i n o r i t y q u e s t i o n s , i n c l u d i n g t h e c o m p e t e n c i e s of s e l f - a d m i n i s t r a t i o n in c e r t a i n r e l e v a n t f i e l d s (in p a r t i c u l a r e d u c a t i o n , c u l t u r e , a n d t h e u s e of m i n o r i t y languages).

83. Includes d e m o c r a c y , d e m o c r a t i c institutions, the rule of law, h u m a n rights and f u n d a m e n t a l freed o m s , the rights of persons b e l o n g i n g to national minorities, human contacts, and other i s s u e s of a related humanitarian character. 84. With the e x c e p t i o n of Crimea and Gagauzia. H o w e v e r , these are atypical c a s e s . S e e V l a d i m i r Socor, " G a g a u z A u t o n o m y in M o l d o v a : A Precedent for Eastern Europe?" in RFE/RL Research Report 3, no. 3 3 ( 2 6 August 1994): 2 0 - 2 8 , and R o m a n S o l c h a n y k , "The Politics o f State B u i l d i n g : Centre-Periphery Relations in P o s t - S o v i e t Ukraine," in Europe-Asia Studies 4 6 . N o . 1 ( 1 9 9 4 ) : 5 0 - 5 9 . 85. A c a s e in point is d e s c r i b e d in Konrad Huber, "Averting Inter-Ethnic C o n f l i c t : A n A n a l y s i s of the C S C E High C o m m i s s i o n e r on National Minorities in Estonia, January-July 1 9 9 3 , " Working Paper Series 1, no. 2 (Atlanta: T h e Carter Center of Emory University, ¡ 9 9 4 ) .

Rob Zaagman

254

Conclusion: What Then? A s a general starting point for e x p l o r i n g the p o s s i b l e . I w o u l d s u b m i t that s o l u t i o n s should be sought as m u c h as possible within the f r a m e w o r k of the state itself. First, e f forts should be directed toward strengthening the d e m o c r a t i c f r a m e w o r k . It p r o v i d e s the vital basis for the p r e v e n t i o n of the violations of human rights, including the rights of p e r s o n s b e l o n g i n g to national m i n o r i t i e s or, w h e n they occur, for their redress. E f f e c t i v e d e m o c r a t i c institutions are essential to guaranteeing and organizing the e f f e c t i v e participation in public life of all g r o u p s and to c h a n n e l i n g and resolving the conflicts of interest that exist in all societies. S e c o n d , s e l f - r e a l i z a t i o n as a m i n o r i t y , including the protection of rights of p e r s o n s b e l o n g i n g to national m i n o r i t i e s , w o u l d not n e c e s s a r i l y have to find a territorial e x p r e s sion but could often be realized through legislation p r o m o t i n g the d e v e l o p m e n t of the identity of the m i n o r i t y in v a r i o u s f i e l d s — for instance, culture, e d u c a t i o n , local gove r n m e n t , and so forth. In very s p e c i f i c c a s e s , a r r a n g e m e n t s such as local g o v e r n m e n t or territorial autono m y could be e n v i s a g e d , but there should already be a s u f f i c i e n t l y strong political basis in the c o n c r e t e situation i t s e l f — i n the first place, consent f r o m the parties directly c o n c e r n e d . E x p e r i e n c e s h o w s that these are e x ceptional cases. M o r e f r u i t f u l w o u l d s e e m to be an app r o a c h by w h i c h it is not the e x i s t e n c e of a national m i n o r i t y that u n d e r p i n s the argument in f a v o r of a certain solution but other considerations. In s o m e f o r m e r l y c o m m u n i s t states, g o v e r n m e n t s are g r a p p l i n g with the q u e s t i o n of r e o r g a n i z i n g the a d m i n i s t r a t i o n . O p t i o n s such as i n d e p e n d e n t local g o v e r n m e n t , d e c e n t r a l i z a t i o n , and d e v o l u t i o n of p o w e r s are e x p l o r e d . In the c o n t e x t of such p r o j e c t s , e n h a n c e d c o m p e t e n c i e s and f i n a n cial m e a n s in certain f i e l d s ( f o r e x a m p l e , edu c a t i o n and c u l t u r e ) f o r local g o v e r n m e n t could find their place. Such m e a s u r e s w o u l d not have to be d e f i n e d in controversial t e r m s such as s e l f - d e t e r m i n a t i o n , territorial a u t o n o m y for minorities, and so on. T h u s , instead of closing p e o p l e ' s m i n d s by o p e n i n g fright-

ening perspectives, one w o u l d open them up.

Suggested Further Reading For an o v e r v i e w and analysis of O S C E c o m m i t m e n t s c o n c e r n i n g p e r s o n s b e l o n g i n g to national minorities, see Jan H e l g e s e n , " P r o tecting M i n o r i t i e s in the C o n f e r e n c e on S e curity and C o o p e r a t i o n in E u r o p e ( C S C E ) P r o c e s s , " in International Journal on Group Rights 2, no. 1 ( 1 9 9 4 ) : 7 - 3 4 . A l e x i s H e r a clides has described the history of the n e g o tiations on these c o m m i t m e n t s and the p a r ticular p r o b l e m s states have with the issue of m i n o r i t i e s : " T h e C S C E and M i n o r i t i e s . T h e N e g o t i a t i o n s B e h i n d the C o m m i t m e n t s , 1 9 7 2 - 1 9 9 2 , " in Helsinki Monitor 3, no. 3 (1992): 5 - 1 8 . P r o b l e m s states may have with regard to outside i n v o l v e m e n t in m i n o r i t i e s ' issues are dealt with, a m o n g o t h e r issues, in an article by R o b Z a a g m a n and H a n n i e Z a a l , " T h e C S C E High C o m m i s s i o n e r on National Minorities: P r e h i s t o r y and N e g o t i a t i o n s , " in Arie Bloed, ed.. The Challenges of Change: The Helsinki Summit of the CSCE and Its Aftermath ( D o r d r e c h t / B o s t o n / L o n d o n : M a r t i nus N i j h o f f Publishers, 1994), at pp. 9 5 - 111. This article also provides an o v e r v i e w of the p r o c e s s of " i n c r e a s i n g O S C E i n t r u s i v e n e s s " in the internal a f f a i r s of states. The same book contains a detailed a n a l y s i s of the high c o m m i s s i o n e r ' s m a n date: R o b Z a a g m a n , " T h e C S C E High C o m m i s s i o n e r on National Minorities: An A n a l y sis of the M a n d a t e and the I n s t i t u t i o n a l C o n t e x t , " at pp. 1 1 3 - 1 7 5 . For an u p - t o - d a t e d i s c u s s i o n of the activities of the high c o m m i s s i o n e r in the f r a m e w o r k of overall O S C E conflict p r e v e n t i o n , see The Role of the High Commissioner on National Minorities in OSCE Conflict Prevention. A Report by the Office of the OSCE High Commissioner on National Minorities, R o b Z a a g m a n , ed. (The H a g u e , 1995). For a discussion of the origin, m a n d a t e s and e x p e r i e n c e s of the v a r i o u s O S C E field m i s s i o n s , see a n u m b e r of articles in S t a f f a n C a r l s s o n , ed., The Challenge of Preventive Diplomacy: The Experience of the CSCE ( S t o c k h o l m : S w e d i s h M i n i s t r y of F o r e i g n A f f a i r s , 1994).

CHAPTER

10

Self-Determination and Self-Administration in the Former Soviet Union Henry Bienen

T

he Soviet Union has collapsed. The attempt to create new states out of the old union republics has c o m e to grief. Significant violence has already broken out in many of these states. Georgia, Armenia, Azerbaijan, Tajikistan, Moldova, and Russia have all seen violence a m o n g ethnic groups. Some states have fought each other (Armenia and Azerbaijan) and Russian troops have intervened in Georgia. Moldova, and Tajikistan. Since the end of 1994, events in Chechnya illustrate how miscalculations by those who d e m a n d self-determination and those who respond to those d e m a n d s can lead to disaster and bloodshed. Conflict in Chechnya escalated into warfare between a secessionist m o v e m e n t and the Russian army. A different o u t c o m e occurred in Tatarstan; there, d e m a n d s were m a d e for more autonomy rather than for complete independence. Chechnya is an example of the inability of group leaders who want more autonomy to moderate their d e m a n d s because their power is based on extreme nationalist ideas. The Chechen leader, Zhokar Dudayev, had a narrow base of p o w e r in Chechnya; he refused to negotiate for less than independence and vowed to fight to the death. President Boris Yeltsin, fearing that independence for Chechnya would open the P a n d o r a ' s box of demands for secession everywhere in Russia, and also fearing the reaction of nationalist forces within Russia, took a hard line against Chechen d e m a n d s . Yeltsin's own fragile

political position and the geographical location of C h e c h n y a in the volatile Caucasus, next to oil and oil pipelines, led to Yeltsin's intransigence on this issue. The invasion of Chechnya by heavily armed Russian troops precipitated lengthy fighting that Yeltsin and the Russian military did not anticipate. Grozny, Chechnya's capital, was destroyed. Ethnic Russians, as well as ethnic Chechens, suffered numerous casualties, as did Russian troops. Fighting continues in the mountains and hills. It will be difficult to pacify Chechnya and the future may be difficult for Russians in Chechnya. Yeltsin's own political position has been weakened. In Tatarstan the demand was not for full independence. Tatarstan was the only other part of the Russian Federation besides Chechnya to reject the Federation Treaty of 1992, which would have been binding to all states within Russia. They also rejected the 1993 referendum on a new Russian constitution. 1 The Tatar leadership opted for self-determination through more local authority, not for independence. Officials who ruled under the old regime were not replaced by d e m o cratic politicians in either Tatarstan or C h e c h n y a . Indeed, as the Soviet Union c r u m b l e d , Tatarstan's current president, Mintimer S h a i m i y e v — w h o ran unopposed in 1991—wanted independence in order to head off d e m a n d s for r e f o r m in m u c h the same m a n n e r that leaders of central Asian republics tried to insulate t h e m s e l v e s f r o m

1. See "Tatarstan Dances Around the Bear's Hug," The Wall Street Journal (January 20, 1995): A10.

255

256

Henry

demands for change.2 After Shaimiyev c a m e p r e s i d e n t , h e c o n t i n u e d to with Yeltsin and

won

Bienen

be-

w i t h i n s t a t e s is n o t l i k e l y t o p r o v i d e a s u c -

negotiate

cessful mechanism for representation, ethnic

a special treaty

in

h a r m o n y , o r t h e p e a c e f u l r e s o l u t i o n of c o n -

1994, w h i c h , w h i l e v a g u e in its s p e c i f i c s , d i d

flict.

give the Tatar leadership e x p a n d e d powers.

rights, d e m o c r a c y , and perhaps a m e a n i n g f u l

Rather,

an

emphasis

on

individual

com-

r e c o n s t i t u t i o n of t h e C o m m o n w e a l t h of I n d e -

p l e t e l y s u r r o u n d e d by R u s s i a n t e r r i t o r y , a n d

p e n d e n t S t a t e s ( C I S ) , if not a r e c o n s t r u c t i o n

its p o p u l a t i o n is r a t h e r e v e n l y b a l a n c e d b e -

of a u n i t a r y s t a t e , will p r o v i d e a m o r e h o p e -

Tatarstan,

unlike

Chechnya,

is

tween M u s l i m Tatars and Russians. T h e ne-

ful b a s e f o r the f u t u r e e v o l u t i o n of the f o r -

g o t i a t i n g s t a n c e of t h e T a t a r l e a d e r s is u n -

m e r Soviet Union.

d o u b t e d l y i n f l u e n c e d by t h i s . N o n e t h e l e s s ,

T o m a k e t h i s a r g u m e n t , w e n e e d to u n -

n e g o t i a t i n g p o s t u r e s a n d t h e d e m a n d s of e t h -

d e r s t a n d the legacy that r e m a i n e d after the

nic g r o u p s h a v e mattered a great deal within

c o l l a p s e of t h e U S S R . If s p a c e p e r m i t t e d , an

t h e n o n - R u s s i a n a r e a s of t h e R u s s i a n r e p u b -

i n - d e p t h d i s c u s s i o n of t h e R u s s i a n

lic, as t h e y h a v e e l s e w h e r e in t h e f o r m e r re-

and the Soviet system would also be useful.

p u b l i c s of t h e S o v i e t U n i o n .

E t h n i c i d e n t i f i c a t i o n s are fluid, not f i x e d ,

empire

D e s i r e f o r s e l f - d e t e r m i n a t i o n h a s n o t al-

a n d p e o p l e o u t s i d e of a s i t u a t i o n o f t e n h a v e a

w a y s led to m i l i t a r y c o n f l i c t w i t h R u s s i a o r

p o o r g r a s p of t h e m e a n i n g of t h o s e d e f i n i -

civil w a r s a m o n g c o n t e n d i n g e t h n i c g r o u p s ,

t i o n s a n d t h e c o n t e x t in w h i c h t h e y e v o l v e d .

although these, too, have occurred.

When

self-determination has been interpreted

to

T h e c o l l a p s e of t h e c e n t r a l a u t h o r i t y , the C o m m u n i s t Party of the Soviet U n i o n , o p e n e d

mean independence, violence has occurred.

the d o o r s to w o u l d - b e b r e a k a w a y

W h e n t h e s t r u g g l e h a s b e e n o v e r d e g r e e s of

Former Communist

authority and self-administration, negotiated

find a new basis for their power: ethnic na-

settlements have occasionally been reached. T h e b r e a k u p of the S o v i e t U n i o n a n d t h e

entities.

Party elites needed

to

t i o n a l i s m . H o w e v e r , in h i g h l y p l u r a l i s t n e w c o u n t r i e s , t h e r e c o n s t i t u t i o n of a u t h o r i t y o n

attendant relationships a m o n g ethnic groups

t h e b a s i s of t h e n a t i o n a l i s m s o f

h a v e m u c h to teach us a b o u t ethnic c o n f l i c t

g r o u p s — o f t e n bare m a j o r i t i e s — c a n only be

in t h e a f t e r m a t h of an e m p i r e ' s d e m i s e .

destabilizing and polarizing. Thus, a

Ethnic conflict m a y break out e l s e w h e r e and spill-over e f f e c t s are possible. Ukraine, Kazakhstan,

Uzbekistan,

and

states could

see interethnic

the

majority new

basis for authority, hopefully a more d e m o c r a t i c b a s i s , is n e c e s s a r y .

Baltic

conflict on

a

Historical Legacies

large scale. A state could c o n c e i v a b l y break

T h e S o v i e t U n i o n a n d E t h i o p i a w e r e t h e last

apart.

of t h e g r e a t m u l t i e t h n i c e m p i r e s t h a t

Indeed, Georgia

had d o n e so

until

sur-

Russian troops supported the S h e v a r d n a d z e

v i v e d i n t o t h e s e c o n d h a l f of t h e t w e n t i e t h

g o v e r n m e n t . E v e n now, the central g o v e r n -

century. Unlike Ethiopia, the A u s t r o - H u n g a r -

m e n t d o e s n o t c o n t r o l all of G e o r g i a . In this s i t u a t i o n of e t h n i c v i o l e n c e , e v e n

ian E m p i r e , a n d t h e O t t o m a n E m p i r e ,

the

U S S R d i d n o t c o l l a p s e d e f e a t e d in a g r e a t

a n a r c h y , a n d w h e n the p o t e n t i a l f o r f u r t h e r vi-

w a r . It w a s m o r e an e x a m p l e o f

o l e n c e exists, c r e a t i n g m o r e s e l f - d e t e r m i n a t i o n

o v e r r e a c h a n d a r o t t i n g at t h e c e n t e r . 3 T r u e ,

colonial

2. Ibid. 3. An interesting discussion of the Russian and Soviet empires has been made by A.B. Zubov in "The Soviet Union: From Empire into N o t h i n g ? " Russian Politics and Law 32, no. 1 ( J a n u a r y - F e b r u a r y , 1994): 6 - 3 1 . Zubov argues that Russian conquests to the east, from Ivan IV onward, were aimed at transforming conquered people into loyal subjects, not at changing lifestyles, religions, or languages. The goal was homogeneity of authority, pluralism, and diversity of tribes, faiths, and languages. The Soviet Union maintained this system. Enclaves were formally established for minorities in the Soviet Union according to the Versailles system (Zubov, op cit.: 15). Of course, people were forcibly moved from one area to another. Mono-ethnic territories were eroded and ethnic nations were transformed by the actions of the state (Zubov, op cit.: 18-19). Interethnic marriages increased and the 1979-1989 census recorded an increase in interregional ethnic migrations.

Self-Determination

and Self-Administration

in the Former Soviet

overseas adventures and an expensive defeat in A f g h a n i s t a n may have hastened its d e m i s e — n o t to mention its large d e f e n s e budgets. Apparently, there was also a loss of will to maintain the empire. T h e very ref o r m s initiated by the last president of the Soviet U n i o n , Mikhail Gorbachev, accelerated conflict over resource distribution and political d o m i n a t i o n within union republics and between Those republics and the center. 4 Mikhail G o r b a c h e v struggled to maintain what he referred to as a " c o m m o n military space" and a "common economic space." However, he was not willing to employ force to keep the union republics within the USSR. Indeed, it became increasingly clear toward the end of the G o r b a c h e v period that his regime was uncertain about using force in the Baltics, Georgia, Armenia, A z e r b a i j a n , and Tajikistan to put down secessionist m o v e m e n t s (the Baltics) or to end internal civil strife that was both ethnic and factional (Georgia and Tajikistan) or interrepublic (Armenia and Azerbaijan). Even prior to the abortive putsch that put Gorbachev under house arrest in August 1991 while he was on vacation, the control of the center in Moscow was eroding due to the pressures of e c o n o m i c decline, a weakening of C o m m u n i s t Party rule (which had been a major centralizing force), and the nationalist sentiments that were being espoused by local elites. Of course, there were also the continuing pressures from non-elites or from newly e m e r g i n g elites striving for independence. The assertion of ethnic independence put an end both to the Soviet Union and to G o r b a c h e v ' s attempt to maintain at least some c o m m o n institutions and a central f o c u s through a stipulated union of certain

Union

257

states and then through a C o m m o n w e a l t h of Independent States. Russian nationalism and an impatience with the burdens of internal empire reinforced the nationalistic assertion f r o m the republics. Russia had declared its own sovereignty (although not its juridical independence) in June 1990, while the Soviet Union was still in existence. By the end of 1991 the three Baltic states were juridically independent and the other republics, except f o r Russia and Kazakhstan, had declared de facto independence. From 1991 onward, struggles continued over which, if any, states would join the CIS; what f o r m the c o m m o n w e a l t h might take; and, c o m m o n w e a l t h or not, what would be the trade links between the states and how would the assets and liabilities of the old USSR be divided. T h e latter issue involved matters of debt and resources. The disposition of military nuclear forces was bitterly contested. 5 W h e t h e r the ruble would be maintained as a c o m m o n currency was also an issue. Indeed, at the time of writing, the Caucasus states moved back into the CIS. Georgia, under Eduard Shevardnadze, was a reluctant CIS member, but it was under pressure f r o m separatist m o v e m e n t s and needed Russian military support. Other states reentered. Belarus opted to reenter the ruble zone. Russia intervened militarily in Tajikistan within the CIS collective security arrangements. We can expect highly fluid relations between the f o r m e r m e m b e r s of the Soviet Union and Moscow, as well as with each other, as different factions obtain control of the newly independent states. And the question of w h o will control M o s c o w and the

4. For studies that focus on the end of the Gorbachev period see, among others, Alexander J. Motyl, ed., Thinking Theoretically About Soviet Nationalities: History and Comparison in the Study of the USSR (New York: Columbia University Press, 1992); Alexander J. Motyl, ed., The Post-Soviet Nations: Perspectives on the Demise of the USSR ( N e w York: Columbia University Press, 1992); Hélène Carrère d'Encausse, The End of the Soviet Empire: The Triumph of the Nations ( N e w York: Basic Books, 1993); Gail W. Lapidus and Victor Zaslavsky, eds., From Union to Commonwealth: Nationalism and Separatism in the Soviet Republics (New York: Cambridge University Press, 1992). 5. See Peter Duignan and L.H. Gann, The USA and the New Europe: 1945-1993 (Cambridge, Mass.: Blackwell, 1994), pp. 1 8 0 - 1 8 4 .

258

Henry

R u s s i a n F e d e r a t e d R e p u b l i c is a l s o a n o p e n

Bienen

a c c o u n t e d f o r m o r e t h a n 8 0 p e r c e n t of t h e

one. R u s s i a n n a t i o n a l i s m itself has cut dif-

p o p u l a t i o n in o n l y A r m e n i a a n d R u s s i a , o u t

ferent w a y s : s o m e p e o p l e w a n t an imperial

of t h e f i f t y - o n e n a t i o n a l t e r r i t o r i a l

reassertion of control o v e r the f o r m e r e m -

t i o n s of t h e S o v i e t U n i o n . 7 T h i s p l u r a l i s t s y s -

p i r e . O t h e r s w a n t t h e f o r m a t i o n of a g r a n d

tem had been preserved through centralized

Slavic

C o m m u n i s t Party control.

state

that

would

include

Russia,

forma-

U k r a i n e , B e l a r u s , p a r t s of M o l d o v a , a n d p e r -

Today, that control has disappeared, but

haps northern Kazakhstan; but they are happy

the pluralisms remain. An estimated twenty-

to do without the Central Asian, and perhaps

f i v e m i l l i o n R u s s i a n s live o u t s i d e t h e b o u n d -

t h e Baltic a n d C a u c a s u s , states. S o m e R u s s i a n

a r i e s of t h e R u s s i a n F e d e r a t i o n . T h e s e p e o -

nationalists believe that including any state

p l e c o n s t i t u t e w h a t h a s c o m e to b e c a l l e d t h e

o u t s i d e of R u s s i a in a n e w f e d e r a t i o n w i l l

" n e a r a b r o a d . " In s o m e r e g i o n s e t h n i c R u s -

only c o m p r o m i s e and w e a k e n R u s s i a itself;

sians form a majority even though they con-

t h e y o p p o s e the p r e s e n t u s e of R u s s i a n t r o o p s

s t i t u t e a m i n o r i t y of t h e n e w c o u n t r y

in G e o r g i a a n d T a j i k i s t a n a n d t h e R u s s i a n f i -

c a m e i n t o b e i n g f r o m t h e u n i o n r e p u b l i c that

n a n c i a l s u b s i d i e s that g o to t h e s t a t e s of T a j i k -

e x i s t e d in t h e o l d S o v i e t U n i o n . T h i s is t h e

istan a n d K y r g y z s t a n , a m o n g o t h e r s .

c a s e in n o r t h e r n K a z a k h s t a n , t h e N a r v a r e -

At the s a m e time, R u s s i a f a c e s p r e s s u r e f r o m its r e p u b l i c s f o r g r e a t e r

self-govern-

gion

of

Estonia,

and

the

Crimea

that

in

the

Ukraine.x

ment. Mostly, the issues revolve around the

E l s e w h e r e , R u s s i a n s m a y not be a m a -

s c o p e a n d d e g r e e of r e p u b l i c a n d l o c a l a u -

j o r i t y in a d e f i n e d a r e a s u c h as an oblast.

t o n o m y ; but there are also d e m a n d s for se-

they

cession from north Caucasus factions, and

B i s h k e k in K y r g y z s t a n , in A l m a t y in K a z a -

C h e c h n y a d e c l a r e d its i n d e p e n d e n c e .

k h s t a n , a n d in m o s t of t h e l a r g e c i t i e s

T h e c o l l a p s e of t h e S o v i e t U n i o n left all

may

be

n o r i t y w i t h i n a c i t y o r an oblast,

ties u n r e s o l v e d .

parts

they

are being

pressed as internal conflicts and

ex-

interstate

c o n f l i c t s t h a t , in c e r t a i n c a s e s , c a n

poten-

tially turn i n t o c i v i l o r i n t e r s t a t e w a r . m a i n t a i n e d s t r o n g m e m o r i e s of t h e

of

eastern

Ukraine

period

in

s u c h a s in

or T a s h k e n t

in

Uzbekistan. R u s s i a n s w h o b e c a m e m e m b e r s of a m i nority c o m m u n i t y within a new state

F o r t h o s e a r e a s of t h e S o v i e t U n i o n t h a t

in

Latvia. S o m e t i m e s R u s s i a n s are a large mi-

of t h e t y p i c a l e t h n i c a n d p o l i t i c a l c o m p l e x i Now

but

in a c i t y — f o r e x a m p l e ,

may

still b e a m a j o r i t y w i t h i n a d i s t r i c t , r e g i o n , o r c i t y of t h a t s t a t e . D e p e n d i n g o n t h e l o c u s of

b e f o r e t h e i r a n n e x a t i o n to t h e S o v i e t U n i o n —

decisionmaking,

t h a t is, f o r t h e B a l t i c s t a t e s , B e s s a r a b i a , a n d

they m a y h a v e s u f f e r e d significant loss of

as

an

ethnic

community

B u k o v i n a — t h e c o l l a p s e of t h e c e n t r a l p o w e r

c o n t r o l o v e r l o c a l a f f a i r s as w e l l as o v e r n a -

t e m p t e d t h e m to b r e a k f r o m t h e u n i o n . 6 N e w

tional ones. W h e n language or other criteria

weak states n o w exist with their o w n internal

are i m p o s e d for citizenship rights, property

minorities; status reversal a m o n g groups has

rights, or o t h e r b e n e f i t s , the loss of status,

occurred. Complicated border issues abound;

power, and income can be significant.

there are various overlapping diasporas. Z u b o v n o t e d that by

1 9 7 9 , o u t of t h e

f i f t y - o n e n a t i o n a l t e r r i t o r i e s of t h e

Soviet

In t h e p a s t , t h i s s t a t u s r e v e r s a l o c c u r r e d f o r m a j o r i t y c o m m u n i t i e s in n e w d e m a r c a tions when

an e m p i r e

collapsed or

when

U n i o n , e t h n o g r a p h i c p r e s s u r e s led t o a sit-

c o l o n i a l b o u n d a r i e s w e r e r e d r a w n in A f r i c a

uation

o r in t h e M i d d l e E a s t . M i n o r i t i e s h a v e a l s o

whereby

the

titular

ethnic

group

6. Zubov, "The Soviet Union," p. 29. 7. By territorial formations Zubov refers to union republics, autonomous republics, autonomous oblasls. and okrugs, "The Soviet Union," p. 23. 8. For a review see William D. Jackson, "Imperial Temptations: Ethnics Abroad," Orbis 38. no. I (Winter 1994): 1-18.

Self-Determiimtion

and Self-Administration

in the Former Soviet

Union

259

lost i n f l u e n c e w h e n t h e y w e r e u t i l i z e d b y a n

t w i c e as m a n y a s l i v e in A z e r b a i j a n . A n e n -

i m p e r i a l p o w e r a s a g e n t s of r u l e p r e c i s e l y

larged Azeri state raises the possibility

because they w e r e not f r o m a large or d o m i -

s p l i t t i n g o f f 2 5 p e r c e n t of I r a n ' s p o p u l a t i o n .

nant ethnic group.

T u r k e y helps A z e r b a i j a n while Iran and Rus-

T h e c o l l a p s e of t h e U S S R h a s t h u s l e f t a complicated

legacy

of r e d e f i n e d

of

sia h e l p A r m e n i a . 1 0

relation-

T u r k e y m a k e s c l a i m s o n t h e l o y a l t y of

s h i p s a m o n g c o m m u n i t i e s . It h a s not o n l y a f -

certain Turkish-speaking peoples but thus far

fected

h a s n o t p r o v e d to b e a m a g n e t f o r t h e i r a f f i l -

Russian-non-Russian

Hostilities had existed

relationships.

in G e o r g i a a n d

Tajikistan prior to their national

in

iations. N o r should w e consider these states

indepen-

to be only p a s s i v e players; they each have

dence. Both nations d e s c e n d e d into civil war

t h e i r o w n a g e n d a in C e n t r a l A s i a a n d

soon a f t e r that i n d e p e n d e n c e . T h e

M i d d l e East.11

central

g o v e r n m e n t in G e o r g i a h a s f a c e d s e c e s s i o n -

the

Poverty and external dependence

pro-

ist m o v e m e n t s f r o m A b k h a z i a n s a n d f r o m

v i d e t h e c o n t e x t f o r c o n f l i c t s in C e n t r a l A s i a

O s s e t i a n s . E l e m e n t s of t h e R u s s i a n m i l i t a r y

and the Caucasus. These states traded heav-

had their o w n

agenda

in G e o r g i a

and

in

ily w i t h o t h e r f o r m e r U S S R r e p u b l i c s , a n d

M o l d o v a . T h e y s o m e t i m e s i n t e r v e n e d on t h e

they

r e q u e s t of t h e n e w s t a t e s g o v e r n m e n t s ' a n d

M o s c o w as w e l l . 1 2 W h i l e t h e R u s s i a n

sometimes without their consent, when deal-

S o v i e t e m p i r e s led t o f u r t h e r e t h n i c c o m p l i -

ing w i t h i n s u r g e n t s .

c a t i o n s , t h o s e e m p i r e s c r e a t e d m a n y t i e s to

In M o l d o v a , e l e m e n t s of t h e

Russian

received

Central

capital

Asian

and personnel

states and

other

from and

republics.

p o p u l a t i o n on t h e l e f t b a n k of t h e D n i e s t e r

Self-determination brought many problems,

River proclaimed a Trans-Dniester republic

w h i c h w e r e r e c o g n i z e d b y I s l a m K a r i m o v in

as e a r l y as S e p t e m b e r

Uzbekistan

1990 because

they

and

Nursultan

Nazarbayev

in

f e a r e d t h a t an i n d e p e n d e n t M o l d o v a w o u l d

K a z a k h s t a n . T h e f o r m e r h a s b e e n q u o t e d as

unify with Romania.1' Even broad a u t o n o m y

s a y i n g : " W e n e e d R u s s i a like a i r . " 1 3 U z b e k -

h a s not s a t i s f i e d t h o s e p e r s o n s w h o w a n t an

istan and K a z a k h s t a n b e c a m e m o r e vulnera-

i n d e p e n d e n t or d e f a c t o i n d e p e n d e n t state o r

b l e to s t a t e s o n t h e i r b o r d e r s . T h e y a l s o h a d

reunification with Russia.

t h e s h o r t - t e r m c o s t s of r e o r i e n t i n g t r a d e . A n d

jan

Fighting between Armenia and Azerbai-

without Russian support for their state agen-

also

c i e s , t h e y w e r e m o r e v u l n e r a b l e to i n t e r n a l

predated

their

independence,

as

Azeri and A r m e n i a n c o m m u n i t i e s struggled against each other and fought over enclaves s u c h as N a g o r n o - K a r a b a k h .

Civil war be-

c a m e i n t e r s t a t e w a r , j u s t as it d i d in

security p r o b l e m s and ethnic strife. T h e C e n t r a l Asian states h a v e not had a s t r o n g l y d e v e l o p e d s e n s e of n a t i o n a l

con-

the

sciousness, although they vary with respect

B a l k a n s w h e n the Yugoslav Federation broke

t o t h e d e g r e e t h a t it h a s t a k e n h o l d . P u r g e s

a p a r t . In t h e A r m e n i a n - A z e r i c o n f l i c t , o t h e r

by Stalin e l i m i n a t e d those elites e s p o u s i n g

s t a t e s a r e d r a w n in s i n c e T u r k e y h a s p o l i t i c a l

nationalism

s y m p a t h i e s f o r A z e r b a i j a n a n d l i n g u i s t i c ties

back t o w a r d clan ties. T h i s left states with

with it. A l s o , m a n y A z e r i s live in Iran, a c t u a l l y

only an ethnic basis, w h i c h w a s too n a r r o w

and pushed peoples'

loyalties

9. Jackson, "Imperial Temptations: Ethnics Abroad," p. 6. 10. S e e Daniel Pipes, "The Event of Our Era: Former S o v i e t M u s l i m R e p u b l i c s C h a n g e the Middle East," in Michael Mandelbaum, ed., Central Asia and the World ( N e w York City: Council on Foreign Relations Press, 1994), pp. 6 0 - 6 6 . 11. Roland Dannreuther, "Creating N e w States in Central A s i a , " A d e l p h i Paper 2 8 8 (London: IISS, March 1994). 12. Barnett R. Rubin, "Tajikistan: From Soviet Republic to R u s s i a n - U z b e k Protectorate," in M a n d e l baum, Central Asia and the World, pp. 2 0 7 - 2 2 4 . 13. Dannreuther, "Creating N e w States in Central Asia," p. 10.

260

Henry

Bienen

for state-building. Such a basis creates diffi-

and other peoples abound. No single "other"

c u l t i e s w h e n t h e e t h n i c c o r e t h a t is to b e a s -

g r o u p c o m e s c l o s e t o t h i s b a r e m a j o r i t y . In

s i m i l a t e d is n o t w i d e l y a c c e p t e d ; an e x a m p l e

Latvia and K a z a k h s t a n , R u s s i a n s are a very

of t h i s p r o b l e m is t h e s i t u a t i o n in T a j i k i s t a n . Ethnic

fragmentation

is a k e y

l a r g e m i n o r i t y . Yet h a v i n g n o t e d that t h e e t h -

issue:

nic arithmetic r u n s the g a m u t within the n e w

R u b i n ' s j u d g m e n t a b o u t T a j i k i s t a n is t r u e f o r

states, w e note, f r o m the T a j i k i s t a n e x a m p l e ,

m a n y c o m m u n i t i e s , a n d it v a s t l y c o m p l i c a t e s

that w e c a n n o t take f o r g r a n t e d the " w h o "

t h e m a n i f e s t a t i o n of s e l f - a d m i n i s t r a t i o n a n d

a n d t h e " w h a t " of g r o u p s t h e m s e l v e s .

self-determination

in

the

former

Soviet

Self-determination

frequently

means

U n i o n . There, the relationships b e t w e e n the

that a " p e o p l e " d e t e r m i n e s . T h e f o r m u l a t i o n

political centers and m i n o r i t y g r o u p s are ex-

b e g s t h e i n t e r e s t i n g q u e s t i o n s , W h a t is a p e o -

tremely complex and variable.

p l e ? H o w a r e t h e y to d e t e r m i n e t h e i r f u t u r e ?

R u b i n a r g u e s , w i t h r e s p e c t to T a j i k i s t a n ,

A n d o n w h a t i s s u e s will t h e f u t u r e h i n g e ? A

that T a j i k n a t i o n a l i s m d i d n o t e q u a l l y a p p e a l

recent and extremely useful discussion

e v e n to t h e 6 2 p e r c e n t of t h e p o p u l a t i o n that

t h e s e c o n c e r n s is in Ethnic

were officially Tajik. " T h e Tajik identity, ap-

tion and the Break-up

p l i e d by t h e S o v i e t s to C e n t r a l A s i a n s p e a k -

Shehadi.16

e r s of I r a n i a n l a n g u a g e s , h a d little h i s t o r i c a l

Shehadi

of

Self-Determina-

of States

b y K a m a l S.

n o t e s that t h e r e a r e d i f f e r e n t

r e s o n a n c e . " 1 4 H i s t o r i c a l c e n t e r s of P e r s i a n

w a y s to exercise self-determination. Minori-

culture,

ties m a y b e g r a n t e d s t i p u l a t e d r i g h t s , i n c l u d -

Samarkand

and

Bukhara,

which

might have been centers for forming a new

ing equal status for l a n g u a g e s and cultural

i d e n t i t y , w e r e n o t in T a j i k i s t a n b u t in U z b e k -

practices.

i s t a n . D i f f e r e n t g r o u p s of T a j i k s h a d v a r i o u s

m e n t s m a y be c o n c l u d e d on a t e r r i t o r i a l b a s i s

cultural identities and political loyalties. Cer-

o r v i a f o r m u l a s that p a r c e l o u t r o l e s a n d d e -

t a i n g r o u p s that w e r e l u m p e d t o g e t h e r o u t s i d e r s as " T a j i k s " s p o k e e a s t e r n languages

that

were

distinct

from

by

themselves

fine incumbents

power-sharing

a c c o r d i n g to

arrange-

community.

Iranian

T h i s o c c u r r e d in L e b a n o n . T e r r i t o r i a l a u t o n -

Tajik,

o m y m a y b e g r a n t e d in v a r y i n g d e g r e e s , u p

s o m e were Ismailis or Sunni M u s l i m s , and others even considered

Ethnic

to a n d i n c l u d i n g s e c e s s i o n .

Arabs.

All attempts to create m e c h a n i s m s for

C l a n a n d p a t r o n c l i e n t t i e s w e r e s t r o n g , as

self-administration face vexing questions de-

were regional loyalties. Regional

loyalties

rived f r o m those raised about self-determina-

sometimes surmounted "ethnic ones." Invari-

t i o n : W h o is t h e " s e l f ' ? T h a t is, h o w is t h e

a b l y , as h a d h a p p e n e d

and

g r o u p g o i n g to be d e f i n e d , w h i c h will h a v e

F r e n c h c o l o n i a l i s m in A f r i c a a n d A s i a , o u t -

rights and duties, self-police, and self-tax?

siders altered existing

power

W h o is a m e m b e r of t h e c o m m u n i t y ? E v e r y -

t h r o u g h r e c r u i t m e n t of c e r t a i n c l a n s to p a r -

o n e w h o r e s i d e s in a s p e c i f i e d t e r r i t o r y f o r a

t i c u l a r i n s t i t u t i o n s of p a r t y a n d s t a t e . E c o -

particular

nomic and political benefits were dispropor-

through?

tionately bestowed on some g r o u p s rather on

A f r i c a , a n y o n e c o u l d v o t e in a n y p r o v i n c e

others.15

f o r t h e p r e s i d e n t o r f o r a m e m b e r of p a r l i a -

under British balances

of

In K y r g y s t a n , e t h n i c K y r g y z m a k e

up

period? In t h e

All

recent

citizens election

who in

pass South

ment f r o m the province, w h e t h e r or not the

o n l y a b a r e m a j o r i t y , a b o u t 5 2 p e r c e n t of t h e

v o t e r h a d r e s i d e d in t h e p r o v i n c e b e f o r e —

p o p u l a t i o n in t h e c o u n t r y . S i g n i f i c a n t n u m -

t h i s , in a s y s t e m t h a t , in t h e p a s t , h a d r a c i a l l y

b e r s of U z b e k s i n h a b i t t h e c a p i t a l , B i s h k e k ,

d e f i n e d v o t i n g lists a n d e x c l u s i o n s a n d in t h e

14. Rubin, "Tatarstan: From Soviet Republic to Russian-Uzbek Protectorate," p. 210. 15. Ibid., pp. 2 1 2 - 2 1 3 . 16. Adelphi Paper 283 (London: International Institute of Strategic Studies. December 1993). A m o n g the other works that can be consulted is: Hurst Hannum, Autonomy. Sovereignty, and Self-determination (Philadelphia: University of Pennsylvania Press, 1990).

Self-Determination

and Self-Administration

in the Former

p r e s e n t , h a s e t h n i c d i s t i n c t i o n s that are hardly irrelevant for m a n y Zulus and other communities. C o m m u n i t i e s a r e i m a g i n e d as B e n e d i c t A n d e r s o n and others have told us.17 D N A tests are not p e r f o r m e d to d i s c o v e r w h o b e l o n g s to a p a r t i c u l a r c o m m u n i t y . T h e c o m m u n i t y h a s a d e e p reality, but its b o u n d a r i e s a r e o f t e n f i c t i v e o n e s , in t h e s e n s e that m y t h s are c r e a t e d to s p e c i f y b e l o n g i n g . O n e c a n be d e f i n e d by o t h e r s or can d e f i n e o n e self as I t a l i a n A m e r i c a n or G e r m a n A m e r i c a n w i t h o u t s p e a k i n g Italian or G e r m a n . T h e b o u n d a r i e s that d e f i n e t h e c o m m u n i t y m a y be f l u i d at c e r t a i n t i m e s and p l a c e s a n d very f i x e d at o t h e r s . G r o u p s m a y be d i f f i c u l t or e a s y to e n t e r and exit. It m a y be a p o s t a s y to say that o n e is n o l o n g e r a M u s l i m in s o m e states. To avoid a caste classification, some p e o p l e h a v e o p t e d o u t of b e i n g H i n d u s . E l s e w h e r e , it m a y be e a s y to m a r r y into a g r o u p o r to c h a n g e o n e ' s r e l i g i o u s d e n o m i n a t i o n , as m a n y U . S . c i t i z e n s d o w h e n t h e y m o v e f r o m city to s u b u r b a n d f r o m c h u r c h to c h u r c h . I n d e e d , s o c i e t i e s are d i f f e r e n t i a t e d in int e r e s t i n g and i m p o r t a n t w a y s a c c o r d i n g to the f l u i d i t y of their i n d i v i d u a l and g r o u p att a c h m e n t s . S t a t e f o r m u l a s m a y exist f o r d e f i n i n g m e m b e r s h i p in a g r o u p , as h a s o c c u r r e d u n d e r N u r e m b e r g l a w s in N a z i G e r m a n y , r a c i a l l a w s in S o u t h A f r i c a , or local l a w s in t h e S o u t h e r n U n i t e d S t a t e s in the p a s t . S o m e states r e f u s e to a c c e p t the " r e a l ity" of a g r o u p a n d m a y l e g i s l a t e a g a i n s t its e x i s t e n c e . T h u s , in past y e a r s in T u r k e y , it w a s illegal to s p e a k K u r d i s h in p u b l i c . T u r k ish l e a d e r s insisted that K u r d s w e r e " m o u n tain T u r k s . " T h e p r o c e s s of m e m b e r s h i p in a g r o u p , a n d t h u s c o m m u n i t y i d e n t i f i c a t i o n , c a n be very c o m p l e x . I n d i v i d u a l s d e f i n e t h e m s e l v e s as m e m b e r s of a g r o u p , b u t o t h e r s m a y o r m a y not a c c e p t t h o s e i n d i v i d u a l s into t h e group. For example, Christian Serbs have a

Soviet

Union

261

hard time seeing Bosnian M u s l i m s w h o s p e a k S e r b i a n d i a l e c t s as S e r b s o r e v e n as S l a v s . Yet p a r t i e s o u t s i d e the direct a r e n a of the d i s p u t e — t h i r d p a r t i e s — m a y m a k e opp o s i n g i d e n t i f i c a t i o n s that i n f l u e n c e the outc o m e of t h e c o n f l i c t . H o w R u s s i a n s see " S l a v s " or " S e r b s " in B o s n i a and S e r b i a m a y be an i m p o r t a n t f a c t o r in d i s p u t e r e s o l u t i o n . N e w g r o u p s are o f t e n c r e a t e d , s o m e times with historical rapidity. W h e n many g r o u p s m i g r a t e into a n e w a r e a , the o r i g i n a l i n h a b i t a n t s m a y c a t e g o r i z e the n e w c o m e r s differently than they designated themselves in the p a s t . T h u s , in the C o n g o in the e a r l y t w e n t i e t h c e n t u r y , s o m e n e w c o m e r s c a m e to be c a l l e d " B a l u b a , " w h i c h is not a traditional d e s i g n a t i o n . P e o p l e in u r b a n a r e a s in T a n g a n y i k a c a m e to be c a l l e d " S w a h i l i " if they s p o k e that l a n g u a g e , and the term c a m e to be fixed on p e o p l e w h o w e r e f r o m cities a n d / o r were Muslims. T h e point of these stories is to warn outsiders against a s s u m i n g that they u n d e r s t a n d the p a r a m e t e r s of the g r o u p that will a d m i n ister itself. F u r t h e r m o r e , d i f f e r e n t g r o u p s m a y b e l i e v e in d i f f e r e n t m o d e l s of n a t i o n a l i n t e g r a t i o n in any g i v e n n a t i o n a n d t h e s e m a y exist s i m u l t a n e o u s l y . T h i s is particularly true in a s i t u a t i o n s u c h as that in t h e S o v i e t U n i o n , w h e r e n e w s t a t e s are b e i n g f o r m e d rapidly, where status reversal occurs a m o n g groups, and where power shifts from one g r o u p to a n o t h e r . In this c o n t e x t , R u s s i a n s w h o d o m i n a t e d as m i n o r i t i e s in the Baltic states m a y wish to link t h e i r f a t e w i t h the R u s s i a n F e d e r a t i o n , r a t h e r t h a n w i t h the n e w state, a n d r e q u e s t p r o t e c t i o n and p r i v i l e g e s as n e w m i n o r i t i e s . T h e b a t t l e is p a r t l y f o u g h t o v e r c i t i z e n s h i p : Will n e w states b a s e t h e i r n a t i o n a l i d e n t i t y o n s h a r e d e t h n i c identity, e x c l u d i n g p a r t i c u lar m i n o r i t i e s , or will t h e y o p t f o r c i v i c nat i o n a l i s m — t h a t is, f o r u n i v e r s a l d e f i n i t i o n s of s u f f r a g e a n d u n i v e r s a l and e q u a l c i t i z e n s h i p r i g h t s within a t e r r i t o r y ? 1 8

17. B e n e d i c t A n d e r s o n , Imagined Communities: Reflections on the Origin and Spread of Nationalism ( N e w York: Verso, 1991). 18. A m o n g others s e e Jack Snyder, " N a t i o n a l i s m and the Crisis o f the P o s t - S o v i e t State," Survival (Spring 1993): 5 - 2 6 .

262

Henry

We should

be careful not

Bienen

d i f f e r e n t l e v e l s in f e d e r a l o r q u a s i - f e d e r a l

to

balance

" g o o d " (civic) and " b a d " (ethnic)

nation-

s y s t e m s , b u t t h e s e a g e n c i e s w o u l d not c a r r y

alisms against each other and then associate

t h e b a g g a g e of c o m m u n i t y m u c h b e y o n d t h e

the f o r m e r with industrialized countries and

l o c a l i s m s t h a t e x i s t in m a n y l a y e r s of g o v -

the

e r n m e n t in t h e U n i t e d S t a t e s .

latter

with

less-developed

ones.

salience of ethnic n a t i o n a l i s m s has

The

waxed

C o n t i n u i n g to l o o k at m o d e l s of n a t i o n a l

a n d w a n e d in m a n y i n d u s t r i a l i z e d c o u n t r i e s ;

integration, we can postulate a hyphenated

c o n s i d e r t h e s i t u a t i o n of Q u e b e c a n d C a n a d a ,

i d e n t i t y m o d e l : o n e c o u l d h a v e b e e n , in t h e -

o r W a l e s a n d S c o t l a n d in t h e U n i t e d K i n g -

o r y at l e a s t , a n U z b e k S o v i e t o r a G e o r g i a n

d o m , to n a m e j u s t a f e w p l a c e s . Yet it is t r u e

Soviet, as Soviet nationality theory

t h a t in t h e n e w s t a t e s of t h e f o r m e r U S S R ,

h a v e h a d it. O r , t o d a y , o n e c o u l d in t h e o r y b e

would

national identities are often weak and there

a R u s s i a n L i t h u a n i a n o r an A b k h a z i a n G e o r -

is a lack of c o m m i t m e n t to t h e n e w n a t i o n on

g i a n o r a R u s s i a n U k r a i n i a n o r an U k r a i n i a n

t h e part of m a n y of its i n h a b i t a n t s . T h e f o c u s

R u s s i a n , j u s t as o n e m i g h t b e a P o l i s h A m e r -

of i d e n t i t y f o r m i l l i o n s of p e o p l e is a u n i t

i c a n o r a n A f r i c a n A m e r i c a n . In s u c h c a s e s ,

s m a l l e r than the n a t i o n - s t a t e , or a unit out-

l o y a l t i e s to t h e n a t i o n - s t a t e a n d t o a b r o a d e r

s i d e t h e b o u n d a r i e s of t h e n a t i o n - s t a t e as it is

or s m a l l e r c o m m u n i t y m i g h t not n e c e s s a r i l y

p r e s e n t l y c o n s t i t u t e d . F o r m i l l i o n s of o t h e r s ,

conflict. The

the f o c u s of identity m a y r e m a i n a larger and

m i g h t n o t be a n t i t h e t i c a l .

vanished entity, the Soviet Union.

nationalisms

held

might

or

H o w m i n o r i t i e s a r e t r e a t e d in a n y s i t u a -

A n d in t h e r a p i d l y s h i f t i n g i n t e r n a l p o l i -

t i o n d e p e n d s o n t h e m o d e l s of n a t i o n a l i n t e -

tics of the n e w s t a t e s c r e a t e d f r o m t h e U S S R ,

g r a t i o n t h a t a r e h e l d by d i f f e r e n t c o m m u n i -

s t a t e s s o v a r i a b l e w i t h r e s p e c t to s i z e , re-

t i e s — t h a t is, h o w m i n o r i t i e s a r e d e f i n e d by

sources, and power, different m o d e l s exist

majority groups and how they define them-

f o r n a t i o n a l i n t e g r a t i o n , t h u s l e a d i n g to d i f -

selves vis-à-vis such groups and

ferent views about self-administration

o t h e r n o n m a j o r i t y g r o u p s is p a r a m o u n t . T h e

and

vis-à-vis

s p e c i f i c c l a i m s o f l o y a l t y that g r o u p s m a k e

self-determination. T h e a s s i m i l a t i o n i s t m o d e l s t a t e s that all

on the individual are also crucial. T h e inter-

should assimilate to s o m e d o m i n a n t g r o u p ' s

nal s t r u c t u r e of g r o u p s a n d t h e i r o r g a n i z a -

m o d e of c u l t u r e o r l a n g u a g e . Yet e v e n h e r e

tion,

t h e r e m a y b e an i n s i s t e n c e o n e x c l u s i v i s t d e -

g r o u p s are also critical.

hierarchy,

and

overlap

with

other

finitions. Latvia and Estonia classified Rus-

T h e f o r m e r S o v i e t U n i o n is c o m p o s e d of

sians w h o were not citizens b e f o r e 1940 as

m a n y c o m m u n i t i e s that a r e , f o r t h e m o m e n t ,

aliens. Thus,

even

c o n t a i n e d in w e a k n e w s t a t e s — s o m e h u g e ,

there

be

would

if o n e

spoke

discrimination

Latvian, in

voting

r i g h t s a g a i n s t m o s t R u s s i a n s . L a t v i a o n l y rec e n t l y a l t e r e d its c i t i z e n s h i p c r i t e r i a .

like R u s s i a and U k r a i n e , and s o m e

small,

like t h e B a l t i c s t a t e s . Yet t h e l a t t e r h a v e o l d i d e n t i t i e s . O n e p r o b l e m f o r t h e s e s t a t e s is

T h e r e is a l s o a m e l t i n g p o t m o d e l t h a t

that t h e y h o l d s i z a b l e R u s s i a n c o m m u n i t i e s .

c a n b e t h o u g h t of as m e l t i n g i n d i v i d u a l e l e -

A n o t h e r p r o b l e m is that s t a t e h o o d h a s n o t

m e n t s t o g e t h e r in o r d e r to f o r g e a n e w i d e n -

b e e n a t t a i n e d , j u r i d i c a l l y s p e a k i n g , e x c e p t in

tity, o r c a n b e c o n s i d e r e d a s t e w w i t h d i s t i n -

t h e C a u c a s u s s t a t e s a n d in s o m e of t h e C e n -

guishable

tral A s i a n o n e s .

components

that

tolerate

each

o t h e r . H e r e , in t h i s m o d e l , s e l f - a d m i n i s t r a -

Russian

populations

that

once

domi-

t i o n w o u l d a p p l y to t e r r i t o r i a l l y d e f i n e d a d -

n a t e d in t h e U S S R a r e n o w a d i a s p o r a . S o m e

m i n i s t r a t i v e u n i t s . P o w e r w o u l d b e v e s t e d at

R u s s i a n s a r e u n d o u b t e d l y c o n t e n t to l i v e in a

19. For discussions of these matters, see, among others, Donald L. Horowitz, Ethnic Groups in Conflict (Berkeley: University of California Press, 1985); Crawford Young, The Politics of Cultural Pluralism (Madison: University of Wisconsin Press, 1976); Joseph V. Montville, ed.. Conflict and Peacemaking in Multiethnic Societies (Lexington, Mass.: D.C. Heath, Lexington Books, 1990).

Self-Determination

and Self-Administration

state called U k r a i n e or Latvia or

in the Former Soviet

Belarus.

Others are not and either want incorporation

Union

263

Russians w h o are spread over m a n y

other

p a r t s of t h e f o r m e r U S S R . D i s p e r s e d p o p u l a -

into the R u s s i a n F e d e r a t i o n , or they w o u l d

tions m a y not be able to m a k e secessionist

like t o r e c o n s t i t u t e s o m e e q u i v a l e n t of t h e

d e m a n d s , b u t , b a c k e d b y p o w e r f u l e t h n i c al-

old Soviet U n i o n . Of course, other d i a s p o r a s

lies, t h e y m a y m a k e d e m a n d s f o r p r i v i l e g e s

e x i s t a n d c u t a c r o s s b o u n d a r i e s . S o m e a r e re-

that are destabilizing for a n e w state or are,

l i g i o u s d i a s p o r a s of M u s l i m s o r R u s s i a n O r -

at t h e l e a s t , d e m a n d s t h a t t h e s t a t e d o e s n o t

thodox or Catholics. Others are c o m m u n i t i e s

w i s h to m e e t . A n d w h e r e t h e d i a s p o r a h a s a

d e f i n e d 'oy l a n g u a g e o r e t h n i c o r i g i n . S o m e

s t a t e - b a s e d h o m e l a n d , as R u s s i a n s d o in t h e

c o m m u n i t i e s w a n t " o u t , " either via secession

f o r m e r U S S R (whether or not a direct terri-

in o r d e r to c o n s t i t u t e a n e w s t a t e o r v i a l i n k -

t o r i a l link t o t h e h o m e l a n d is f e a s i b l e ) , t h e y

ing u p t o a p r o t e c t o r . T h u s , A b k h a z i a

have a protector and one that,

in

G e o r g i a is s m a l l , b u t it w o u l d r a t h e r link t o Russia than to G e o r g i a . T h e R u s s i a n

politically,

c a n n o t b e i n d i f f e r e n t to t h e i r f a t e .

dias-

J u s t as w e h a v e r e v i e w e d t h e c o m p l e x i t y

p o r a is t h e m o s t l i k e l y t o d e s t a b i l i z e , b u t it is

of e t h n i c f r a g m e n t a t i o n in t h e f o r m e r U S S R

hardly the only one.

and a few ideas concerning national integra-

T h e issue is w h e t h e r s e l f - a d m i n i s t r a t i o n

tion, w e must f r a n k l y be c o n c e r n e d w i t h the

can be a solution to a n y or all of the m y r i a d e x -

m e a n i n g s a n d a p p l i c a b i l i t y of s e l f - a d m i n i s -

isting or potential c o n f l i c t s within the states of

t r a t i o n a n d s e l f - d e t e r m i n a t i o n to t h e f o r m e r

the f o r m e r S o v i e t U n i o n . I r e f e r to a s e l f - a d -

U S S R . There has already been a rapid and

m i n i s t r a t i o n e m b e d d e d in a p r i n c i p l e of self-

f a r - r e a c h i n g s e l f - d e t e r m i n a t i o n t h a t h a s led

d e t e r m i n a t i o n that n e i t h e r v i o l a t e s state s o v e r -

to j u r i d i c a l s t a t e h o o d f o r f i f t e e n n e w s t a t e s .

e i g n t y n o r the p r i n c i p l e of territorial i n t e g r i t y

R u s s i a r e m a i n s a h e a v y i n f l u e n c e in all t h e s e

of states, o n the o n e h a n d , or is so w e a k that it

s t a t e s a n d a d e t e r m i n a n t of t h e n a t i o n a l s e c u -

c a n n o t s a t i s f y c o m m u n i t i e s ' d e m a n d s f o r pro-

rity of s o m e of t h e m .

tection or f o r s e l f - a s s e r t i o n .

It w o u l d n o t b e a c c u r a t e t o a r g u e that

I r e f e r h e r e io t h e c o n c e p t of s e l f - a d -

s e l f - d e t e r m i n a t i o n l e a d i n g to s t a t e h o o d ( w h i c h ,

m i n i s t r a t i o n a n d s e l f - d e t e r m i n a t i o n t h a t is

in f a c t , is not c a l l e d f o r by t h e L i e c h t e n s t e i n

e x p r e s s e d in t h e L i e c h t e n s t e i n D r a f t C o n -

Draft C o n v e n t i o n ) brought about ethnic vio-

vention

l e n c e , p e r se. C o n f l i c t w a s a l r e a d y o c c u r r i n g

on

Self-Determination

Through

S e l f - A d m i n i s t r a t i o n p r e s e n t e d by P r i n c i p a l -

in

ity of L i e c h t e n s t e i n to t h e U n i t e d N a t i o n s . (I

T h e s e hostilities were t r a n s f o r m e d into inter-

the

Soviet

Union

before

its

collapse.

a m w o r k i n g w i t h t h e A p r i l 1994 D r a f t C o n -

state v i o l e n c e in t h e A r m e n i a a n d A z e r b a i j a n

vention.)

c o n f l i c t and h a v e the potential to spill over

D i a s p o r a s are social and political enti-

i n t o o t h e r s t a t e s o u t s i d e of t h e f o r m e r U S S R .

ties that a r i s e f r o m m i g r a t i o n , w h e t h e r f o r c e d

F r a g m e n t a t i o n of s t a t e s a n d / o r s e c e s s i o n is

or voluntary.20 T h e d i a s p o r a s m a y or m a y

n o g u a r a n t e e of a p e a c e f u l o u t c o m e , n e i t h e r

n o t h a v e a t e r r i t o r i a l l y d e f i n e d b a s e , as w a s

in t h e U n i t e d S t a t e s in t h e 1 8 6 0 s , n o r in N i -

m e n t i o n e d e a r l i e r . ( N o t e that t h e c o m m e n t t o

g e r i a in t h e 1 9 6 0 s , n o r in Y u g o s l a v i a t o d a y .

the L i e c h t e n s t e i n D r a f t C o n v e n t i o n , C h a p t e r

On the other hand, the successful secession

1, ( 1 0 ) s t a t e s t h a t t h e D r a f t C o n v e n t i o n d o e s

of E r i t r e a d i d , at least f o r a t i m e , e n d a l o n g

not apply to g r o u p s w h o s e m e m b e r s are dis-

a n d b l o o d y w a r in E t h i o p i a .

p e r s e d t h r o u g h o u t a s t a t e . ) R u s s i a n s in n o r t h e r n K a z a k h a s t a n a r e as n e a r t h e R u s s i a n F e d -

In m a n y c a s e s , m i n o r i t i e s a r e

present

w i t h i n t h e n e w s t a t e a n d t h u s t h e l o c u s of

e r a t i o n a s a r e R u s s i a n s in t h e C r i m e a . Yet

c o n f l i c t is n e w a n d its d y n a m i c s a r e d i f f e r -

R u s s i a n s in T a s h k e n t a r e n o t , n o r a r e t h e

e n t , b u t c o n f l i c t still e x i s t s , n o w c o m p l i c a t e d

20. For a discussion of diasporas, see Gabriel Sheffer, "Ethno-National Diasporas and Security," Surviral 36, no. 1 (Spring 1994): 6 0 - 7 9 .

Henry

264

Bienen

b y i n t e r s t a t e r e l a t i o n s . N a g o r n o - K a r a b a k h is

m a j o r i t i e s . I n d e e d , t h e c r e a t i o n of a C o m -

an e x a m p l e .

m o n w e a l t h of I n d e p e n d e n t S t a t e s m i g h t w e l l

If s e l f - a d m i n i s t r a t i o n o n l y m e a n t

that

a f f o r d s o m e p r o t e c t i o n to m i n o r i t y c o m m u -

c o m m u n i t i e s r e s p e c t e a c h o t h e r a n d that p o -

n i t i e s by p r o v i d i n g a n e w p o l i t i c a l

litical m a j o r i t i e s not coerce m i n o r i t i e s

or

J u s t as t h e m o v e t o w a r d p a r t i a l r e g i o n a l e c o -

center.

d e n y t h e m v o t i n g r i g h t s o r f r e e d o m of a s s o -

n o m i c i n t e g r a t i o n in E u r o p e m a y w o r k t o

c i a t i o n , it w o u l d b e h a r d t o q u a r r e l w i t h t h e

d e f u s e e t h n i c t e n s i o n s in E a s t e r n E u r o p e a n

i d e a . If s e l f - a d m i n i s t r a t i o n m e a n t t h e a b i l i t y

s t a t e s as it h a s , to s o m e d e g r e e , in W e s t e r n

f o r c o m m u n i t i e s to t a x t h e m s e l v e s o r p o l i c e

E u r o p e a n ones, so m a y regional

t h e m s e l v e s , the issues raised are old ones.

a n d s e c u r i t y r e i n t e g r a t i o n in t h e s t a t e s of t h e

E v e n in f e d e r a l s y s t e m s s u c h a s t h e U n i t e d

former Soviet Union modify ethnic tensions.

economic

States or C a n a d a , there have been political

We s h o u l d not e x a g g e r a t e the potential

s t r u g g l e s o v e r t h e n a t u r e of t h e c o m m u n i t y

a b i l i t y of t h e C I S t o r e d u c e e t h n i c t e n s i o n s .

that will have rights and d e b a t e s o v e r what

A f t e r all, W e s t e r n E u r o p e a n i n t e g r a t i o n m a y

t h e p r o p e r l e v e l s of a d m i n i s t r a t i o n a r e , w i t h

h a v e r e d u c e d e t h n i c c o n f l i c t in S p a i n , b u t it

r e s p e c t to v a r i o u s f u n c t i o n s to b e c a r r i e d o u t .

did not r e d u c e d e m a n d s for regional auton-

These struggles have been determined

omy

by

in I t a l y a n d

may

have

strengthened

c o u r t s , by v o t e s , a n d by, in t h e U n i t e d S t a t e s ,

t h o s e d e m a n d s . E v e n m o r e to t h e p o i n t , t h e

a l o n g a n d b l o o d y c i v i l war.

Soviet U n i o n was an e m p i r e and ethnic ten-

In the s t a t e s of t h e f o r m e r S o v i e t U n i o n ,

s i o n s f e s t e r e d w i t h i n it. T h e p r o c e s s of r e c r e -

w e d o not e x p e c t that d e m o c r a t i c p r o c e d u r e s

a t i n g t h e C I S w i l l b r i n g its o w n p r o b l e m s .

will govern within certain states. H o w e v e r ,

N o n e t h e l e s s , a C I S that is not m e r e l y a v e h i -

even without such p r o c e d u r e s , the interna-

cle for R u s s i a n d o m i n a n c e m i g h t

t i o n a l c o m m u n i t y m u s t b e c o n c e r n e d w i t h is-

c o m m u n a l groups. And the CIS could evolve

s u e s of s e l f - d e t e r m i n a t i o n a n d s e l f - a d m i n i s -

m e c h a n i s m s f o r i n t e r v e n t i o n in o r d e r to p r o -

t r a t i o n s i n c e c e r t a i n h u m a n r i g h t s m u s t still

tect t h e s t i p u l a t e d r i g h t s of c o m m u n i t i e s . It

reassure

b e p r o t e c t e d in n o n d e m o c r a t i c s y s t e m s a n d

r e m a i n s to b e s e e n h o w t h e C I S e v o l v e s as a

because international conflict may escalate

c o m m o n w e a l t h o r as a c o n f e d e r a t i o n of states with stipulated responsibilities for institu-

f r o m internal, ethnically based ones. A l t h o u g h s o m e c o m m u n i t i e s will d o b e t -

t i o n s of c o n f e d e r a l p o w e r .

t e r o u t s i d e t h e c o n f i n e s of a s t a t e t h a t o p -

Shehadi, a m o n g others, has called for

p r e s s e s t h e m o r o n e t h a t is c o l l a p s i n g a n d

g r e a t e r i n t e r n a t i o n a l i n t r u s i v e n e s s in t h e in-

cannot g u a r a n t e e their security, the p r o c e s s

t e r n a l a f f a i r s of s t a t e s in o r d e r to b u i l d s a f e t y

of l e a v i n g t h e s t a t e o r d e f i n i n g n e w r i g h t s

nets for national c o m m u n a l groups.21 Such

m a y i t s e l f t u r n o u t to c a u s e c o n f l i c t . M o r e -

intrusiveness might come from great-power

over, time horizons are important. Ukraini-

i n t e r v e n t i o n , t h e w o r k i n g s of t h e U N s y s t e m ,

ans who strongly desired

o r r e g i o n a l o r g a n i z a t i o n s s u c h as t h e C I S .

an

independent

U k r a i n e m a y w e l l p r e f e r t o b e in a R u s s i a n

For example, the C o n f e r e n c e on Security and

F e d e r a t i o n t o d a y , as t h e U k r a i n e ' s e c o n o m y

Cooperation

falters even

one.

m e c h a n i s m to m e d i a t e the dispute b e t w e e n

G e o r g i a n s w h o d e s p e r a t e l y w a n t e d o u t of t h e

R u s s i a n s a n d E s t o n i a n s in E s t o n i a . 2 2 Yet t h e

Soviet Union may prefer the peace imposed

realities are that only w h e n g r e a t - p o w e r na-

b y R u s s i a t o t h e a n a r c h y of G e o r g i a .

t i o n a l i n t e r e s t s a r e e n g a g e d (or, in s o m e c i r -

more

than

the

Russian

It is t r u e t h a t a p o l i t i c a l c e n t e r m a y p e r s e c u t e s o m e c o m m u n i t i e s . Yet it m a y protect

minorities

from

local

or

also

regional

in E u r o p e

(CSCE)

set u p

a

cumstances, not engaged), can we envision international intrusiveness on a predictable basis.

21. Kamal S. Shehadi, Ethnic Self-Determination and the Breakup of States. Strategic Studies, Adelphi Paper No. 283, December 1993, esp. pp. 6 0 - 6 3 . 22. Ibid., p. 25.

Institute for International

Self-Determination

and Self-Administration

in the Former Soviet

265

Union

R u s s i a n , G e r m a n , and, to s o m e extent,

improve the ethnic composition o f " t h e i r " re-

U n i t e d States interests are engaged in the

public or " t h e i r " s t a t e . 2 3 T h i s can also be

Baltics. If Russian troops entered or reentered

done by forced migration or g e n o c i d e , that

B a l t i c states in order to protect ethnic Rus-

is, " e t h n i c c l e a n s i n g " as in B o s n i a or the

sians, it is unlikely that U . S . troops would in-

Caucasus. Or citizens o f a particular nation-

tervene, but we could well imagine

ality may be f o r c e d to declare t h e m s e l v e s

U.S.

sanctions being put in place. U . S . and West-

m e m b e r s o f a nation. Kurds and Talysh be-

ern interests are less engaged in the Caucasus

c a m e A z e r b a i j a n s ; T a j i k s in S a m a r k a n d and

with respect to Russian intervention; indeed,

Bukhara b e c a m e U z b e k i . 2 4

the United States sees a benefit to Russian intervention in that region and in Central Asia, in that it has created a bulwark against Islamic movements and Iranian interests.

A self-administration that stops short o f self-rule, much less independence, is less threatening to constituted states. T h e transformation o f a state from a unitary to a fed-

G r e a t - p o w e r intervention in the f o r m e r

eral one might also be contested much more

the

by central authorities than a self-administra-

p o w e r s were not in agreement on many is-

tion that stipulates degrees o f autonomy over

sues and because the Clinton administration

functional spheres.

Yugoslavia

was

constrained

because

did not define the national interest in this sit-

O f course, the problem here is that, real-

uation to mean the prohibition o f genocidal

istically speaking, d e m o c r a t i c

self-govern-

a c t i o n s . Only in 1 9 9 5 was ethnic v i o l e n c e ,

ment and self-administration

may not

per se, seen to be a threat to U . S . national in-

likely to occur in systems o f centralized rule

be

terest or perhaps to the reelection o f Presi-

built

dent Clinton. Without the strong leadership

regimes. Nevertheless, the international sys-

o f the United S t a t e s , other powers

tem can police and mitigate abuses o f human

could

have continued to pursue half measures. The Liechtenstein

Draft

on

the

corpses

of

old

communist

rights, whether or not these involve viola-

Convention's

tions based on depredations against c o m m u -

focus on self-administration is a useful one,

nally defined groups, as they often do. In-

despite all the caveats expressed above. S e l f -

deed. interventions by international agencies

administration needs to be separated from

need not be against the worst abuses or even

self-determination. Self-administration

can

be consistently carried out. If there is agree-

be a more modest idea, peeled away from the

ment to intervene in R w a n d a , but no agree-

neo-Wilsonian rhetoric that leads to the pro-

ment to intervene in B o s n i a because the mil-

liferation o f new states, new tensions among

itary s c a l e o f intervention would be larger

c o m m u n a l groups, and " b o x e s within b o x e s "

and more difficult, why, at least, should hu-

o f ethnic

man rights not be protected in the former? 2 5

communities.

The

language

of

" r i g h t s " for c o m m u n i t i e s defined ethnically could be downplayed and, instead, individual rights and d e m o c r a t i c s e l f - g o v e r n m e n t and procedures should be emphasized.

N o provisions o f international law, no charter, and no m e c h a n i s m put into place, whether under the auspices o f the C I S or the C S C E or the United Nations, will substitute

Indeed, as Zubov has pointed out, strict

for the realities o f g r e a t - p o w e r agreement

links between national rights and rights to a

and c o n s e n s u s when it c o m e s to protecting

particular territory m o v e titular nations to

human rights. A focus that is e x c l u s i v e l y on

23. Zubov, "The Soviet Union," p. 30. 24. Ibid. 25. I do not assume that all international intervention is benign. Such intervention can complicate situations. Ethnic leaders may play on the threat of international intervention in order to increase their leverage. Or leaders from different communities may avoid the hard bargaining and choices needed for domestic solutions by having recourse to outsiders. (I am grateful to Jeffrey Herbst for suggesting these formulations.)

266

Henry

Bienen

r i g h t s r e g a r d i n g s e l f - d e t e r m i n a t i o n and s e l f a d m i n i s t r a t i o n r u n s the risk of b e i n g o n l y concerned with c o m m u n a l l y derived rights. W o r s e y e t , it r u n s t h e risk of f o c u s i n g o n l y on a f i r s t - o r d e r p r o b l e m : the r i g h t s of Baltic states to l e a v e the S o v i e t U n i o n but n o t the rights of R u s s i a n s and o t h e r s within i n d e p e n dent new slates. Nor should crimes against p e o p l e in G e o r g i a be c o n s i d e r e d w o r s e if t h e y are c o m m i t t e d in the n a m e of c o m m u nal s t r u g g l e r a t h e r than t h r o u g h f a c t i o n a l or class c o n f l i c t .

International institutions and the policies of i n d i v i d u a l states s h o u l d w o r k to a v o i d an explicit u n d e r s t a n d i n g of s e l f - a d m i n i s t r a t i o n a n d the f o r m u l a t i o n of p o l i c i e s b a s e d s o l e l y on c o m m u n a l i d e n t i t i e s . H o w e v e r , w h e n these identities become powerful building b l o c k s f o r c o l l e c t i v e action and w h e n political o r g a n i z a t i o n s a n d p o l i t i c a l c o n f l i c t s e n s u e f r o m t h e m , t h e n a g e n c i e s s u c h as t h e C I S m a y be b r o u g h t in to m i t i g a t e t e n s i o n s or i n t e r v e n e a g a i n s t c o m m u n a l l y b a s e d genocide.

O n e of the b u r d e n s of this a r g u m e n t w a s the i m p o r t a n c e of the f l u i d n a t u r e of e t h n i c i d e n t i f i c a t i o n . T h e g r o u n d s of c o n f l i c t b e t w e e n g r o u p s c a n s h i f t r a p i d l y as n e w w i n ners and n e w losers appear. N e w g r o u p s can be d e f i n e d or i m a g i n e d r a t h e r r a p i d l y . A n d w h a t l o o k s like c o m m u n a l c o n f l i c t at o n e m o m e n t in h i s t o r y m a y take on c l a s s c o n f i g u r a t i o n s (or vice v e r s a ) at a n o t h e r m o m e n t . T h e lines of p o l i t i c a l c l e a v a g e in a s o c i e t y m a y shift or m a y a p p e a r d i f f e r e n t to d i f f e r e n t o b s e r v e r s , d e p e n d i n g on w h e t h e r t h o s e pers o n s are internal or e x t e r n a l to a c o n f l i c t . C l a s s , ethnicity, territory, and f a c t i o n s intert w i n e in c o m p l e x w a y s .

International institutions can also m a k e their p r e f e r e n c e c l e a r f o r c i t i z e n s h i p that is d e f i n e d territorially r a t h e r than on an e t h n i c b a s i s . T h e y c a n p r e s s f o r the r i g h t s of m i n o r i t i e s w i t h i n t h e n e w states of the f o r m e r U S S R , but a l s o u r g e f o r a s e c u l a r and n o n c o m m u n a l basis to c i t i z e n s h i p .

W i t h this in m i n d , if s e l f - a d m i n i s t r a t i o n is u n d e r s t o o d largely in t e r m s of c o m m u n a l g r o u p s with territorial b a s e s r e g u l a t i n g their o w n a f f a i r s , l i n e s of c l e a v a g e m a y h a r d e n and it m a y b e c o m e m o r e d i f f i c u l t to m e d i a t e d i s p u t e s than if the c l e a v a g e s w e r e b a s e d on o t h e r criteria. T h i s a r g u e s f o r a f o c u s o n ind i v i d u a l s r a t h e r t h a n o n g r o u p s . Yet g r o u p s d o h a v e a political reality and this c a n n o t be d e n i e d . It is well a n d g o o d to a r g u e that t h e i n t e r n a t i o n a l s y s t e m a n d its m e c h a n i s m s s h o u l d p r o v i d e i n c e n t i v e s f o r states to a d o p t p o l i c i e s that m a k e e t h n i c i t y irrelevant to social o u t c o m e s a n d to the d i s t r i b u t i o n of g o o d s and s e r v i c e s .

It will be d i f f i c u l t to get a g r e e m e n t on these points. A f t e r all, m a n y m e m b e r states of the United Nations d e f i n e t h e m s e l v e s as states with a national religion. Or else they give the right of return and c i t i z e n s h i p to d i a s p o r a s that are c o m m u n a l l y d e f i n e d . Both Israel and G e r m a n y d o this. N e v e r t h e l e s s , it is n o m o r e Utopian to w o r k t o w a r d a c o n c e p t of h u m a n r i g h t s and s e l f - a d m i n i s t r a t i o n that is u n i v e r sally u n d e r s t o o d to be territorially based, having local a u t o n o m y , than it is to h a v e a c o m m u n a l d e f i n i t i o n of s e l f - d e t e r m i n a t i o n . At the e n d of t h e day, i d e a s c o n c e r n i n g rights and s e l f - a d m i n i s t r a t i o n m a y be a m o n g the m o s t i m p o r t a n t t h i n g s that o u t s i d e r s can b r i n g to h e l p with c o n f l i c t r e s o l u t i o n in R u s sia. G i v e n R u s s i a ' s size and p o w e r a n d the c o m p l i c a t e d r e l a t i o n s h i p that W e s t e r n p o w e r s h a v e w i t h that n a t i o n , it is u n l i k e l y that f o r c e or s a n c t i o n s c a n be used to i n f l u e n c e e t h n i c r e l a t i o n s within states or r e l a t i o n s bet w e e n the states of the f o r m e r U S S R .

Commentary

267

Commentary Hurst

Hannum

P

r o f e s s o r B i e n e n ' s p a p e r o f f e r s an e x c e l lent o v e r v i e w of the e t h n o - p o l i t i c a l situa t i o n in t h e f o r m e r S o v i e t U n i o n , a n d , as a n o n e x p e r t in t h e f i e l d of S o v i e t s t u d i e s , I w o u l d q u e r y o n l y t w o of his o b s e r v a t i o n s . First, I w o u l d s u g g e s t that his o p e n i n g c o m m e n t , " T h e Soviet U n i o n w a s the last of the g r e a t m u l t i e t h n i c e m p i r e s , " m a y be a bit cate g o r i c a l . A l t h o u g h the p r e s e n t I n d i a n and C h i n e s e e m p i r e s m a y be of a d i f f e r e n t c h a r acter than the czarist-Soviet empire, such m u l t i e t h n i c states (and o t h e r s of m o r e recent o r i g i n ) s h o u l d at least be b o r n e in m i n d bef o r e o n e c o n s i g n s e m p i r e s entirely to history. Second, I would question whether ethnic i d e n t i f i c a t i o n is q u i t e as f l u i d as P r o f e s s o r B i e n e n ' s t h e s i s s u g g e s t s . It is n o d o u b t true that m a n y p e o p l e h a v e s h i f t i n g or m u l t i p l e i d e n t i t i e s ( s o m e of t h e m e t h n i c ) , but the past d e c a d e in the f o r m e r S o v i e t U n i o n (and elsew h e r e ) w o u l d s e e m to s u p p o r t j u s t as s t r o n g l y t h e c o n c l u s i o n that e t h n i c - n a t i o n a l i d e n t i t i e s a r e m u c h m o r e e n d u r i n g than w e m i g h t p r e f e r to b e l i e v e . T h e b u l k of m y c o m m e n t s d o not so m u c h c r i t i q u e P r o f e s s o r B i e n e n ' s p a p e r as t h e y seek to d e e p e n it by f o c u s i n g on the rec e n t e x p e r i e n c e of o n e a u t o n o m o u s r e p u b l i c , T a t a r s t a n , w i t h i n the R u s s i a n F e d e r a t i o n . Only two a u t o n o m o u s republics within the R u s s i a n F e d e r a t i o n , Tatarstan and C h e c h n y a , r e f u s e d t o sign t h e F e d e r a t i o n T r e a t y p r o p o s e d by M o s c o w in 1991. E v e n t s s i n c e D e c e m b e r 1 9 9 4 b r i n g t h e f a t e of t h e latter only t o o r e a d i l y to m i n d , w h i l e the e v o l u t i o n of r e l a t i o n s b e t w e e n T a t a r s t a n ( K a z a n ) a n d the R u s s i a n F e d e r a t i o n ( M o s c o w ) h a v e b e e n not o n l y p e a c e f u l b u t , at least f o r the t i m e being, successful. T a t a r s t a n is an e n c l a v e s u r r o u n d e d b y Russia, situated approximately five hundred

m i l e s east of M o s c o w . T h e K a z a n K h a n a t e w a s c o n q u e r e d by Ivan the Terrible in 1552, and the territory of p r e s e n t - d a y Tatarstan has t h u s b e e n part of the R u s s i a n e m p i r e , U S S R , or R u s s i a n F e d e r a t i o n f o r m o r e t h a n f o u r hundred years. Today, ethnic Russians and e t h n i c Tatars e a c h m a k e up 40—45 p e r c e n t of the p o p u l a t i o n of T a t a r s t a n . D u r i n g t h e Soviet era, Tatarstan b e c a m e an i m p o r t a n t m i l i t a r y - i n d u s t r i a l c e n t e r ; it a l s o p r o v i d e s sign i f i c a n t a m o u n t s of oil. T h e S u p r e m e Soviet of the Tatarstan A u t o n o m o u s S o v i e t Socialist R e p u b l i c d e c l a r e d its ' " s o v e r e i g n t y " in A u g u s t 1990, a l m o s t imm e d i a t e l y a f t e r a s i m i l a r d e c l a r a t i o n by R u s sia. T h e m e a n i n g of this d e c l a r a t i o n w a s not i m m e d i a t e l y (or s u b s e q u e n t l y ) clear, and almost c o n t i n u o u s n e g o t i a t i o n s b e t w e e n K a z a n and M o s c o w have taken place since August 1991, w h i c h seek to c l a r i f y the r e l a t i o n s h i p b e t w e e n the t w o entities. Despite intense pressure from Russia and a d e c i s i o n by the R u s s i a n C o n s t i t u t i o n a l C o u r t i n v a l i d a t i n g it, a r e f e r e n d u m w a s held in T a t a r s t a n in M a r c h 1992, w h i c h a s k e d the question whether Tatarstan was a "sovereign state, the s u b j e c t of the i n t e r n a t i o n a l law, f o r m i n g its r e l a t i o n s with the R u s s i a n F e d e r ation, o t h e r r e p u b l i c s and states on the basis of e q u a l a g r e e m e n t s . " 2 6 A total of 8 1 . 7 p e r c e n t of t h e e l e c t o r a t e t o o k part in the r e f e r e n d u m , a n d , of t h o s e w h o v o t e d , 6 1 . 4 p e r cent w e r e in f a v o r a n d 3 7 . 2 p e r c e n t a g a i n s t . T h e v o t e s in t h e p r e d o m i n a n t l y T a t a r rural areas w e r e 7 5 . 3 p e r c e n t in f a v o r and in urban a r e a s , w h i c h h a v e a g r e a t e r e t h n i c m i x , 58.7 percent. F o l l o w i n g the r e f e r e n d u m , w h i c h w a s deliberately u n c l e a r and, just as deliberately, did not m e n t i o n the w o r d " i n d e p e n d e n c e , " tensions b e t w e e n M o s c o w and K a z a n i n c r e a s e d .

26. T h i s and other translations are taken from the "White B o o k o f Tatarstan," a publication c o l l e c t i n g various relevant texts and issued by the President's O f f i c e o f Tatarstan in 1993.

268

Hurst

S o m e e x t r e m i s t g r o u p s of e t h n i c T a t a r n a -

Hannum

alia, over the r e p u b l i c ' s b u d g e t a n d taxes;

t i o n a l i s t s , m a n y of w h o m c l a i m e d to b e a c t -

implementation

ing n o t o n l y o n b e h a l f of T a t a r c u l t u r e b u t

housing, and e n v i r o n m e n t a l matters; possesand

of

administrative,

u s e of s t a t e p r o p e r t y ,

family,

a l s o o n b e h a l f of I s l a m , c l a m o r e d f o r i n d e -

sion

pendence, while extreme Russian national-

land,

ists, m a n y of w h o m c l a i m e d to b e c o n c e r n e d

other resources; republican citizenship; and

with

mineral

wealth,

water,

including

timber,

and

"democracy"

c r e a t i o n of a n a t i o n a l b a n k , s u b j e c t to s u b s e -

t h r o u g h o u t the disintegrating Soviet U n i o n

quent agreement. Interestingly, Tatarstan also

r a t h e r t h a n p r o m o t i n g t h e i n t e r e s t s of ethnic-

h a s p o w e r to " p a r t i c i p a t e in i n t e r n a t i o n a l a f -

Russians, rejected anything but the full sub-

fairs," including establishing relations with

o r d i n a t i o n of T a t a r s t a n to R u s s i a .

foreign states and c o n c l u d i n g

preserving/expanding

T h r o u g h o u t this period, negotiations between M o s c o w and Kazan continued,

and

t h e first " t r e a t y " ( o n e c o n o m i c c o o p e r a t i o n ) between

the

governments

of

Russia

and

treaties,

so

l o n g as s u c h p a r t i c i p a t i o n d o e s not c o n t r a d i c t the R u s s i a n or Tatarstan constitutions. Russian authority essentially extends to e v e r y t h i n g " f e d e r a l , " i n c l u d i n g p r o t e c t i o n of

T a t a r s t a n w a s s i g n e d in J a n u a r y 1 9 9 2 , p r i o r

human

to

1992.

e c o n o m i c p o l i c y of t h e R u s s i a n F e d e r a t i o n , a

Tatarstan adopted a constitution, which again

c o m m o n market, penal legislation, and de-

r e f e r r e d to T a t a r s t a n o n l y as a " s o v e r e i g n d e -

fense and security.

the

referendum.

In

November

m o c r a t i c " rather than an i n d e p e n d e n t

rights,

foreign policy

and

foreign

state.

A r t i c l e 6 of t h e t r e a t y p r o v i d e s that n e i -

Both Tatar and Russian were made official

t h e r T a t a r s t a n n o r R u s s i a h a s a n y r i g h t to act

l a n g u a g e s , a n d T a t a r s t a n w a s d e c l a r e d to e x -

o n i s s u e s " w h i c h d o n o t r e l a t e to t h e i r [re-

p r e s s t h e will " o f t h e w h o l e

multi-national

s p e c t i v e ] a r e a of r e s p o n s i b i l i t y , " but t h e o n l y

p e o p l e of t h e r e p u b l i c . " A r t i c l e 61 of t h e

p r o v i s i o n l o r r e s o l v i n g d i s p u t e s is that d i s -

constitution p r o v i d e d that Tatarstan

should

p u t e s o v e r m a t t e r s of j o i n t c o m p e t e n c e " s h a l l

b e " a s s o c i a t e d " to t h e R u s s i a n F e d e r a t i o n on

b e s e t t l e d in a c c o r d a n c e w i t h t h e p r o c e d u r e

the basis of a t h e n - n o n e x i s t e n t

a g r e e d to b e t w e e n t h e P a r t i e s . "

treaty

be-

tween the t w o states, while Article 59 de-

This

somewhat

vague delimitation

of

clared that T a t a r s t a n ' s laws w o u l d h a v e su-

p o w e r s is f u r t h e r c o m p l i c a t e d b y i n c o n s i s -

p r e m a c y over Russian laws.

tencies b e t w e e n the Tatarstan and

N e w n e g o t i a t i o n s b e g a n in J a n u a r y 1993,

constitutions,

Russian

the latter h a v i n g only

been

a n d t h e e n s u i n g y e a r s a w a s e r i e s of a g r e e -

a d o p t e d in D e c e m b e r 1 9 9 3 . A r t i c l e 4 ( 2 ) of

ments between M o s c o w and Kazan on sub-

the R u s s i a n c o n s t i t u t i o n p r o v i d e s that "[t]he

j e c t s s u c h as p r o p e r t y r i g h t s , oil, c u s t o m s , e d -

s o v e r e i g n t y of t h e R u s s i a n F e d e r a t i o n s h a l l

ucation,

a p p l y to its e n t i r e t e r r i t o r y " a n d t h a t

and

the

environment.

Finally,

in

the

F e b r u a r y 1994, the t w o parties agreed on a

Russian constitution and federal laws "shall

m o r e g e n e r a l t r e a t y — o n e of T a t a r s t a n ' s g o a l s

have s u p r e m a c y throughout the entire terri-

f r o m t h e b e g i n n i n g — " o n d e l i m i t a t i o n of j u -

t o r y of t h e R u s s i a n F e d e r a t i o n . "

r i s d i c t i o n a l s u b j e c t s a n d m u t u a l d e l e g a t i o n of

Article 5(3) provides for the ultimate divi-

However,

the

s i o n of p o w e r a m o n g t h e v a r i o u s c o n s t i t u e n t

R u s s i a n F e d e r a t i o n a n d t h e state b o d i e s of t h e

p a r t s of t h e f e d e r a t i o n : " T h e f e d e r a t e d s t r u c -

R e p u b l i c of T a t a r s t a n . " 2 7

t u r e of t h e R u s s i a n F e d e r a t i o n shall b e b a s e d

authority

between

t h e s t a t e b o d i e s of

T h i s treaty sets out the respective p o w -

o n its s t a t e i n t e g r i t y , t h e u n i f o r m s y s t e m o f

e r s of T a t a r s t a n a n d R u s s i a , a l o n g w i t h a set

state p o w e r , d e l i m i t a t i o n of s c o p e s of a u t h o r -

of j o i n t p o w e r s . W h i l e s p a c e d o e s n o t p e r m i t

ity a n d p o w e r s b e t w e e n t h e b o d i e s of s t a t e

an e x h a u s t i v e d e s c r i p t i o n of t h i s f u n d a m e n -

p o w e r of t h e R u s s i a n

tal d o c u m e n t , T a t a r s t a n h a s a u t h o r i t y , i n t e r

b o d i e s of s t a t e p o w e r of t h e s u b j e c t s of t h e

27. The treaty is reprinted in Journal

of South Asian & Middle Eastern

Studies,

Federation

and

the

18 no. 1 (Fall 1994).

Commentari/

Russian Federation, equality and self-determ i n a t i o n of the p e o p l e s in t h e R u s s i a n F e d e r a t i o n . " T h e s u b s e q u e n t p a r a g r a p h m a y be i n t e r p r e t e d to prohibit the kind of " a s y m m e t rical f e d e r a l i s m " that m a n y h a v e called f o r in R u s s i a , a l t h o u g h its p r o v i s i o n s a r e not e n tirely clear: "All the s u b j e c t s of the R u s s i a n F e d e r a t i o n shall be e q u a l a m o n g t h e m s e l v e s in r e l a t i o n s with the F e d e r a l b o d i e s of s t a t e power." D e s p i t e (or p e r h a p s b e c a u s e o f ) t h e inc o n s i s t e n c i e s b e t w e e n the R u s s i a n a n d T a t a r s t a n c o n s t i t u t i o n s and the v a g u e n e s s of the F e b r u a r y 1994 treaty, t e n s i o n s h a v e eased considerably both between M o s c o w a n d K a z a n and w i t h i n T a t a r s t a n itself. B o t h R u s s i a a n d T a t a r s t a n s e e m w i l l i n g to a p p r o a c h individual issues p r a g m a t i c a l l y , w i t h out s e e k i n g g r e a t e r clarity at this t i m e of their f o r m a l r e l a t i o n s h i p . D o e s the T a t a r - R u s s i a n relationship o f f e r us an e x a m p l e of s e l f - a d m i n i s t r a t i o n , o n e of the p r i m a r y t o p i c s of this s e m i n a r ? W h y w a s the ( a d m i t t e d l y t e n t a t i v e ) o u t c o m e d i f f e r e n t f r o m that in C h e c h n y a ? W h y h a s the " T a t a r s t a n m o d e l " n o w b e e n u s e d f o r similar agreements between BahskortostanRussia. Mariel-Russia, and G a g a u z - M o l d o v a ? T h e r e are several r e a s o n s that can be a d v a n c e d to e x p l a i n the s u c c e s s f u l o u t c o m e of the T a t a r s t a n - R u s s i a n e g o t i a t i o n s . First, of c o u r s e , is T a t a r s t a n ' s g e o g r a p h i c situation as an e n c l a v e in the m i d d l e of R u s s i a , a l o n g with its c e n t u r i e s - o l d status as a part of R u s sia and the r e s u l t i n g m i x i n g of e t h n i c p o p u lations. S e c o n d , t h e p o l i t i c a l l e a d e r s h i p a n d ability of P r e s i d e n t S h a i m i y e v of T a t a r s t a n and the r e l e v a n t e l i t e s in M o s c o w w e r e e s -

269

sential not only in r e a c h i n g an a g r e e m e n t but in s t a v i n g off p r e s s u r e s f r o m radicals on b o t h sides. T h i r d , an i m p o r t a n t role w a s p l a y e d by i n t e r n a t i o n a l nongovernmental organizations in f a c i l i t a t i n g n e g o t i a t i o n s , p r o v i d i n g o u t s i d e o p i n i o n s that m a d e it c l e a r that e x t r e m e positions by either side w e r e unlikely to g a r n e r i n t e r n a t i o n a l s u p p o r t and m o n i t o r i n g the situation at a t i m e of p o t e n t i a l v i o l e n c e . Finally, t h o s e c o n c e r n e d r e c o g n i z e d t h e v a l u e of a g r e a t d e a l of p o l i t i c a l a n d l e g a l f u z z i n e s s in r e a c h i n g a c o m p r o m i s e a c c e p t able to b o t h s i d e s . T h i s d e l i b e r a t e lack of c l a r i t y r e f l e c t s w h a t Sir J o h n T h o m s o n ref e r r e d to as the " d o m a i n of a m b i g u i t y " or "a c o n s c i o u s p o l i c y of i n c o n s i s t e n c y , " a n d it has p l a y e d an i m p o r t a n t role in d e f u s i n g p r e s e n t t e n s i o n s in f a v o r of a l l o w i n g the s p e c i f i c s of the r e l a t i o n s h i p to d e f i n e t h e m s e l v e s o v e r t i m e . Of c o u r s e , t i m e is not unl i m i t e d , and it is u n l i k e l y that the T a t a r s t a n m o d e l can s i m p l y be r e p l i c a t e d in o t h e r republics and regions of the R u s s i a n Federation without significant changes. Nevertheless, the p r i n c i p l e that t h e r e p u b l i c s can e x e r c i s e s i g n i f i c a n t p o w e r s within the R u s s i a n Federation s e e m s to h a v e b e e n e s t a b l i s h e d . I d o not want to c l o s e on an overly optimistic note, n o r to u n d e r e m p h a s i z e the p r a c tical and political d i f f i c u l t i e s that r e m a i n bef o r e a m e a n i n g f u l a l l o c a t i o n of p o w e r s b e t w e e n M o s c o w a n d the " s u b j e c t s of the F e d e r a t i o n " will be d e f i n e d a n d w i d e l y acc e p t e d . At t h e s a m e t i m e , h o w e v e r , w e c a n h o p e that the e x p e r i e n c e of T a t a r s t a n will p r o v i d e a r e a l i s t i c a l t e r n a t i v e to that of C h e c h n y a , as w e l l as an e x a m p l e of m e a n i n g f u l s e l f - d e t e r m i n a t i o n short of s e c e s s i o n .

270

Georgiy

Mirsky

Commentary Georgiy

Mirsky

P

r o f e s s o r B i e n e n ' s p a p e r is an e x c e l l e n t

f o r m e r Soviet Azeris. For Russia, the Azeri

p i e c e of w o r k , v e r y t h o u g h t f u l a n d c o n -

oil is q u i t e i m p o r t a n t .

c i s e . c o m b i n i n g a p r o f o u n d k n o w l e d g e of t h e

A s r e g a r d s e t h n i c c o n f l i c t s in p o s t i m p e -

subject with a bold analytical a p p r o a c h . His

rial s t a t e s in g e n e r a l , I b e l i e v e t h a t m o s t d i f -

m a s t e r y of t h e p r o b l e m is t r u l y i m p r e s s i v e ;

f i c u l t to s e t t l e a r e t h o s e c o m b i n i n g a g e - o l d

b e i n g a m o d e s t e x p e r t in t h e f i e l d , 1 c a n

animosity, dispute over territory, and minor-

hardly

issue

ity g r i e v a n c e s c a u s e d by real or p e r c e i v e d in-

Henry Bienen has tackled that has not been

name

a single

angle

of t h e

justice, inequality, and discrimination. The

q u i t e l u c i d l y a n a l y z e d o r at l e a s t

touched

o b v i o u s cases are: A r m e n i a versus Azerbai-

u p o n in t h e p a p e r . I a m in c o m p l e t e a g r e e -

j a n . B o s n i a n S e r b s v e r s u s M u s l i m s , a n d Iraqi

m e n t w i t h all of his t h e s e s a n d I s h a r e h i s

K u r d s v e r s u s A r a b s . In all t h e s e s i t u a t i o n s , it

opinions and evaluations. My only objection

is t h e m e n t a l i t i e s of t h e c o n f l i c t i n g s i d e s that

is in r e g a r d

s e e m to b e s o d i f f e r e n t as to b e c o m e a l m o s t

t o H.

Bienen's judgment

on

A z e r b a i j a n on p. 2 6 1 : a f t e r m e n t i o n i n g t h e

i n c o m p a t i b l e : t h e p e r c e p t i o n of " t h e o t h e r " is

A z e r i s l i v i n g in Iran, he w r i t e s : " A n e n l a r g e d

as t h a t of a h e r e d i t a r y e n e m y ;

A z e r i s t a t e r a i s e s t h e p o s s i b i l i t y of s p l i t t i n g

u n d e r t h e s a m e r o o f is r u l e d o u t . In s o m e

o f f 2 5 p e r c e n t of I r a n ' s p o p u l a t i o n . T u r k e y

o t h e r c a s e s , this f e e l i n g h a d not b e e n p a r t i c -

h e l p s A z e r b a i j a n w h i l e Iran a n d R u s s i a h e l p

u l a r l y s t r o n g u p t o t h e o u t b r e a k of v i o l e n c e

A r m e n i a . " From my conversations with Az-

but b e c a m e a m a j o r f a c t o r o n c e b l o o d had

coexistence

e r i s o n b o t h s i d e s of t h e b o r d e r , I h a v e g o t a

been shed. For example. Georgians and Abk-

f i r m a n d d e f i n i t e i m p r e s s i o n that a " G r e a t e r

haz have a l w a y s had a similar mentality and

A z e r b a i j a n " is not a v i a b l e p r o p o s i t i o n . T h e

w a y of life; as a r e s u l t of t h e 1 9 9 2 - 1 9 9 3 w a r ,

last t h i n g t h e I r a n i a n A z e r i s w o u l d like to see

however, the relations b e t w e e n the two c o m -

is a s i t u a t i o n in w h i c h t h e y c o u l d b e a c c u s e d

m u n i t i e s h a v e g r o w n h o s t i l e t o s u c h an e x -

of s e p a r a t i s m a n d t r e a s o n , w h i c h c o u l d in-

t e n t t h a t at p r e s e n t y o u c a n h e a r : " A f t e r all

v o l v e the l o s s of t h e p o w e r f u l p o s i t i o n s t h e y

t h i s b l o o d s h e d , it is h a r d e v e n t o i m a g i n e

n o w h o l d , b o t h in b u s i n e s s a n d in t h e a d m i n -

that w e c a n live t o g e t h e r . " T h e s a m e g o e s f o r

i s t r a t i v e a p p a r a t u s . A s to t h e f o r m e r S o v i e t

Ossetes and Georgians, Ossetes and Ingush,

A z e r b a i j a n , of c o u r s e , q u i t e a f e w

T a m i l s and S i n g a l e s e , a l t h o u g h with a vital

people

c o u l d h o p e to c u r e all t h e i r c o u n t r y ' s ills b y

d i f f e r e n c e : in t h e t w o f o r m e r c a s e s ,

m e r g i n g with the w e a l t h y brethren; any real-

sides c l a i m the s a m e piece of land, w h i c h

both

istically m i n d e d p e r s o n in B a k u k n o w s , h o w -

c a n n o t b e d i v i d e d , w h i l e e a c h of t h e w a r r i n g

e v e r , that in t h e p r e s e n t g e o p o l i t i c a l s i t u a t i o n

c o m m u n i t i e s in Sri L a n k a p o s s e s s e s a t e r r i -

this o p t i o n c a n s a f e l y b e r u l e d o u t . In r e g a r d

t o r y of its o w n . T h u s , t h e c o n f l i c t b e t w e e n

to the outside h e l p to both A r m e n i a

and

the Tamils and S i n g a l e s e a p p e a r s easier to

A z e r b a i j a n , I tend to d i s a g r e e with the sec-

s e t t l e , at least t h e o r e t i c a l l y , t h a n t h e o n e in-

o n d p a r t of t h e a u t h o r ' s s u g g e s t i o n , n a m e l y ,

v o l v i n g O s s e t e s , b e c a u s e Sri L a n k a can be

that "Iran and Russia help A r m e n i a . " Neither

physically divided into separate states, or a

I r a n n o r R u s s i a , f o r r e a s o n s of t h e i r o w n , c a n

mutually acceptable f o r m of Tamil a u t o n o m y

a f f o r d to b e s e e n a s j u s t h e l p i n g A r m e n i a ,

can be w o r k e d out. This can also be the case

w i t h o u t r e g a r d f o r A z e r b a i j a n ; f o r I r a n it is

in B o s n i a if its t e r r i t o r y c o u l d b e d i v i d e d i n t o

t h e i s s u e of t h e I r a n i a n A z e r i s w h o , w h i l e b y

s e p a r a t e e n t i t i e s t o t h e s a t i s f a c t i o n of all p a r -

n o m e a n s w i l l i n g to s e c e d e , w o u l d b e l e s s

ties c o n c e r n e d , although the legacy of blood

t h a n h a p p y if t h e T e h e r a n a u t h o r i t i e s j u s t

and the m u t u a l e n m i t y are sure to c o n t i n u e

turn a blind eye to the p r e d i c a m e n t of the

f o r l o n g . In N o r t h e r n I r e l a n d , h o w e v e r , t h e

Commentary

271

partition of land is p r a c t i c a l l y i m p o s s i b l e , a n d the c o u n t r y can only exist as a single entity, unlike, f o r i n s t a n c e , C a n a d a and Belgium.

f o r m e r u n i o n . T h e C a u c a s u s also a c c o u n t s for 34.8 percent of all ethnic c l a i m s and conflicts in the territories that used to be Soviet republics.

O n c e the c o l o n i a l or C o m m u n i s t rule had been r e m o v e d , the old balance of ethnic f o r c e s was totally d i s r u p t e d . O v e r n i g h t , old d i f f e r e n c e s and g r i e v a n c e s s u r f a c e d . W h a t w a s m o r e or less a c c e p t a b l e to ethnic m i norities u n d e r the old r e g i m e s u d d e n l y bec a m e intolerable within the f r a m e w o r k of ind e p e n d e n t g o v e r n a n c e , as m a j o r i t y g r o u p s set out to assert their d o m i n a n t p o s i t i o n . A f t e r the d o w n f a l l of the C o m m u n i s t r e g i m e in M o s c o w , for instance, both the legitimacy and stability s u d d e n l y d i s a p p e a r e d .

P r o f e s s o r B i e n e n rightly d r a w s attention to the situation of the ethnic R u s s i a n s in the " n e a r a b r o a d . " E x t r e m e R u s s i a n nationalists are o u t r a g e d by the a l l e g e d p e r s e c u t i o n of t h o s e p e o p l e ; f r o m time to t i m e , there is e v e n wild talk of " g e n o c i d e . " T h i s is pure n o n s e n s e . N o R u s s i a n c i v i l i a n s h a v e been k n o w n to be d e l i b e r a t e l y killed on ethnic g r o u n d s a n y w h e r e in the republics. Yet most R u s s i a n s in the " n e a r a b r o a d " are not happy with their lot. In U z b e k i s t a n , for i n s t a n c e , you have an i m p r e s s i o n that the bulk of Russians w o u l d p r e f e r to leave the c o u n t r y f o r good, not b e c a u s e they are being harassed or m a l t r e a t e d in any way but s i m p l y out of hopelessness caused by the lack of prospects. A f e e b l y c a m o u f l a g e d U z b e k i s t a n is in p r o g r e s s , and for those not s p e a k i n g U z b e k the f u t u r e is bleak.

R e g a r d l e s s of the actual d e g r e e of national c o n s c i o u s n e s s and of the prerequisites for i n d e p e n d e n c e , e t h n i c m i n o r i t y g r o u p s started to claim sovereignty. As a l w a y s happ e n s in this kind of situation, a m b i t i o u s e x tremist leaders b e g a n to spring u p f r o m n o w h e r e . M o d e r a t e s were squeezed out, and c r u d e nationalist s l o g a n s , o f t e n tainted with c h a u v i n i s m , b e c a m e an idée force that c a p tured the masses. Nationalist m o v e m e n t s acquired a m o m e n t u m of their o w n . T h e Russian scholar N. Petrov has m a d e a detailed a n a l y s i s of e t h n i c c o n f l i c t s in the territories of the f o r m e r Soviet U n i o n . He lists 168 various ethnic c l a i m s that had been m a d e public by the t i m e the u n i o n d i s i n t e grated; in the C a u c a s u s alone, w h i c h acc o u n t s for just 2 p e r c e n t of the territory and 9.8 p e r c e n t of the p o p u l a t i o n of the f o r m e r empire, the n u m b e r of state-national entities of all types is d i s p r o p o r t i o n a l l y h i g h : 2 6 . 4 p e r c e n t of all the units of this kind in the

G e n e r a l l y s p e a k i n g , the scale and scope of e t h n i c c o n f l i c t s in the p o s t - S o v i e t space h a v e proved not so great as m a n y had anticipated. In the a f t e r m a t h of c o m m u n i s m ' s collapse, dire forecasts could be heard in Russia and a b r o a d ; a v e r i t a b l e a v a l a n c h e of e t h n i c w a r s was p r e d i c t e d ; total d i s i n t e g r a t i o n of R u s s i a was f e a r e d . Fortunately, the g l o o m i e r scenarios have not m a t e r i a l i z e d . Yet, the ethn o p o l i t i c a l situation r e m a i n s p r e c a r i o u s . If P a n d o r a ' s box has not been o p e n e d so far, potential u p h e a v a l s in m a n y areas c a n n o t be ruled out. For this reason, P r o f e s s o r B i e n e n ' s p a p e r is both timely and relevant.

CHAPTER 11

Self-Determination and Nation Building in Post-Cold War Africa: Problems and Prospects Ibrahim A. Gambari with Martin Uhomoibhi

A

valid d e f i n i t i o n o f the principle o f self-

determination. O n the positive side, the right

determination n e c e s s a r i l y takes into a c -

to s e l f - d e t e r m i n a t i o n was a powerful instru-

count an implicit r e f e r e n c e to the will o f a

m e n t used by A f r i c a n p e o p l e s to fight for

c o m m u n i t y to relate independently to other

self-determination

c o m m u n i t i e s . T h e United Nations, as adum-

d e n c e in the p o s t - S e c o n d World War period.

brated in the International

on

On the n e g a t i v e side, no s o o n e r did the new

Human Rights enacted twenty-five years ago.

states o f A f r i c a c o m e into being as multilin-

Convention

and

political

indepen-

underlined that self-determination is a funda-

g u i s t i c , m u l t i e t h n i c , and multicultural enti-

mental right that entitles all p e o p l e s , regard-

ties, than

less o f race, color, or c r e e d , " t o freely deter-

b e g a n to exploit e x i s t i n g d i f f e r e n c e s and at-

m i n e their political status and freely pursue

tempted to use the right to self-determination

some

groups

within

the

states

their e c o n o m i c , social and cultural d e v e l o p -

in a m a n n e r that threatened the integrity and

m e n t . " Although this right was only r e c o g -

often the very survival o f their r e s p e c t i v e

nized two and a h a l f d e c a d e s ago, s c h o l a r s

states.

such

as

Johann

Caspar

Bluntschli

and

It should be added here that although the

M i c h a e l Lind have argued that the notion o f

problems

an implicit right o f peoples to self-determina-

m o s t A f r i c a n states at i n d e p e n d e n c e

tion is o f considerable antiquity. A c c o r d i n g to

m a n y and varied, political instability, deriv-

B l u n t s c h l i , " t h e world should be split into as

ing in part f r o m irredentism, and ethnic and

of

nation-building

confronting were

m a n y states as humanity is divided into na-

subnationalist

tions. . . . E a c h nation is a state, e a c h state a

part. At the P a n - A f r i c a n l e v e l , the e v i d e n c e

tendencies

played

a

major

national b e i n g . " M i c h a e l Lind c o m p l e m e n t s

is o v e r w h e l m i n g that the p r e o c c u p a t i o n

this when he asserts: " A simple idea that

s o m e e a r l y A f r i c a n leaders with c u r t a i l i n g

of

every nation should have its own s t a t e — a c -

what may have appeared to them as the " e x -

companied by the corollary that one ethnic or

c e s s e s " o f s e l f - d e t e r m i n a t i o n underlined the

cultural

failure in the e a r l y 1 9 6 0 s o f late President

group

should

not

rule

over

the

o t h e r — h a s been the most powerful p o l i t i c a l

K w a m e N k r u m a h o f G h a n a and his radical

f o r c e o f the past two hundred y e a r s . "

colleagues

I f the c o n c e p t and a p p l i c a t i o n o f s e l f determination have prospered in E u r o p e , it is a truism that m o d e r n A f r i c a n states, as the historic creation o f c o l o n i a l and political circumstances generated largely from Europe, have acquired the unique distinction and pec u l i a r i t y o f b e i n g both a b e n e f i c i a r y and a v i c t i m o f the p r i n c i p l e and ideal o f

self-

in

the

so-called

Casablanca

G r o u p to c r e a t e an A f r i c a n organization with a strong a c c e n t on political unity. T h e o b j e c tions o f these A f r i c a n

leaders

who

were

s k e p t i c a l about such P a n - A f r i c a n ideals a c c o u n t e d f o r t h e i r i n s i s t e n c e on i n c l u s i o n in the O A U C h a r t e r , as a m e n d e d in 1 9 6 4 , the p r i n c i p l e o f r e s p e c t f o r n o n i n t e r f e r e n c e in the internal affairs o f m e m b e r states.

273

274

Ibrahim A. Gambari zvith Martin

D e v e l o p m e n t s a n d c h a l l e n g e s in p o s t Cold War Africa have impacted, and continue to i m p a c t , s i g n i f i c a n t l y on the a p p l i c a tion a n d p e r c e p t i o n of t h e r i g h t s to s e l f - d e t e r m i n a t i o n in A f r i c a . W h i l e a m a j o r i t y of s t a t e s still c o n s i d e r m a i n t a i n i n g t h e s t a t u s q u o as the p r i m a r y o b j e c t i v e of state policy, the f o r c e s of d e m o c r a t i z a t i o n , f r e e m a r k e t i z a t i o n , and the d e - i d e o l o g i z a t i o n of i n t e r n a tional politics u n l e a s h e d since the e n d of the C o l d War h a v e a f f e c t e d the internal c i r c u m s t a n c e s of states, e s p e c i a l l y i n c l u d i n g t h e i r ethnic configurations and territorial struct u r e s . In the c i r c u m s t a n c e , n a t i o n - b u i l d i n g h a s r e m a i n e d an u p h i l l task as the p o t e n t i a l f o r b r e a k u p of t h e s e m u l t i e t h n i c , m u l t i n a tional s t a t e s — o r , at best, a drastic r e d e f i n i n g of their existing b o r d e r s — a p p e a r s inevitable, with i m p l i c a t i o n s not o n l y f o r r e g i o n a l and i n t e r n a t i o n a l p e a c e and s e c u r i t y but a l s o f o r national g r o w t h and d e v e l o p m e n t . F o r strategic r e a s o n s , as well as f o r reas o n s of p o l i t i c a l and e c o n o m i c w e l l - b e i n g , g l o b a l p e r s p e c t i v e s on A f r i c a n s e l f - d e t e r m i nation need reconsideration. Such perspectives should reflect actual A f r i c a n circums t a n c e s and n e e d not be c o n s t r u e d n o r a n a l y z e d e x c l u s i v e l y w i t h i n the p r i s m s of e x t e r n a l p e r c e p t i o n s . If A f r i c a is to e v o l v e p e a c e f u l l y and m a k e d e s i r e d p r o g r e s s , neit h e r a rigid o p p o s i t i o n to, n o r a r e f l e x i v e s u p p o r t for, e x p r e s s i o n s of the ideals of selfd e t e r m i n a t i o n s h o u l d a p p l y . At the level of policy, therefore, considerations for selfd e t e r m i n a t i o n and n a t i o n - b u i l d i n g in A f r i c a s h o u l d be b a s e d on a c a s e - b y - c a s e a n a l y s i s .

A Historical Perspective T h e h i s t o r y of s e l f - d e t e r m i n a t i o n in A f r i c a r e v e a l s t h r e e c r i t i c a l e l e m e n t s at p l a y in b r i n g i n g it a b o u t : f i r s t , t h e a f t e r m a t h of t h e First W o r l d W a r a n d t h e p h i l o s o p h i c a l ideas on s e l f - d e t e r m i n a t i o n p r o p o s e d by P r e s i d e n t W o o d r o w W i l s o n of t h e U n i t e d S t a t e s ; s e c o n d l y , the p r i n c i p l e d p o s i t i o n s t a k e n by P r i m e M i n i s t e r W i n s t o n C h u r c h i l l of t h e U n i t e d K i n g d o m and P r e s i d e n t F r a n k l i n D.

1. U.S. Congressional

Uhomoibhi

R o o s e v e l t of t h e U n i t e d S t a t e s d u r i n g t h e S e c o n d World War; and third, the birth of the U n i t e d N a t i o n s and its d e c l a r a t i o n on t h e u n i v e r s a l p r i n c i p l e of s e l f - d e t e r m i n a t i o n in 1960. T h e s e t h r e e f a c t o r s c o m b i n e d p r o d u c e d a c l i m a t e of o p i n i o n b o t h in A f r i c a a n d in the rest of t h e i n t e r n a t i o n a l c o m m u nity and e n c o u r a g e d the A f r i c a n p e o p l e s and g o v e r n m e n t s to s t r u g g l e f o r p o l i t i c a l f r e e d o m f r o m d e c a d e s of colonial rule. T h e First W o r l d W a r w i t n e s s e d , on a limited scale, the participation of A f r i c a n s in the w a r s that w e r e f o u g h t p r i n c i p a l l y by the E u r o p e a n p o w e r s o u t s i d e of A f r i c a . In t h e c o u r s e of that w a r and of the p a r t i c i p a t i o n of A f r i c a n s on the side of the c o l o n i a l p o w e r s , m a n y A f r i c a n s i m b i b e d s o m e of t h e b a s i c p r i n c i p l e s that the w a r s o u g h t to u p h o l d — n a m e l y , that f r e e d o m w a s a u n i v e r s a l entitlem e n t of all p e o p l e s . M o r e i m p o r t a n t l y , President W o o d r o w W i l s o n a r t i c u l a t e d the u n i v e r s a l r i g h t s to s e l f - d e t e r m i n a t i o n u n d e r his F o u r t e e n Point P r o g r a m , w h i c h w a s subs e q u e n t l y i n c o r p o r a t e d into the T r e a t y of Versailles of 1919. In his a d d r e s s b e f o r e the L e a g u e to E n f o r c e P e a c e in 1916, W o o d r o w W i l s o n had d e c l a r e d , inter alia, " W e b e l i e v e t h e s e f u n d a m e n t a l t h i n g s : first, that e v e r y p e o p l e has a right to c h o o s e the s o v e r e i g n t y u n d e r w h i c h t h e y shall live." 1 O n J a n u a r y 22. 1917, he s t a t e d b e f o r e the U . S . S e n a t e that " N o p e a c e c a n last, or o u g h t to last, w h i c h d o e s not r e c o g n i z e and a c c e p t t h e p r i n c i p l e that g o v e r n m e n t s d e r i v e all t h e i r j u s t p o w e r s f r o m the c o n s e n t of the g o v e r n e d , a n d that n o right a n y w h e r e e x i s t s to h a n d p e o p l e s a b o u t f r o m s o v e r e i g n t y to s o v e r e i g n t y as if t h e y w e r e p r o p e r t y . " It is t r u e that the retreat of the U n i t e d States into isol a t i o n i s m i m m e d i a t e l y a f t e r the First W o r l d W a r h a m p e r e d t h e i n f l u e n c e that its b o l d support for self-determination would have h a d o n all c o l o n i a l p e o p l e s , i n c l u d i n g t h o s e in A f r i c a . N e v e r t h e l e s s , h i s t o r i c a l e v i d e n c e s h o w s that t h e e x p e r i e n c e s of A f r i c a n s d u r ing t h e w a r , c o m b i n e d w i t h s u c h i d e a s as c o n t a i n e d in W o o d r o w W i l s o n ' s F o u r t e e n

Review, vol. 53, pt. 9, p. 8854.

Self-Determination

Points,

and Nation Building

produced

a

suitable

in Post-Cold

climate

African nationalists subsequently took

that ad-

v a n t a g e of in t h e i r c a m p a i g n f o r s e l f - d e t e r mination and political independence. D u r i n g the S e c o n d World W a r — a

war

that w a s f o u g h t to d e t e r a n d r e v e r s e t h e g a i n s of t h e " e n e m i e s of f r e e d o m , " P r i m e M i n i s t e r Winston Churchill and President Franklin D. R o o s e v e l t s i g n e d in 1941 t h e A t l a n t i c C h a r ter, w h i c h , o n its o w n , c o n s t i t u t e d a m i l e s t o n e in t h e h i s t o r y of s e l f - d e t e r m i n a t i o n of peoples everywhere and under every flag. T h e A t l a n t i c C h a r t e r r e c o g n i z e d that all p e o -

275

War Africa

and of nations large and small and to promote social progress and better standards of life in larger freedom; the need for the creation of c o n d i t i o n s of stability and w e l l being and p e a c e f u l and friendly relations based on respect for, and o b s e r v a n c e of, human rights and fundamental freedoms for all without distinction to race, sex, language and religion; and the passionate yearning for freedom in all dependent peoples and the dec i s i v e role of such p e o p l e s in the attainment of their i n d e p e n d e n c e . . . . S o l e m n l y proclaim the n e c e s s i t y of bringing to a s p e e d y and unconditional end c o l o n i a l i s m in all its forms and manifestations.

p l e s e v e r y w h e r e w e r e e n t i t l e d to b a s i c f r e e -

In t h e text of t h e d e c l a r a t i o n , t h e G e n e r a l A s -

d o m s , i n c l u d i n g the right to s e l f - d e t e r m i n a -

s e m b l y u n d e r l i n e d the f o l l o w i n g principles:

tion and regardless of their race, color, or creed.

Soon

after the

declaration

of

this

• T h e s u b j u g a t i o n of p e o p l e s t o a l i e n

c h a r t e r , e f f o r t s w e r e m a d e to r e i n t e r p r e t its

subjugation, d o m i n a t i o n and exploita-

t e r m s to e x c l u d e " p e o p l e s of c o l o u r . " Yet t h e

t i o n c o n s t i t u t i n g a d e n i a l of f u n d a -

forces for independence and political self-

m e n t a l h u m a n r i g h t s , is c o n t r a r y to t h e

e x p r e s s i o n a l r e a d y set in m o t i o n as a r e s u l t

C h a r t e r of t h e U n i t e d N a t i o n s a n d is

of t h i s d e c l a r a t i o n c o u l d n o t b e s t o p p e d . In

i n d e p e n d e n t to t h e p r o m o t i o n of w o r l d

a n y c a s e , in t h e a f t e r m a t h of t h e

peace and cooperation;

Second

W o r l d W a r a c o m b i n a t i o n of p o l i t i c a l , s o c i a l , and e c o n o m i c c i r c u m s t a n c e s occurring both w i t h i n a n d o u t s i d e A f r i c a m a d e it i m p o s s i b l e not to realize such ideals that the

charter

espoused.

• All

peoples

have

the

right

to

self-

d e t e r m i n a t i o n ; b y v i r t u e of that right they f r e e l y d e t e r m i n e their political status a n d f r e e l y p u r s u e t h e i r e c o n o m i c , social a n d c u l t u r a l d e v e l o p m e n t . . . ;

D u r i n g the

1960s, t w o events d e f i n e d

• All a r m e d a c t i o n s o r r e p r e s s i v e m e a -

A f r i c a ' s c o n c e p t i o n a n d a p p l i c a t i o n of s e l f -

s u r e s of all k i n d s d i r e c t e d a g a i n s t d e -

determination. First, the United Nations pro-

p e n d e n t p e o p l e s shall c e a s e in o r d e r to

claimed

enable

its i m p o r t a n t

Declaration

on

the

them

to e x e r c i s e

peacefully

G r a n t i n g of I n d e p e n d e n c e to C o l o n i a l C o u n -

a n d f r e e l y t h e i r r i g h t to c o m p l e t e in-

t r i e s a n d P e o p l e s . 2 S e c o n d , in 1 9 6 3 , t h e O r -

d e p e n d e n c e , a n d t h e i n t e g r i t y of t h e i r

ganization

of

African

Unity

(OAU)

was

b o r n , w i t h t h e d e c l a r e d p u r p o s e b e i n g to to-

natural territory shall be respected; • Immediate

steps

shall

be

taken,

in

t a l l y e l i m i n a t e c o l o n i a l i s m a n d all f o r m s of

trust and n o n - s e l f - g o v e r n i n g

alien domination f r o m the continent.

ries o r all o t h e r t e r r i t o r i e s w h i c h h a v e

In t h e p r e a m b u l a r p a r a g r a p h of t h e 1 9 6 0

not

yet

attained

territo-

independence,

to

Declaration on S e l f - D e t e r m i n a t i o n , the atten-

t r a n s f e r all p o w e r t o t h e p e o p l e s of

tion

those territories, without any

of the

international

community

was

d r a w n to the determination proclaimed by the peoples of the world in the Charter of the United Nations to reaffirm faith in fundamental rights, in the dignity and worth of the human person, in the equal rights of men and w o m e n

condi-

tions or reservations. Although the arguments for the contained

in t h e

principles

1960 D e c l a r a t i o n of

the

U n i t e d N a t i o n s h a d f o u n d n o b l e e x p o n e n t s in t h e l i k e s of W o o d r o w W i l s o n , t h e r a p i d i t y of

2. General A s s e m b l y Resolution 1514 ( X V ) of D e c e m b e r 14, 1960.

276

Ibrahim A. Gambari with Martin

t h e i r a p p l i c a t i o n as n o r m s of a n t i - i m p e r i a l i s t n a t i o n a l i s m must be attributed to the afterm a t h of t h e S e c o n d W o r l d W a r . W h e n

the

U n i t e d N a t i o n s w a s b e i n g e s t a b l i s h e d in S a n

Uhomoibhi

Self-Determination and Nation-Building: The Challenges and Linkages S e v e r a l t a s k s c o n f r o n t e d A f r i c a n s t a t e s at

F r a n c i s c o in 1 9 4 5 . t h e r e w e r e o n l y t h r e e in-

independence,

dependent

the

p r o b l e m s of e c o n o m i c u n d e r d e v e l o p m e n t to

1 9 6 0 s , e v e n t h o u g h a f e w m o r e s t a t e s h a d at-

resolving the n u m e r o u s sociopolitical prob-

tained independence, a considerable number,

lems that c o n f r o n t e d their n e w fledgling po-

African

states

present.

By

ranging

from

tackling

the

e s p e c i a l l y in t h e s o u t h e r n a n d e a s t e r n p a r t s

litical e n t i t i e s . H o w e v e r , t h e m o s t c r i t i c a l of

of t h e c o n t i n e n t , h a d y e t to b e c o m e f r e e . T h e

the tasks that the new g o v e r n m e n t s

General A s s e m b l y ' s declaration was rightly

e v e r y w h e r e o n t h e c o n t i n e n t w a s h o w to re-

s e i z e d u p o n n o t o n l y by A f r i c a n s t a t e s at t h e

sist e t h n i c

U n i t e d N a t i o n s but by ali n e w l y i n d e p e n d e n t

sometimes

s t a t e s f r o m all o v e r t h e w o r l d in t h e i r c o l l e c -

" t r i b a l " l o y a l t i e s — a t r a i t u n d e r s t o o d as in-

pluralism

and

inappropriately

tame

faced

what

described

tive s t r u g g l e f o r s e l f - d e t e r m i n a t i o n a n d p o l i t -

i m i c a l to t h e e v o l u t i o n o f h e a l t h y ,

ical i n d e p e n d e n c e .

African nation-states. Thus, whereas

A s f o r O A U , t h e h e a d s of g o v e r n m e n t s

determination

the

was as

vibrant

in its p o s i t i v e r e n d i t i o n

selfre-

the

s u l t e d in t h e b i r t h of m o d e r n A f r i c a n s t a t e s ,

pledging

it w a s f e a r e d t h a t , u n l e s s its " e x c e s s e s " w e r e

s p e c i f i c a l l y to p r o m o t e t h e u n i t y a n d s o l i d a r -

m o d e r a t e d , it c o u l d u n d e r m i n e n a t i o n - b u i l d -

of

United

organization Nations'

improved

declaration

upon

by

ity of t h e A f r i c a n s t a t e s ; to d e f e n d

their

ing, w h i c h both A f r i c a n leaders a n d a vast

sovereignty, territorial integrity, and

inde-

n u m b e r of A f r i c a n i n t e l l e c t u a l s

understood

p e n d e n c e ; a n d to e r a d i c a t e all f o r m s of c o l o -

as " a p r o c e s s of i n t e g r a t i n g d i v e r s e , p r i m o r -

nialism from Africa.

dial

At n a t i o n a l l e v e l s , m a n y A f r i c a n g o v e r n m e n t s l i n k e d t h e v i a b i l i t y of t h e i r p o l i t i c a l independence

to

the

struggle

of

ridding

and

ethnocentric

African

tribes

into

modern statehood." Ethnic

rivalries

and competitions

be-

tween the various groups, within and across

A f r i c a of all v e s t i g e s of c o l o n i a l r u l e a n d

t h e b o r d e r s of s e v e r a l A f r i c a n s t a t e s , p r o -

racial d o m i n a t i o n .

d u c e d t h e civil w a r s in S u d a n , C h a d , a n d t h e

This survey indicates the historical roots

C o n g o ( n o w Z a i r e ) , to n a m e a f e w . S e l f - d e -

of s e l f - d e t e r m i n a t i o n in A f r i c a . It s h o u l d b e

t e r m i n a t i o n , i n v o l v i n g p e o p l e of t h e s a m e

a d d e d that a l t h o u g h these f a c t o r s p l a y e d a

ethnic stock across national borders,

c r u c i a l r o l e in t h e p e r c e p t i o n a n d a p p l i c a t i o n

c a l l e d i r r e d e n t i s m , r e s u l t e d in i n t e r n a t i o n a l

of s e l f - d e t e r m i n a t i o n , a m o r e c r i t i c a l a n a l y -

conflicts between G h a n a and Togo (involv-

sis w o u l d i n d i c a t e t h a t , in t h e A f r i c a n c o n -

ing the E w e national g r o u p ) and

t e x t , t h e i n t e r p r e t a t i o n of s e l f - d e t e r m i n a t i o n

Somalia, on the one hand, and K e n y a

by a g e n t s s u c h as t h e U n i t e d N a t i o n s a n d t h e

Ethiopia, on the other (involving the various

O A U were usually not entirely

S o m a l i c l a n s that s t r a d d l e t h e t h r e e c o u n t r i e s ) .

unambigu-

ous. Consequently, African states, upon their attainment

of

independence,

The

problems

of

the

also

between

multiethnic

and

or

encountered

multinational state resulting f r o m the inter-

s e v e r a l c h a l l e n g e s a n d p i t f a l l s in t h e c o n t e x t

nal c o n f l i c t s n o t e d h e r e a l s o r e f l e c t a m b i v a -

of s e l f - d e t e r m i n a t i o n as t h e y e n d e a v o r e d t o

l e n c e s in t h e a t t i t u d e s a n d p e r c e p t i o n s at t h e

b u i l d n a t i o n - s t a t e s o u t of t h e m o t l e y c o l l e c -

U n i t e d N a t i o n s a n d O A U . W i t h r e s p e c t to

t i o n of n a t i o n s a n d p e o p l e s t h a t c o m p r i s e d

the

their new political entities. T h e limitations

m a d e to the intrinsic a m b i v a l e n c e

d e r i v i n g f r o m the a m b i g u i t i e s of O A U and

national, anticolonial self-determination and

United

Nations,

reference

should

be

between

U N i n t e r p r e t a t i o n s a n d a p p l i c a t i o n s of s e l f -

intranational ethnic self-determination.

d e t e r m i n a t i o n w o u l d b e e l u c i d a t e d u p o n in

for the former, the United Nations as the e m -

the foregoing sections.

b o d i m e n t of s t a t e s o v e r e i g n t y a n d p r i v i l e g e s ,

As

Self-Determination

and Nation Building in Post-Cold

has b e e n entirely s u p p o r t i v e of s e l f - d e t e r m i n a t i o n . C o n s e q u e n t l y , v i r t u a l l y all of A f r i c a achieved political i n d e p e n d e n c e with the s u p p o r t of the U n i t e d N a t i o n s and its institutions a n d a g e n c i e s . H o w e v e r , w i t h r e s p e c t to i n t e r n a l s e l f - d e t e r m i n a t i o n a n d d e s p i t e its p r o n o u n c e m e n t s on h u m a n r i g h t s , its r o l e l a c k s c l a r i t y in f a c i l i t a t i n g i n t e r n a l s e l f - d e terminatiori. This derives principally from the f a c t that s o v e r e i g n t y is j e a l o u s l y g u a r d e d by the U n i t e d N a t i o n s C h a r t e r , and the m e m ber s t a t e s of t h e o r g a n i z a t i o n e x e r t t h e i r utm o s t to d e f e n d it. A s f o r the O A U , the p r i n c i p l e of n o n i n t e r f e r e n c e in the i n t e r n a l a f f a i r s of m e m b e r states h a s c o n s t i t u t e d the b u l w a r k of d e f e n s e f o r the s o v e r e i g n r i g h t s of s t a t e s . T o s o m e e x t e n t , this has u n w i t t i n g l y p r o v i d e d i m m u nity to s t a t e s that h a v e not a l l o w e d the f u l l e x p r e s s i o n of s e l f - d e t e r m i n a t i o n by t h e i r p e o p l e s . T h e O A U h a s f o u n d it d i f f i c u l t to s u p p o r t states of p e o p l e s w h o , in the n a m e of t r a n s l a t i n g into reality the p r i n c i p l e of e q u a l rights and s e l f - d e t e r m i n a t i o n , h a v e a t t e m p t e d to f i g h t f o r p o l i t i c a l i n d e p e n d e n c e . It is in this c o n t e x t that the o r g a n i z a t i o n w a s u n a b l e to s u p p o r t the " R e p u b l i c of B i a f r a " w h e n the I b o s w a n t e d to s e c e d e f r o m N i g e r i a . S i m i larly, the O A U f a i l e d to s u p p o r t the p e o p l e of E r i t r e a in their s t r u g g l e f o r i n d e p e n d e n c e f r o m E t h i o p i a f o r the s a m e r e a s o n s . Finally, i n d i v i d u a l A f r i c a n g o v e r n m e n t s , as h a s b e e n a l l u d e d to a l r e a d y , h a v e b e e n g e n e r a l l y u n r e c e p t i v e to i n t e r n a l s e l f - d e t e r m i n a t i o n . T h e y h a v e v i e w e d and c o n t i n u e to v i e w i n t e r n a l s e l f - d e t e r m i n a t i o n as t a n t a m o u n t t o acts of i n s u r r e c t i o n that c a n o n l y d i s m e m b e r or i m p a i r the s m o o t h f u n c t i o n i n g of t h e state. T h u s , g o v e r n m e n t s h a v e g e n e r ally t e n d e d to take t h e v i e w that m o v e m e n t s for intranational, ethnic self-determination m u s t be c u r b e d . T h e c o n c l u s i o n that a r i s e s f r o m this a n a l y s i s of the l i n k a g e s that e x i s t b e t w e e n n a t i o n - b u i l d i n g a n d s e l f - d e t e r m i n a t i o n in A f r i c a m a k e s an i n t e r e s t i n g c a s e f o r a t h e o retical a n a l y s i s of t h e d e f i n i t i o n a n d s c o p e of s e l f - d e t e r m i n a t i o n s o as to d e t e r m i n e its app l i c a t i o n a n d r e l e v a n c e . L e e B u c h h e i t , in his

War Africa

277

b o o k Secessions: The Legitimacy of SelfDetermination ( N e w H a v e n , 1978), a t t e m p t s to i d e n t i f y s o m e f a c t o r s r e l e v a n t to w h a t constitutes h u m a n rights, secession, liberation, or plain d i s s e n t in states. It is c l e a r that u n l e s s t h e s e t e r m s are c l a r i f i e d so as to d e t e r m i n e the l e g i t i m a c y of m o v e m e n t s that e s pouse them, the international c o m m u n i t y will c o n t i n u e to c o n f r o n t t h e o r e t i c a l a n d p r a c t i c a l d i f f i c u l t i e s in this r e g a r d . M e a n w h i l e , it is b e c o m i n g c l e a r that whereas self-determination through administ r a t i v e d e c e n t r a l i z a t i o n , or c u l t u r a l , or e v e n e c o n o m i c a u t o n o m y m a y be a c c e p t a b l e in b u i l d i n g the m o d e r n state in A f r i c a , political a u t o n o m y f o r s u b n a t i o n a l g r o u p s within it is g e n e r a l l y r e g a r d e d as u n a c c e p t a b l e . N e v e r t h e l e s s , the b a t t l e of i d e a s and i n t e r e s t s reg a r d i n g the e x t e n t of s e l f - d e t e r m i n a t i o n c o n t i n u e s in A f r i c a .

Post-Cold War Politics A l t h o u g h the p r o b l e m a l l u d e d to earlier c o n stitutes a d i l e m m a for the United Nations, the C o l d W a r p e r i o d p r o v i d e d a p r a c t i c a l c o n t e x t of p r a g m a t i c r e s o l u t i o n of this issue. Where intranational, ethnic self-determination a d v a n c e d the interest of rival s u p e r p o w ers, t h e s e m o v e m e n t s r e c e i v e d s u p p o r t . A n d w h e r e t h e y w e r e s u b v e r s i v e of s u p e r p o w e r interests, these m o v e m e n t s were opposed. T h e s e C o l d W a r p r o x y politics, by and large, w o r k e d in f u r t h e r a n c e of g o v e r n m e n t s allied to the s u p e r p o w e r s . T h e e n d of t h e C o l d W a r h a s t h e r e f o r e p a r a d o x i c a l l y r e m o v e d the lid f r o m the cauld r o n of i n t r a n a t i o n a l sectarian e t h n i c s e l f - d e t e r m i n a t i o n . T h i s a c c o u n t s f o r the p l a g u e of internal c o n f l i c t s w o r l d w i d e . It also e x p l a i n s why, in the s a m e p e r i o d , i n t r a n a t i o n a l e t h n i c m o v e m e n t s for self-determination have bec o m e v i g o r o u s l y c h a m p i o n e d in A f r i c a . W h a t the w o r l d f a c e s as the m a i n p r o b l e m of its p o s t - C o l d W a r e p o c h is t h e v a r y ing f o r m s of t h e e x p r e s s i o n of i n t r a n a t i o n a l m o v e m e n t s f o r e t h n i c s e l f - d e t e r m i n a t i o n in m u l t i n a t i o n a l s t a t e s . T h i s is t h e p r o b l e m of s t a t e s in f o r m e r Y u g o s l a v i a a n d t h e f o r m e r Soviet Union, including North Ossetia and

278

Ibrahim A. Cambari with Martin

N a g o r n o - K a r a b a k h . It is t h e s a m e m o v e m e n t

Third,

the

emergence

of

Uhomoibhi

the

United

t h a t h a s p r o d u c e d E r i t r e a o u t of a m u l t i n a -

S t a t e s — i t s e l f a b a s t i o n of d e m o c r a c y

tional Ethiopia. Similarly, the d e m a n d

free-market economy,

for

as the only

and

super-

ethnic self-determination has c o n f r o n t e d the

p o w e r in t h e p o s t - C o l d W a r

w o r l d w i t h its R w a n d a s . T h e f e r o c i t y a n d t h e

a l s o b e e n c r u c i a l in d e f i n i n g t h e a p p l i c a t i o n

u r g e n c y w i t h w h i c h b l o o d is s h e d in S u d a n is

of

i n f o r m e d by t h e s a m e c r a v i n g f o r e t h n i c s e l f -

Africa. A triumphant commentator, Francis

d e t e r m i n a t i o n . W i t h t h e t i d e of e t h n i c s e l f -

F u k u y a m a , h a i l e d the end of the C o l d War

determination

and the d e m i s e of the C o m m u n i s t

on

the

rise

in t h e

African

self-determination

in

period—has

post-Cold

War

Soviet

c o n t i n e n t , t h e d e m a n d f o r s t a t e h o o d by s u b -

U n i o n as m a r k i n g the " e n d of h i s t o r y " and

nationalist groups has b e c o m e the primary

the t r i u m p h of the U n i t e d States. A n o t h e r

p r o b l e m of p e a c e m a k i n g f o r b o t h t h e U n i t e d

c o m m e n t a t o r on the n e w international role

Nations and the O A U .

of t h e U n i t e d S t a t e s a s s e r t e d : " N o w is t h e

At l e a s t t h r e e r e a s o n s a c c o u n t f o r t h e

u n i p o l a r m o m e n t . . . . T h e r e is b u t o n e f i r s t -

in

r a t e p o w e r a n d n o p r o s p e c t in t h e i m m e d i -

p o s t - C o l d W a r A f r i c a . T h e first r e a s o n is t h e

ate f u t u r e of any p o w e r to rival it." T h e

currency

gained

by

self-determination

d e c l i n i n g p o w e r of t h e c e n t r a l g o v e r n m e n t s ,

p o s t - C o l d W a r e r a u n d e r t h e l e a d e r s h i p of

d u e in p a r t to t h e o v e r a l l l o s s in s t r a t e g i c

t h e U n i t e d S t a t e s a n d t h e r e s t of t h e w o r l d

v a l u e of A f r i c a n s t a t e s in t h e c o n s i d e r a t i o n

s w i f t l y r e c o g n i z e d all t h e n e w s t a t e s

of t h e m a j o r p o w e r s . W h e r e a s , d u r i n g

the

broke a w a y f r o m the Soviet U n i o n . Against

Cold War period, major powers were willing

t h e r e l u c t a n c e o f B r i t a i n a n d F r a n c e , it a l s o

to p r o v i d e s u b s t a n t i a l f u n d i n g to l i k e - m i n d e d

recognized

g o v e r n m e n t s on the continent, which

pro-

goslavia, sent a preventative force to d e f e n d

vided those governments with a higher mea-

t h e f o r m e r Y u g o s l a v r e p u b l i c of M a c e d o n i a ,

s u r e of e f f e c t i v e n e s s , p r e s e n t l y t h i s is n o

and

in B o s n i a .

In

longer the case. C o n s e q u e n t l y , with

A f r i c a , u s u a l l y n o t a p l a c e of p r i o r i t y

to

leaner

the

is p l a y i n g

states

a key

of

the

role

Yu-

r e s o u r c e s at t h e d i s p o s a l of m o s t A f r i c a n

U.S. foreign policy

governments, central administrations

s i n c e t h e e n d of t h e C o l d W a r , t h e U n i t e d

have

managers,

former

that

especially

b e c o m e w e a k e r and ethnic s e n t i m e n t s that

S t a t e s w a s q u i c k to r e c o g n i z e t h e n e w s t a t e

a p p e a r e d to h a v e b e e n b u r i e d in t h e p a s t a r e

o f E r i t r e a a n d h a s t e n d e d t o g i v e its b l e s s -

now being vented.

i n g s t o a l m o s t a n y e x p r e s s i o n s of d i s s e n t by

S e c o n d , t h e f o r c e s of unleashed

in

Eastern

democratization

Europe

have

also

s p r e a d t o A f r i c a . D e m o c r a t i z a t i o n in A f r i c a has fueled the d e m a n d s for

m i n o r i t i e s , p a r t i c u l a r l y w h e r e it f e e l s t h a t these are consistent with the principle

of

self-determination.

multipartyism

In t h e c h a n g e d a n d c o n s t a n t l y e v o l v i n g

a n d a k e e n e r d e s i r e o n t h e p a r t of t h e p e o p l e

c i r c u m s t a n c e s of the p o s t - C o l d War situa-

for

t i o n , a r i s i n g f r o m t h e s e n e w p e r s p e c t i v e s of

self-determination.

movements

for

ethnic

Thus,

leaders

of

self-determination

self-determination, A f r i c a n states have dis-

h a v e b e e n a d r o i t in e m p l o y i n g m u l t i p a r t y i s m

c o v e r e d that w h i l e t h e c l a i m s f o r s e l f - d e t e r -

as a v e h i c l e f o r p r o m o t i n g t h e d i s m e m b e r i n g

m i n a t i o n m a y n o w b e e a s i e r to m a k e , t a k i n g

of t h e m u l t i n a t i o n a l s t a t e . In m o s t c o u n t r i e s

t h e f u l l e s t a d v a n t a g e of t h e p r e v i o u s l y m e n -

w h e r e d e m o c r a c y h a s t a k e n r o o t in o n e f o r m

t i o n e d f a c t o r s f o r t h e r e a l i z a t i o n of t h e i r o b -

o r a n o t h e r , a m o d i f i c a t i o n of t h e s y s t e m n o w

j e c t i v e s m a y , in t h e e n d , b e p r o b l e m a t i c .

a p p e a r s to be u n d e r w a y t h r o u g h

govern-

m e n t s of national u n i t y — a m o d u s

vivendi

New Perspectives and Options

t h a t s e e k s t o a c c o m m o d a t e t h e o p p o s i t i o n in

L a t e l y , n e w d e b a t e s h a v e b e e n g e n e r a t e d as

government. However, only with time can we

to h o w the international c o m m u n i t y m a y best

tell w h e t h e r g o v e r n m e n t s o f n a t i o n a l u n i t y

r e s p o n d to the c o n c e r n s raised by a resur-

r e p r e s e n t a g e n u i n e w a y of f o r g i n g

g e n c e of e t h n i c a n d n a t i o n a l i s t m o v e m e n t s in

unity

a m o n g sectarianly mobilized populations.

s e v e r a l p a r t s of t h e w o r l d , i n c l u d i n g A f r i c a .

Self-Determination

and Nation

Building

in Post-Cold

Fresh and more imaginative ways are being sought dealing with the problems posed by the rights of minorities and national and ethnic g r o u p i n g s within the f r a m e w o r k of the right of self-determination, as enshrined in the OAU Charter and recognized in the relevant United Nations resolutions. These problems are also pertinent for Europe, Asia, and the Americas. Reflecting this global concern in his fundamental assessment of the right of self-determination in the post-Cold War era, the United Nations Secretary-General recently stated: Yet if every ethnic, religious or linguistic group claimed statehood, there would be no limit to fragmentation and peace, security and economic well-being for all would become ever more difficult to achieve. . . . The sovereignty, territorial integrity and independence of states within the established international system, both of great value and importance, must not be permitted to work against each other in the period ahead.

The Republic of Azerbaijan, itself one of the new slates that emerged f r o m the dissolution of the Soviet Union, in a recent statement on the issue decried "the unjustifiable and, of late, widespread tendency to interpret the right of self-determination of any ethnic or national c o m m u n i t y to establish its own state structures" as "the right of any ethnic community to self-proclaim its independence and join another state." 3 In the debate on the Rights of Peoples to Self-Determination at the forty-ninth session of the United Nations General Assembly, India remarked that selfdetermination "has played its role in history and the concept is no longer helpful in resolving the p r o b l e m s of multi-ethnic societies. Taken out of context, it can create illusions of small, self-centered and secessionist groups and e n c o u r a g e terrorism and mindless violence." 4

War

279

Africa

The debate goes on. Witness this conjecture to the Indian viewpoint by the Liechtenstein delegation to the General Assembly: The fact that colonialism in its traditional form is now largely, not entirely but largely, a matter of history does not mean that the principle of self-determination has served its purpose and may now be discarded. It is a principle which is not limited by the Charter, or by successive resolutions of the General Assembly, to situations of colonialism. It is, as our regular annual debate in this Committee shows, a principle of permanent and universal relevance, wherever there are circumstances which make its application appropriate. 5

However, it would appear that the crux of the matter is not whether self-determination should continue to be respected as a right, but rather in what ways it should be interpreted, the context in which it should be applied, and the modus operandi that should guide the e f f o r t s for realizing the goals and objectives of seif-determination within nation-building frames. Having benefited most from the application of the principles of self-determination, indications are that African states will continue to be strongly affected by the interpretations, ramifications, and problems connected with the application of the principle in the years ahead. To this end, the following options should be considered. Territorial

Compromise

Option

This option is not new as a way of extinguishing smoldering embers of ethnic strife and preventing the traumatic surgery of secession that seems forever present in the m o d e r n states of Africa. It was in this context that the Allies, after World War I, undertook at the Versailles C o n f e r e n c e territorial changes that redrew not only the m a p of

3. Vide: Reply of the Government of Azerbaijan on Rights of Peoples to Self-Determination, A/49/402 (September 20, 1994). 4. Statement by Ambassador Brajesh Mishra, member of Indian delegation to the Third Committee of the Forty-Ninth session of the United Nations General Assembly, N e w York, October 17, 1994. 5. Ambassador Claudia Fritsche, Permanent Representative of the Principality of Liechtenstein to the United Nations. Statement on Agenda Item 94: Right to Self-Determination ( N e w York, October 17, 1994), p. 3.

280 E u r o p e but a l s o s o m e territories in A f r i c a , specifically those u n d e r G e r m a n o c c u p a t i o n , w h i c h were then passed o v e r as trust territories to new trust p o w e r s . Similarly, a f t e r World War II, in the s a m e spirit of territorial c o m p r o m i s e , the A l l i e d p o w e r s o u t l i n e d at the Yalta C o n f e r e n c e the b o u n d a r i e s of what w a s f o r m e r l y the Soviet U n i o n ' s s p h e r e of influence, although b e c a u s e of the Cold War d i f f e r e n c e s b e t w e e n the p o w e r s , d i f f e r e n c e s that were already e v i d e n t b e f o r e the c o n f e r ence ended, no significant territorial c h a n g e s could be e f f e c t e d . A pertinent q u e s t i o n to be asked here is w h e t h e r the world can insist, at all costs, on the sanctity of territorial b o u n d a r i e s without regard to the evolving socioeconomic changes that e n g e n d e r c l a i m s for the restructuring of existing states. At what costs must territorial status q u o s be m a i n t a i n e d , even w h e n such costs include i n c e s s a n t political instability and civil c o n f l i c t s that i m p e d e s o c i o e c o n o m i c d e v e l o p m e n t and w e l l - b e i n g ? O n the one h a n d , the evidence of history and the imperial data available w o u l d suggest that, for the f u t u r e , flexibility w o u l d be r e q u i r e d on this subject. States must be able to m a k e territorial c o n c e s s i o n s or a d j u s t m e n t s w h e r e necessary to prevent the u n a c c e p t a b l e h u m a n costs of w a r s that h a v e b e e n and will be f o u g h t in the n a m e of s e l f - d e t e r m i n a t i o n . O n the o t h e r h a n d , h o w e v e r , it m u s t be cautioned that indiscriminate revision of territorial b o u n d a r i e s c o u l d not be r e c o m m e n d e d either. A s M i c h a e l C h e g e h a s arg u e d , it r e m a i n s a m a t t e r of s e r i o u s d o u b t whether mere territorial b o u n d a r y a d j u s t m e n t w o u l d , f o r e x a m p l e , palliate the e t h n i c and s u b n a t i o n a l i s t c o n f l i c t s in the S u d a n , C a sance (Senegal), Mali, western Cameroon, southern Mauritania, Zanzibar, northern M a l a w i , and n o r t h e r n M o z a m b i q u e . In fact, historical e v i d e n c e supports the v i e w that arbitrary revision of b o u n d a r i e s only t e m p o r a r ily abates the p r o b l e m s at hand; in the longterm it w o u l d i n e v i t a b l y e m b r o i l the entire region in protracted strife.

Ibrahim A. Gambari with Martin

Uhomoibhi

Federalism B e y o n d the territorial r e v i s i o n , G i d o n Gott l i e b 6 has a r g u e d that s o l u t i o n s to the p r o b l e m s of s e l f - d e t e r m i n a t i o n may, in fact, be best d e r i v e d f r o m o u t s i d e the f r a m e w o r k of territorial m o d i f i c a t i o n s . R e i n f o r c e d by h i s t o r i c a l a n d e m p i r i c a l e v i d e n c e , it s e e m s o b v i o u s that the q u e s t f o r s o l u t i o n s to the p r o b l e m s of s e l f - d e t e r m i n a t i o n m u s t , while taking into a c c o u n t the territorial a p p r o a c h , also e x p l o r e o t h e r o p t i o n s , p r i m a r y a m o n g w h i c h w o u l d be e s t a b l i s h i n g a truly f e d e r a tionist state structure. T h i s d e r i v e s f r o m the p r e m i s e of the n e e d f o r states to seek acc o m m o d a t i o n within existing f r a m e s with its f i s s i p a r o u s s u b n a t i o n a l i s t and ethnically div e r s e e n t i t i e s , r a t h e r than be o v e r l y c o n c e r n e d with e f f o r t s to resist ethnic p l u r a l i s m as the p l a t f o r m f o r n a t i o n - b u i l d i n g . Federating the A f r i c a n state s y s t e m , f o r e x a m p l e , w o u l d i m p l y i n c r e a s e d political d e c e n t r a l ization, a d i f f u s i o n of autocratic p o w e r , and an a l l o w a n c e f o r c u l t u r a l a u t o n o m y and g r e a t e r c o n t r o l o v e r local r e s o u r c e s — e l e m e n t s that p r e s e n t l y are at the root of m o s t of the social c o n f l i c t s of A f r i c a n m u l t i n a tional states. T h e a r g u m e n t s that h a v e a l w a y s been applied against the f e d e r a l i s t p r i n c i p l e in A f r i c a by critics is that m o s t A f r i c a n states are g e n e r a l l y t o o small to be f e d e r a l i z e d . A l a s , this m i s s e s the point by f o c u s i n g on size r a t h e r than the i n h e r e n t m u l t i e t h n i c diversity of these states w h i c h s h o u l d be the real issues d e t e r m i n i n g the a p p r o p r i a t e n e s s or i n a p p r o p r i a t e n e s s of f e d e r a l i s m f o r A f r i c a n states. T h e a r g u m e n t here is that the p r o s p e c t s of f e d e r a l i s m are g o o d f o r m o s t states in A f r i c a . If size did not m i l i t a t e the s u c c e s s f u l a p p l i c a t i o n of f e d e r a l i s m in S w i t z e r l a n d and C a n a d a , there is n o r e a s o n w h y it s h o u l d h i n d e r the f u n c t i o n i n g of the s y s t e m in A f r i c a . A s o u n d application of the federalist principle should enable African states to c u l t i v a t e the b e n e f i t s of e t h n i c diversity while m i n i m i z i n g its a d m i t t e d l y negative potential.

6. Gidon Gottlieb, " N a t i o n s Without States," in Foreign Affairs (May/June 1994).

Self-Determination

and Nation

Building

in Post-Cold

Decentralization and Devolution of Power It m a y be useful to try, in s o m e cases, the option of d e c e n t r a l i z a t i o n and d e v o l u t i o n of p o w e r , as in the c a s e of N i g e r i a , w h e r e the initial t h r e e r e g i o n s at the t i m e of i n d e p e n d e n c e w e r e s u b d i v i d e d until there are n o w thirty states and h u n d r e d s of local g o v e r n m e n t s . T h e q u e s t i o n h e r e , h o w e v e r , is whether these power-sharing arrangements are e n o u g h to s a t i s f y the d e m a n d s of those subgroups fighting for self-determination t h r o u g h a u t o n o m y . T h e case of the " O g o n i " p e o p l e in southeastern Nigeria is c o n s i d e r e d by s o m e to be special and by others as typical of the insatiable appetite for a u t o n o m y . Self-Determination Is Not an Absolute Right: It Is Imperative to Build Democratic Societies " P r a c t i c a l l y e v e r y o n e , " writes A l f r e d C o b ban, ". . . r e c o g n i z e d that s e l f - d e t e r m i n a t i o n could only be applied with due regard to circ u m s t a n c e s . " 7 For A f r i c a , the a p p l i c a t i o n of the principle c a n n o t but be qualified and determined by taking d u e account of the historical and other c i r c u m s t a n c e s peculiar to each nation, state, or society. T h e right or application of s e l f - d e t e r m i n a t i o n in A f r i c a m u s t , of necessity, be n a t i o n - , state-, and s o c i e t y s p e c i f i c and n o t h i n g c o u l d be m o r e f l a w e d than to argue that b e c a u s e " W e are a nation; t h e r e f o r e w e h a v e a right to national selfdetermination."8 Not so, h o w e v e r , with the n e c e s s i t y of A f r i c a n states in their e x e r c i s e of self-determination to build d e m o c r a t i c institutions and values. National self-determination not based on d e m o c r a t i c v a l u e s a n d p r i n c i p l e s retains f e w p r o s p e c t s of s u r v i v i n g in the long term. I n d e e d , it c o u l d q u i t e easily t r a n s l a t e into s u b n a t i o n a l d e t e r m i n a t i o n , w h i c h , at its worst, would perpetuate widespread chaos and c o m p o u n d A f r i c a ' s nation-building problems. The democratic principles and values a d v o c a t e d m u s t be u n d e r p i n n e d by s c r u p u lous o b s e r v a t i o n of i n d i v i d u a l and g r o u p

7. Alfred Cobban, National Self-Determination 8. Ibid., p. 48.

War

Africa

281

rights, the rule of law, and a d e q u a t e s a f e g u a r d s for m i n o r i t i e s . Finally, t w o e l e m e n t s m u s t q u a l i f y d e m o c r a c y in A f r i c a : First, it must be c u l t u r e - s p e c i f i c and culturer e l e v a n t ; s e c o n d , it m u s t also be a s y s t e m that is a l l o w e d to " e v o l v e , " not one dictated or i m p o s e d f r o m outside. Reversing Africa's Economic and Social Decline T h e q u e s t f o r s e l f - d e t e r m i n a t i o n in A f r i c a has a l w a y s been linked with the struggle for e c o n o m i c and d e v e l o p m e n t rights. T h e colonial s t r u g g l e , t h o u g h f o u g h t m a i n l y at the political level, was, ab initio, accentuated by the desire of A f r i c a n p e o p l e s for e c o n o m i c a n d social j u s t i c e w h i c h had been d e n i e d them under colonialism. Self-determination, in the c o n t e x t of p o s t c o l o n i a l A f r i c a , has c o n t i n u e d to be a f f e c t e d by the e c o n o m i c and social p r o b l e m s that are especially associated with scarce o p p o r t u n i t i e s for e c o n o m i c and social w e l l - b e i n g . C o n s e q u e n t l y , any effort to address the n e e d s of self-determ i n a t i o n — w h i c h , in this c a s e , is linked to d e m o c r a t i c g o v e r n a n c e through the containm e n t of a s p e c t s of the d e b i l i t a t i n g c o n s e q u e n c e s of ethnic and s u b n a t i o n a l i s t c o n f l i c t s — m u s t i n c l u d e o p t i o n s to t a c k l e A f r i c a ' s w o r s e n i n g e c o n o m i c and social problems. It is r e g r e t t a b l e that the idea of a coalition of i n t e r n a t i o n a l e f f o r t s to a d d r e s s A f r i c a ' s e c o n o m i c p r o b l e m s has n e v e r received any satisfactory response f r o m the int e r n a t i o n a l c o m m u n i t y . R e s p o n s e s to such p r o g r a m s as the United N a t i o n s P r o g r a m s of Action for A f r i c a ' s E c o n o m i c Reconstruction and D e v e l o p m e n t ( 1 9 8 6 - 1 9 9 0 ) and the 1991 A g e n d a f o r A f r i c a ' s D e v e l o p m e n t attest to this c o n s i s t e n t lack of e n t h u s i a s m to assist A f r i c a in r e s o l v i n g its p r o b l e m s . It m u s t , however, be borne in mind that unless m e a n ingful international assistance, on the basis of g e n u i n e p a r t n e r s h i p , is a c c o r d e d to A f r i c a n states, the p r o s p e c t s are that they will

(Chicago, 1951), p. 46.

282

Ibrahim A. Gambari with Martin

Uhomoibhi

continue to face a crisis o f underdevelopment

that although these options are useful, they

and consequent s o c i a l and ethnic c o n f l i c t s .

are by no means exhaustive.

In particular, A f r i c a ' s external debt crisis and

Finally, the continued relevance o f self-

the crisis in the balance o f external payments

determination, both as principle and problem

must be addressed so that the states can em-

o f statecraft, is to be located in the chal-

bark on the road to sustainable growth.

lenges it presents to the multinational state. T h e p r o b l e m s for the future reside in the

Conclusion

ability o f the international community to bal-

T h e previous e x e g e s i s has taken a broad

ance its support for "e pluribus

view o f the concepts and applications o f self-

structs o f society with support for imperiled

unum"

con-

determination in A f r i c a within the nation-

subnational groups whose continued e x i s -

building frame. It analyzed the factors that

tence could only be assured by its assump-

contribute to self-determination in Africa and

tion o f sovereign control over its affairs. T h e

the d i l e m m a that the O A U , the United Na-

history o f Israel is relevant in this regard,

tions, and the international c o m m u n i t y face

both as an indication o f the gravity o f the

as a result o f the intrinsic ambivalence char-

danger unprotected minorities can be ex-

acteristic o f the right to self-determination. It

posed to and the difficulty o f effecting solu-

has been argued that while A f r i c a n

states

tions to this problem. That a balance must be

continue to be faced with c h a l l e n g e s deriv-

struck is obvious. What is equally obvious is

ing from self-determination, nation-building

that such a balance o f necessity can only be

tasks are seriously hampered.

secured pragmatically and not deductively or

Although self-determination is a historic and enduring phenomenon that cannot

be

wished away, whatever measures states or the international community may adopt, various options were considered for moderating some o f the negative c o n s e q u e n c e s o f internal self-determination. It should be stressed

a x i o m a t i c a l l y . It is a problem not o f theory or o f moral philosophy. It is a problem o f statecraft. T h e c o n c l u s i o n here,

humbling

and anticlimactic as it may seem, is that it is the politician, and not the diplomat intellectual, who will have his way, even when the last say is not his.

Commentary Lionel A. Hurst

I

f the very well-reasoned paper o f G a m b a r i

II are indications o f the s u c c e s s o f external

and U h o m o i b h i can be said to have a sin-

s e l f - d e t e r m i n a t i o n ; A f r i c a n s , shedding the

gular thesis, it is that self-determination is o f

domination o f their countries by Europeans,

two varieties:

have achieved the first o b j e c t i v e .

external

and internal.

The

p a p e r ' s authors argue that in A f r i c a the application o f external s e l f - d e t e r m i n a t i o n

is

T h e authors a c k n o w l e d g e that in trying to e v o l v e " h e a l t h y , vibrant A f r i c a n nation-

virtually at an end; the application o f internal

states" in the post-independence era, govern-

self-determination on that continent is the

m e n t s were faced with the task o f resisting

new, and continuing, challenge to be faced in

" e t h n i c p l u r a l i s m " and taming "tribal loyal-

the p o s t - C o l d War era (page 2 7 7 ) . T h e his-

t i e s . " T h e s e loyalties were extant before the

torical

in

creation o f the state and thus make a stronger

A f r i c a and the c r e a t i o n o f m o r e than fifty

c l a i m o n — o r elicit a more deeply rooted

African states in the period after World War

e m o t i o n a l bond f r o m — c i t i z e n s than could

fight

to

achieve

independence

Commentary

the newly created entity with its neonate flag and anthem. The s u p r e m a c y of these loyalties gives rise to the d e m a n d for self-determination within states. The authors propose five options (pp. 278) for coping with this internal self-determination; they deem them to be the full range of choices available to states. They are: (1) territorial c o m p r o m i s e ; (2) federalism; (3) decentralization and devolution of power; (4) advancing democratic values; and (5) reversing economic and social decline. Choices numbered (1), (2), and (3) are methods; (4) and (5) are objectives, it would seem, j u d g i n g f r o m their o w n exegesis. In any case, when the m e t h o d s are applied by resort to violence, the cost to the state and the international community is great. The Cost of Internal Self-Determination While the authors' point of view on the "application" of internal self-determination is A f r i c a - s p e c i f i c , they implicitly accept that this challenge is universal. It is widely known that the d e m a n d for self-determination within states has been m a d e by peoples in scores of countries both developed and developing, wealthy and poor, democratic and dictatorial, p e a c e f u l and warring, large and small. Thus, while self-determination in the African context may be viewed as a means toward "reversing that continent's economic and social decline," in other parts of the world the drive for self-determination is fueled by a plethora of other needs. Exercising control over itself as a sovereign people has been the m a j o r objective of many of the ethnic groups that have engaged a state violently. The authors point out that "the d e m a n d for statehood by subnationalist groups has become the primary problem of peacemaking for . . . the United Nations." Peaceful m e m ber states at the United Nations have c o m plained that the organization's peacemaking and peacekeeping e f f o r t s are devouring resources and attracting attention away f r o m development; the U N Security Council is focused upon keeping warring ethnic groups from committing further genocide, arresting

283 the destabilizing e f f e c t s on whole regions, while addressing the problem of displaced persons and r e f u g e e s created by these warring groups within states. Ethnic wars in Bosnia-Herzegovina and Rwanda, for example, have created m o u n t i n g difficulties for their neighbors. Since these conflicts find themselves on the agenda of the United Nations after they have flared, then the time is ripe for the United Nations to prevent their occurrence by creating a m e c h a n i s m that would allow a peaceful resolution of the crises before massive violence pushes them onto the UN stage. The United Nations as Arbiter It is proposed that a United Nations body, created by a General Assembly resolution, be m a d e the final arbiter in deciding when internal self-determination is or is not warranted. Furthermore, the resolution would permit that United Nations body to urge the subject state to adopt the suitable form of self-determination warranted by a finding in each specific case. The United Nations SelfDetermination C o m m i t t e e could be much like a United Nations tribunal and the United Nations Decolonization C o m m i t t e e combined; the latter was created in order to review the pace of progress m a d e by colonial powers in granting external self-determination. T h e committee, like a tribunal, would have the power to make binding decisions. Surely, the m a d n e s s and carnage that strike when ethnic groups compete for supremacy within states compel novel solutions for hatching a p e a c e f u l coexistence among violence-threatening ethnic groups. It would not be necessary for a state to turn to the United Nations if its domestic mechanism for resolving ethnic conflicts is working. A Mediterranean island-state has a working m e c h a n i s m in place that has kept the peace for several decades; its government would not require the agency of the United Nations to e f f e c t a solution. A violence-prone ethnic group, or an aggrieved ethnic, religious, or linguistic group within a state, which relies on peaceful means, could seek to bring its case for self-determination

284

Lionel A.

b e f o r e this U n i t e d N a t i o n s b o d y if it h a s e x hausted

all

constitutional

avenues

for

Hurst

r a c i a l , r e l i g i o u s , o r l i n g u i s t i c m i n o r i t y . To

a

the f r e e majority, they d e m a r c a t e the b o r d e r s

p e a c e f u l r e s o l u t i o n of its d e m a n d s , o r h a s

of their s e l f - i m a g e ; they are "the d o m e s t i c

e n c o u n t e r e d a h i s t o r y of o p p r e s s i o n in e x -

enemy

p r e s s i n g its d e m a n d . W h e r e v i o l e n c e h a s al-

l o v e s , a n d a l s o w h o m it h a t e s . F r e e d o m o f -

who

defines" whom

the

majority

ready engulfed the c o m b a t a n t s , a c o m m i t t e e

f e r s c h o i c e s of b o t h e v i l a n d g o o d ; t h e m a -

h e a r i n g m a y n e v e r t h e l e s s p r o c e e d p r i o r to

j o r i t y s o m e t i m e s c h o o s e s n o t to d o

the United Nations Security Council b e c o m -

T h e r e f e r e n c e b y G a m b a r i a n d U h o m o i b h i to

i n g i n v o l v e d in t h e m a t t e r . T h e s e a r e

the

t h e e x p e r i m e n t that is I s r a e l , f l o w i n g f r o m a

broad

the

European

outlines

of a p r o p o s a l

to g i v e

undertaking,

lends

argument:

Sierra

good.

credence

to

U n i t e d N a t i o n s a m e a s u r e of i n f l u e n c e o v e r

Patterson's

t h e o u t c o m e of d i s p u t e s t h a t t h r e a t e n i n t e r -

L i b e r i a , in h i s t o r i c a l c o n t e x t , a l s o c o n f i r m

national peace and security.

t h e w i s d o m of s e p a r a t i n g .

Conclusion

mittee on Self-Determination would provide

Leone

and

In t h e f u t u r e , T h e U n i t e d N a t i o n s C o m O r l a n d o Patterson, a very w e l l - k n o w n Carib-

the d e s p i s e d g r o u p with a m e c h a n i s m

b e a n s c h o l a r w h o l e c t u r e s at Yale U n i v e r s i t y

opting out peacefully. Admittedly, there may

for

and w h o has written extensively on the sub-

be o p p o s i t i o n to f r a c t u r i n g the state: s o m e

j e c t of f r e e d o m , n o t e d t h e f o l l o w i n g in h i s

may

last b o o k , a p p r o p r i a t e l y titled Freedom'.

"The

s o v e r e i g n t y is t h e a b s e n c e of f r e e d o m to p a r -

v i r t u e s of a d e m o c r a t i c s y s t e m n e e d n o d e -

tition or r e d u c e t h e s t a t e . H o w e v e r , it h a s al-

f e n s e ; . . . it is t h e b e s t f o r m of g o v e r n m e n t ,

r e a d y b e e n p r o p o s e d that " t e r r i t o r i a l c o m p r o -

and

m i s e " c o u l d b e l e g i t i m a t e l y c o n s i d e r e d as an

its

invention

and

history,

however

argue that

inherent

in t h e n o t i o n

of

e p i s o d i c and bloody, are a m o n g the greatest

alternative

a c h i e v e m e n t s of W e s t e r n c i v i l i z a t i o n .

plagued the world. E t h i o p i a ' s decision with

But

t h e r e is s o m e t h i n g e v i l at t h e v e r y c o r e of this g r e a t s y s t e m of g o v e r n a n c e . " T h e p r i n c i p l e of p a r t i c i p a t i v e p o l i t i c s , h e n o t e s , is in-

to the b l o o d y

wars that

have

r e g a r d to E r i t r e a is v e r y i n s t r u c t i v e . When

the question

of

apartheid

was

b r o u g h t to t h e U n i t e d N a t i o n s in 1 9 4 7 b y

v i g o r a t e d by t h e e x c l u s i o n a n d d o m i n a t i o n

India, there was virtually no support forth-

of o t h e r s . It is n o t an a c c i d e n t that A t h e n s —

c o m i n g ; nearly twenty years would pass be-

t h e first d e m o c r a c y — a n d t h e U n i t e d S t a t e s —

f o r e t h e U n i t e d N a t i o n s w o u l d b e g i n its a s -

the

greatest

mass

democracy—were

both

sault on this evident crime. T h e m a n a g e m e n t

c o n c e i v e d in, a n d f a s h i o n e d by, t h e d e g r a d a -

of i n t e r n a l s e l f - d e t e r m i n a t i o n b y t h e U n i t e d

t i o n of s l a v e s a n d t h e e x c l u s i o n o f w o m e n .

N a t i o n s is l i k e l y to t a k e a s h o r t e r t i m e in

Free persons, he argues, tragically

b e i n g a c c e p t e d as a l e g i t i m a t e U n i t e d

require

within their midst a g r o u p w h o d o e s not belong; they

may

be an ethnic

g r o u p or a

tions concern.

Na-

Commentari/

285

Commentary Movindri

Reddy

I

n this p a p e r , P r o f e s s o r G a m b a r i h a s tackled s o m e of t h e m o s t c o m p l e x and c o m p e l l i n g p r o b l e m s e x p e r i e n c e d in c o n t e m p o rary A f r i c a . T h e o v e r w h e l m i n g c h a l l e n g e s of n a t i o n - b u i l d i n g f a c e d by p o s t c o l o n i a l A f r i can e l i t e s , c o m p o u n d e d by t h e u r g e n t a n d o f t e n v i o l e n t l y c o n s t r u c t e d d e m a n d s f o r selfd e t e r m i n a t i o n by a l i e n a t e d e t h n i c g r o u p s , h a v e taken c e n t e r s t a g e in the politics of the r e g i o n . L o c a t i n g his a n a l y s i s w i t h i n a g l o b a l p e r s p e c t i v e , G a m b a r i a r g u e s that the international c o m m u n i t y f a c e s the a b i d i n g p r o b l e m of t r y i n g to b a l a n c e s u p p o r t f o r m a c r o s t a t e s t r u c t u r e s and s u b n a t i o n a l g r o u p s w h o s e very e x i s t e n c e is tied to the n e c e s s i t y of s o v e r e i g n c o n t r o l of t h e i r o w n a f f a i r s . H e s u g g e s t s that b o t h t h e U n i t e d N a t i o n s and the O r g a n i z a t i o n of A f r i c a n Unity h a v e f a i l e d to c l a r i f y their p o l i t i c a l p o s i t i o n s on e t h n i c claims for self-determination because their tacit s u p p o r t f o r n a t i o n a l s e l f - d e t e r m i n a t i o n makes them ambivalent toward, and suspic i o u s of. those w h o a t t e m p t to u n d e r m i n e or break up r e c o g n i z e d n a t i o n - s t a t e s . O n e of t h e k e y i s s u e s r a i s e d by t h e L i e c h t e n s t e i n D r a f t C o n v e n t i o n is the m e a n ing of " c o m m u n i t y . " In S e c t i o n 1, A r t i c l e 1(a) of the d r a f t , " c o m m u n i t y " is d e f i n e d as: " t h e m e m b e r s of a d i s t i n c t g r o u p w h i c h inh a b i t s a limited a r e a w i t h i n a State a n d p o s s e s s e s a s u f f i c i e n t d e g r e e of o r g a n i z a t i o n as such a g r o u p f o r the e f f e c t i v e a p p l i c a t i o n of the relevant p r o v i s i o n s of this C o n v e n t i o n . " Of p a r t i c u l a r i m p o r t a n c e is its d i s t i n c t i v e n e s s as a g r o u p , that it is t e r r i t o r i a l l y c o n c e n t r a t e d within a limited area, and that it h a s a s u f f i c i e n t d e g r e e of o r g a n i z a t i o n . T h e d r a f t also s u g g e s t s a c o u r t to d e l i b e r a t e o v e r those c a s e s that c o n s t i t u t e m o r e of a p r o b l e m as to w h e t h e r t h e y d o , in f a c t , c o n s t i t u t e a c o m m u n i t y (see A r t i c l e 16). In A f r i c a , t h e q u e s t i o n s of w h o a n d w h a t c o n s t i t u t e s a c o m m u n i t y , and of w h o d o e s and d o e s n ' t belong to a c o m m u n i t y , h a v e c r e a t e d d e e p a n d a b i d i n g a n t a g o n i s m s a n d c o n f l i c t . At t h e

v e r y c o r e of a l m o s t all i n s t a n c e s of e t h n i c c o n f l i c t and e t h n i c c l a i m s f o r s e l f - d e t e r m i n a tion lies the p r o b l e m a t i c of " c o m m u n i t y . " It h a s b e e n a n d c o n t i n u e s to be the b a s i s o n w h i c h p e o p l e kill and are killed. P r o f e s s o r G a m b a r i ' s f a i l u r e to illuminate the c e n t r a l p r o b l e m a t i c of " c o m m u n i t y " t h r o u g h o u t m u c h of A f r i c a r e s u l t s in an a n a l y s i s that h o v e r s at a level of g e n e r a l i t y that e l u d e s m a n y of the c o m p l e x i t i e s s p e c i f i c to the A f r i c a n e x p e r i e n c e . In his h i s t o r i c a l review, for example, particular significance is g i v e n to e x t e r n a l and i n t e r n a t i o n a l i n f l u e n c e s on the p u r s u i t f o r n a t i o n a l s e l f - d e t e r m i n a t i o n in A f r i c a . Of critical i m p o r t a n c e , it is a r g u e d , w e r e W o o d r o w W i l s o n ' s ideas of s e l f - d e t e r m i n a t i o n , the p r i n c i p l e d p o s i t i o n s t a k e n by W i n s t o n C h u r c h i l l and F r a n k l i n D. R o o s e v e l t d u r i n g W o r l d W a r II, a n d the inc e p t i o n of the U n i t e d N a t i o n s and its u n i v e r sal p r i n c i p l e of s e l f - d e t e r m i n a t i o n . 1 w o u l d s u g g e s t that as i m p o r t a n t as it is to r e c o g n i z e the impact of t h e s e l e a d e r s and institutions on the d e s i r e f o r i n d e p e n d e n c e in A f r i c a , it is h a z a r d o u s to n e g l e c t the t r e m e n d o u s s i g n i f i c a n c e of local f o r c e s and o r g a n i c t r e n d s . T h e g r o w i n g c o n f l i c t in the d o m e s t i c political scene, c o m b i n e d with the u p s u r g e in nationalist r e s i s t a n c e m o v e m e n t s , the g r o w t h of an e d u c a t e d A f r i c a n elite, the r e l a t i v e dec l i n e in the e c o n o m i c v i a b i l i t y of the c o l o n i e s , and l o u d e r a n d m o r e s u s t a i n e d criti c i s m s in E u r o p e w e r e s o m e of the crucial ele m e n t s b e h i n d the q u e s t for, and the w i n n i n g of, national self-determination. Furthermore, if w e w e r e to then look at s u b s e q u e n t e t h n i c conflict and ethnically defined political a g e n d a s that e m e r g e d w i t h i n s o v e r e i g n n a t i o n - s t a t e s , t h e role of local f a c t o r s a n d d o mestic politics becomes more definitive. To c o m e to g r i p s w i t h c o n t e m p o r a r y conflicts and trends, a deep and nuanced u n d e r s t a n d i n g of A f r i c a n h i s t o r y is n e c e s sary. Of p a r t i c u l a r s i g n i f i c a n c e f o r i s s u e s of s e l f - d e t e r m i n a t i o n in A f r i c a h a s b e e n t h e

286 c o l o n i a l e x p e r i e n c e . A f r i c a as a c o n t i n e n t of n a t i o n - s t a t e s w a s i m a g i n e d by E u r o p e a n p o w e r s and c o n s t r u c t e d as c o l o n i e s of Western democracies. As such, the boundaries a n d b o r d e r s of n a t i o n - s t a t e s w e r e d r a w n acc o r d i n g to t h e c o l o n i a l logic of c a p i t a l i s t e x p a n s i o n and of the d e m a r c a t i o n b e t w e e n n a t i o n s and p o w e r in E u r o p e . C o l o n i a l a u thorities dramatically restructured the Afric a n social and p o l i t i c a l l a n d s c a p e , c r e a t i n g n e w c l e a v a g e s , e x a c e r b a t i n g old o n e s , and c o n s t r u c t i n g a d m i n i s t r a t i v e u n i t s that w e r e the basis of n a s c e n t n a t i o n - s t a t e s . F u r t h e r m o r e , the c o l o n i a l state itself w a s not a c o h e r e n t , c l e a r l y d e f i n e d entity, but r a t h e r o n e that d e v e l o p e d a n d w a s c o n s t r u c t e d in the p r o c e s s of c o n t i n u i n g rule. A f r i c a n s e x p e r i e n c e d c o l o n i a l rule as f o r e i g n , arbitrary, and m a i n l y via i n d i v i d u a l adm i n i s t r a t o r s and o f f i c e r s . T h e i m p a c t of mission e d u c a t i o n on certain s e c t i o n s of A f r i c a n s o c i e t y and the a v a i l a b i l i t y of n e w l y d e v e l o p e d b u r e a u c r a t i c p o s i t i o n s w i t h i n the colonial a d m i n i s t r a t i o n r e s t r a t i f i e d c o m m u n i t i e s a c c o r d i n g to n e w c a t e g o r i e s of class and social s t a t u s . A d d i n g to this p r o c e s s w a s the s t r a t e g i c e m p l o y m e n t , in s o m e i n s t a n c e s , of " t r a d i t i o n a l " a u t h o r i t i e s , the m a i n t e n a n c e of e t h n i c c l e a v a g e s , a n d t h e s u p p o r t of c e r t a i n g r o u p s o v e r o t h e r s . F r o m t h e v i e w p o i n t of A f r i c a n s , the c o l o n i a l state w a s e x p e r i e n c e d as an e x t r a c t i v e o n e that p r o v i d e d little w e l f a r e , and within this c o n t e x t e t h n i c and o t h e r social ties w e r e n u r t u r e d and identities w e r e c o n s t r u c t e d a l o n g s e c t a r i a n and local lines, r a t h e r than n a t i o n a l a n d m u l t i e t h n i c lines. T h e s e are t r e n d s that c o n t i n u e in c o n t e m p o r a r y A f r i c a . F r o m m y w o r k on I n k a t h a a n d Z u l u ethnicity in S o u t h A f r i c a , it is c l e a r that a l t h o u g h b l o o d y e t h n i c c o n f l i c t f l a r e s u p at p a r t i c u l a r m o m e n t s in h i s t o r y a n d is l a r g e l y u n p r o b l e m a t i c at o t h e r s , the b a s i c c a t e g o r i e s of e t h n i c i t y that are s p e c i a l l y a n d s u b j e c tively experienced have been historically constructed. Of crucial i m p o r t a n c e , too, is the w a y in which Africans gained their independence from colonialism. Where there was a smooth t r a n s i t i o n , p o w e r w a s h a n d e d to t h e local e l i t e s w h o h a d b e e n n u r t u r e d by c o l o n i a l

Movindri

Reddy

a d m i n i s t r a t o r s . O n e of t h e m a n y c o n s e q u e n c e s of this t y p e of t r a n s i t i o n h a s b e e n the c o n t i n u a t i o n of partisan politics and e c o nomics. Where independence was gained t h r o u g h p r o t r a c t e d r e s i s t a n c e and v i o l e n t conflict, new African leaders, while struggling with the transition f r o m underground, c l a n d e s t i n e activity to s t a t e - b u i l d i n g , h a d to a d d r e s s c o m p e t i n g e t h n i c a n d racial c l a i m s that w e r e p r e v a l e n t u n d e r c o l o n i a l i s m . If, as the p a p e r c o r r e c t l y s u g g e s t s , policy d e c i s i o n s on s e l f - d e t e r m i n a t i o n and n a t i o n - b u i l d i n g in A f r i c a are to be b a s e d o n a c a s e - b y - c a s e a n a l y s i s , t h e n i n - d e p t h u n d e r s t a n d i n g of the p r e c o l o n i a l and c o l o n i a l e x p e r i e n c e , at b o t h the s u b j e c t i v e and o b j e c t i v e level, is p i v o t a l in e v a l u a t i n g e t h n i c c l a i m s . A r e l a t e d t h e m e in the p a p e r is the sign i f i c a n c e g i v e n to the end of the C o l d War as a key f a c t o r a f f e c t i n g e t h n i c c o n f i g u r a t i o n s a n d t e r r i t o r i a l s t r u c t u r e s . I think that h e r e a g a i n c a u t i o n is n e c e s s a r y and there n e e d s to be a b a l a n c e b e t w e e n the u n i v e r s a l a n d t h e p a r t i c u l a r . It is p e r h a p s m o r e valid to a r g u e that the d e f i n i t i v e i m p a c t of the e n d of the C o l d W a r lay in f o r c i n g the i n t e r n a t i o n a l c o m m u n i t y and a c a d e m i c s to r e c o n s t i t u t e the d i s c o u r s e on c o n f l i c t and i n t e r n a t i o n a l p e a c e a n d s e c u r i t y . T h i s h a d the e f f e c t of e x p a n d ing the f r a m e w o r k to i n c l u d e internal e t h n i c a n d o t h e r social c o n f l i c t s that w e r e a l r e a d y p r e v a l e n t in A f r i c a a n d e l s e w h e r e . It d i d n ' t n e c e s s a r i l y e n c o u r a g e n e w social and political c o n f i g u r a t i o n s , but m e r e l y i n c l u d e d an already existing p h e n o m e n o n within the par a m e t e r s of a n e w l y d e f i n e d d i s c o u r s e . E t h nic v i o l e n c e in A f r i c a has had s e r i o u s r e p e r c u s s i o n s t h r o u g h o u t its long h i s t o r y a n d h a s h a d , in m a n y i n s t a n c e s , a t r a j e c t o r y of its o w n . W i t h initial c o n f l i c t s r e v o l v i n g m a i n l y a r o u n d t h r e a t s , o r p e r c e i v e d t h r e a t s to l a n d , labor, social s t a t u s , a n d so on, as A f r i c a b e came more economically underdeveloped, e t h n i c c o n f l i c t i n t e n s i f i e d a r o u n d i s s u e s reg a r d i n g a c c e s s to s c a r c e r e s o u r c e s a n d c l a i m s to l a n d , t e r r i t o r i a l a u t h o r i t y , a n d s e c e s s i o n . It is m y c o n t e n t i o n that a l t h o u g h t h e e n d of the C o l d W a r w a s s i g n i f i c a n t , it is a l s o i m p e r a t i v e to r e c o g n i z e the s p e c i f i c i t y of t h e A f r i c a n e x p e r i e n c e a n d the h i s t o r i c a l

287

Commentary

b a s i s of e t h n i c t e n s i o n s a n d c o n f l i c t t h a t lie

a n d h o w t h e y u n d e r s t a n d t h e w a n t s of t h e i r

behind claims for self-determination.

leaders. Let m e n o w turn to the problems associ-

T u r n i n g to A f r i c a n leaders and intellectuals, the paper suggests that a large n u m b e r

ated with the international c o m m u n i t y

felt that the p r o c e s s of n a t i o n - b u i l d i n g re-

t h e U N in its h a n d l i n g of c l a i m s f o r s e l f - d e -

q u i r e d t h e i n t e g r a t i o n of d i v e r s e , p r i m o r d i a l ,

t e r m i n a t i o n in A f r i c a . A l t h o u g h t h e U N h a s

and ethnocentric tribes. I would further add

successfully provided the channels for nego-

that

t i a t i o n s in t h o s e c a s e s r e l a t e d t o c l a i m s f o r

many

believed

that

ethnic

diversity

and

n e e d e d to b e s u b s u m e d u n d e r n a t i o n a l i s t i m -

national

p e r a t i v e s a n d t h i s w a s v i e w e d as t h e p r e r e q -

Z i m b a b w e , a n d S o u t h A f r i c a , a n d , in s o m e

s e l f - d e t e r m i n a t i o n , a s in A n g o l a ,

u i s i t e f o r t h e b u i l d i n g of s t r o n g s t a t e s . T h e

instances, has directly facilitated radical po-

k i n d s of s t r a t e g i e s c h o s e n by n e w l e a d e r s to

litical

cope

t h r o u g h w i t h t h e p r o c e s s . T h e first d e m o c r a -

with

multiethnic

civil

societies

de-

transformations,

it

fails to

follow

p e n d e d on the kind of g o v e r n m e n t that w a s

tic e l e c t i o n s e e m s to b e v i e w e d as t h e c r i t i c a l

constructed, the individual personalities w h o

m o m e n t signifying dramatic and presumably

t o o k p o w e r , a n d t h e c h a r a c t e r a n d s t r e n g t h of

u n s t o p p a b l e c h a n g e . H e n c e f o r t h , the fragile

A f r i c a n c i v i l s o c i e t y . A c u t e l y a w a r e of e t h n i c

n e w s t a t e f o r m a t i o n is l e f t t o its o w n

histories,

v i c e s . A i d is p r o v i d e d i n d e p e n d e n t l y by b u s i -

many

African

politicians

have

de-

often manipulated and creatively employed

n e s s . p o l i t i c i a n s , a n d s t a t e s w i t h little c o o r -

them for political ends.

d i n a t i o n a n d f o c u s e d c o m m i t m e n t to s e e t h e

A n i m p o r t a n t a s p e c t of e t h n i c c l a i m s f o r self-determination,

and one that

isn't

ad-

p r o c e s s t h r o u g h . In t h e c o n t e x t of i n c r e a s i n g debt

and

underdeveloped

economies,

of

p o v e r t y , a n d s t a r v a t i o n , it c o m e s as n o s u r -

A f r i c a n c o m m u n i t i e s , civil society, and the

prise that fissures along ethnic lines pose the

strength of e t h n i c o r g a n i z a t i o n s within

dressed

in t h i s p a p e r , is t h e c h a r a c t e r

it.

greatest threat to state security. P e r h a p s this

Ethnic identities are often fluid, c h a n g i n g ,

w i l l , in t h e l o n g t e r m , f o r c e A f r i c a n g o v e r n -

and open to debate: h o w e v e r , once violence

m e n t s to n e g o t i a t e w i t h i n t h e i r b o u n d a r i e s , to

b e c o m e s an issue, p e o p l e are f o r c e d to take

c o m p r o m i s e a n d to e x p e r i m e n t w i t h

s i d e s a n d to m a k e c l e a r t h e i r e t h n i c a f f i l i a -

f o r m s of p o l i t i c a l o p t i o n s a n d a d m i n i s t r a t i v e

t i o n s , a r e d e p r i v e d of t h e f o r u m t o d e b a t e

m e c h a n i s m s , to a l t e r t h e i r i d e a s of

t h e i r e t h n i c i t y , a n d a r e f o r c e d to r i g i d i f y a n d

building and to r e c o g n i z e and give signifi-

c a n o n i z e c l a i m s to e t h n i c a u t h e n t i c i t y as e s -

cance

poused by their leaders. T h e sustained nature

multireligious civil societies. A f r i c a n leaders

o f e t h n i c b a t t l e s in A f r i c a p o i n t s t o t h e f a c t

a l s o h a v e to a d d r e s s t h e w i d e s o c i a l a n d p o -

t o its m u l t i e t h n i c ,

other state-

multiracial,

and

that p e o p l e h a v e n o t j u s t s u d d e n l y r i s e n u p in

litical disparities and t e n s i o n s b e t w e e n g e n -

revolt behind clearly defined political agen-

erations and between genders. Young

d a s . It h a s b e e n t h e r o l e of a m b i t i o u s o r g a n i c

and

leaders w h o astutely m o b i l i z e a r o u n d a re-

a l i e n a t e d s e c t o r s in A f r i c a n s o c i e t y a n d , h a v -

created ethnicity. Having their o w n political

i n g little a c c e s s to r e s o u r c e s , c o u l d c o n s t i t u t e

women

represent

some

of

the

men most

a g e n d a s , they are easily able to cast eco-

yet a n o t h e r f o r m i d a b l e threat to the state-

n o m i c h a r d s h i p in t e r m s o f e t h n i c d i s c r i m i -

building enterprises.

n a t i o n a n d p o l i t i c a l p o w e r l e s s n e s s . If t h e s e

T h e paper addresses five options for na-

leaders are q u i c k l y r e c o g n i z e d and taken se-

t i o n - b u i l d i n g in A f r i c a : t e r r i t o r i a l

riously, negotiations and bargaining m a y cir-

mise; federalism; decentralization and devolu-

cumvent much bloody conflict. And

tion

when

of

power;

the

imperative

comproto

build

the paper calls for the need to clarify terms

democratic societies; and reversing Africa's

such as " s e c e s s i o n , " "liberation," and "dis-

e c o n o m i c a n d s o c i a l d e c l i n e . It is s u g g e s t e d

s e n t , " I t h i n k it is a l s o i m p e r a t i v e t o d i s t i n -

that

guish between what the leadership proposes

A f r i c a n s t a t e s t o c u l t i v a t e t h e b e n e f i t s of

a n d e s p o u s e s a n d w h a t its f o l l o w e r s w a n t

e t h n i c d i v e r s i t y w h i l e m i n i m i z i n g its n e g a t i v e

the

federalist principle

would

enable

288 p o t e n t i a l . In m y view, a l t h o u g h the f e d e r a l ist o p t i o n is a t t r a c t i v e , it is a l s o n o t w i t h o u t its o w n c o m p l e x i t i e s a n d c o m p l i c a t i o n s . M u c h of the A f r i c a n a d m i n i s t r a t i o n w o r k s on the basis of p a t r o n a g e politics. L o c a l c h i e f s , h e a d m e n , a n d b u r e a u c r a t s , h a v i n g a c c e s s to r e s o u r c e s , f o r m t h e b a c k b o n e of a s y s t e m that is intimately c o n n e c t e d with e t h n i c alleg i a n c e s and r e l a t i o n s of p o w e r . T h e o p t i o n to c o n s t r u c t a f e d e r a l i s t s y s t e m will not o n l y be v e h e m e n t l y resisted by those w h o gain f r o m a c c e s s to r e s o u r c e s a c r o s s t h e e n t i r e r e g i o n , but by strictly d i v i d i n g the r e g i o n , e c o n o m i c g e n e r a t i n g e n t e r p r i s e s and r e s o u r c e s m a y be u n e q u a l l y c o n c e n t r a t e d a n d h e n c e will f a v o r certain p a t r o n a g e n e t w o r k s o v e r others. With this in m i n d , p e r h a p s a federalist s y s t e m with

Movindri

Reddy

m a n y c h e c k s a n d b a l a n c e s m a y be a p o s s i b l e solution. F u r t h e r m o r e , both the federalist and the decentralization option necessitate the c o n s t r u c t i o n of a l a r g e r a n d m o r e s e c t a r i a n b u r e a u c r a c y , and the potential f o r i n c r e a s i n g c o r r u p t i o n a n d e t h n i c c o n f l i c t can b e c o m e m o r e p e r v a s i v e . Finally, the p a p e r h i g h l i g h t s the urgent n e e d f o r " m e a n i n g f u l international a s s i s t a n c e , o n the b a s i s of g e n u i n e p a r t n e r s h i p " to a d d r e s s t h e crisis of u n d e r d e v e l o p m e n t , the e x t e r n a l d e b t c r i s i s , a n d the c r i s i s in t h e b a l a n c e of p a y m e n t s . I will c o n c l u d e my c o m m e n t s with a provocative question: C a n a m u l t i e t h n i c state exist r e l a t i v e l y p e a c e f u l l y within the c o n t e x t of u n d e r d e v e l o p m e n t and e c o n o m i c s c a r c i t y ?

CHAPTER

12

From Nominal Autonomy to Genuine Self-Administration: A Strategy for Improving Minority Rights in China Minxin Pei

T

he t w e n t i e t h c e n t u r y h a s b e e n

particu-

larly u n k i n d to m u l t i n a t i o n a l

empires.

T h e r e l a t i v e l o n g e v i t y of t h e

Chinese

m u l t i n a t i o n a l e m p i r e is n o p u r e a c c i d e n t o f

democratic

history. Several unique d e m o g r a p h i c and ge-

revolutions have toppled many such empires.

o g r a p h i c f e a t u r e s set it a p a r t f r o m its less e n -

A l l b u t o n e of t h e m u l t i n a t i o n a l

empires

d u r i n g c o u n t e r p a r t s in h i s t o r y a n d e x p l a i n its

h a v e g o n e t h e w a y of t h e f a l l e n

Humpty-

World

wars,

nationalism,

and

durability.

D u m p t y . T h e e x c e p t i o n h e r e is C h i n a , w h i c h

F i r s t a n d f o r e m o s t , t h e r e is t h e

over-

h a s s u r v i v e d t h e s p e c t a c u l a r c o l l a p s e s of t h e

w h e l m i n g m a j o r i t y of H a n C h i n e s e , w h o a c -

O t t o m a n Empire, the A u s t r o - H u n g a r i a n E m -

c o u n t e d f o r 9 2 p e r c e n t of t h e c o u n t r y ' s p o p -

pire, and, m o s t recently, the f o r m e r Soviet

u l a t i o n a c c o r d i n g to t h e 1 9 9 0 c e n s u s . 1 T h i s

U n i o n . To b e s u r e , f o l l o w i n g t h e c o l l a p s e of

fact i m p l i e s an u n l i m i t e d capacity f o r C h i -

t h e M a n c h u D y n a s t y in 1911, C h i n a d i s i n t e -

n e s e e m i g r a t i o n , w h e t h e r d r i v e n by g o v e r n -

g r a t e d in all b u t n a m e . I n t e r n a l l y , it w a s r a v -

m e n t policy or e c o n o m i c forces, f r o m the

aged by w a r l o r d i s m and c o m m u n i s t

c e n t e r to t h e p e r i p h e r y . In f a c t , s i n c e

gency. Externally, European and

insur-

Japanese

the

f o u n d i n g of t h e P e o p l e ' s R e p u b l i c in 1 9 4 9 ,

i m p e r i a l i s m a l m o s t s u c c e e d e d in p a r t i t i o n i n g

s e v e r a l w a v e s of C h i n e s e e m i g r a t i o n

C h i n a . H o w e v e r , a f t e r h a l f a c e n t u r y of u n i n -

significantly altered the d e m o g r a p h i c struc-

terrupted political turmoil and b l o o d s h e d , the

tures

f a l l e n H u m p t y - D u m p t y w a s m i r a c u l o u s l y re-

s u c h as I n n e r M o n g o l i a a n d X i n j i a n g . T h e

s t o r e d by t h e v i c t o r y of t h e c o m m u n i s t r e v o -

d e m o g r a p h i c d o m i n a n c e of H a n C h i n e s e is

l u t i o n in 1 9 4 9 , d e s p i t e t h e l o s s e s of h u g e

t h e k e y t o t h e m a i n t e n a n c e of t h e e m p i r e : a n

of t h e

strategically

important

have areas

t r a c t s of t e r r i t o r y i n c u r r e d d u r i n g t h e t w i l i g h t

i m p l o s i o n of t h e e m p i r e is a l m o s t i n c o n c e i v -

y e a r s of t h e M a n c h u s .

a b l e w i t h o u t , f i r s t , t h e i m p l o s i o n of t h e C h i multi-

n e s e c o r e of t h e e m p i r e . T h a t is, in f a c t , w h a t

n a t i o n a l e m p i r e s , it is all t h e m o r e r e m a r k -

h a s o c c u r r e d in C h i n e s e h i s t o r y . T h e f a t e o f

a b l e t h a t t h e P e o p l e ' s R e p u b l i c of C h i n a h a s

the multiethnic e m p i r e has been i n t e r w o v e n

since m a n a g e d to w e a t h e r several

horren-

w i t h t h e w e l l - b e i n g of t h e c e n t r a l C h i n e s e

dous domestic political crises and

emerge

s t a t e . It is t h e d e c a y w i t h i n t h e c e n t e r t h a t

relatively unscathed f r o m the Cold War and

h a s u n l e a s h e d f o r c e s of d i s i n t e g r a t i o n on t h e

the

periphery, and the not the other way around.

Considering

spectacular

the

fragilities

collapse

of

of

communism.

T o d a y , f o r all its i n t e r n a l d i f f i c u l t i e s , C h i n a

Second,

although

numerically

weak,

h o l d s t o g e t h e r a n a t i o n c o n s i s t i n g of f i f t y - s i x

China's fifty-five ethnic minorities populate

ethnic groups spread over a continent-sized

many

country.

n e s e s e c u r i t y a n d i n h a b i t v a s t s t r e t c h e s of

1. Zhongguo

of t h e s t r a t e g i c a r e a s v i t a l to

minzu tongji 1992 (Beijing: Chinese Statistics Publishing Co., 1993), p. 53.

289

Chi-

Minxin

290

Pei

r e s o u r c e - r i c h l a n d that a m o u n t s to 6 4 p e r c e n t

m e m b e r s of e t h n i c m i n o r i t i e s l i v e d

of C h i n e s e t e r r i t o r y . 2 G o v e r n m e n t s t a t i s t i c s

similar e c o n o m i c and social conditions (sub-

under

s h o w that mostly m i n o r i t y - i n h a b i t e d

areas

s i s t e n c e a g r a r i a n s o c i e t i e s ) as H a n C h i n e s e .

contain rich mineral deposits and have 56

Four million (including the Tibetans) were

p e r c e n t of C h i n a ' s t i m b e r r e s o u r c e s , 6 8 p e r -

living under what Marxists termed the "feu-

c e n t of its u s a b l e g r a s s l a n d , a n d 5 2 p e r c e n t

d a l i s t s y s t e m of a g r a r i a n s e r f d o m " ; o n e m i l -

of t h e c o u n t r y ' s w a t e r r e s o u r c e s s u i t a b l e f o r

lion l i v e d in c o m m u n i t i e s t h a t

h y d r o p o w e r generation.3 Not unlike

tribal s e r f d o m . 5

other

a r e a s in t h e r e s o u r c e - r i c h T h i r d W o r l d , t h e

maintained

The e n o r m o u s e c o n o m i c , cultural, and

m i n o r i t y - i n h a b i t e d r e g i o n s in C h i n a r e m a i n

social diversity between the Han

Chinese

at e x t r e m e l y l o w l e v e l s of e c o n o m i c d e v e l -

m a j o r i t y and the f i f t y - f i v e ethnic

minority

o p m e n t a n d lack m a r k e t i n s t i t u t i o n s c a p a b l e

g r o u p s in C h i n a c r e a t e s t w o h a r s h p o l i t i c a l

of m o b i l i z i n g r e s o u r c e s f o r r a p i d a n d s u s -

realities. First, direct and c o n f r o n t a t i o n a l ef-

tained growth. Poor physical infrastructure

f o r t s to a c h i e v e s e l f - d e t e r m i n a t i o n by e t h n i c

in t h e s e a r e a s m a k e s c o m m u n i c a t i o n w i t h i n

m i n o r i t i e s a r e l i k e l y to b e c o s t l y a n d u n s u c -

and a m o n g these g r o u p s extremely difficult,

c e s s f u l , g i v e n t h e n e a r c e r t a i n t y of r e p r e s -

thus i m p e d i n g c o a l i t i o n - b u i l d i n g against the

sion by the center. S e c o n d , the c o m p l e x i t i e s

d o m i n a n t C h i n e s e . M o r e o v e r , the c o m p l e t e

of e t h n i c p r o b l e m s s i m i l a r l y c o m p e l t h e C h i -

absence

of

modern

political

institutions

n e s e g o v e r n m e n t to a d o p t a f l e x i b l e s y s t e m

m e a n s t h a t t h e t r a d i t i o n a l e l i t e s of t h e s e m i -

of r u l e t h a t c a n m a i n t a i n t h e t e r r i t o r i a l

n o r i t y g r o u p s h a v e little i n s t i t u t i o n a l c a p a c -

t e g r i t y of t h e e m p i r e , e x e r t t h e p o l i t i c a l a u -

in-

ity f o r e f f e c t i v e l y o r g a n i z i n g m a s s s u p p o r t to

t h o r i t y of t h e c e n t e r , a n d a c c o m m o d a t e t h e

c o u n t e r t h e p r e s s u r e s f r o m t h e c o r e of t h e

e c o n o m i c a n d p o l i t i c a l d e m a n d s of t h e m i -

empire.

norities, especially those with large

Finally,

there

is

great

diversity—in

t e r m s o f s i z e , l e v e l s of e c o n o m i c

develop-

sizes,

h i g h l e v e l s of c o n c e n t r a t i o n , d i s t i n c t c u l t u r a l v a l u e s , and e n d u r i n g social a n d political o r g a -

m e n t , m o d e s of p r o d u c t i o n , s o c i a l s y s t e m s ,

n i z a t i o n s , f o r B e i j i n g ' s d r a c o n i a n rule in n o n -

and c u l t u r e s — a m o n g C h i n a ' s ethnic minori-

C h i n e s e a r e a s is s u r e to b e m e t w i t h s t r o n g

ties. O f the f i f t y - f i v e o f f i c i a l l y d e s i g n a t e d

local r e s i s t a n c e . A r e a l i s t i c s o l u t i o n t o t h e

ethnic minorities, eighteen had populations

p r o b l e m s c r e a t e d by t h e s e t w o realities, as the

of o v e r o n e m i l l i o n ; f i f t e e n h a d p o p u l a t i o n s

C h i n e s e g o v e r n m e n t s e e s , lies in t h e i m p l e -

of b e t w e e n

m e n t a t i o n of a s y s t e m of l i m i t e d a u t o n o m y .

one million and one

hundred

t h o u s a n d ; s e v e n h a d p o p u l a t i o n s of f e w e r

T h e i n s t i t u t i o n a l f o r m of l i m i t e d a u t o n -

than ten thousand; the r e m a i n i n g fifteen are

o m y in C h i n a is t h e s o - c a l l e d r e g i o n a l a u -

w h a t m a y be called " m i n i - m i n o r i t i e s " with

t o n o m o u s g o v e r n m e n t by minority nationali-

even smaller populations.4 The complexities

t i e s o r min:u

of s o c i a l s t r u c t u r e , p a t t e r n s of p o l i t i c a l a u -

f a i l s to g r a n t m i n o r i t y n a t i o n a l i t i e s f u l l p o l i t -

zizhi.6

A l t h o u g h this

system

t h o r i t y , l e v e l s of e c o n o m i c d e v e l o p m e n t , a n d

ical

m o d e s of p r o d u c t i o n a l s o d i f f e r e d g r e a t l y

a l o n e t h e r i g h t s to s e l f - d e t e r m i n a t i o n ) , it al-

among

the

fifty-five

minorities.

When

the P R C w a s f o u n d e d , about thirty million

autonomy

or

self-administration

(let

l o w s a s l i g h t l y h i g h e r d e g r e e of d e c e n t r a l i z a t i o n of p o w e r t o m i n o r i t y - i n h a b i t e d

areas

2. This official figure is based on the size of the territory covered by autonomous regions, prefects, and counties inhabited by ethnic minorities. Zhongguo minzu tongji (1992), p. 10. 3. Ibid. 4. Liu Xianzhao, Zhongguo minzu wenti yanjiu (Beijing: Chinese A c a d e m y of Social Sciences Publishing Co., 1993), p. 220. 5. Liu, Zhongguo minzu wenti yanjiu. pp. 2 2 2 - 2 2 3 . 6. For a discussion of the inadequacy of the system, see Thomas Heberer, China and Its National Minorities: Autonomy or Assimilation? (Armonk, N.Y.: M.E. Sharpe, 1989).

From Nominal

Autonomy

to Genuine

Self-Administration

than to Chinese-inhabited areas. In the rest of the paper, I will first describe and analyze the extant institutional structure and limitations of self-administration by ethnic minorities. I will then analyze the evolution of this system since the f o u n d i n g of the P R C and the political and e c o n o m i c realism that has dominated C h i n a ' s policy toward the ethnic minorities. Finally, I propose a practical strategy for improving minority rights within the existing institutional f r a m e w o r k s of regional self-administration in China.

The Institutional Form of Self-Administration As a concept, regional self-administration by ethnic minorities was introduced before the founding of the PRC. In fact, when the Chinese Communist Party was a fledgling underground organization in the 1920s, its radical charter even endorsed political federalism and advocated national self-determination for Tibet, Xinjiang, Mongolia, and Qinghai. This position remained virtually unchanged until 1946, when the C C P became more confident about its military victory in China's civil war. As a functioning political institution, the system of limited self-administration by ethnic minorities was formally established in 1952, with the promulgation of "The People's Republic of China's Program of Implementation of Regional Self-administration by Minority Nationalities." The document stressed the principle of limited autonomy for ethnic minorities under the sovereign political authority of the central government of the PRC. It permitted the formation of local governments in minority-inhabited areas that were given, at least on the surface, the power of self-administration. Consequently, four provinciallevel a u t o n o m o u s regions (Inner Mongolia,

291

G u a n g x i , Ningxia, and X i n j i a n g ) were formed under the authority of the law. Moreover, twenty-nine a u t o n o m o u s zhou (prefects) and f i f t y - f o u r a u t o n o m o u s counties were formed at the end of 1958. Aside from articulating a simple form of limited self-administration, the document accomplished very little. C h i n a ' s Leninist political system, in reality, allowed almost no genuine local autonomy. In any case, as M a o Z e d o n g ' s regime began to pursue a radical version of socialism in the late 1950s, Beij i n g ' s policy toward ethnic minorities grew less tolerant, and local self-administration became nothing but an empty phrase. During the two decades of political radicalism in China ( 1 9 5 7 - 1 9 7 6 ) , instead of emphasizing economic development and ethnic h a r m o n y in b a c k w a r d areas inhabited by minorities, Mao's government advocated class struggle, imposed agrarian radicalism, and harshly repressed local ethnonationalism. A large number of leaders of ethnic minorities were persecuted. Ethnic cultural and religious heritages of ethnic minorities were devastated. Economic development was set back. 7 The end of the Cultural Revolution brought political moderation and pragmatism back to Beijing. As a form of soft authoritarianism began to take shape in the core of the empire, China's policy toward its ethnic minorities b e c a m e more tolerant. Political relaxation also e m b o l d e n e d many minority groups to reclaim their identities openly. For e x a m p l e , in the 1982 census, only sixtyseven million people identified themselves as members of ethnic minorities. In the 1990 census, ninety-one million people did, with most of them simply reclaiming their ethnic identities. 8 The most significant step taken by the government toward institutionalizing

7. For a historical r e v i e w of C h i n a ' s p o l i c y toward its ethnic minorities, see C o l i n Mackerras, China's Minorities: Integration and Modernization in the Twentieth Century ( N e w York: O x f o r d U n i v e r s i t y Press, 1994), pp. 1 3 9 - 1 6 6 ; June Teufel Dreyer, China's Forty Millions: Minority Nationalities and National Integration in the People's Republic of China ( C a m b r i d g e , M a s s . : Harvard U n i v e r s i t y Press, 1 9 7 6 ) , pp. 2 6 1 - 2 7 6 ; Ya H a n z h a n g , "On Ethnic R e l a t i o n s in the S o c i a l i s t Era," Social Sciences in China, no. 1 ( 1 9 8 3 ) : 1 2 9 - 1 4 2 . 8. G u o D a l i e . Lun dangdai zhongguo de minzu wenti (On the N a t i o n a l i t y P r o b l e m in C o n t e m p o r a r y China) (Beijing: M i n z u P u b l i s h i n g H o u s e , 1994), p. 91.

292

Minxin

Pei

s e l f - a d m i n i s t r a t i o n by minority g r o u p s w a s

c h a i r m a n o r v i c e - c h a i r m a n of t h e s t a n d i n g

t h e r e v i s i o n of t h e 1 9 5 2 d o c u m e n t a n d t h e is-

c o m m i t t e e of t h e p e o p l e ' s c o n g r e s s of t h e

s u a n c e of " T h e L a w o n R e g i o n a l A u t o n o m y

self-administering

f o r M i n o r i t y N a t i o n a l i t i e s " in M a y 1 9 8 4 b y

m e m b e r of t h e l o c a l m i n o r i t y t h a t a d m i n i s -

t h e N a t i o n a l P e o p l e ' s C o n g r e s s ( N P C ) . 9 In a

ters t h e a r e a . M o r e o v e r , t h e g o v e r n o r s of t h e

strict sense, g e n u i n e limited s e l f - a d m i n i s t i a -

a u t o n o m o u s r e g i o n s a n d m a g i s t r a t e s of t h e

t i o n f o r e t h n i c m i n o r i t i e s w a s p r a c t i c e d in

self-administering

C h i n a only after the promulgation

m u s t b e m e m b e r s of t h e l o c a l m i n o r i t y . O f

of

the

1 9 8 4 law.

jurisdiction

prefects

must

and

be

a

counties

c o u r s e , since the secretaries of the C h i n e s e

C o m p a r e d with the 1952 d o c u m e n t on

C o m m u n i s t P a r t y ( C C P ) in t h e s e j u r i s d i c -

s e l f - a d m i n i s t r a t i o n , the 1984 law w a s m o r e

t i o n s — u s u a l l y H a n C h i n e s e a p p o i n t e d by the

specific and liberal. While reiterating

the

C e n t r a l C o m m i t t e e o f t h e C C P — c o n t r o l the

s o v e r e i g n r u l e of t h e c e n t r a l g o v e r n m e n t a n d

final decisionmaking power, these provisions

t h e t e r r i t o r i a l i n t e g r i t y of C h i n a , t h e

a m o u n t t o v e r y l i m i t e d d e c e n t r a l i z a t i o n of

1984

l a w f o r m a l l y g r a n t s a set of b r o a d p o w e r s to

p o w e r on B e i j i n g ' s p a r t .

t h e t h r e e l e v e l s of s e l f - a d m i n i s t r a t i v e g o v -

4. L o c a l f i s c a l p o w e r ( A r t i c l e s 3 3 - 3 5 ) :

e r n m e n t s (region, prefect, and county). The

self-administering

m o s t i m p o r t a n t r i g h t s of s e l f - a d m i n i s t r a t i o n

g r e a t e r d e g r e e of e c o n o m i c d e c i s i o n m a k i n g

s p e c i f i e d in t h e l a w ( P a r t 111) i n c l u d e :

governments

enjoy

a

power than political d e c i s i o n m a k i n g power. T h e y h a v e full control over m o s t taxes and

1. L i m i t e d

legislative

power

(Article

their use, and m a y retain the s u r p l u s e s , ac-

19): A l t h o u g h n o m i n a l l e g i s l a t i v e p o w e r is

c o r d i n g to a f i x e d f o r m u l a ( n e g o t i a t e d

g r a n t e d to a u t o n o m o u s r e g i o n s , e f f e c t i v e leg-

t w e e n the local g o v e r n m e n t s and the center).

be-

i s l a t i v e p o w e r is w i t h h e l d by the c e n t r a l g o v e r n m e n t s i n c e l a w s p a s s e d by t h e l e g i s l a t u r e of a u t o n o m o u s

regions

must

also be

ap-

p r o v e d b y t h e S t a n d i n g C o m m i t t e e of t h e

A d m i n i s t r a t i v e l y , t h e C h i n e s e s y s t e m of limited e t h n i c a u t o n o m y c o n s i s t s of t h r e e l e v e l s of g o v e r n m e n t :

National People's Congress. However, a subregional legislature enjoys a greater degree of p o w e r b e c a u s e

it is a u t h o r i z e d

by

the

1. F i v e a u t o n o m o u s r e g i o n s ( I n n e r M o n golia, Tibet, Guangxi, Xinjiang,

Ningxia).

1 9 8 4 l a w to p a s s l e g i s l a t i o n that is s u b j e c t to

Respectively, five large minorities ( M o n g o -

a p p r o v a l b y t h e s t a n d i n g c o m m i t t e e s of t h e

lians, Tibetans, Z h u a n g s , Uighurs, and Huis)

regional p e o p l e ' s c o n g r e s s , but not by the

inhabit these regions.

central g o v e r n m e n t (although the legislation m u s t be filed f o r r e c o r d - k e e p i n g with

the

2. T h i r t y a u t o n o m o u s p r e f e c t s . W i t h the e x c e p t i o n of t e n p r e f e c t s t h a t c o n t a i n

two

S t a n d i n g C o m m i t t e e of t h e N a t i o n a l P e o p l e ' s

e q u a l l y d o m i n a n t m i n o r i t y g r o u p s , t h e re-

C o n g r e s s ) . T h i s legal a m b i g u i t y p r o v i d e s for

m a i n i n g t w e n t y p r e f e c t s all f e a t u r e o n e s i n -

a potentially valuable vehicle to e x p a n d mi-

gle d o m i n a n t local minority.

n o r i t y s e l f - a d m i n i s t r a t i o n in s u b r e g i o n a l j u risdictions.

3. O n e h u n d r e d t w e n t y - f o u r a u t o n o m o u s counties. T h e s e a d m i n i s t r a t i v e units are de-

2. L i m i t e d p o w e r of a p p e a l ( A r t i c l e 2 0 ) :

signed to provide local a u t o n o m y to smaller

S e l f - a d m i n i s t e r i n g g o v e r n m e n t at all l e v e l s

e t h n i c m i n o r i t i e s c o n c e n t r a t e d in l o c a l i t i e s

m a y r e q u e s t m o d i f i c a t i o n a n d s u s p e n s i o n of

surrounded by other larger minority groups.

p o l i c i e s m a d e b y t h e c e n t r a l g o v e r n m e n t that a r e u n s u i t a b l e to l o c a l c o n d i t i o n s . and

T h i s t h r e e - l e v e l s t r u c t u r e of l i m i t e d l o c a l a u 16

t o n o m y represents an e l a b o r a t e attempt to

17): T h e l a w e x p l i c i t l y s t a t e s t h a t t h e

a c c o m m o d a t e t h e d e m a n d s of C h i n a ' s e t h n i c

3. P o w e r o f a p p o i n t m e n t ( A r t i c l e s

9. For a complete text of the law, see Xinghua

yuehao,

no. 5 (1984), pp. 3 3 - 3 7 .

From Nominal

Autonomy

to Genuine

Self-Administration

minorities within the c o u n t r y ' s constitutional

293

r e f o r m s . T h e c o n s o l i d a t i o n of e c o n o m i c r e -

f r a m e w o r k . Its u n d e r l y i n g l o g i c is t h a t t h e

f o r m s a n d t h e r i s e of a n e w g e n e r a t i o n of

c e n t r a l g o v e r n m e n t is w i l l i n g to m a k e p r o v i -

p r a g m a t i c l e a d e r s at all l e v e l s of g o v e r n m e n t

sions for limited d e c i s i o n m a k i n g p o w e r to

in C h i n a s i m i l a r l y b o d e w e l l f o r t h e s l o w a n d

e t h n i c m i n o r i t i e s in e x c h a n g e f o r m i n o r i t y

g r a d u a l e v o l u t i o n of a p o l i t i c a l s y s t e m t h a t

g r o u p s ' r e c o g n i t i o n of B e i j i n g s o v e r e i g n t y .

will a l l o w f o r greater p o p u l a r participation

T h e t h r e e - l e v e l m o d e l a s s u r e s that t h e l a r g e s t

a n d a u t o n o m y f o r m i n o r i t y g r o u p s . In t h e

n o n - C h i n e s e minority groups (the Z h u a n g s ,

l o n g r u n , an i n d i r e c t r o u t e to s e l f - a d m i n i s t r a -

Huis, Mongolians,

t i o n — o n e that relies on m a r k e t forces and

(Jighurs, and

Tibetans)

r e c e i v e a h i g h e r d e g r e e of a u t o n o m y

than

g r a d u a l e v o l u t i o n of C h i n e s e p o l i t i c a l i n s t i tutions—may

smaller minorities. To most foreign observers and ethnonat i o n a l i s t l e a d e r s o f t h e s e m i n o r i t y g r o u p s in

be

a

less

costly

means

to

s a t i s f y t h e n a t i o n a l i s t y e a r n i n g s of C h i n a ' s minorities.

C h i n a , this s y s t e m of l i m i t e d s e l f - a d m i n i s t r a -

A n a d d i t i o n a l a r g u m e n t to be m a d e for

t i o n is n o t h i n g but a f a c a d e — a n d an i n s t i t u -

t h e 1984 l a w is that p o l i t i c a l i n s t i t u t i o n s ( o r -

t i o n d e s i g n e d to m a i n t a i n B e i j i n g ' s e f f e c t i v e

ganizations, laws, and procedures), once es-

c o n t r o l in t h e s e o u t l y i n g a r e a s . H o w e v e r , in

tablished and m a d e operational, usually take

e v a l u a t i n g t h i s f r a m e w o r k of l i m i t e d s e l f - a d -

o n a l i f e of t h e i r o w n a n d p r o d u c e

ministration, two central facts about ethnic

that m a y not be a n t i c i p a t e d by the original

p o l i t i c s in C h i n a m u s t not b e i g n o r e d . F i r s t ,

d e s i g n e r s of t h e s e i n s t i t u t i o n s . In t h e c a s e of

s o l o n g as t h e c o r e part of t h e C h i n e s e m u l t i -

C h i n a ' s 1984 law on regional a u t o n o m y , the

ethnic e m p i r e r e m a i n s u n d e r the highly cen-

m o s t d r a m a t i c e f f e c t h a s b e e n t h e s t e a d y in-

tralized political control f r o m Beijing, there

c r e a s e in t h e n u m b e r of m i n o r i t y o f f i c i a l s re-

is little r e a l i s t i c c h a n c e f o r p o l i t i c a l d e c e n -

c r u i t e d i n t o t h e v a r i o u s l e v e l s of

tralization or g e n u i n e s e l f - a d m i n i s t r a t i o n to

m e n t , as w e l l as in t h e n u m b e r of d e l e g a t e s

m a t e r i a l i z e in t h e m i n o r i t y - i n h a b i t e d p e r i p h -

to C h i n a ' s r e p r e s e n t a t i v e b o d i e s ( s u c h as t h e

ery. S e c o n d , s o l o n g as C h i n a ' s p o l i t i c a l s y s -

P e o p l e ' s C o n g r e s s at v a r y i n g l e v e l s ) .

tem

remains

undemocratic,

results

govern-

genuine

self-

T h e n u m b e r of g o v e r n m e n t c a d r e s w h o

minorities

that

a r e c o n s i d e r e d m e m b e r s of m i n o r i t y n a t i o n -

m e e t s t h e i r n a t i o n a l i s t a s p i r a t i o n s is u n l i k e l y .

alities has also increased dramatically, espe-

Attempts to seek i n d e p e n d e n c e or self-deter-

c i a l l y s i n c e t h e late 1 9 7 0 s . In 1 9 5 8 , t h e r e

administration

by

ethnic

m i n a t i o n a r e c e r t a i n to e n c o u n t e r h a r s h r e a c -

w e r e o n l y 4 0 0 , 0 0 0 g o v e r n m e n t o f f i c i a l s of

tion f r o m the center.

m i n o r i t y e t h n i c o r i g i n s . In 1 9 7 7 , t h e n u m b e r impediments

r o s e to o n l y 7 8 9 , 0 0 0 ; b u t by t h e e n d of 1 9 8 8 ,

(centralized administration and authoritarian

c a d r e s of m i n o r i t y e t h n i c o r i g i n s n u m b e r e d

These

two

institutional

rule) to g e n u i n e s e l f - a d m i n i s t r a t i o n are not

1.84 m i l l i o n (an i n c r e a s e of o v e r 100 p e r c e n t

i m m u t a b l e . Both are subject to

gradualist

over a decade) and represented 6.06 percent

c h a n g e s c a u s e d b y t h e h i d d e n h a n d of m a r -

of t h e t o t a l n u m b e r of c a d r e s in t h a t y e a r . 1 0

ket f o r c e s and i n c r e m e n t a l and e n d o g e n o u s

In 1 9 9 3 , t h e r e w e r e 2 . 1 m i l l i o n c a d r e s f r o m

institutional changes within the authoritarian

various minority

regime.

By the g o v e r n m e n t ' s

Indeed,

significant

devolution

of

economic decisionmaking power following

45,000 members

nationality own

backgrounds. account,

of m i n o r i t y

about

nationalities

China's market-oriented reforms has already

h e l d g o v e r n m e n t p o s i t i o n s a b o v e t h e l e v e l of

created a more decentralized political

sys-

county g o v e r n m e n t , including the governors

t e m , w i t h p r o v i n c e s e n j o y i n g g r e a t e r real a u -

of t h e f i v e a u t o n o m o u s r e g i o n s a n d m a g i s -

t o n o m y t h a n p r i o r to t h e i n t r o d u c t i o n o f t h e

t r a t e s of t h i r t y a u t o n o m o u s p r e f e c t s a n d 127

10. Zi Yan, "A Historical Review of the Training and Employment of Cadres of Minority Ethnic Origins in China," Shehui ke.xuejia, no. 1 (1990): 5 6 - 5 9 .

294

Minxin

Pei

a u t o n o m o u s c o u n t i e s . " T h e C C P has simi-

Beijing's indirect e c o n o m i c control over

larly l a u n c h e d a d r i v e t o r e c r u i t m e m b e r s of

m i n o r i t y - i n h a b i t e d a r e a s is f a c i l i t a t e d by t h e

m i n o r i t y n a t i o n a l i t i e s i n t o t h e r u l i n g p a r t y ; as

h i s t o r i c a l e c o n o m i c b a c k w a r d n e s s of t h e s e

a result, t h e size of t h e m e m b e r s f r o m m i n o r -

a r e a s . G e n e r a l l y , t h e level of e c o n o m i c d e v e l -

ity n a t i o n a l i t i e s i n c r e a s e d by 4 6 0 p e r c e n t b e -

o p m e n t in m i n o r i t y - i n h a b i t e d a r e a s is l o w e r

t w e e n 1957 a n d 1 9 8 9 . 1 2 T h e i r r e p r e s e n t a t i o n

than that in C h i n e s e - i n h a b i t e d areas. T h i s e c o -

in t h e r u l i n g b o d y of t h e C C P — t h e C e n t r a l

n o m i c g a p is r e f l e c t e d in g o v e r n m e n t s t a t i s -

Committee—rose

In

tics. W h i l e 7.1 p e r c e n t ( 8 0 m i l l i o n p e o p l e ) of

1 9 7 6 . f o r e x a m p l e , o n l y s i x t e e n of t h e 3 3 3

t h e total p o p u l a t i o n in C h i n a lived b e l o w the

f u l l a n d c a n d i d a t e m e m b e r s of the C e n t r a l

o f f i c i a l p o v e r t y level in t h e e a r l y 1 9 9 0 s , 2 0

C o m m i t t e e were f r o m ethnic minorities (4.8

p e r c e n t ( 1 8 m i l l i o n p e o p l e ) of C h i n a ' s e t h n i c

p e r c e n t of the total). In 1987, t h i r t y - t w o of the

m i n o r i t i e s l i v e d b e l o w t h e p o v e r t y l e v e l ; 10

2 8 5 full a n d c a n d i d a t e m e m b e r s of the C e n t r a l

m i l l i o n of t h e m d i d not h a v e a c c e s s t o s a f e

C o m m i t t e e w e r e m e m b e r s of e t h n i c m i n o r i -

h o u s i n g a n d d r i n k i n g w a t e r . 1 5 In t e r m s of

rapidly

in t h e

13

1980s.

Of course,

g r o w t h rate, m i n o r i t y - i n h a b i t e d areas

have

t h e s e i n c r e a s e s by m i n o r i t y r e p r e s e n t a t i o n in

significantly lagged behind. Between

1950

v a r i o u s political d e c i s i o n m a k i n g b o d i e s of the

a n d 1988, the g r o s s i n d u s t r i a l and a g r i c u l t u r a l

C h i n e s e g o v e r n m e n t h a v e not y e t , o n t h e i r

o u t p u t v a l u e of C h i n a r o s e 3 . 9 1 0 p e r c e n t , but

ties ( 1 1 . 2 p e r c e n t of t h e t o t a l ) .

o w n , c r e a t e d a b r e a k t h r o u g h in C h i n a ' s p o l i c y

in m i n o r i t y - i n h a b i t e d a r e a s , the i n c r e a s e w a s

toward ethnic minorities. Nevertheless, these

o n l y 1,950 p e r c e n t , less than half the n a t i o n a l

are i m p o r t a n t steps that h a v e l o n g - t e r m polit-

rate of i n c r e a s e . 1 6 A s a result, the m i n o r i t y - i n -

ical c o n s e q u e n c e s in a d v a n c i n g t h e p o l i t i c a l

habited areas remain economically marginal-

a g e n d a of t h e s e m i n o r i t y g r o u p s .

ized. In 1991, their i n d u s t r i a l and a g r i c u l t u r a l g r o s s o u t p u t v a l u e a c c o u n t e d for only 7.1 per-

The Political Economy of Limited Self-Administration

cent of t h e n a t i o n a l t o t a l . 1 7

T h e c e n t r a l o b j e c t i v e of C h i n a ' s l i m i t e d s e l f -

n a n t l y a g r a r i a n . In 1 9 9 1 , t h e p r i m a r y s e c t o r

Structurally,

these areas are

predomi-

a d m i n i s t r a t i o n f o r its e t h n i c m i n o r i t i e s is t h e

( a g r i c u l t u r e ) a c c o u n t e d f o r 4 0 . 7 p e r c e n t of

preservation of C h i n a ' s territorial

t h e G N P of m i n o r i t y - i n h a b i t e d a r e a s ( c o m -

integrity

and B e i j i n g ' s sovereignty over the periphery.

pared

In f u l f i l l i n g this s t r a t e g i c g o a l , t h e c e n t e r h a s

whole), with industry contributing only 32.67

with

26.6

percent

for China

as

a

relied on three instruments: direct political

p e r c e n t of t h e G N P ( c o m p a r e d w i t h 4 6 . 1 per-

control

cent for China).18 Personal income for mi-

(chiefly

through

appointments

of

key regional and local officials, usually H a n

n o r i t i e s a l s o f e l l b e h i n d . In 1 9 8 9 , n e t

C h i n e s e ) , r e c r u i t m e n t of p o l i t i c a l e l i t e s f r o m

c a p i t a p e a s a n t i n c o m e in t h e f i v e a u t o n o m o u s

minority groups, and indirect e c o n o m i c con-

regions averaged only 484.6 yuan, c o m p a r e d

trol ( t h r o u g h d i r e c t f i s c a l s u b s i d i e s a n d e c o -

t o t h e n a t i o n a l a v e r a g e of 6 0 1 . 5

nomic integration).14

percent less.19 Such backwardness

per

yuan—24 persists

11. Zijing Magazine (Hong Kong, July 1993): 29. 12. Minzu gongzhuo tongji tiyao 1949-1989 (Beijing: Minzu Publishing Co., 1990), p. 28. 13. Minzu zhishi shouche, p. 826. 14. For an overview of economic development of China's minority-inhabited areas, see Mackerras, op. cit., pp. 198-232. 15. Liu Xianzhao, Zongguo minzu wenli yanjiu (Beijing: Chinese A c a d e m y of Social Sciences Publishing Co., 1993), p. 298. 16. Ibid. 17. Zhongguo minzu tongji (1992), p. 13. 18. Ibid., p. 14. 19. Long Yunshu, et al., "Minzu diqu nongchun chanye jiegou tiaozheng wenti xianxi," Xinan minzu xueyuan .xuebao, no. 5 (1991): 22.

From Nominal

Autonomy

to Genuine

Self-Administration

295

despite large subsidies and investments pro-

e d i b l e oil, 9 . 9 p e r c e n t of c r u d e oil, 11.2 p e r -

vided to these areas by the central g o v e r n -

c e n t o f c o a l , 12.7 p e r c e n t of g r a i n , a n d 11.5

ment. B e t w e e n 1950 and 1988, the govern-

p e r c e n t of c o t t o n . 2 3 It is q u i t e e v i d e n t t h a t

ment

the

the vast minority-inhabited areas play a key

minority-inhab-

r o l e in m e e t i n g C h i n a ' s n e e d s f o r n a t u r a l re-

invested

160

billion

s t a t e - o w n e d e n t e r p r i s e s in

yuan

in

ited a r e a s ( 8 2 b i l l i o n y u a n b e t w e e n 1 9 7 9 a n d

sources.

198 8 ) . 2 0 In a d d i t i o n , t h e c e n t r a l g o v e r n m e n t

closely tied together the c o m m o d i t y - p r o d u c -

Economic

integration

has

thus

h a s p r o v i d e d l a r g e s u m s in d i r e c t b u d g e t a r y

ing m i n o r i t y - i n h a b i t e d a r e a s a n d t h e i n c r e a s -

s u b s i d i e s to local g o v e r n m e n t s in m i n o r i t y - i n -

i n g l y i n d u s t r i a l i z e d c o r e of C h i n a , a l t h o u g h

h a b i t e d a r e a s . B e t w e e n 1978 a n d 1991, t r a n s -

t h e t e r m s of t r a d e a r e not n e c e s s a r i l y in f a v o r

f e r s f r o m t h e c e n t r a l g o v e r n m e n t to c o v e r

of t h e e t h n i c m i n o r i t i e s .

b u d g e t s h o r t f a l l s in m i n o r i t y - i n h a b i t e d a r e a s

A n i m p o r t a n t q u e s t i o n h e r e is w h e t h e r

a m o u n t e d to a s t a g g e r i n g 123.7 b i l l i o n y u a n .

t h e c e n t e r ' s m a s s i v e i n v e s t m e n t in t h e s t a t e -

In 1991 a l o n e , the a m o u n t of d i r e c t f i s c a l s u b -

o w n e d e n t e r p r i s e s in, a n d f i s c a l t r a n s f e r s to,

sidies was 14.28 billion y u a n (about 25 per-

minority-inhabited

cent

c i e n t l y u s e d in d e v e l o p i n g a b a s e of p r o d u c -

of

the

central

government's

budget

deficit).21 S u c h massive transfers are necessi-

areas

have

been

effi-

t i o n c a p a b l e of g e n e r a t i n g w e a l t h f o r e t h n i c

tated by t h e d i s m a l f i s c a l c o n d i t i o n s in m i n o r -

m i n o r i t i e s . In e x p l o r i n g t h i s i s s u e , it is i m -

ity-inhabited areas, where government

portant to r e c o g n i z e that the initial c o n d i -

rev-

enues since the m i d - 1 9 7 0 s could cover only

tions for industrial

half of t h e e x p e n d i t u r e s ( a l t h o u g h t h e i r f i s c a l

a r e a s w e r e s o p o o r that t h e r e q u i r e m e n t s f o r

picture began

capital and other resource inputs were bound

to b r i g h t e n

u p in t h e

early

1 9 9 0 s , w h e n b u d g e t d e f i c i t s fell b e l o w

85

p e r c e n t of t h e r e v e n u e s ) . 2 2 F i s c a l i m b a l a n c e s of t h i s m a g n i t u d e r a i s e q u e s t i o n s b o t h a b o u t

development

in

these

to b e v e r y l a r g e a n d that t h e p r o g r e s s of d e v e l o p m e n t w a s most likely to be e x t r e m e l y slow. H o w e v e r , the m a i n point to be m a d e

B e i j i n g ' s l o n g - t e r m c a p a c i t y to p r o v i d e l a r g e

h e r e is that C h i n a ' s i n v e s t m e n t a n d f i s c a l d e -

budget

cisions reached

s u b s i d i e s to t h e s e a r e a s a n d

about

these areas' fiscal well-being should the subsidies f r o m t h e c e n t e r be r e d u c e d o r c u t o f f . From a different perspective, one may

with respect to

minority-

inhabited areas were driven primarily by political

and

economic

strategic concerns concerns.

and

Therefore,

not

these

by re-

treat B e i j i n g ' s b i l l i o n s of y u a n in f i s c a l s u b -

s o u r c e s c h a n n e l e d f r o m t h e c e n t e r to t h e p e -

s i d i e s to m i n o r i t y - i n h a b i t e d a r e a s as a d i s -

r i p h e r y p r e d i c t a b l y f u l f i l l e d m o s t of t h e p o -

g u i s e d f o r m of p a y m e n t f o r a b u n d a n t

litical g o a l s ( c h i e f l y , m a i n t a i n i n g a s y s t e m of

raw

m a t e r i a l s p r o d u c e d in t h e s e a r e a s b u t t r a n s -

limited a u t o n o m y that e n s u r e s central con-

p o r t e d to t h e i n d u s t r i a l i z e d c o r e p a r t s of t h e

trol). F r o m a strictly e c o n o m i c perspective,

e m p i r e f o r p r o c e s s i n g at b e l o w w o r l d - m a r k e t

h o w e v e r , they w e r e not efficiently utilized.

prices. A l t h o u g h there are no official data on

D e s p i t e u s i n g liberal a c c o u n t i n g m e t h o d s ,

t h e t o t a l v a l u e of r a w m a t e r i a l s t r a n s f e r r e d

g o v e r n m e n t f i g u r e s s h o w that a v e r y

from minority-inhabited areas, government

p r o p o r t i o n of s t a t e - o w n e d e n t e r p r i s e s in m i -

s t a t i s t i c s s h o w that a r e a s u n d e r m i n o r i t y s e l f -

nority-inhabited

a d m i n i s t r a t i o n a c c o u n t e d f o r , in 1 9 9 1 , 3 1 . 1

1 9 9 1 , 2 , 9 9 3 of t h e 11,311 s t a t e - o w n e d f i r m s

p e r c e n t of C h i n a ' s t o t a l t i m b e r o u t p u t , 5 4 . 7

(26.4 percent) were loss-makers, with

p e r c e n t of t h e t o t a l s h e e p p o p u l a t i o n , 4 0 p e r -

total a m o u n t of l o s s r e a c h i n g 3.5 b i l l i o n y u a n

c e n t of l a r g e l i v e s t o c k ,

t h a t y e a r . 2 4 C o m p a r e d w i t h c o u n t e r p a r t s in

20. 21. 22. 23. 24.

14 p e r c e n t o f

the

Liu Xianzhao, Zhongguo minzu wenti yanjiu, Zhongguo minzu tongji (1992), p. 205. Ibid., p. 205. Ibid., p. 13. Ibid., p. 132.

p. 226.

large

areas are unprofitable.

In the

Minxin

296

the Chinese-dominated areas, state-owned f i r m s in m i n o r i t y - i n h a b i t e d a r e a s a r e m u c h less productive. T h e average productivity f o r a f u l l - t i m e e m p l o y e e in s t a t e - o w n e d f i r m s in C h i n a w a s 3 2 , 3 0 4 y u a n in 1991. T h e s a m e f i g u r e f o r a w o r k e r in a s t a t e o w n e d f i r m in m i n o r i t y - i n h a b i t e d a r e a s in 1991 w a s 2 5 , 7 6 1 y u a n ( a b o u t 2 0 p e r c e n t l e s s ) . 2 5 O w i n g to C h i n a ' s p a s t m i s d i r e c t e d investment policy favoring state-owned f i r m s , the poorly p e r f o r m i n g state sector d o m i n a t e d the i n d u s t r i a l s e c t o r in m i n o r i t y i n h a b i t e d a r e a s . In 1991, s t a t e - o w n e d e n t e r p r i s e s c o n t r i b u t e d to 7 8 . 5 p e r c e n t of t h e g r o s s v a l u e of industrial o u t p u t in m i n o r i t y i n h a b i t e d areas ( c o m p a r e d w i t h 6 3 . 6 p e r c e n t f o r C h i n a ) . 2 6 T h e p e r s i s t e n t d o m i n a n c e by the i n e f f i c i e n t state sector, c o u p l e d with the s l o w d e v e l o p m e n t of t h e p r i v a t e s e c t o r in m i n o r i t y - i n h a b i t e d a r e a s , m e a n s that a structural t r a n s f o r m a t i o n of the p r o d u c t i v e b a s e will r e q u i r e a great length of t i m e and a f u n d a m e n t a l s h i f t in the c e n t r a l g o v e r n m e n t ' s investment strategy f r o m favoring the state s e c t o r to s u p p o r t i n g the p r i v a t e sector. Finally, the e c o n o m i c structural t r a n s f o r m a t i o n of C h i n a ' s m i n o r i t y - i n h a b i t e d areas is unlikely to b e n e f i t f r o m the b o o m in f o r e i g n direct i n v e s t m e n t that has c o n t r i b u t e d s i g n i f icantly to the c o u n t r y ' s e c o n o m i c t a k e o f f since the late 1970s. Of the tens of billions of dollars in f o r e i g n direct i n v e s t m e n t C h i n a rec e i v e d s i n c e the late 1970s, o n l y a s m a l l a m o u n t t r i c k l e d into the m i n o r i t y - i n h a b i t e d areas. In 1991, total f o r e i g n direct i n v e s t m e n t ( a c t u a l l y d i s b u r s e d ) in C h i n a a m o u n t e d to $ 4 . 3 billion, but the f i v e a u t o n o m o u s r e g i o n s r e c e i v e d only $ 2 6 . 8 million (0.6 p e r c e n t ) . 2 7 This analysis of the e c o n o m i c c o n d i t i o n s in minority-inhabited areas indicates that genuine s e l f - a d m i n i s t r a t i o n in C h i n a f a c e s not only serious political o p p o s i t i o n (the central g o v e r n m e n t ' s d e t e r m i n a t i o n to m a i n t a i n the c o u n t r y ' s territorial integrity and political sovereignty o v e r these areas at all costs) but

Pei

e n o r m o u s structural e c o n o m i c obstacles. S h o r t a g e of t e c h n o c r a t i c talent, lack of a skilled labor f o r c e , scarcity of capital, state d o m i n a t i o n of the e c o n o m y , low productivity, u n d e r d e v e l o p m e n t of m a r k e t institutions, and poor infrastructure raise d e e p d o u b t s about the e c o n o m i c p r o s p e c t s and viability of self-adm i n i s t e r i n g c o m m u n i t i e s in t h e s e areas that are d e n i e d the b e n e f i t s of trade, investment, and fiscal support f r o m the center. This is not saying that the c e n t e r has s u c c e s s f u l l y developed these areas (although its achievement has been considerable). Despite large central gove r n m e n t fiscal support and capital investment, these areas r e m a i n the m o s t b a c k w a r d in China. At present, there is no c o n v i n c i n g evid e n c e that increasing the d e g r e e of self-administration will speed up e c o n o m i c developm e n t in these areas. In the n e a r term, the e c o n o m i c w e l l - b e i n g of these areas is most likely to be raised by the further expansion of m a r k e t - o r i e n t e d r e f o r m s e m a n a t i n g f r o m the industrialized core of China.

A Strategy for Expanded Self-Administration C h i n a ' s t h r e e - p r o n g e d realist s t r a t e g y f o r d e a l i n g w i t h its e t h n i c p r o b l e m s h a s p r o v e d to be q u i t e e f f e c t i v e in m a i n t a i n i n g the d o m i n a n c e by the C h i n e s e m a j o r i t y , a l t h o u g h the c o s t s h a v e b e e n e x t r e m e l y h i g h (that is, political r e p r e s s i o n of m i n o r i t i e s , v i o l a t i o n of h u m a n rights, destruction of cultural h e r i t a g e s of m i n o r i t y g r o u p s , a n d i n e f f i c i e n t u s e s of e c o n o m i c r e s o u r c e s ) . In the m i d - 1 9 9 0 s , this s t r a t e g y h a s b e c o m e e x h a u s t e d f o r the f o l lowing reasons: 1. M a s s i v e m i g r a t i o n by C h i n e s e to o u t l y i n g a r e a s is n o l o n g e r a v i a b l e o p t i o n b e c a u s e of r i s i n g local r e s i s t a n c e a n d o v e r c r o w d i n g in m i n o r i t y - i n h a b i t e d a r e a s w h e r e a r a b l e l a n d is a l r e a d y s c a r c e . In s o m e c a s e s (such as Tibet), this p o l i c y is likely to a r o u s e international pressures and c o n d e m n a t i o n s

2 5 . S a m p l i n g c o m e s f r o m state f i r m s l o c a t e d in e i g h t p r e d o m i n a n t l y m i n o r i t y - i n h a b i t e d r e g i o n s ( I n n e r M o n g o l i a , G u a n g x i , T i b e t , N i n g x i a , X i n j i a n g , G u i z h o u , Y u n n a n , a n d Q i n g h a i ) ; Zhongguo minzu longji

(1992), p. 148. 2 6 . O n l y by f i r m s at a n d a b o v e t h e t o w n s h i p l e v e l ; Zliongguo 2 7 . Ibid., p. 199.

minzu

longji

(1992),

p. 122.

From Nominal Autonomy

to Genuine

Self-Administration

that C h i n a , itself i n c r e a s i n g l y i n t e g r a t e d into t h e w o r l d political a n d e c o n o m i c c o m m u n i t y , c a n n o l o n g e r i g n o r e , as it d i d d u r i n g the y e a r s of M a o i s t r u l e . I n t e r n a l p o l i t i c a l f a c tors have also ruled out involuntary migration because the Chinese g o v e r n m e n t no l o n g e r has t h e s a m e c o e r c i v e p o w e r to f o r c e H a n C h i n e s e to e m i g r a t e to r e m o t e m i n o r i t y i n h a b i t e d a r e a s on a large scale. 2. T h e e c o n o m i c i n t e r d e p e n d e n c e bet w e e n t h e c o r e of C h i n a and its p e r i p h e r y built u p o n the m o d e l of a p l a n n e d e c o n o m y h a s also u n r a v e l e d as a result of m a r k e t - o r i e n t e d r e f o r m s s i n c e 1978. W i t h the d e c e n tralization of p u b l i c f i n a n c e , the c e n t r a l g o v e r n m e n t ' s c a p a c i t y to s u s t a i n large t r a n s f e r s to minority-inhabited regions has declined s i g n i f i c a n t l y . T h i s fiscal c o n s t r a i n t will limit the p o l i c y o p t i o n s a v a i l a b l e to t h e c e n t r a l g o v e r n m e n t in m a i n t a i n i n g p o l i t i c a l d o m i n a n c e in t h e s e a r e a s . In t h e m e a n t i m e , the rising m a r k e t - o r i e n t e d e c o n o m i c i n t e r d e p e n d e n c e b e t w e e n the c o r e and the p e r i p h e r y of C h i n a will d i m i n i s h t h e c e n t e r ' s c a p a c i t y to u s e a d m i n i s t r a t i v e m e a n s to control the e c o n o m i c d e v e l o p m e n t of the p e r i p h e r y . 3. S e l e c t i v e r e p r e s s i o n of o p e n s e c e s sionist m o v e m e n t s r e m a i n s the o n l y a v a i l able o p t i o n to the c e n t r a l g o v e r n m e n t in the short t e r m . Yet this a p p r o a c h is also b e c o m ing m o r e costly b e c a u s e the m i n o r i t y g r o u p s d e m a n d i n g s e l f - d e t e r m i n a t i o n ( T i b e t a n s and M u s l i m g r o u p s in C e n t r a l A s i a ) not o n l y h a v e a c c e s s to e x t e r n a l m o r a l and m a t e r i a l s u p p o r t , but m a y s o o n t u r n to m o r e v i o l e n t m e a n s in a c h i e v i n g their goal. T h e s e f a c t o r s r e q u i r e a n e w s t r a t e g y in achieving a delicate balance between maint a i n i n g C h i n a ' s o v e r a l l t e r r i t o r i a l unity, on the one hand, and p r o m o t i n g genuine local a u t o n o m y , o n the o t h e r . A l t h o u g h i n t e r n a tional f o r c e s m a y p l a y a p o s i t i v e role in realizing this g o a l , p o l i t i c a l f a c t o r s i n t e r n a l to C h i n a will r e m a i n t h e m o s t i m p o r t a n t in p r o moting a peaceful evolution toward genuine self-determination for China's ninety million

297

p e o p l e of v a r i o u s m i n o r i t y g r o u p s . F u t u r e p r o g r e s s in this d i r e c t i o n s h o u l d not be m a d e to d e p e n d on i n d i v i d u a l l e a d e r s in B e i j i n g , but on t h e c o n s t r u c t i o n of solid i n s t i t u t i o n a l f o u n d a t i o n s to e n s u r e m i n o r i t y rights and p o litical r e p r e s e n t a t i o n . T h i s strategy s h o u l d be b a s e d on t w o key e l e m e n t s : (1) the d e v e l o p m e n t of local political institutions of g e n u i n e s e l f - a d m i n i s t r a t i o n ; (2) the c o n s t r u c t i o n of economic federalism. T h e p r e c e d i n g discussion of C h i n a ' s policy t o w a r d its n u m e r o u s m i n o r i t y g r o u p s and its existing institution of limited self-administration s u g g e s t s that there is significant s p a c e f o r e x p a n s i o n of g e n u i n e s e l f - a d m i n i s t r a t i o n by e t h n i c m i n o r i t i e s in C h i n a within the all o w a b l e limits of the current s y s t e m . Of course, so long as C h i n a ' s centralized authoritarian system persists, genuine self-administration is u n f e a s i b l e and, if a t t e m p t e d , is most likely to lead to violent e t h n i c c o n f l i c t s and e n c o u n t e r b l o o d y r e p r e s s i o n f r o m the center. A l t h o u g h d e m o c r a t i c s e l f - a d m i n i s t r a t i o n by minority g r o u p s m a y b e c o m e a political reality with the e m e r g e n c e of a decentralized d e m o c ratic political s y s t e m in C h i n a in the distant future, in the interim, m o d e r a t e e x p e r i m e n t s in and steps t o w a r d s e l f - a d m i n i s t r a t i o n m a y be feasible at the county and prefect levels within the existing political f r a m e w o r k . It is a w e l l - k n o w n f a c t that the C h i n e s e g o v e r n m e n t is e x t r e m e l y s e n s i t i v e to d e m a n d s f o r regional (that is, p r o v i n c i a l ) autono m y r e g a r d l e s s of the ethnicity of the r e g i o n . In a d d i t i o n , s i n c e t h e H a n C h i n e s e d e m o g r a p h i c a l l y d o m i n a t e all but t w o r e g i o n s ( X i n j i a n g and T i b e t ) , a s t r a t e g y t o w a r d a c h i e v i n g s e l f - a d m i n i s t r a t i o n at t h e r e g i o n a l level is u n l i k e l y to w o r k f o r m o s t m i n o r i t y g r o u p s . A less a m b i t i o u s but m o r e p r a c t i c a l alternative is to strive t o w a r d s e l f - a d m i n i s t r a tion in p r e f e c t s a n d c o u n t i e s w h e r e m i n o r i t y g r o u p s are d e m o g r a p h i c a l l y p r e d o m i n a n t . A s of the end of 1990. m i n o r i t y g r o u p s m a k e u p an a b s o l u t e m a j o r i t y in t w e n t y of thirty a u t o n o m o u s p r e f e c t s , a n d in s e v e n t y - e i g h t of the 124 a u t o n o m o u s c o u n t i e s . 2 8 T h e s e ninety-

28. Calculated from data in Jiang Ping, ed., Theories and Practice of China's Ethnic Problems (Beijing: Chinese Communist Party Central Committee Institute Publishing House, 1994), pp. 500-516.

298

Minxin

Pei

eight m i n o r i t y - d o m i n a t e d j u r i s d i c t i o n s may

tinue to depend on e c o n o m i c transfers from

have m o r e favorable conditions for expan-

the center, for which they may have to pay a

sion

high political price.

of

self-administration

than

areas

in

which minority groups lack the demographic

S e l f - a d m i n i s t r a t i o n by minority groups

d o m i n a n c e . Even in s e m i - o p e n l o c a l e l e c -

in China can thus be a workable c o m p r o m i s e

tions, the numerical advantages o f ethnic mi-

between complete self-determination and na-

norities in these j u r i s d i c t i o n s will increase

tionhood and the status quo. Political moder-

the level o f political representation in prefect

ation, c o n c e s s i o n s , and cooperation are re-

and county governments. Should C h i n a ' s po-

quired

litical evolution toward soft authoritarianism

minority groups yearning for political and

remain on course, semi-open local elections

e c o n o m i c autonomy. Barring a political im-

are likely to occur in the near future.

plosion in the c e n t e r similar to the c o l l a p s e

from

both

Beijing

and

various

Self-administration cannot be genuine or

o f the former S o v i e t Union, it is unrealistic

viable without a functioning form o f e c o -

to seek a quick breakthrough to self-determi-

nomic federalism. Given the e c o n o m i c back-

nation at the regional level. Any such at-

wardness o f most minority-inhabited areas, it

tempts are sure to cause massive v i o l e n c e

is vital to construct the institutions o f e c o -

and derail the evolutionary process toward

nomic federalism, especially those maintain-

self-administration at subregional levels o f

ing open markets and trade with the rest o f

government. T h e alternative path, despite its

C h i n a , full utilization o f local c o m p a r a t i v e

slow pace and uneven progress across re-

e c o n o m i c advantage, and a system o f local

gions (as some more cohesive and mobilized

public f i n a n c e . O f course, it is easier to de-

minority

sign these e c o n o m i c institutions on paper

higher level o f self-administration than oth-

than build them in actuality. In all likelihood,

ers), is not to be dismissed as too conserva-

measures

tive. Most revolutionary c h a n g e s in history

taken

to

accomplish

this

goal

groups

are

expected

to gain

than

a

will be time-consuming and encounter many

have produced more disruption

difficulties. In the short to medium term, mi-

substantive progress. Evolutionary progress

real

nority-inhabited areas will most likely con-

is slow, but more solid and durable.

Commentary Daniel A. Bell

I

e n j o y e d reading this paper, an important

clusion. T h e conservative premise is the as-

challenge

wisdom

sumption that there are f i f t y - f i v e ethnic mi-

radical

norities in C h i n a and that " m i n o r i t y r i g h t s "

c h a n g e s are needed to significantly improve

problems arise only with respect to those mi-

among

to the

China

conventional

scholars

that

quite

minority rights in China. I was not fully per-

norities. T h e term " e t h n i c m i n o r i t i e s , " how-

suaded by this p a p e r ' s central

ever, is not defined in this paper. Instead, Pei

argument,

however, and I will develop my

reasons

begins with an estimate o f the n u m b e r o f

below. I end this c o m m e n t a r y with a short

ethnic minorities provided by an

d i s c u s s i o n o f what, in my view, is a more

C h i n e s e source as though the g o v e r n m e n t ' s

promising approach for improving minority

approach o f defining and delineating minor-

rights in China. T h i s essay b e g i n s with a c o n s e r v a t i v e p r e m i s e and ends with a c o n s e r v a t i v e c o n -

official

ity groups were beyond question; however, as a c o n s e q u e n c e o f this starting point, some politically relevant minority actors are left

Commentary

o u t of the p i c t u r e . F o r e x a m p l e , n o t h i n g is said a b o u t t h e f a c t that t h e d e v e l o p m e n t of T a i w a n e s e identity m a y p o s e a s e r i o u s o b s t a cle to the p r o s p e c t s of r e u n i f i c a t i o n with the m a i n l a n d ( t h i s is a n o n i s s u e , if o n e a c c e p t s t h e o f f i c i a l P R C v i e w p o i n t that n a t i v e T a i w a n e s e are not a d i s t i n c t cultural g r o u p i n g ) , but in the real political w o r l d it is i m p o s s i b l e to i g n o r e t h e fact that m a n y T a i w a n e s e think of t h e m s e l v e s as s u f f i c i e n t l y distinct to seek s o m e f o r m of p o l i t i c a l i n d e p e n d e n c e . A n y p r o p o s a l f o r i m p r o v i n g m i n o r i t y r i g h t s in C h i n a that l e a v e s out the T a i w a n e s e identity q u e s t i o n is t h u s i n c o m p l e t e . Similarly, one c a n n o t ignore the threat to C h i n a ' s " m u l t i n a t i o n a l e m p i r e " p o s e d by the d e v e l o p m e n t of l o c a l i s m in C h i n a , n o t w i t h s t a n d i n g the fact that t h e C h i n e s e g o v e r n m e n t m a y not c h o o s e to v i e w this as a " m i nority rights" problem. Gerald Segal, for e x a m p l e , s u g g e s t s that the g r o w t h of " n a t u r a l e c o n o m i c t e r r i t o r i e s " in s o u t h e r n C h i n a , c e m e n t e d in part by e t h n i c i t y a n d s h a r e d lang u a g e , has " m a j o r i m p l i c a t i o n s f o r B e i j i n g ' s ability to m a i n t a i n C h i n a ' s u n i t y . " 2 4 If a n d w h e n e c o n o m i c g r o w t h s l o w s significantly, it is not i m p l a u s i b l e to i m a g i n e that m o v e m e n t s f o r r e g i o n a l e x p r e s s i o n m a y gain s u f ficient strength to u n d e r m i n e the unity of the C h i n e s e state. A l t e r n a t i v e l y , in the e v e n t that the C h i n e s e C o m m u n i s t P a r t y f r a c t u r e s or c o l l a p s e s , c e n t r a l state i n s t i t u t i o n s m a y lose their c a p a c i t y to c o n t r o l l o c a l - l e v e l m o v e m e n t s f o r a u t o n o m y (it is w o r t h r e c a l l i n g that in 1921 S i c h u a n P r o v i n c e p r o c l a i m e d a d e c l a r a t i o n of i n d e p e n d e n c e 3 0 ) . T h i s is not to say S o v i e t - s t y l e political d i s i n t e g r a t i o n is the m o s t likely c o n s e q u e n c e of r e g i o n a l e c o n o m i c g r o w t h , but d e m a n d s f o r m o r e s e l f a d m i n i s t r a t i o n , if n o t f u l l - s c a l e p o l i t i c a l ind e p e n d e n c e a r i s i n g f r o m a m i x t u r e of

299

economic interests and cultural particularities, m a y g r o w w i t h i n p a r t s of " H a n " C h i n a as well. Relying on official Chinese formulations of " m i n o r i t y r i g h t s " c a t e g o r i e s a n d p r o b l e m s a l s o l e a d s Pei to n e g l e c t the i s s u e of e t h n i c g r o u p s l i v i n g in a r e a s not o f f i c i a l l y d e s i g n a t e d as " m i n o r i t y z o n e s . " C h i n a s c h o l a r T h o m a s H e b e r e r , a l e a d i n g e x p e r t on n a t i o n a l m i n o r i t i e s in C h i n a , n o t e s that " a p p r o x i m a t e l y 11 m i l l i o n m e m b e r s of n a t i o n a l m i n o r i t i e s ( r o u g h l y o n e - s i x t h of the total) live o u t s i d e the a u t o n o m o u s r e g i o n s in m i x e d r e g i o n s ; a n o t h e r 5.7 m i l l i o n h a v e n o a u t o n o m y b e c a u s e of their relatively s p a r s e settlem e n t p a t t e r n s . S i n c e these 18.7 m i l l i o n e n j o y n o e f f e c t i v e a u t o n o m y , it is d o u b l y d i f f i c u l t f o r t h e m to lay c l a i m to any r i g h t s at all, let a l o n e to r e a l i z e t h e m . " 1 1 A m o n g " t h e m e m b e r s of e t h n i c m i n o r i t i e s l i v i n g s c a t t e r e d " t h r o u g h o u t the c o u n t r y are t h e m a j o r i t y of T i b e t a n s in C h i n a w h o a c t u a l l y live o u t s i d e the " T i b e t a n A u t o n o m o u s Z o n e , " yet P e i ' s p r o p o s a l s on " s e l f - a d m i n i s t r a t i o n and T i b e t " o n l y s e e m to c o v e r T i b e t a n s l i v i n g in t h e "Tibetan A u t o n o m o u s Zone."12 Certainly, f r o m t h e p o i n t of v i e w of T i b e t a n s , it is an o p e n q u e s t i o n w h e t h e r or not the b o u n d a r y of t h e " T i b e t a n A u t o n o m o u s Z o n e " s h o u l d i n c l u d e T i b e t a n - i n h a b i t e d a r e a s in S i c h u a n , Y u n n a n , Q i n g h a i , and G a n s u . W h a t e v e r o n e t h i n k s a b o u t the p r o p o s a l s of T i b e t a n n a t i o n alists, it is i m p o r t a n t to c o n s i d e r fair and politically r e a l i s t i c w a y s of d e l i n e a t i n g state b o u n d a r i e s in a m o r e o p e n f u t u r e . In s h o r t , a d o p t i n g the o f f i c i a l C h i n e s e d e f i n i t i o n of an " e t h n i c g r o u p " and t h e o f f i cial f o r m u l a t i o n of the " m i n o r i t y r i g h t s " p r o b l e m in C h i n a l e a d s Pei to o v e r l o o k several a c t u a l or p o t e n t i a l " m i n o r i t y r i g h t s " iss u e s , s u c h as t h e g r o w t h of a T a i w a n e s e

29. Gerald Segal, "Deconstructing Foreign Relations," in David Goodman and Gerald Segal, ed., China Deconstructs (London: Routledge, 1994), p. 331. 30. David Goodman, "The Politics of Regionalism: Economic Development, Conflict, and Negotiation," in China Deconstructs, p. 8. 31. Thomas Heberer, China and Its National Minorities: Autonomy or Assimilation? (Armonk, N.Y.: M.E. Sharpe, 1989), p. 53. 32. Yan Jia Qi, "From a "Centralized China" to a "Federal China" (paper presented at a conference on "China and Constitutionalism," Columbia University, N.Y., April 21, 1995), p. 11.

Daniel A. Bell

300

identity and the attendant political implica-

of t h e i r o w n c o m m u n i t i e s . C o n t r a r y to P e i ' s

tions for C h i n e s e reunification, the develop-

optimistic

m e n t of r e g i o n a l c e n t e r s of e c o n o m i c

t h a t i n c r e a s e s b y m i n o r i t y r e p r e s e n t a t i o n in

and

and

unsubstantiated

conclusion

cultural p o w e r and the threat this poses for

v a r i o u s p o l i t i c a l d e c i s i o n m a k i n g b o d i e s will

C h i n e s e u n i t y , a n d t h e q u e s t i o n of p r o t e c t i n g

" h a v e l o n g - t e r m political c o n s e q u e n c e s in a d -

t h e i n t e r e s t s of m i n o r i t i e s l i v i n g o u t s i d e o f f i -

v a n c i n g t h e political a g e n d a of t h e s e m i n o r i t y

c i a l l y d e s i g n a t e d " m i n o r i t y z o n e s . " S u c h is-

groups,"

concludes

his

sues m a y soon m a n i f e s t t h e m s e l v e s on the

b o o k - l e n g t h s t u d y of C h i n a ' s n a t i o n a l

mi-

political scene and political "realists" ignore

norities with the o b s e r v a t i o n that " t h e r e are

Thomas

Heberer

t h e m at t h e i r p e r i l . L a t e r in m y c o m m e n t a r y ,

today e s s e n t i a l l y t h r e e f a c t o r s that u n d e r m i n e

I will m e n t i o n a c o m p e t i n g " s t r a t e g y " f o r

t h e n a t i o n a l a n d c u l t u r a l i d e n t i t y of m i n o r i -

i m p r o v i n g m i n o r i t y r i g h t s in C h i n a that d o e s

ties. First, l o w e r - l e v e l o f f i c i a l s o f t e n o b s t r u c t

take into a c c o u n t these issues.

e v e n t h e i m p l e m e n t a t i o n of c e n t r a l l y d e t e r -

L e a v i n g a s i d e t h e q u e s t i o n of e x p a n d i n g

m i n e d policies. T h e s e are not only H a n but

t h e p r o b l e m of m i n o r i t y r i g h t s in C h i n a b e -

a l s o m i n o r i t y o f f i c i a l s w h o , o n t h e b a s i s of

y o n d the f o r m u l a t i o n o f f e r e d by t h e C h i n e s e

their experience over the past decade, have

g o v e r n m e n t , let u s t u r n t o w h a t I t a k e to b e

become

the c e n t r a l t h e s i s of P e i ' s p a p e r , n a m e l y , that

c r a t i c . and c o n s e r v a t i v e . T h e y are c o n t i n u a l l y

especially

apprehensive,

bureau-

" t h e r e is s i g n i f i c a n t s p a c e f o r e x p a n s i o n of

i n t e r f e r i n g in t r i v i a l w a y s in t h e l i v e s of t h e

genuine

mi-

minorities and creating tensions. Since they

n o r i t i e s in C h i n a w i t h i n t h e a l l o w a b l e l i m i t s

d o not d e f e n d t h e i n t e r e s t s of their n a t i o n a l i -

of t h e c u r r e n t s y s t e m . " T h e m o s t p o l i t i c a l l y

ties, t h e y a r e s e e n as r e p r e s e n t a t i v e s of t h e

self-administration

realistic

strategy

for

by ethnic

improving

minority

H a n a n d not of t h e i r o w n e t h n i c g r o u p . " 3 1

r i g h t s at t h i s p o i n t in t i m e . P e i a r g u e s , in-

L a t e r in t h e p a p e r Pei a p p l i e s h i s i d e a of

volves moderate experiments toward self-ad-

i n c r e a s i n g m i n o r i t y r e p r e s e n t a t i o n at l o w e r

ministration "at the c o u n t y and prefect levels

l e v e l s of g o v e r n m e n t to t h e c a s e of T i b e t .

within the existing political f r a m e w o r k . "

S e l f - a d m i n i s t r a t i o n by T i b e t a n s at l o w e r l e v -

Pei's fairly optimistic a s s e s s m e n t of the po-

e l s of p o l i t i c a l j u r i s d i c t i o n , P e i a r g u e s , " c a n

tential f o r t h e i m p r o v e m e n t of m i n o r i t y rights

b e d e s i g n e d a n d i n t r o d u c e d to g r a d u a l l y c u l -

f r o m within the status q u o rests in part on w h a t

tivate the political e x e c u t i v e c o m p e t e n c e of

he takes to be beneficial c o n s e q u e n c e s of " T h e

minority

L a w on R e g i o n a l A u t o n o m y f o r M i n o r i t y N a -

"Tocquevillian solution to the Tibetan prob-

communities." This

is t e r m e d

a

t i o n a l i t i e s , " p a s s e d in 1984 by the N a t i o n a l

l e m , " b u t it w o u l d b e m o r e a p p r o p r i a t e t o

People's Congress. The most dramatic effect,

r e f e r to J . S . M i l l ' s j u s t i f i c a t i o n of B r i t i s h i m -

Pei argues, has b e e n " t h e steady increase in the

p e r i a l i s m in I n d i a o n t h e g r o u n d s that " b a c k -

n u m b e r of d e l e g a t e s to C h i n a ' s r e p r e s e n t a t i v e

ward

bodies (the P e o p l e ' s Congress at varying levels)"

taught

(p. 293).

slight twist that U n c l e T o m figures can be

Next,

Pei p r o v i d e s

some

evidence

to

p o p u l a t i o n s " 1 4 n e e d to be how

to r u l e

themselves,

gradually with

the

e m p l o y e d " a s a t r a n s i t i o n a l m e a s u r e . " If t h i s

s h o w that " t h e n u m b e r of g o v e r n m e n t c a d r e s

is " p o l i t i c a l r e a l i s m , " let u s g o b a c k t o t h e

w h o a r e c o n s i d e r e d m e m b e r s of m i n o r i t y n a -

d a y s of w i s h f u l t h i n k i n g .

tionalities has also increased dramatically,"

Another

argument

in

favor

of

Pei's

b u t h e r e o n e c a n a s k w h e t h e r or n o t " m i n o r -

" g r a d u a l i s t a p p r o a c h " to t h e T i b e t a n p r o b l e m

i t y " c a d r e s d o , in f a c t , r e p r e s e n t t h e i n t e r e s t s

is t h e c l a i m t h a t " a n a b r u p t c h a n g e of t h e

33. Heberer, China and lis Minorities, pp. 128-129. The other two factors are "Han chauvinism" and bureaucratic disregard for the negative impact of economic development on the customs and ways of life of non-Han ethnic groups (pp. 129-130), neither of which are discussed in Pei's essay. 34. J.S. Mill, "Representative Government," in Three Essays (Oxford: Oxford University Press, 1975), p. 409.

Commentary s t a t u s q u o o f t e n u n l e a s h e s e t h n i c hostility a n d c a u s e s w a r . " It is w o r t h k e e p i n g in mind here that the "status q u o " in Tibet has m e a n t that " s i n c e C h i n a g a i n e d control o v e r Tibet in 1950, the C h i n e s e g o v e r n m e n t has b e e n responsible for m u r d e r i n g o n e - f i f t h of the Tib e t a n p o p u l a t i o n — a s t a g g e r i n g 1.2 m i l l i o n lives." 3 5 It is also worth noting that j u d g e d in a c o m p a r a t i v e light, T i b e t a n s h a v e been rem a r k a b l y restrained in their r e s p o n s e to such s a v a g e repression ( o f f h a n d , I do not k n o w of a n y o t h e r m i n o r i t y g r o u p in recent h u m a n history subject to this level of repression that h a s r e f r a i n e d f r o m o r g a n i z e d v i o l e n c e as a m e a n s of s e l f - d e f e n s e ) . 3 6 Yet this section of the paper on " s e l f - a d m i n i s t r a t i o n and T i b e t " s e e m s to be written f o r h o t - h e a d e d T i b e t a n nationalists with a need to be pacified rather than for a brutal a n d u n r e a s o n a b l e C h i n e s e o c c u p a t i o n force. T h e "Tibetan p r o b l e m " is a C h i n e s e g o v e r n m e n t that r e f u s e s to dialogue with the Dalai L a m a and o t h e r l e g i t i m a t e r e p r e s e n t a t i v e s of the T i b e t a n p e o p l e , and a proposal for a solution to the "Tibetan probl e m " that r e f u s e s to r e c o g n i z e this fact is no m o r e realistic than, say, a solution to the " S o u t h A f r i c a n p r o b l e m " in the 1980s without N e l s o n M a n d e l a or a solution to the " B u r m e s e p r o b l e m " in the 1990s w i t h o u t A u n g Sun Suu K y e . Let us m o v e f r o m the question of politically realistic m e a n s for i m p r o v i n g minority rights in C h i n a to the question of the end itself. W h a t , in other w o r d s , is a fair (morally d e s i r a b l e ) a r r a n g e m e n t f o r s e c u r i n g the rights of m i n o r i t y g r o u p s in C h i n a , an e n d state w o r t h striving f o r ? O n m o r e than o n e o c c a s i o n M i n x i n Pei i m p l i e s that m i n o r i t y g r o u p s seek " g e n u i n e s e l f - a d m i n i s t r a t i o n , " but this c o n c e p t is not d e f i n e d in this paper. T o w a r d s the end of the paper, Pei states that " d e m o c r a t i c s e l f - a d m i n i s t r a t i o n by m i n o r i t y g r o u p s m a y b e c o m e a political reality with

301 the e m e r g e n c e of a decentralized d e m o c r a t i c political s y s t e m in C h i n a in the d i s t a n t f u t u r e , " and I will t a k e this to m e a n that dem o c r a c y is the ultimate ( l o n g - t e r m ) solution to the p r o b l e m of minority rights in C h i n a . Yet d e m o c r a c y in its m i n i m a l a n d least c o n t r o v e r s i a l sense r e f e r s to o p e n , c o m p e t i tive elections under universal f r a n c h i s e leading to m a j o r i t y rule, and, a priori, there is no reason to believe that representatives of majority interests will respect the rights of minorities. In actual fact, m i n o r i t i e s h a v e been s y s t e m a t i c a l l y m a r g i n a l i z e d f r o m the political p r o c e s s of c e r t a i n d e m o c r a t i c r e g i m e s ( c o n s i d e r the t w e n t i e t h - c e n t u r y history of Northern Ireland and Sri Lanka). A transition to d e m o c r a t i c rule can actually h a r m certain minority g r o u p s — T e d Gurr notes that "in the 1990s most Soviet successor states have imposed discriminatory restrictions on nontitular n a t i o n a l i t i e s , e r a s i n g m o s t of the Soviet r e g i m e ' s socially e n g i n e e r e d equality of status and o p p o r t u n i t y for national m i n o r i ties," 3 7 and o n e can add that the B e r b e r minority in A l g e r i a , in all l i k e l i h o o d , w o u l d h a v e had its rights t r a m p l e d u p o n if the dem o c r a t i c a l l y elected f u n d a m e n t a l i s t g o v e r n ment had been a l l o w e d to take power. If the c o n c e r n is to d e v i s e a political a r r a n g e m e n t that will s e c u r e the rights of m i n o r i t i e s , in short, m o r e is n e e d e d than g l i b " e n d of h i s t o r y " - t y p e r e f e r e n c e s to d e m o c r a c y as the u l t i m a t e f u l f i l l m e n t of m a n k i n d ' s political aspirations. P e r h a p s the claim is that liberal d e m o c racy, constitutional r e g i m e s that secure equal civil and political rights for all their citizens, is the end point f o r all thinking about minority rights questions. A s Will K y m l i c k a points out, however, "traditional h u m a n rights standards are simply unable to resolve some of the most important and controversial questions relating to cultural minorities: which languages

35. Robert Drinan and Teresa Kuo, "The 1991 Battle for Human Rights in China," Human Rights Quarterly 14 (1): 28. 36. Strangely enough, Pei does not distinguish between "violence" in the form of peaceful "Tibetan protests" and "violence" in the form of "government repression." 37. Ted Robert Gurr, "Communal Conflicts and Global Security," Current History (May 1995): 132-133.

302

Daniel A. Bell

parliaments,

C h i n e s e w a y s of l o o k i n g at t h e " m i n o r i t i e s

bureaucracies, and courts? Should each eth-

r i g h t s p r o b l e m , " as I n o t e d e a r l i e r ) . It is in

nic or national g r o u p h a v e p u b l i c l y f u n d e d

this c o n t e x t that o n e w e l c o m e s a p r o p o s a l b y

e d u c a t i o n in its m o t h e r t o n g u e ? S h o u l d i n t e r -

Yan J i a Q i , C h i n a ' s l e a d i n g p o l i t i c a l s c i e n -

nal b o u n d a r i e s ( l e g i s l a t i v e d i s t r i c t s ,

prov-

tist, f o r a " f e d e r a t i o n w i t h t h e c h a r a c t e r i s t i c s

inces, states) be d r a w n so that cultural mi-

of a c o n f e d e r a t i o n " t h a t c l e a r l y d i s t i n g u i s h e s

norities

b e t w e e n the p o w e r s of the central g o v e r n -

should

be

recognized

form

a

in

majority

the

within

a

local

region? Should g o v e r n m e n t a l p o w e r s be de-

m e n t a n d l o c a l g o v e r n m e n t s in C h i n a

volved f r o m the central level to m o r e local

t h a t e x p l i c i t l y s e e k s to a d d r e s s t h e p r e s s i n g

or r e g i o n a l l e v e l s c o n t r o l l e d by

p o l i t i c a l c o n c e r n s n o t e d a b o v e . T h i s is n o t

particular sensi-

t h e p l a c e to s u m m a r i z e Yan J i a Q i ' s i d e a s but

communication

t h e i n t e r e s t e d r e a d e r m a y w a n t to c o n s u l t

minorities, particularly on culturally t i v e i s s u e s of i m m i g r a t i o n ,

and

a n d e d u c a t i o n ? . . . T h e p r o b l e m is n o t t h a t

Yan's f a s c i n a t i n g and persuasive article on

t r a d i t i o n a l h u m a n r i g h t s d o c t r i n e s g i v e us t h e

this topic.39

w r o n g a n s w e r to t h e s e q u e s t i o n s . It is r a t h e r that t h e y o f t e n g i v e n o a n s w e r at a l l . " 3 8

Those inclined toward "political

real-

i s m " m a y w a n t t o r e s p o n d that p r o p o s a l s f o r

Political thinkers concerned with finding

f e d e r a l i s m are simply

not feasible,

given

morally desirable and politically feasible so-

C h i n a ' s political tradition and current politi-

l u t i o n s to c o n t e m p o r a r y s o c i a l p r o b l e m s c a n -

cal r e a l i t y . P e r h a p s u n e x p e c t e d l y , h o w e v e r ,

not i g n o r e the fact that national

a s p e c t s of Y a n ' s p r o p o s a l d o , in f a c t , c o r r e -

minorities

w a n t m o r e t h a n e q u a l civil a n d p o l i t i c a l lib-

s p o n d q u i t e c l o s e l y to t r a d i t i o n a l

political

e r t i e s a s an " e n d p o i n t . " N a t i o n a l m i n o r i t i e s

arrangements

non-Han

a r e m o t i v a t e d by a d e s i r e to m a i n t a i n t h e m -

m i n o r i t i e s w e r e a l l o w e d to a d m i n i s t e r t h e m -

(historically,

most

s e l v e s as s e p a r a t e c u l t u r a l g r o u p i n g s , w h i c h ,

s e l v e s as p a r t of w h a t w e w o u l d n o w c a l l a

at m i n i m u m ,

"confederation"40). As for the i m p e d i m e n t s

usually means some

control

over migration, educational policy, and eco-

p o s e d b y t h e o n g o i n g r e p r e s s i v e r u l e of t h e

nomic resources, and any "realistic" political

C o m m u n i s t Party, the situation m a y i m p r o v e

analysis must take these facts into account. L e t us r e t u r n to t h e C h i n e s e c a s e . F r o m

in t h e n e a r f u t u r e . T h e c u r r e n t p o l i t i c a l s y s t e m is a l m o s t c o m p l e t e l y d e l e g i t i m i z e d a n d

a m i n o r i t y r i g h t s p e r s p e c t i v e , t h e e n d g o a l is

in a s t a t e of d r a m a t i c f l u x at t h e m o m e n t ,

a political system that fully g u a r a n t e e s the

and no one really k n o w s what things will

right o f m i n o r i t i e s to m a i n t a i n t h e i r o w n c u l -

l o o k like f i v e o r t e n y e a r s f r o m n o w . T o d a y ' s

tural particularities and, m o r e

dissidents m a y well be t o m o r r o w ' s

specifically,

that p r o v i d e s p l a u s i b l e s u g g e s t i o n s f o r d e a l -

leaders

( o r a d v i s e r s to l e a d e r s , a s t h e y w e r e in t h e

ing w i t h p r e s s i n g " m i n o r i t y r i g h t s " c o n c e r n s

1 9 8 0 s ) , a n d it is i m p o r t a n t t o p l a n f o r t h e

s u c h a s t h e q u e s t i o n of r e u n i f i c a t i o n b e t w e e n

p o s s i b i l i t y that a d e s i r a b l e p o l i t i c a l o u t c o m e

T a i w a n and the m a i n l a n d , the need to ac-

m a y b e c o m e feasible one day. T h u s m y pref-

c o m m o d a t e localism b a s e d on a m i x t u r e of

e r e n c e f o r Yan J i a Q i ' s b o l d a n d i m a g i n a t i v e

linguistic differences and regional e c o n o m i c

n o r m a t i v e l y driven thinking, yet politically

d i s p a r i t i e s , a n d t h e n e e d to s o l v e t h e T i b e t a n

sensitive proposals, over morally

boundary

suggestions for c o m p r o m i s e s with a highly

under

the

issue (such c o n c e r n s carpet

if

one

are

adopts

swept official

dubious

unstable status quo.

38. Will Kymlicka, Multic ultural Citizenship: A Liberal Theory of Minority Rights (Oxford: Clarendon Press, 1995), pp. 4 - 5 . Kymlicka's book is a fascinating attempt to fill the gap on minority rights thinking from within the liberal tradition, although his defense of minority rights is founded on the assumption that a rich cultural context is a crucial precondition for the exercise of individual freedom, which is not how most minorities tend to think of the value of communal attachments. 39. See note 32 above. 40. See Heberer, China and Its National Minorities, p. 18, and p. 118, for the Tibetan case.

303

Commentary

Commentary Paula

Escarameia

T

he a r g u m e n t o f P r o f e s s o r M i n x i n P e i ' s

mostly

v e r y clear, w e l l - s t r u c t u r e d , and i n f o r -

status.42

mative

paper

on

legal

and

determined

Self-Determination

sent-day

This

appears

to

their

economic

institutional

a r r a n g e m e n t s for s e l f - a d m i n i s t r a t i o n in preChina

by

be

centered

c o n c e p t , just

of

this

f o r m e d at s u c h a h i g h l e v e l o f g e n e r a l i t y

t h e m e t w o c o n s e q u e n c e s s e e m to be drawn:

that it is a l l - e n c o m p a s s i n g and renders its

(a) the e q u a t i n g o f s e l f - d e t e r m i n a t i o n w i t h

o p e r a t i v e i m p l i c a t i o n s virtually v o i d . D u e to

From

extremely

wide

affairs,"

"sover-

tion

self-administration.

"internal

those

eignty"

and

or

like

around the relation b e t w e e n s e l f - d e t e r m i n a -

scope,

the

has

been

i n d e p e n d e n c e ; and (b) the e q u a t i n g o f s e l f -

its

a d m i n i s t r a t i o n w i t h f o r m s o f g o v e r n a n c e by

p a s s e s f r o m the s u b s t a n c e to the label itself,

reference

e t h n i c m i n o r i t i e s . H a v i n g the L i e c h t e n s t e i n

thus e a s i l y a l l o w i n g for s e v e r a l c o n t e n d i n g

Draft C o n v e n t i o n in m i n d , it is on t h e s e t w o

parties to a d v o c a t e c o m p l e t e l y o p p o s i t e sub-

p o i n t s that I w o u l d like to c o m m e n t , under-

s t a n t i v e s o l u t i o n s for a p r o b l e m w h i l e al-

l i n i n g that: ( 1 ) s e l f - d e t e r m i n a t i o n has m a n y

w a y s a r g u i n g w i t h the s a m e w o r d . T h e r e -

more

fore, a very w e l c o m e d e v e l o p m e n t s e e m s to

meanings

than

merely

indepen-

d e n c e . 4 1 and ( 2 ) there are f o r m s o f administration

that h a v e

been

self-

developed

for C h i n e s e m i n o r i t i e s o f a d i f f e r e n t t y p e ,

be

the

breakdown

of

the

concept

s m a l l e r u n i t s to w h i c h o p e r a t i v e

into

implica-

tions can be attached more specifically and the

41. The most obvious example is probably G.A. Res. 1541 (XV), of December 15, 1960 ("Principles which should guide Members in determining whether or not an obligation exists to transmit the obligation called for under Article 73e of the Charter"), namely, Principle VI of the Annex, which prescribes association and integration with an independent state as possible o u t c o m e s of the exercise of selfdetermination. Other legal documents could be cited to prove this point, namely, the two 1966 International Covenants on Civil and Political, and Economic, Social and Cultural Rights, which state, in Common Article 1, the right of peoples to self-determination. Considering its context, it is possible that selfdetermination could mean here a right to internal d e m o c r a c y or to f o r m s of internal administrative autonomy. On the other hand, the so-considered fundamental landmark of self-determination, that is, G.A. Res. 1514 (XV), of D e c e m b e r 15, 1960 ("Declaration on the granting of independence to colonial countries and powers") could more accurately be portrayed as the entitlement to decolonization from a European state, especially if one takes into account its Point 6, which prevents any "partial or total disruption of the national unity and the territorial integrity of a c o u n t r y " as incompatible with the UN Charter. In a certain way, all these meanings, that is, secession, human rights, decolonization, development, and democracy are present under the heading of self-determination of peoples in the Annex to G.A. Res. 2625 (XXV), of October 24, 1970 ("Declaration on Principles of International Law concerning Friendly Relations and Co-operation A m o n g States in accordance with the Charter of the United Nations"). 42. The best examples are probably the two cases I will highlight later on, namely, the future Special Administrative Regions of Hong Kong and Macau. In fact, the very high degree of self-administration that is granted to these territories is independent of any ethnic considerations because their populations are largely composed of Han Chinese. If there is any trait that distinguishes them, it is probably their present economic status and, to a minor degree, their unique recent history.

Paula Escarameia

304

u s e of w o r d s s u c h as " s e l f - a d m i n i s t r a t i o n , "

t e e n t h c e n t u r y , to t h e state as an i n t e r n a t i o n a l

"secession," "internal democracy," and

so

p o l i t i c a l u n i t : t h e t r e n d s e e m s t o b e , in o u r

on, rather than the too g e n e r o u s f r a m e w o r k

d a y s , t o w a r d s f o r m s of n o n t e r r i t o r i a l c e n t r a l

of " s e l f - d e t e r m i n a t i o n . " 4 3 T h e p a p e r u n d e r

g u i d a n c e . 4 4 ( b ) T h e s e c o n d p r i n c i p l e is t h e

analysis partly a c h i e v e s this aim by distin-

s o u l of t h e U N C h a r t e r a n d t h e m a i n r e a s o n

guishing self-administration from self-deter-

f o r t h e s e t t i n g - u p of t h e o r g a n i z a t i o n . It is

m i n a t i o n , b u t it d o e s n o t s p e c i f y w h a t

is

p o r t r a y e d in t h e p r e a m b l e a n d in n u m e r o u s

m e a n t b y e a c h of t h e s e c o n c e p t s a n d d o e s

a r t i c l e s , t h e m o s t r e l e v a n t of w h i c h b e i n g t h e

not m a k e the c o n n e c t i o n b e t w e e n t h e m . T h e

w e l l - k n o w n Article 2(4).

Liechtenstein Draft Convention goes a step f u r t h e r in this r e s p e c t .

T h e i d e a of s e l f - d e t e r m i n a t i o n h a s p o t e n t i a l to g o a g a i n s t b o t h . T a k e n as a d e m a n d

A c t u a l l y , b o t h o u r i n t e r n a t i o n a l legal a n d

f o r s e c e s s i o n a n d i n d e p e n d e n c e , it m e a n s t h e

institutional settings a r e not suited to e m b r a c e

d i s a p p e a r a n c e of a f o r m e r p o l i t i c a l u n i t c a r -

w i t h o u t p r o b l e m s c o n c e p t s s u c h as s e l f - d e t e r -

r i e d o u t b y an e n t i t y w i t h n o l e g a l s t a t u s in

mination. T h e U N Charter, our world constitu-

the present international legal

t i o n , is b a s e d u p o n t w o s t r u c t u r a l p r i n c i p l e s :

that is, a g r o u p u n i t e d b y c e r t a i n c h a r a c t e r i s -

(a) the d i v i s i o n of the w o r l d a m o n g states, f u n -

t i c s o r i n t e r e s t s ; t a k e n as a f o r m of d e c o l o -

framework,

d a m e n t a l l y d e f i n e d in r e f e r e n c e to a t e r r i t o r y ,

n i z a t i o n , it p r e v e n t s a r e s p o n s e by t h e f o r c e

a n d (b) t h e n o n - u s e of f o r c e a m o n g t h e s e ter-

of a r m s w h i l e i m p l i c i t l y a s s u m i n g t h e f o r m

ritorial u n i t s .

of a r m e d s t r u g g l e b y t h e c l a i m i n g e n t i t y . 4 5

(a) T h e f i r s t p r i n c i p l e , t h o u g h n o t e x -

In f a c t , o n e c o u l d a r g u e that s e l f - d e t e r -

p r e s s l y m e n t i o n e d , is the m o s t d e e p - r o o t e d of

mination could be equated with revolution, for

t h e t w o , a l t h o u g h , as P r o f e s s o r F a l k h a s re-

the c o n c e p t , as L a n s i n g p o i n t e d o u t l o n g a g o ,

p e a t e d l y p o i n t e d out, a shift in p a r a d i g m is on

h a s an i m m e n s e p o t e n t i a l f o r c o n t e s t a t i o n of

its w a y f o r w e a r e n o w b e f o r e t h e r e v e r s e

t h e p o l i t i c a l w o r l d s t r u c t u r e t a k e n as g r a n t e d

p r o c e s s of that w h i c h g a v e birth, in t h e s e v e n -

by the charter. 4 6 H o w e v e r , the concept can also

43. For an attempt at achieving this purpose, see my work Formation of Concepts in International Law: Subsumption under Self-Determination in the Case of East Timor (Lisbon: Fundagao Oriente, 1993), or, for a summarized version, "The Meaning of Self-Determination and the Case of East Timor," in International Law and the Question of East Timor (London: CIIR/IPJET, 1995), p. 119. 44. Above all, see Richard Falk's remarkable article "A New Paradigm for International Legal Studies: Prospects and Proposals" in Revitalizing International Law (Iowa: Iowa State University Press, 1989), p. 3. This theme is again present in the author's "The Quest for World Order: The Legacy of Optimism Reexamined," ibid., p. 67, in which he underlines the historical moment before us, that is, the similarity of the transitional character of our times with those that Grotius faced. In the charter, however, the statist paradigm and its assimilation to a space determined by borders is still so strong that, even when referring to other entities, "Territories" is always written in capital letters whereas "peoples" is not. However, the inability of the state to cope with many of the developments of our days is no longer merely a claim of radical international legal scholarship: Boutros-Ghali stated, in a recent address to the UN Congress on International Law, on March 17, 1995: "It is becoming more or less clear that the emerging international system will be based on a society which is unsure about its own structures, particularly about its main building-block, in other words, the State." 45. This prescription is stated in Point 1 of the Annex of G.A. Res. 2625 (XXV): "Every State has the duty to refrain from any forcible action which deprives peoples referred to in the elaboration of the principle of equal rights and self-determination of their right to self-determination and freedom and independence." Note how no mention is made of the use of force by those peoples. 46. Lansing, President Wilson's secretary of state, stated: "Self-determination should be forgotten. It has no place in the practical scheme of world affairs. It has already caused enough despair, enough suffering and enough anarchy." In "Self-Determination: A Discussion of a Phrase," Saturday Evening Post (May 1921): 16, cited in Ofuatey-Kodjoe, The Princ iple of Self-Determination in International Law (New York: Nellen Publishing Co., 1977), p. 3.

Commentary be drawn against a much broader paradigm of international legal thought and legal instruments. In fact, we have not yet developed adequate f o r m s of understanding and c o n c e p t u a l izing d e m a n d s m a d e by entities such as g r o u p s f o r m e d by shared interests rather than by the sharing of a territory; we have n o way of d i s p l a y i n g in legal c o n c e p t s d e m a n d s that p o r t r a y the internal d y n a m i c s of t h e s e g r o u p s ; w e are u n a b l e to a c c u r a t e l y g r a s p most of the chronological c h a n g e s that occur in s i t u a t i o n s that last o v e r a long span of time. O u r basic tool for analysis in the legal field r e m a i n s that of a bilateral and instantan e o u s juridical r e l a t i o n s h i p b e t w e e n entities that are taken as single units and we persist in a p p l y i n g this s c h e m e , m o r e a d e q u a t e for settings of contractual relationships between individuals, to states and, what is worse, to e v e r y international actor, w h a t e v e r the dem a n d is and whatever range of time it applies to, even if it lasts for several centuries. Let us r e t u r n , h o w e v e r , to our p a p e r on e t h n i c m i n o r i t i e s ' s e l f - a d m i n i s t r a t i o n in C h i n a and its relation to s e l f - d e t e r m i n a t i o n . T h e t w o t e r m s s e e m to h a v e to be linked to each other, that is, s e l f - a d m i n i s t r a t i o n might w o r k f o r s o m e m i n o r i t i e s but not for Tibetans, because the term " s e l f - d e t e r m i n a t i o n " is so broad that it can be used as a s y n o n y m for " f r e e d o m f r o m o t h e r s , " i r r e s p e c t i v e of the c o n t e n t of e a c h of the t e r m s , that is, the m e a n i n g of " f r e e d o m , " of the i m p l i e d " u s , " and of " o t h e r s . " 4 7 In fact, w h a t it m e a n s is m e r e l y the wish f o r a c h a n g e . T h u s , this

305 e x p r e s s i o n is, legally, at the s a m e t i m e both totally e m p t y and u s e l e s s f r o m the point of v i e w of the e s t a b l i s h e d s y s t e m , since o n e c a n n o t d r a w f r o m it behavioral implications, and e x t r e m e l y rich p o t e n t i a l l y f o r it f u l f i l l s the f u n d a m e n t a l role of b e i n g o n e of the c o n c e p t s that b r i d g e s the g a p b e t w e e n the present and the f u t u r e world organization. Its h a n d i c a p as an o p e r a t i v e c o n c e p t is its richness as a vehicle for c h a n g e . 4 8 Macau and Hong Kong My s e c o n d c o n s i d e r a t i o n has to d o with m i norities in C h i n a that are p r o b a b l y d e f i n e d economically and not ethnically and to which a u n i q u e status will be g r a n t e d within the legal and political institutional f r a m e w o r k of that state: I am referring to the cases of Hong K o n g and M a c a u . 4 9 A l t h o u g h largely c o m posed of H a n C h i n e s e , the solution a g r e e d upon for the f u t u r e of these territories represents one of the most i m p o r t a n t d e p a r t u r e s f r o m the principle that there must be an assimilation to the same regime for all peoples living u n d e r the f r a m e w o r k of a s a m e state. In fact, as stated in the Joint D e c l a r a t i o n s of U K / P R C of D e c e m b e r 19, 1984, and P o r t u g a l / P R C of M a r c h 26, 1987, the t e r r i t o r i e s will be u n d e r C h i n e s e s o v e r e i g n t y , r e s p e c tively, in 1997 and 1999, but will k e e p , f o r the next f i f t y years, as special a d m i n i s t r a t i v e regions, among others, separate economic and legal s y s t e m s , i n c l u d i n g their o w n legislative, e x e c u t i v e , and j u d i c i a l (with final a d j u d i c a t i o n ) s y s t e m s ; will k e e p their " w a y

47. In its extreme expression, self-determination could be applied to the smallest unit, that is, the individual. And although it might seem at first that the self-determination of the individual does not make any sense, that might be precisely the meaning of that term when it is considered as a human right. 48. Our international legal system and institutional setting are also very poor in arrangements that can bridge the internal/international dichotomy. At present, we are facing enormous difficulties with the lack of concepts and consequent regulation of international economic activity and of the restructuring of administrative units. The latter relates directly to the theme of this paper and is responsible for the strict separation that still needs to be made between forms of self-administration inside the borders of a state and the same sort of powers when exercised outside that territorial framework. The Liechtenstein Draft Convention is a fascinating first practical attempt not only at separating the many meanings that are under the umbrella of "self-determination," but also at bridging the internal/international conceptual gap that is no longer justifiable by the present conditions of our world. 49. For a comprehensive and interesting study of the subject of minorities and national identity in China see L. Dittmer, and Samuel Kim, eds., China's Quest for National Identity (Ithaca: Cornell University Press, 1993).

Paula

306

Escarameia

o f l i v i n g " (the capitalist o n e ) ; will draw their

a territory c o n s i d e r e d to b e C h i n e s e . 5 2 That

o w n e c o n o m i c and f i n a n c i a l p o l i c i e s ; w i l l

is w h y , shortly after the q u e s t i o n o f repre-

k e e p their o w n separate m o n e t a r y and f i s c a l

sentation

s y s t e m s ; w i l l i s s u e their o w n travel d o c u -

China presented a proposal b e f o r e the D e c o l -

ments; and will have a m p l e p o w e r s in f o r e i g n

o n i z a t i o n C o m m i t t e e to d e l e t e H o n g K o n g

p o l i c y , s u c h as the p o s s i b i l i t y o f b e i n g par-

and M a c a u f r o m the list o f n o n a u t o n o m o u s

t i e s to international treaties in s e v e r a l areas

territories to w h i c h s e l f - d e t e r m i n a t i o n w o u l d

(culture, tourism, trade, and f i n a n c e , and s o

apply, on the g r o u n d s that they w e r e part o f

forth),

the C h i n e s e territory. 5 3

which

are n e g o t i a t e d

and

entered

u p o n by them, and to be m e m b e r s o f several international o r g a n i z a t i o n s . 5 0

was

finally

settled

in the

UN,

T h e r e f o r e , w h i l e c o u n t r i e s are s p l i t t i n g apart and r e g i o n a l i n t e g r a t i o n s d e m a n d an

For t h e s e p o p u l a t i o n s , a l e v e l o f auton-

increasing approximation of political, mon-

o m y m u c h higher than that o f any ethnic mi-

etary, f i s c a l , c o m m e r c i a l , and e v e n cultural

nority

reasons

s y s t e m s , C h i n a s e e m s to be d o i n g the o p p o -

m i g h t be m o r e linked to international pres-

site, e n l a r g i n g its e f f e c t i v e s o v e r e i g n t y o v e r

s u r e s than to c o n s i d e r a t i o n for the interests

p o p u l a t i o n s p r e v i o u s l y under a d i f f e r e n t ad-

o f the p o p u l a t i o n s . T h e history o f the trans-

m i n i s t r a t i o n w h i l e not d e m a n d i n g an a s s i m -

fer and the instrument by w h i c h it w i l l be

ilation

d o n e are quite u n i q u e . In fact, a l t h o u g h the

seems

P o r t u g u e s e have e f f e c t i v e l y e x e r c i s e d s o v e r -

K o n g and M a c a u than m a n y o f the a g r e e -

is f o r e s e e n in C h i n a . T h e

of

structures.

to g i v e

more

The

arrangement

autonomy

to

Hong

e i g n t y o v e r M a c a u s i n c e the m i d - s i x t e e n t h

m e n t s for a s s o c i a t i o n b e t w e e n t w o i n d e p e n -

c e n t u r y and H o n g K o n g w a s an 1 8 4 2 award

dent states b e c a u s e n o r m a l l y , in t h e s e c a s e s ,

f r o m the O p i u m War, 5 1 C h i n a n e v e r c e a s e d

the m a i n state c o n t r o l s f o r e i g n

to c o n t e s t ,

tation

mostly

after M a o

acceded

to

p o w e r , the p r e s e n c e o f t h e s e f o r e i g n states in

more

tightly

than

in

the

represenpresent

instance.

50. The structure and even the contents of the two declarations are extremely similar. They are divided into a declaratory part, containing the enunciation of the fundamental guidelines of the regime of the special administrative region as a consequence of the Chinese policy enshrined in the new Article 31 of the 1982 constitution of "one country, two systems," and they have a number of annexes (three in the case of Hong Kong and two in the case of Macau) specifying some of the principles set up in the first part, and a m e m o r a n d u m f r o m each of the signatory parties concerning the citizenship of the inhabitants of the territories. 51. More precisely, only the island of Hong Kong was transferred by the Nanjing Treaty to British sovereignty in 1842 and was considered a colony by domestic British regulations in 1843. Only as a result of the second Opium War were Kowloon and Stonecutters Island transferred to Britain by the Treaty of Beijing of 1860. The so-called New Territories were leased for ninety-nine years in accordance with the Treaty of 1898, although no rent was ever paid and the British domestic regulations considered them, just as Kowloon, as part of the colony of Hong Kong. 52. The history of Macau is much older and more complicated, since the Portuguese settled in the territory around 1557 and stayed there for several centuries, developing an intense commercial activity at times, before a treaty establishing Portuguese sovereignty over the territory was signed in 1887. For historical data, see, a m o n g others, R a m o s , Joao de Deus, Historia das Retardes Diplomáticas entre Portugal e a China (Macau: Instituto Cultural de Macau, 1991); Pires, B.V., "Origins and Early History of Macau" in Macau—a City of Commerce and Culture (Hong Kong: UEA Press, 1987), p. 7; Coates, Austin, Macau—Colgadas da Historia (Lisbon: Gradiva, 1991; Montalto de Jesus, Macau Histórico (Macau: Livros do Oriente, 1990); for legal history of the territory, see, mostly, Silveira, Jorge, Subsidios para a Historia do Direito Constitucional, ed. O Direito (Macau, 1991); C o n c e i f á o , L o u r e n ? ó Maria, Macau entre Dois Tratados com a China (Macau: Instituto Cultural de Macau, 1988). 53. For a summary and a critical appraisal of the process before the UN, see Nihal Jayawickrama, "The Right of Self-Determination" in Faculty of Law, University of Hong Kong, Hong Kong's Basic Law: Problems and Prospects (University of Hong Kong, 1990), p. 85.

Commentary Conclusion T h e s e brief c o m m e n t s a t t e m p t to h i g h l i g h t that the limitations we f a c e today in solving m i n o r i t i e s ' d e m a n d s are not solely c o n n e c t e d to political c o n s i d e r a t i o n s but h a v e also m u c h to d o with the a p p l i c a t i o n of o u t d a t e d legal and institutional s y s t e m s . In that sense, rather than the realistic and relatively shortterm a p p r o a c h that P r o f e s s o r Pei s e e m s to f a v o r in his article, t h e s e c o m m e n t s point

307 m o r e toward the setting out of the restructuring of basic institutional f r a m e w o r k s . I do b e l i e v e that should alternative organizational and j u r i d i c a l s e t t i n g s be a v a i l a b l e , political will would be m o r e flexible and w o u l d m o r e r e a d i l y be open to c o m p r o m i s e s , of w h i c h the special a d m i n i s t r a t i v e r e g i o n s of M a c a u and H o n g K o n g are p r o b a b l y a practical exa m p l e and the L i e c h t e n s t e i n D r a f t C o n v e n tion an i m a g i n a t i v e f r a m e w o r k .

CHAPTER 13

The Bell Curve of Ethnic Politics: The Rise and Decline of Self-Determination Movements in India Atul Kohli1

N

umerous self-determination movements h a v e , o v e r the y e a r s , c o n f r o n t e d t h e c e n t r a l state w i t h i n I n d i a ' s m u l t i c u l t u r a l democracy. India thus provides laboratorylike c o n d i t i o n s f o r t h e s t u d y of t h e s e m o v e m e n t s . In this p a p e r I a n a l y z e t h r e e s u c h self-determination movements—those of T a m i l s in T a m i l n a d u d u r i n g the 1950s and the 1960s, of the S i k h s in the P u n j a b d u r i n g the 1 9 8 0 s , a n d of M u s l i m s in K a s h m i r d u r ing t h e 1 9 9 0 s — w i t h the a i m of e x p l a i n i n g both their rise and d e c l i n e . T h e f o c u s will be less o n d e t a i l s of t h e s e m o v e m e n t s and m o r e on d e r i v i n g s o m e g e n e r a l c o n c l u s i o n s . I will a r g u e b e l o w that p e r i o d i c d e m a n d s f o r m o r e c o n t r o l a n d p o w e r by a variety of e t h n i c g r o u p s o u g h t to be e x p e c t e d in m u l t i c u l t u r a l d e m o c r a c i e s , e s p e c i a l l y d e v e l o p i n g c o u n t r y d e m o c r a c i e s . T h e f a t e of t h e s e m o v e m e n t s — t h a t is, the d e g r e e of cohesiveness these groups forge; whether they are a c c o m m o d a t e d or their d e m a n d s r e a d i l y escalate into secessionist m o v e m e n t s ; and their r e l a t i v e l o n g e v i t y — l a r g e l y r e f l e c t s the n a t u r e of t h e p o l i t i c a l c o n t e x t , a l t h o u g h t h e characteristics around which groups emerge and the r e s o u r c e s they control are by no

m e a n s i r r e l e v a n t . M o r e s p e c i f i c a l l y , t w o dim e n s i o n s of t h e p o l i t i c a l c o n t e x t a p p e a r to be e s p e c i a l l y r e l e v a n t , n a m e l y , h o w w e l l c e n t r a l a u t h o r i t y is i n s t i t u t i o n a l i z e d w i t h i n the m u l t i c u l t u r a l d e m o c r a c y a n d the w i l l i n g n e s s of the ruling g r o u p s to s h a r e p o w e r and resources with mobilized groups. Given well-established central authority and firm but c o m p r o m i s i n g l e a d e r s , s e l f - d e t e r m i n a tion m o v e m e n t s t y p i c a l l y f o l l o w t h e s h a p e of a bell or an i n v e r s e " U " c u r v e : a d e m o c ratic s e t t i n g e n c o u r a g e s g r o u p m o b i l i z a t i o n , h e i g h t e n i n g g r o u p i d e n t i t i e s and f a c i l i t a t i n g a s e n s e of i n c r e a s e d g r o u p e f f i c a c y ; m o b i lized g r o u p s t h e n c o n f r o n t s t a t e a u t h o r i t y , f o l l o w e d by a m o r e or less p r o l o n g e d p r o c e s s of p o w e r n e g o t i a t i o n ; a n d s u c h m o v e m e n t s e v e n t u a l l y d e c l i n e as e x h a u s t i o n sets in, s o m e l e a d e r s a r e c o - o p t e d , a n d a m o d i c u m of g e n u i n e p o w e r s h a r i n g a n d m u tual a c c o m m o d a t i o n b e t w e e n the m o v e m e n t a n d t h e c e n t r a l state a u t h o r i t i e s is r e a c h e d . 2 U n d e r s t o o d in t h i s m a n n e r , s e l f - d e t e r m i n a tion m o v e m e n t s c o n s t i t u t e a political p r o c e s s w h e r e b y the c e n t r a l state a n d a varie t y of g r o u p s d i s c o v e r t h e i r r e l a t i v e p o w e r b a l a n c e s in e m e r g i n g d e m o c r a c i e s .

1. Prepared for a conference on "Political Violence in India: State and Community Conflicts" (Amherst, MA., September 23-24, 1995). I would like to thank Amrita Basu and John Waterbury for their comments on an earlier draft. This paper was written with the help of a grant from the Liechtenstein Research Program on Self-Determination, Princeton University. 2 . 1 first heard this argument about the rise and decline of Indian ethnic movements made in an oral presentation by Shekhar Gupta (an Indian journalist, then with India Today) at the Asia Society, New York City, in 1992. I told him in a subsequent conversation that the idea was a useful one and that he should systemize it. Since he has not done so, I have shamelessly borrowed it and sought to develop it further here.

309

310 I e x t r a p o l a t e these g e n e r a l i z a t i o n s f r o m a variety of Indian m a t e r i a l s , e s p e c i a l l y the rise and decline during the 1980s of a m o v e m e n t by S i k h s for their o w n n a t i o n - s t a t e . Khalistan. I c o m p a r e this pattern of rise and d e c l i n e of a s e l f - d e t e r m i n a t i o n m o v e m e n t with one earlier and o n e s u b s e q u e n t similar m o v e m e n t within India: the rise and decline of a Tamil separatist m o v e m e n t d u r i n g the 1950s and the 1960s; and the c o n t i n u i n g dem a n d s by M u s l i m s in the Indian state of K a s h m i r for a s o v e r e i g n state. W h i l e buttressing the general a r g u m e n t , these c o m p a r isons also h e l p q u a l i f y it: i n t e r n a t i o n a l f a c tors can alter the u n d e r l y i n g p o w e r d y n a m i c s on w h i c h the p r e d i c t e d bell c u r v e rests; and s o m e entities m a y be better suited than others for d e f i n i n g c o m m u n i t y identities and thus m a y be m o r e readily m o b i l i z a b l e and s u s t a i n a b l e in the c a u s e of " s e l f - d e t e r m i n a tion" m o v e m e n t s . The paper is organized as f o l l o w s . I first discuss a few general issues, explaining why p r o l i f e r a t i o n of g r o u p d e m a n d s ought to be expected in e m e r g i n g multicultural d e m o c r a cies such as India and w h y i n s t i t u t i o n a l i z a tion of central authority and the nature of the l e a d e r s h i p are e s p e c i a l l y i m p o r t a n t a s p e c t s of the political context that shape self-determination movements. Specific Indian s o u r c e s f o l l o w this general d i s c u s s i o n , notably, a c o m p a r i s o n of s e l f - d e t e r m i n a t i o n m o v e m e n t s by T a m i l s , S i k h s , and K a s h m i r i M u s l i m s . T o w a r d the end, I not only r e s u m m a r i z e the analysis but elaborate on the foll o w i n g t w o c o n c l u s i o n s . First, on n o r m a t i v e g r o u n d s , while m a n y e s t a b l i s h e d states indeed t r a m p l e the rights of their minorities, I d o not b e l i e v e that e s t a b l i s h e d states are s o m e h o w a l w a y s w r o n g and that " v i r t u e " is necessarily a l w a y s on the side of g r o u p s dem a n d i n g s e l f - d e t e r m i n a t i o n ; fluidity of identity politics f o r c e s s o m e n o r m a t i v e flexibility on o b s e r v e r s a n d a n a l y s t s . A n d s e c o n d , on a n a l y t i c a l g r o u n d s , w h i l e I am s y m p a t h e t i c to t h o s e w h o stress f l u i d i t y of identities, I also wish to avoid the e x t r e m e p h e n o m e n o l ogy of cultural d e c o n s t r u c t i o n i s t s ; all is not f l u x . T h e a n a l y s i s of I n d i a n m a t e r i a l s sugg e s t s that it is p o s s i b l e to s p e c i f y (and t h u s

Atul Kohl i one ought to try to s p e c i f y ) the contexts that mold identity politics and s e l f - d e t e r m i n a t i o n movements.

The Political Context: Some Generalizations In this section, I discuss two important issues in a highly c o n d e n s e d form: (a) why d e m o c racy tends to exacerbate political conflicts (at least over the short to m e d i u m term) in developing countries and, given a multicultural setting, h o w s o m e of these p o w e r conflicts are w a g e d under the banner of "ethnicity," dem a n d i n g " s e l f - d e t e r m i n a t i o n " ; and (b) h o w and why the d e g r e e of institutionalization of central state authority and the willingness of leadership to d e v o l v e p o w e r b e c o m e m a j o r influences shaping the s e l f - d e t e r m i n a t i o n m o v e m e n t s in these settings. Politicization in Follower Democracies T h e introduction of d e m o c r a c y into a develo p i n g c o u n t r y setting nearly a l w a y s e x a c e r b a t e s political c o n f l i c t s o v e r the short to m e d i u m term. S o m e o b s e r v e r s are surprised by such o u t c o m e s b e c a u s e , e x t r a p o l a t i n g f r o m the Western e x p e r i e n c e , they e x p e c t d e m o c r a c y to be a solution to existing, rather than a source of new, p o w e r conflicts. In the West, h o w e v e r , if I m a y overgeneraliz.e, d e m o c r a c y e v o l v e d over a long t i m e , and both s u f f r a g e and political c o m p e t i t i o n expanded slowly within the f r a m e w o r k of centralized a u t h o r i t y s t r u c t u r e s at the a p e x and g r o w i n g p o p u l a r p r e s s u r e s f r o m below. In this sense, d e m o c r a c y in the West w a s indeed a " s o l u t i o n " to g r o w i n g p o w e r conflicts in society. By contrast, d e m o c r a c y c o m e s to most d e v e l o p i n g countries as imported ideas. A s these ideas are translated into d e m o c r a t i c institutions of " f o l l o w e r d e m o c r a c i e s " and these institutions provide n e w incentives for political actors to organize and mobilize, the results o v e r the short to m e d i u m term are o f t e n d i s q u i e t i n g . S e v e r a l social structural traits of f o l l o w e r d e m o c r a c i e s h e l p e x p l a i n w h y this should be so. First, prevailing cultural conditions in dev e l o p i n g countries d o not readily m e s h with the imported m o d e l of political d e m o c r a c y .

The Bell Curve of Ethnic

Politics

For example: identities in developing countries often tend to be more local than national; authority in society tends to be dispersed but, within dispersed pockets, quite rigid and hierarchical; and community norms often prevail over narrow individualism. As d e m o c r a c y is introduced and c o m p e t i n g elites undertake political mobilization, old identities are rekindled and reforged. Modern technology hastens the process (for example, teachings of K h o m e i n i on cassettes or rendering of the Ramayana on television) and the collision of mobilized identities with each other or with the state ought not to be totally surprising. The spread of democratic norms also threatens traditional elites, who are more than willing to join hands with all those who perceive the spread of individualism as being disruptive of traditional lifestyles. Again, a variety of " r e a c t i o n a r y " movements ought to be expected. Second, c o n s i d e r a b l e state intervention is inherent to the overall design of "late dev e l o p m e n t . " This societal trait in a lowincome setting generates special problems when democracy is introduced. For example, ruling elites in follower democracies can not readily claim that distributive problems are social (private) and not political (public) problems; in other words, it is difficult in contemporary developing countries to establish the same separation between public and private realms that m a n y Western d e m o c r a cies developed at early stages. The accumulated aistributive claims on these states thus partly reflect the politicization engendered by the state's attempts to penetrate and reorganize socioeconomic life. Relatedly, an interventionist state in a poor setting controls large proportions of a society's economic resources, thus attracting the competitive energies of many of those w h o seek e c o n o m i c improvement. Intense competition over a state's resources, in turn, politicizes numerous cleavages, adding to the problems of follower democracies. Third, since democracy comes to most developing countries as an import, and since the transitions to democracy are over relatively short time periods, democratic institutions in

311 most follower democracies tend to be weak. There is some variation on this dimension and I will return to the issue of relative institutionalization as a variable below. For the most part, however, norms of electoral politics, political parties, parliaments, constitutional separation of powers, and so forth, are not well-established in f o l l o w e r d e m o c r a cies. Competitive mobilization, in turn, that is unmediated by institutions tends to spell trouble for most states. Of all the significant problems generated by this well-known condition, the most significant is that power in these settings often comes to rest in individuals rather than in institutions. Barring exceptional individuals, most leaders centralize personal p o w e r with long-term detrimental c o n s e q u e n c e s . Because centralization of power in individuals nearly always emasculates fragile institutions—strong institutions do constrain the power of individuals—there is a built-in incentive in f o l l o w e r d e m o c r a cies for leaders to undertake periodic deinstitutionalization; weak institutions and personal power thus tend to create a mutually reinforcing, vicious cycle. Typically low income democracies thus tend to move toward situations in which centralizing, personalistic ruling elites c o n f r o n t a variety of oppositional elites, w h o mobilize that which is most readily mobilizable, namely, latent intercommunity suspicions (read: identity politics aimed at "self determination"). This brings me to the fourth and last distinctive condition of f o l l o w e r democracies. Introduction of competitive elections, mass s u f f r a g e , and weak institutions will repeatedly generate expansionary political pressures in f o l l o w e r d e m o c r a c i e s that is, pressures toward a more equal distribution of p o w e r in society. A m o v e m e n t toward genuine devolution of political and e c o n o m i c power could a c c o m m o d a t e such tendencies, in other words, establish a new "equilibr i u m " between demands and governance and help strengthen new democracies. Any such trend, however, is likely to run up against t w o pervasive global constraints, both of which m a n i f e s t as near intellectual hegemonies. T h e s e are, first, a belief in strong,

312 c e n t r a l i z e d states as a necessity for the welfare of nations and, second, in recent years, a widespread acceptance of orthodox e c o n o m i c m o d e l s as a p p r o p r i a t e m o d e l s of e c o n o m i c d e v e l o p m e n t . W h e r e a s the f o r m e r privileges nationalists, the latter p u s h e s c e n t r a l i z i n g t e c h n o c r a t s to the f o r e f r o n t . In either c a s e , p o w e r devolution in most f o l l o w e r d e m o c r a cies is a fairly low priority. A typical o u t c o m e is the evolution of these d e m o c r a c i e s t o w a r d two-track polities, with a d e m o c r a t i c track in the sphere of society and politics, especially electoral politics, and a n o t - s o - d e m o c r a t i c track in the state sphere, e s p e c i a l l y in the areas of e c o n o m i c policy m a k i n g . T h e political society of m a n y f o l l o w e r d e m o c r a c i e s is thus increasingly characterized by "too m u c h d e m o c r a c y " — t h a t is, by a variety of political, class, and ethnic c o n f l i c t s — o n the one hand, and, on the other hand, the state in these settings increasingly insulates itself f r o m social d e m a n d s and conflicts and thus exhibits "not enough democracy." T h e c u m u l a t i v e i m p a c t of t h e s e distinctive social structural traits is that i n t r o d u c tion of d e m o c r a c y into d e v e l o p i n g countries rapidly politicizes the body politic. A variety of c o n f l i c t s t h u s t y p i c a l l y dot the political l a n d s c a p e of f o l l o w e r d e m o c r a c i e s . W h e t h e r these conflicts precipitate along c l e a v a g e s of class, political p a r t i e s , a n d / o r r e g i o n s and e t h n i c g r o u p s is a s e c o n d - o r d e r point to w h i c h I will turn my attention m o m e n t a r i l y ; the f i r s t - o r d e r point is that f o l l o w e r d e m o c r a c i e s are b o u n d to h a v e m o r e of such c o n flicts than e s t a b l i s h e d d e m o c r a c i e s . E t h n i c and r e g i o n a l g r o u p s are m o r e likely than classes or parties to d e m a n d "self d e t e r m i n a t i o n " b e c a u s e they can m o r e readily p e r c e i v e t h e m s e l v e s as "total s o c i e t i e s , " that is, as social groups with a sufficiently c o m p l e x division of labor to sustain a m b i t i o n s of territorial s o v e r e i g n t y . T h e m o r e such g r o u p s exist in a f o l l o w e r d e m o c r a c y , the m o r e likely it is that m o v e m e n t s f o r " s e l f - d e t e r m i n a t i o n " will e m e r g e . T h i s m u c h is r e l a t i v e l y o b v i o u s . W h a t is m o r e i n t e r e s t i n g is w h y s o m e such

Atul Kohli g r o u p s d e m a n d i n g greater p o w e r and control are readily a c c o m m o d a t e d , w h e r e a s others m o v e into a militancy-repression cycle, escalating their d e m a n d s into secessionist m o v e m e n t s and threatening the territorial integrity of established states.

Institutionalization, Leadership, and Self-Determination Movements Within the broad context of f o l l o w e r d e m o c r a c i e s , I h y p o t h e s i z e that t w o p r o x i m a t e variables are e s p e c i a l l y i m p o r t a n t for unders t a n d i n g the f a t e of s e l f - d e t e r m i n a t i o n m o v e m e n t s . T h e first of these is the level of i n s t i t u t i o n a l i z a t i o n of the c e n t r a l state and the second c o n c e r n s the d e g r e e to which the ruling strategy of leaders a c c o m m o d a t e s dem a n d s for s e l f - d e t e r m i n a t i o n . I use the concept of i n s t i t u t i o n a l i z a t i o n in a fairly c o n ventional sense (it has both a n o r m a t i v e and an o r g a n i z a t i o n a l c o m p o n e n t ) , 3 but my f o c u s is m o r e n a r r o w l y on c e n t r a l state authority than on a host of o t h e r n o r m s and political s t r u c t u r e s that m a y be m o r e or less institutionalized. T h e d e g r e e of institutionalization of the central state then i n f l u e n c e s the d e g r e e to w h i c h state a u t h o r i t i e s can " i m p o s e " their p r e f e r r e d vision of the political o r d e r on the s o c i e t i e s they g o v e r n . T h e v i s i o n , of c o u r s e , m a y be m o r e or less acc o m m o d a t i n g of o p p o s i t i o n d e m a n d s , that is, w h e n p r e s s e d , the l e a d e r s h i p s t r a t e g y m a y be m o r e willing in s o m e instances than in others to d e v o l v e power. D e g r e e of instit u t i o n a l i z a t i o n and l e a d e r s h i p strategies are thus two important variables—in other w o r d s , t w o a s p e c t s of the p o l i t i c a l c o n t e x t that v a r y a n d i n f l u e n c e the f a t e of s e l f - d e t e r m i n a t i o n m o v e m e n t s . If o n e d i c h o t o m i z e s t h e s e t w o v a r i a b l e s ( w h i c h is c l e a r l y q u i t e a r t i f i c i a l ) , a n d if the m e c h a n i c a l q u a l i t y of s c h e m a t i c d e p i c t i o n s is e x c u s e d , the resulting 2 x 2 m a t r i x helps c l a r i f y s o m e of the issues succinctly. T h e main hypothesis I am proposing is well-depicted by the first quadrant: the more the authority of the central state is institutionalized

3. See, for example, Samuel Huntington, Political Order in Changing Societies (New Haven, Conn. Yale University Press, 1968), passim, but esp. chap. 1.

The Bell Curve of Ethnic

313

Politics

Figure 13.1 Developing Country Democracies: Political Context and the Trajectory of Self-Determination Movements Central Authority Well

Accommodating Leadership Strategy Unaccommodating

Institutionalized

Weakly

Institutionalized

1. T h e Inverse " U " curve of ethnic politics (e.g., Tamils in India, 1950s and 1960s

2. Peaceful breakup of the state (e.g., Czechoslavakia, 1990s)

3. Demands and repression cycle (e.g., Sikhs in India's Punjab, 1980)

4. Turbulence and/or breakdown (e.g., Nigeria, first and second republics)

and the m o r e a c c o m m o d a t i n g the ruling strategy, the m o r e likely it is that self-determ i n a t i o n m o v e m e n t s will traverse the s h a p e of a bell curve, that is, they will first rise, because it is ' n a t u r a l " f o r t h e m to d o so in the c o n t e x t of m u l t i c u l t u r a l d e m o c r a c i e s of the d e v e l o p i n g world, but, s e c o n d , a f t e r a m o r e or less p r o l o n g e d p e r i o d of p o w e r n e g o t i a tion with the central state, they will ine v i t a b l y d e c l i n e in intensity as e x h a u s t i o n sets in and s o m e g e n u i n e c o m p r o m i s e is reached. T h e u n d e r l y i n g logic is that a welli n s t i t u t i o n a l i z e d state sets f i r m b o u n d a r i e s within w h i c h political m o v e m e n t s must o p erate and an a c c o m m o d a t i n g leadership provides r o o m — o f c o u r s e , within l i m i t s — f o r the m o v e m e n t s to a c h i e v e s o m e real gains. T h e same logic can be readily e x t e n d e d to d e s c r i b e v a r i a t i o n s on the t h e m e . G i v e n s p a c e l i m i t a t i o n s , I will not b e l a b o r the point; a f e w e x a m p l e s will s u f f i c e . A state's l e a d e r s h i p m a y turn out to be not very acc o m m o d a t i n g to s e l f - d e t e r m i n a t i o n m o v e m e n t s . T h i s m a y result f r o m s o m e t h i n g as " s i m p l e " as a d i f f e r e n t t y p e of l e a d e r in p o w e r , or it m a y reflect a d i f f e r e n t coalition on w h i c h the p o w e r of the leader rests. W h a t e v e r the u n d e r l y i n g r e a s o n s , u n a c c o m m o d a t i n g leaders in w e l l - e s t a b l i s h e d states (that is, q u a d r a n t t h r e e ) will o f t e n c h a n n e l s e l f - d e t e r m i n a t i o n m o v e m e n t s into cycles of escalating demands and repression. The reason is that a well-institutionalized democratic state both provides r o o m f o r self-determination m o v e m e n t s to e m e r g e and possesses a fair amount of legitimate coercion to repress these

m o v e m e n t s . U n a c c o m m o d a t i n g leaders, w h o d e f i n e the state's " g o o d " in terms of d e n y i n g c o n c e s s i o n s to d e m a n d i n g groups, will typically repress such m o v e m e n t s , only to push them further into more " e x t r e m e " directions of secession as a goal and militancy as a tactic. The situation depicted in quadrant 3 is then ripe for prolonged, militant self-determination m o v e m e n t s . T h e s e situations are " r e s o l v e d " either when o v e r w h e l m i n g force is used and/or when a less recalcitrant leader comes to power within the established state. Self-determination m o v e m e n t s are deeply threatening to weakly institutionalized states ( q u a d r a n t s t w o and f o u r ) . If leaders of such states are relatively a c c o m m o d a t i n g t o w a r d m o v e m e n t s — I c a n n o t think of any such recent e x a m p l e in the d e v e l o p i n g w o r l d , sugg e s t i n g that i n s t i t u t i o n a l i z a t i o n of a u t h o r i t y s t r u c t u r e s and l e a d e r s h i p strategies m a y not be entirely i n d e p e n d e n t of each o t h e r — t h e n the p e a c e f u l b r e a k u p or reorganization of the state is the m o s t likely o u t c o m e . By contrast, unaccommodating leaders, especially those who control significant coercive resources, are likely to d r i v e the situation t o w a r d c o n s i d e r a b l e t u r b u l e n c e at m i n i m u m a n d , at m a x i m u m , t o w a r d a civil w a r and p o s s i b l y even a violent b r e a k u p of the state. In s u m , the strategy of the leaders and h o w e f f e c t i v e l y the authority of the central state is institutionalized are two important aspects of the political context that influence the pattern of s e l f - d e t e r m i n a t i o n m o v e m e n t s . To repeat, the nature of the groups that are mobilized (that is, what r e s o u r c e s these g r o u p s

314

Atul Kohli

c o n t r o l a n d w h e t h e r t h e g r o u p s are o r g a n i z e d

c o m p a r i s o n to other d e v e l o p i n g

a r o u n d r a c e , r e l i g i o n , o r l a n g u a g e ) is b y n o

T h i s w a s m a n i f e s t in a f a i r l y w e l l - o r g a n i z e d

m e a n s i r r e l e v a n t to t h e f a t e of t h e s e m o v e -

c e n t r a l s t a t e — e s p e c i a l l y in a h i g h l y p r o f e s national

civil

service

countries.

m e n t s ; s o m e of t h e s e i s s u e s will e m e r g e in t h e

sional

e m p i r i c a l d i s c u s s i o n . N e v e r t h e l e s s , it is m y

f o r c e s — a n d in an e f f i c i e n t l y f u n c t i o n i n g n a -

and

armed

c e n t r a l h y p o t h e s i s h e r e t h a t t h e n a t u r e of t h e

tional political party, the Congress, that gen-

b r o a d e r political c o n t e x t is q u i t e i m p o r t a n t f o r

e r a l l y c o n t r o l l e d t h e s t a t e . In a d d i t i o n , I n d i a

understanding self-determination movements.

possessed

such e f f e c t i v e institutions as a

p a r l i a m e n t , an i n d e p e n d e n t judiciary, a n d a

Some Evidence from India

free national

I n d i a is a n o i s y d e m o c r a c y . O v e r t h e y e a r s it

c a m e t o h a v e s u c h e f f e c t i v e i n s t i t u t i o n s is

h a s e x p e r i e n c e d a v a r i e t y of p o l i t i c a l

clearly a complex

con-

f l i c t s . C o n f l i c t s a r o u n d c l e a v a g e s of c l a s s ,

press.

How

and

why

India

issue, well beyond

the

s c o p e of t h i s p a p e r . S u f f i c e it to s a y

that

caste, parties, language, religion, and regions

s o m e state institutions were inherited f r o m a

thus dot India's political landscape. M y par-

colonial past and other, m o r e political, ones

tial u n d e r s t a n d i n g of w h y t h i s s h o u l d be s o

w e r e a p r o d u c t of a f a i r l y p r o l o n g e d a n d c o -

in I n d i a a n d in o t h e r s i m i l a r

hesive nationalist m o v e m e n t . 7 India's rigid

"follower democracies"

low-income

was sketched

out

and s e g m e n t e d social

structure—especially

p r e v i o u s l y in a n a b s t r a c t a n d a h i g h l y c o n -

the elaborate caste hierarchies,

d e n s e d f o r m . 4 W i t h i n that c o n t e x t , t h e f o c u s

among

h e r e is o n s e l f - d e t e r m i n a t i o n

numerous,

relatively

organized

isolated

vil-

movements.5

l a g e s — k e p t l e v e l s of p o l i t i c a l m o b i l i z a t i o n

A g a i n , I n d i a h a s e x p e r i e n c e d q u i t e a f e w of

low and ironically may have further helped

these, especially by g r o u p s w h o d e f i n e their

n e w i n s t i t u t i o n s to t a k e r o o t in t h e e a r l y ,

r e g i o n a l d i s t i n c t i v e n e s s a l o n g c r i t e r i a of l a n -

post-independence phase.

g u a g e o r r e l i g i o n . I will d i s c u s s t h r e e of t h e most

significant

of

these

O v e r t i m e , s o m e o f I n d i a ' s p o l i t i c a l in-

movements,

s t i t u t i o n s w e a k e n e d . In t e r m s of p e r i o d i z a -

namely, those spearheaded by Tamils, Sikhs,

t i o n , if t h e 1 9 5 0 s w e r e a d e c a d e of r e l a t i v e l y

and Kashmiri Muslims.6 Since I have prop o s e d t h a t i n s t i t u t i o n a l i z a t i o n of s t a t e thority and leadership strategies

au-

effective

institutions,

the

1960s

are

best

t h o u g h t of as a d e c a d e of t r a n s i t i o n d u r i n g

influence

which the nationalist legacy declined, politi-

t h e p a t t e r n of t h e s e m o v e m e n t s , p r i o r to d i s -

c a l c o m p e t i t i o n a n d c h a l l e n g e s to t h e h e g e -

c u s s i n g t h e m , a f e w c o m m e n t s a r e in o r d e r

m o n y of t h e C o n g r e s s p a r t y i n c r e a s e d , a n d a

concerning how these contextual conditions

n e w t y p e of p o l i t i c a l s y s t e m — a m o r e p o p -

h a v e v a r i e d in I n d i a o v e r t i m e . India

in

the

1950s

well-institutionalized

was

ulist s y s t e m — w i t h n o n i n s t i t u t i o n a l m e t h o d s a

relatively

polity, especially

in

of s e c u r i n g e l e c t o r a l m a j o r i t i e s w a s c r e a t e d by Indira G a n d h i . D u r i n g the two f o l l o w i n g

4. For a detailed discussion, see Atul Kohli, Democracy and Discontent: India's Growing Crisis of Governability (New York: Cambridge University Press, 1991). 5. As suggested earlier, I use the concept of self-determination movements fairly loosely. What I have in mind are mainly movements for greater power and control by groups who share some real or imagined characteristics and who are sufficiently large and complex to conceive of themselves as "mini nations." Within the Indian federation, then, demands of such minority groups have varied from minimum (that is, for more power and resources within the federation and expressed through democratic channels) to maximum (that is, for secession from the federation and expressed through militant means). 6 . 1 estimate the "significance" of these movements by the following criteria: the number of people that were mobilized; the cohesiveness and longevity of the movement; and the degree to which they genuinely became a force that the central state could not ignore. 7. Among other writings on these themes, see Myron Weiner, Party Building in a New Nation (Chicago, 111.: The University of Chicago Press, 1967); and Myron Weiner, The Indian Paradox (New Delhi: Sage Publications, 1989).

The Bell Curve of Ethnic

Politics

d e c a d e s , n a m e l y , t h e 1970s a n d t h e 1 9 8 0 s , s o m e of I n d i a ' s e s t a b l i s h e d i n s t i t u t i o n s w e r e b a t t e r e d , e s p e c i a l l y by l e a d e r s in p o w e r . S i n c e l e v e l s of i n s t i t u t i o n a l i z a t i o n a r e r e l a t i v e , it is i m p o r t a n t to r e m e m b e r that e v e n d u r i n g the 1970s a n d the 1980s, I n d i a ' s central state authority, in c o m p a r i s o n to m o s t A f r i c a n and m a n y Latin A m e r i c a n c o u n t r i e s , was relatively well-institutionalized. Nevert h e l e s s , in c o m p a r i s o n to its o w n past, a f a i r a m o u n t of d e i n s t i t u t i o n a l i z a t i o n o c c u r r e d : the C o n g r e s s party, as an o r g a n i z a t i o n , w a s l a r g e l y d e s t r o y e d ; t h e civil s e r v i c e , p o l i c e , a n d e v e n a r m e d f o r c e s b e c a m e less p r o f e s sional a n d m o r e p o l i t i c i z e d ; the p a r l i a m e n t b e c a m e less e f f e c t i v e ; a n d the a u t o n o m y of the j u d i c i a r y w a s r e d u c e d . O n c e a g a i n , h o w and why these political changes occurred c o n s t i t u t e a c o m p l e x story, f a r b e y o n d t h e s c o p e of this paper. T h e o n l y fact I will note is that g r o w i n g p e r s o n a l i z a t i o n of p o w e r w a s at the h e a r t of t h e s t o r y ; g r o w i n g p o l i t i c a l f r a g m e n t a t i o n in society privileged personalism; and personalistic leaders, in turn, d a m a g e d the i n s t i t u t i o n s that c o n s t r a i n e d their d i s c r e tionary powers.8 A s to the o t h e r v a r i a b l e of l e a d e r s h i p strategy, India has h a d f o u r m a i n p r i m e m i n isters w h o h a v e r u l e d f o r m o r e t h a n t w o to three years each: Nehru ruled India for nearly f i f t e e n y e a r s ( f r o m 1949 till his d e a t h in 1964); his d a u g h t e r I n d i r a G a n d h i d o m i n a t e d I n d i a f o r n e a r l y as l o n g as t h e f a t h e r ( 1 9 6 7 - 1 9 7 7 and 1 9 8 0 - 1 9 8 4 ) ; then her son, R a j i v G a n d h i , r u l e d f r o m 1985 to 1989; and P r i m e M i n i s t e r , N a r a s i m h a R a o , had b e e n in p o w e r f r o m 1991 to 1995. C h a r a c t e r i z i n g the leadership strategies of these leaders in a brief s p a c e w o u l d g r o s s l y o v e r s i m p l i f y a fairly c o m p l e x reality. I d o so o n l y reluctantly. T h e m a i n analytical c o n c e r n here is h o w leaders typically r e s p o n d to oppositional chall e n g e s , e s p e c i a l l y the d e m a n d s of m o b i l i z e d

315

groups for greater self-determination. On a d i m e n s i o n of l e a d e r s h i p s t r a t e g y that v a r i e s f r o m a c c o m m o d a t i n g to u n a c c o m m o d a t i n g , N e h r u w a s c l o s e r to t h e a c c o m m o d a t i n g e n d of the s p e c t r u m . T h i s w a s , in part, a f u n c t i o n of his o w n p e r s o n a l i t y a n d , f o r the rest, it reflected his relatively secure p o w e r position; a c o n c e s s i o n f r o m N e h r u h e r e or t h e r e e n h a n c e d his m a g n a n i m i t y r a t h e r t h a n t h r e a t ened his hold on power. The political situation d u r i n g his d a u g h t e r ' s r e i g n , h o w e v e r , w a s q u i t e d i f f e r e n t , as w e r e h e r p o l i t i c a l ins t i n c t s . C o n g r e s s ' s h e g e m o n y h a d by t h e n declined and Indira consolidated her p o w e r against considerable odds. She was always s u s p i c i o u s of p o w e r c h a l l e n g e s . S h e r e c r e ated a p o w e r f u l p o l i t i c a l c e n t e r in I n d i a m a i n l y by p o r t r a y i n g h e r s e l f as a c h a m p i o n of the p o o r . A s h e r p e r s o n a l p o p u l a r i t y s o a r e d , t h o s e o p p o s e d to h e r also b e c a m e s t r i d e n t , c u l m i n a t i n g in t h e " E m e r g e n c y " in 1977, w h e n d e m o c r a t i c r i g h t s in India w e r e suspended for some two years. W h e n Indira G a n d h i r e t u r n e d to p o w e r in 1980, she w a s less of a p o p u l i s t , b u t , by the s a m e t o k e n , n e e d i n g to m o b i l i z e e l e c t o r a l pluralities, she started courting India's Hindus (more than 8 0 p e r c e n t of I n d i a ' s p o p u l a t i o n ) by r a i l i n g against religious minorities, especially Sikhs a n d M u s l i m s . T h i s s t r a t e g y m a d e h e r inc r e a s i n g l y less a c c o m m o d a t i n g t o w a r d m i n o r i t i e s , lest she b e v i e w e d as a p p e a s i n g t h e m . C o n s e q u e n t l y , I n d i r a G a n d h i , in c o n trast to N e h r u , w a s c l o s e r to t h e u n a c c o m m o d a t i n g e n d of the l e a d e r s h i p s p e c t r u m . B o t h of t h e s u b s e q u e n t l e a d e r s , R a j i v Gandhi and Narasimha Rao, have been more flexible than Indira Gandhi.9 Rajiv Gandhi was especially a c c o m m o d a t i n g toward selfd e t e r m i n a t i o n m o v e m e n t s in t h e first t w o y e a r s of h i s r u l e ; h o w e v e r , as h i s p o l i t i c a l s i t u a t i o n b e c a m e less s e c u r e he, too, c o u r t e d t h e H i n d u v o t e , as d i d his m o t h e r , b e c o m i n g

8. For details, see Kohli, Democracy and Discontent, op. cit. Also see Paul Brass, Politics of India Since Independence (New York: Cambridge University Press, 1990); and Lloyd Rudolph and Susanne Rudolph, In Pursuit of Lakshimi: The Political Economy of the Indian State (Chicago: University of Chicago Press, 1987). 9. The contrast between these leaders and Indira Gandhi helps bolster the claim that leadership strategies are indeed somewhat independent of the degrees of institutionalization of state authority.

316

Atul Kohli

m o r e and m o r e indecisive and u n a c c o m m o -

T a m i l is a l a n g u a g e a n d T a m i l s , as a so-

d a t i n g in t h e s e c o n d h a l f of h i s r u l e . N a r a -

cial g r o u p , are thus primarily a linguistically

s h i m h a R a o in t h e 1 9 9 0 s h a s p o r t r a y e d h i m -

defined group. Tamil, along with a few other

self as a n o n p e r s o n a l i s t i c a n d a c c o m m o d a t i n g

l a n g u a g e s in S o u t h I n d i a b u t u n l i k e

l e a d e r . A f t e r t h e a s s a s s i n a t i o n of t w o p r i m e

l a n g u a g e s s p o k e n in N o r t h e r n I n d i a , d o e s not

ministers (both Indira and Rajiv were assas-

d e r i v e its r o o t s f r o m c l a s s i c a l S a n s k r i t , w i t h

sinated

for political

reasons),

this

most

ruling

its I n d o - G e r m a n i c r o o t s . R a t h e r , T a m i l is a

strategy appears, for the time being, to have

Dravidian language. Tamil nationalists also

c a l m e d an agitated polity.

u s e d to insist that T a m i l s a r e a s e p a r a t e racial

To o v e r s i m p l i f y a r a t h e r c o m p l e x reality,

a n d c u l t u r a l g r o u p , w i t h t h e i r r o o t s in a D r a -

t h e n , t h e N e h r u p e r i o d in I n d i a , say, f r o m

v i d i a n s o c i e t y that w a s i n d i g e n o u s to s o u t h -

1 9 5 0 to 1 9 6 4 , is b e s t u n d e r s t o o d as a p e r i o d

e r n I n d i a p r i o r to t h e h i s t o r i c a r r i v a l of a n d

when

d o m i n a t i o n by " N o r t h e r n A r y a n s . " B r a h m a n s

India's

central

state

was

relatively strat-

in T a m i l S o c i e t y c o u l d t h u s b e v i e w e d , n o t

egy, t h o u g h f i r m , w a s also f l e x i b l e and ac-

as n a t u r a l " h e g e m o n s " of a c a s t e s o c i e t y , b u t

c o m m o d a t i n g to d e m a n d s f o r s e l f - d e t e r m i n a -

r a t h e r as a g e n t s of n o r t h e r n d o m i n a t i o n . T h a t

tion.

the

s o m e of t h e T a m i l B r a h m a n s w e r e of l i g h t e r

mid-1960s, India's political institutions have

s k i n c o l o r t h a n m a n y m e m b e r s of t h e d a r k e r -

well-institutionalized

and leadership

Subsequently,

especially

since

weakened, although they remain e f f e c t i v e by leadership

Third

strategy

World over

relatively

standards. these

last

The three

skinned

Tamil

society

only

added

to

p l a u s i b i l i t y of s u c h a n i n t e r p r e t a t i o n .

the Two

o t h e r s e t s of " f a c t s - o n - t h e - g r o u n d " a r e i m -

decades has varied. W h e r e a s Indira Gandhi

p o r t a n t f o r u n d e r s t a n d i n g t h e d y n a m i c s of

was

T a m i l n a t i o n a l i s m . F i r s t , B r a h m a n s in T a m i l

quite

unaccommodating

toward

de-

manding groups, both Rajiv and Rao have

society constitute a relatively small

b e e n m o r e a c c o m m o d a t i n g . W i t h this c o n t e x t

g r o u p : l e s s t h a n 5 p e r c e n t of t h e t o t a l (in

caste

in m i n d , w e a r e n o w in a p o s i t i o n to t u r n o u r

c o m p a r i s o n , say, to p a r t s of N o r t h e r n I n d i a ,

a t t e n t i o n to a f e w s p e c i f i c s e l f - d e t e r m i n a t i o n

where Brahmans often constitute nearly

m o v e m e n t s within India.

p e r c e n t of t h e total p o p u l a t i o n ) . A n d s e c o n d ,

10

f o r a v a r i e t y of h i s t o r i c a l r e a s o n s , t h e a r e a Tamil

t h a t is n o w T a m i l n a d u w a s m o r e u r b a n i z e d

Nationalism

T a m i l n a d u is n o w o n e of I n d i a ' s i m p o r t a n t s t a t e s , a n i n t e g r a l p a r t of t h e I n d i a n f e d e r a l system. N o one now

questions, not

even

by m i d - c e n t u r y than m a n y o t h e r parts of India. T h e C o n g r e s s p a r t y in t h i s p a r t of I n d i a , as e l s e w h e r e , b u i l t its p r e - i n d e p e n d e n c e b a s e

t h o s e w h o live in T a m i l n a d u , w h e t h e r t h e y

on the B r a h m a n s . T h a t the B r a h m a n s

are

f e w in n u m b e r a n d t h a t t h e

fully a part

of t h e

Indian

union;

of

were

non-Brahman

c o u r s e , t h e y a r e . H o w e v e r , it w a s n o t a l w a y s

c a s t e s w e r e a l r e a d y a c t i v e in c i t y l i f e p r o -

so. D u r i n g the 1950s and the 1960s, Tamil

vided the necessary conditions for the early

l e a d e r s a r g u e d that T a m i l s w e r e a d i s t i n c t i v e

r i s e of a n a n t i - B r a h m a n m o v e m e n t . T h e f i r s t

people. They mobilized considerable support

i n s t i t u t i o n a l m a n i f e s t a t i o n of that m o v e m e n t

f o r a " T a m i l N a t i o n " a n d d e m a n d e d , at m i n -

w a s t h e J u s t i c e p a r t y , w h i c h w a s led b y t h e

i m u m , greater power and control over their

e l i t e of t h e n o n - B r a h m a n c a s t e s a n d w h i c h

o w n a f f a i r s v i s - à - v i s N e w D e l h i or, at m a x i -

sided with the British against both B r a h m a n s

m u m , s e c e s s i o n f r o m I n d i a . A v e r y b r i e f re-

a n d t h e C o n g r e s s p a r t y in t h e h o p e of s e c u r -

c a p i t u l a t i o n of t h e r i s e a n d d e c l i n e o f t h i s

i n g c o n c e s s i o n s in g o v e r n m e n t j o b s a n d in

m o v e m e n t , therefore, will serve our b r o a d e r

education. The Justice party eventually was

analytical interests.10

delegitimized,

both

because

10. The best book on this subject remains Marguerite Ross Barnett, The Politics ism in South India (Princeton: Princeton University Press, 1976).

of

of Cultural

its

elitist

National-

The Bell Curve of Ethnic

317

Politics

n a t u r e a n d b e c a u s e of t h e r i s i n g t i d e o f n a -

the national center and widely c o n s i d e r e d to

tionalism.

conse-

b e I n d i a ' s l e g i t i m a t e l e a d e r , N e h r u set f i r m

Congress

limits on what p o w e r s the newly constituted

That

had

quences, especially

significant

because the

p a r t y b e c a m e i d e n t i f i e d as a B r a h m a n p a r t y

states w o u l d h a v e and w h a t w o u l d be c o n -

in a r e g i o n w h e r e B r a h m a n s h a d n o t b e e n

trolled by N e w Delhi ( w h i c h , by the way,

a b l e to e s t a b l i s h c u l t u r a l a n d p o l i t i c a l h e g e -

was substantial). Within these limits, then,

m o n y . T h e e a r l y d e v e l o p m e n t of a c l e a v a g e

India's federal system was reorganized along

between

the

Brahman

and

anti-Brahman

f o r c e s o p e n e d u p t h e p o l i t i c a l s p a c e f o r later

l i n g u i s t i c s t a t e s in 1 9 5 6 , g r a n t i n g T a m i l n a tionalists their first m a j o r victory.

anti-Congress party development.

H a v i n g g a i n e d a s e p a r a t e s t a t e of t h e i r

T h e link b e t w e e n t h e C o n g r e s s p a r t y a n d

own (first called M a d r a s , subsequently rela-

t h e B r a h m a n s b e c a m e t h e t a r g e t of T a m i l n a -

b e l e d T a m i l n a d u , o r t h e h o m e of T a m i l s ) , t h e

period.

struggle of Tamil nationalists s h i f t e d to an

T h e C o n g r e s s p a r t y in M a d r a s c o u l d n o t e a s -

a t t e m p t to o u s t C o n g r e s s f r o m p o w e r w i t h i n

ily b r e a k o u t of t h a t m o l d . T h e

the state. For this, the Tamil

t i o n a l i s t s in t h e p o s t - i n d e p e n d e n c e

continued

nationalists

C o n g r e s s - B r a h m a n alliance e n a b l e d the re-

f o r m e d a political party, the D M K

gional nationalists to m o b i l i z e against caste

M u n n e t r a K a z h a g a m ) , a n d s o u g h t to b r o a d e n

domination and domination by north Indians

their p o w e r base. T h e y

s i m u l t a n e o u s l y . H a m m e r i n g on t h e t h e m e of

r h e t o r i c of l a n d r e f o r m a n d t h e e r a d i c a t i o n of

t h e d i s t i n c t i v e n e s s of t h e T a m i l t r a d i t i o n a n d

the

further threatening

the

l i n k i n g t h a t w i t h an o p p o s i t i o n to n o r t h e r n

B r a h m a n s . M a n y of t h e i n t e r m e d i a t e -

and

H i n d i r u l e a n d its a l l i e s , t h e s o u t h e r n B r a h -

l o w e r - c a s t e d w e l l e r s in v i l l a g e s t h u s c a m e to

m a n s , t h e l e a d e r s of t h e D r a v i d i a n

be a t t r a c t e d t o t h e D M K . T h e D M K a l s o s u c -

move-

caste

system,

(Dravida

adopted a radical

the

c e s s f u l l y m o b i l i z e d c u l t u r a l t h e m e s . In t h i s ,

numerous backward castes who were already

t h e y w e r e f o r t u n a t e i n s o f a r as m a n y T a m i l

c o n c e n t r a t e d in t h e c i t i e s . T o s i m p l i f y a c o m -

nationalists were playwrights, literary

plex picture, Tamil nationalism and a petit

ures, and theater and movie actors. Movies

bourgeois base a m o n g the urban

were the new emerging m e d i u m and

ment. found a ready audience among

backward

figthey

c a s t e s p r o v i d e d t h e c o r e s u p p o r t f o r a re-

w e r e u s e d s u c c e s s f u l l y by t h e D M K to p o p u -

gional nationalist m o v e m e n t .

l a r i z e s u c h t h e m e s as i n j u s t i c e s of t h e c a s t e

T h e e a r l i e s t d e m a n d s of t h i s s e l f - d e t e r -

s y s t e m , t h e g l o r i e s of T a m i l h i s t o r y , a n d t h e

mination m o v e m e n t were for greater power

social

a n d c o n t r o l , m a n i f e s t in r e o r g a n i z i n g t h e I n -

w h o w o u l d deliver the poor, the w e a k , and

dian federation along linguistic lines. W h i l e

the d i s p o s s e s s e d f r o m t h e c l u t c h e s of t h e r i c h

other

and the wicked.

linguistic

groups joined

in,

Tamils

need

for Robin-Hood-type

heroes,

w e r e a m o n g t h e l e a d i n g a d v o c a t e s of a f e d -

As Tamil nationalism became more pop-

eral India d e s i g n e d a r o u n d distinctive lin-

ulist, it s i m u l t a n e o u s l y b e c a m e l e s s c o h e r e n t

g u i s t i c g r o u p s . In t h e a f t e r m a t h of

b u t m o r e c a p a b l e of w i n n i n g e l e c t i o n s . F o l -

India's

s e p a r a t i o n f r o m P a k i s t a n , N e h r u in t h e e a r l y

lowing Nehru's death, for example, India's

1950s w a s reluctant to a linguistic redesign,

national leaders reattempted, for a brief m o -

lest it s t r e n g t h e n s e c e s s i o n i s t t e n d e n c i e s a n d

m e n t , to i m p o s e H i n d i as a n a t i o n a l l a n g u a g e

l e a d to a f u r t h e r b r e a k u p of I n d i a . T a m i l n a -

on all s t a t e s . M a n y s t a t e s r e a c t e d n e g a t i v e l y

tionalists

and

their

mobilized

supporters,

but T a m i l n a d u reacted the most negatively.

however, pressed hard through

demonstra-

E f f i c i e n t l y m o b i l i z e d to c o n f r o n t precisely

t i o n s t h a t o c c a s i o n a l l y t u r n e d v i o l e n t a n d in-

such national policy shifts, language

c l u d e d p u b l i c b u r n i n g of t h e I n d i a n f l a g a n d

b r o k e o u t all o v e r t h e s t a t e . S e v e r a l s t u d e n t s

the constitution. W h e n pressed, N e h r u must

b u r n e d t h e m s e l v e s to death, p r o t e s t i n g the

riots

h a v e r e c a l c u l a t e d t h a t t h e d a n g e r s of n o t d e -

m o v e s of t h e n a t i o n a l g o v e r n m e n t . F o r a n -

volving

other brief m o m e n t , the national g o v e r n m e n t

power

to

linguistic

groups

were

g r e a t e r t h a n of d o i n g s o . F u l l y in c o n t r o l at

used a h e a v y c o e r c i v e h a n d to deal

with

318

Atul

Kohli

protests. A s matters got worse, the national

Indian federation to secession from India and

government b a c k t r a c k e d . T h e principle was

the creation o f a sovereign state, K h a l i s t a n .

c o n c e d e d that regional languages, such as

The

T a m i l , were " c o e q u a l " to the other two na-

Gandhi was not only u n a c c o m m o d a t i n g , it

national

government

under

Indira

tional languages, namely, Hindi and English.

sought to divide and rule the S i k h s . T h e

T h i s was a m a j o r victory for the D M K . E n -

strategy backfired. S o m e Sikh groups turned

joying considerable

DMK

sharply militant. T h e central state, in turn,

ousted the Congress party from power within

met the militancy with c o n s i d e r a b l e f o r c e .

popularity, the

Tamilnadu in the 1967 elections. S i n c e then,

A s a state that bordered on Pakistan. Pun-

the C o n g r e s s party has never returned to

j a b ' s militant Sikhs were able to secure arms

power in that state.

and support from across the border. Militant

T h e rise and consolidation o f power by

nationalists and a repressive state thus c o n -

the D M K had a profound impact on T a m i l -

fronted each other in a vicious cycle o f grow-

nadu's politics. The highest leadership posts

ing v i o l e n c e . V i o l e n c e took its toll through-

in the state slipped out o f the hands o f Brah-

out the 1 9 8 0 s — n e a r l y one thousand people

mans and went to the well-educated elite o f

died every

the n o n - B r a h m a n c a s t e s . T h e

some four thousand people were killed in po-

in

1990

when

re-

litical violence. S i n c e then, the situation has

the real power base o f the D M K : the

changed. Brutal state repression " s u c c e e d e d "

and local flected

intermediate

year—peaking

leadership

more

accurately

intermediate castes. Many o f them gained

in eliminating many o f the militants. A more

a c c e s s to more power and resources. A s the

politically accommodating R a o allowed state

D M K settled down to rule, the predictable

level e l e c t i o n s in P u n j a b in the early 1 9 9 0 s .

happened. Over time, the D M K lost much o f

A s an elected government settled down to

its self-determination, anti-center militancy,

rule, an exhausted state went b a c k to work

as well as its commitment to s o c i o e c o n o m i c

and both militancy and state repression fell

reforms. T h e reasons for that deradicaliza-

into

tion in Tamilnadu were the same as e l s e -

seventy-three people died in politically re-

where. O n c e national leaders made important

lated v i o l e n c e and, over the last year, the

c o n c e s s i o n s , though within firm limits, and

flow o f investment capital into P u n j a b has

the D M K achieved its major goal o f securing

increased dramatically.

the

background.

During

1993.

only

increased power, realpolitik c o n c e r n s took

T h e underlying " s t o r y " behind the rise

over, and mobilizing ideologies slowly lost

and decline o f Sikh nationalism is c o m p l e x

their relevance for guiding governmental ac-

and cannot be retold here in any d e t a i l . "

tions. E t h n i c nationalism slowly

What follows, therefore, is only a bare bones

declined,

following the bell curve discussed earlier.

account. Sikhs are a religious group, c o n c e n -

Sikh

j a b . S i k h men are distinctive, in that they

trated mainly in the Indian state o f the Pun-

Nationalism prosperous

wear religiously prescribed long hair and tur-

s t a t e s — t h e h o m e o f the green r e v o l u t i o n —

bans. S i k h s and Hindus lived side by side,

P u n j a b is one o f India's most

and Sikhs constitute about half o f that state's

peacefully, for several centuries. L i k e the

population (the other h a l f being

Hindus).

H i n d u s — f r o m which S i k h i s m was initially

S i k h nationalism was a powerful

political

derived in the late medieval p e r i o d — S i k h s

f o r c e in the state throughout the 1 9 8 0 s . D e -

are internally differentiated along c a s t e - l i k e

mands o f S i k h groups varied from greater

groups. Most S i k h s are relatively prosperous

political and e c o n o m i c control within the

agriculturalists. A sizable minority are urban

11. For a good account, see Paul Brass, "The Punjab Crisis and the Unity of India," in Atul Kohli, ed., India's Democracy: An Analysis of Changing Stale-Society Relations (Princeton: Princeton University Press, 1990), pp. 169-213.

The Bell Curve of Ethnic

Politics

traders and entrepreneurs; until recently, intermarriage between these groups and their Hindu counterparts was c o m m o n in the Punjab. Sikhs also have their own version of "untouchables," that is, the equivalent of the lowest Hindu castes, who generally tend to own no land and be very poor. Prior to the political turmoil that arose in the 1980s, caste and community divisions in Punjab had given rise to easily identifiable political divisions. In the past, the Hindus generally supported the Congress party, though a significant minority had also been loyal to a Hindu nationalist party. The Akali Dal, by contrast, had consistently counted on the Sikh vote but had seldom succeeded in mobilizing all the Sikhs as an ethnic political bloc. Given internal divisions a m o n g Sikhs, the Congress party during the 1960s and 1970s was often in a position to form a government in P u n j a b with the help of Hindus and some Sikhs. The Akalis, by contrast, could only form a coalition government, and that only with a seemingly unlikely partner: the pro-Hindu party. These basic political and community divisions provide the essential background to understand the intensified political activities of the Akalis during the 1980s. That militancy was aimed at mobilizing as many Sikhs as possible around a platform of "Sikh nationalism." The question is, why did those fairly normal political ambitions generate so much chaos and turmoil? The Akali Dal, as a political party, has always exhibited a mixture of religious fervor and hard-nosed political realism aimed at capturing power. Being mainly a Sikh party, there is a close relationship between the party and Sikh religious organizations. The Sikh political elite thus periodically utilize religious organizations to influence the political behavior of the laity. Over the years, the Akalis have been in and out of power. They first came to power in 1966 when they spearheaded a successful movement for a separate "Punjabi S u b a " (or the land where Punjabi is spoken) and the current boundaries of the state of Punjab were drawn. Given the electoral arithmetic, however, the power position of the Akalis was never secure. Sikhs constituted a

319 bare majority in the state and Congress party leaders consistently sought to draw away part of the Sikh vote through one machination or another. Unlike Tamilnadu, therefore, where Tamil nationalists c a m e to power around the same time, consolidated their hold, and settled on a slow but steady road toward deradicalization, Akalis in the Punjab have consistently needed to whip up religious and nationalist issues that would keep Sikhs united politically. During the 1970s, as Indira G a n d h i ' s popularity grew across India, Congress party leaders in the P u n j a b undertook aggressive efforts to divide Sikhs and to consolidate their own hold over state politics. A threatened Akali Dal had little choice but to raise the ante; they started demanding even greater control over the affairs of Sikhs, coming closer and closer in their formal statements to wanting a sovereign state for the Sikhs that they could control. Indira Gandhi countered by a combination of repression—labeling secessionists as seditious—and by further attempts to divide the Sikhs. During the " E m e r g e n c y , " many Sikh leaders were imprisoned. W h e n Indira G a n d h i returned to power in 1980 and another round of elections were held in P u n j a b , the Congress party won a clear majority and the Akalis secured only 27 percent of the popular vote. Congress party leaders considered themselves the legitimate, elected rulers. The Akalis, by contrast, viewed Punjab as "their" state, which they ought to control. T h e Akalis were thus cornered in their own state and decided they had to fight for their political life. M u c h of what f o l l o w e d — s o m e anticipated but most of it u n a n t i c i p a t e d — makes sense mainly f r o m this retrospective logic of competitive mobilization. T h e battle lines were drawn. Indira Gandhi had the popular support. She decided to use her position of advantage to launch a political offensive and consolidate her position vis-à-vis the Akalis. If she could use Sikh militants to split the ranks of the Akalis still further b e t w e e n the moderates and the extremists, victory would be hers. And this is what she attempted. The Akali Dal possessed

320

a n o t h e r set of political r e s o u r c e s , w h o s e e f f i cacy Indira Gandhi apparently underestim a t e d . T h e A k a l i s still c o u l d o r g a n i z e a r o u n d the issue of Sikh n a t i o n a l i s m like n o o t h e r party in P u n j a b . T h e c h a i n of Sikh t e m ples, moreover, provided a ready organizational network with money, personnel, and t h e p r o v e n ability to s w a y o p i n i o n . A p o p ulist, c e n t r a l i z i n g , and u n a c c o m m o d a t i n g national leader, Indira G a n d h i , t h u s c a m e to be pitted against a r e g i o n a l party, the Akali Dal, that had c o n s i d e r a b l e p o t e n t i a l to m o b i l i z e the f o r c e s of r e l i g i o u s n a t i o n a l i s m . B o t h I n d i r a G a n d h i a n d the A k a l i s ass e m b l e d militant f o r c e s f o r political e n d s . In r e t r o s p e c t , it is c l e a r that o v e r the n e x t s e v eral years, the militancy led to civil d i s o r d e r that t o o k on a political life of its o w n , inc r e a s i n g l y out of the c o n t r o l of both the A k a l i s and the national g o v e r n m e n t . W h e t h e r that simply was not f o r e s e e n or w a s b r a z e n l y ignored u n d e r the short-term pressure to seize political a d v a n t a g e m a y never be k n o w n . W h a t w e d o k n o w is t h a t , o n c e m o b i lized, Sikh m i l i t a n t s very q u i c k l y g a i n e d political a d v a n t a g e o v e r m o d e r a t e Sikh leaders. If the p o l i t i c a l a i m w a s i n d e e d to c r e a t e a separate Sikh state, n a m e l y , a K h a l i s t a n , then m o d e r a t e Sikh leaders h a d little to c o n t r i b u t e t o w a r d a c h i e v i n g such e n d s . A m o v e t o w a r d s e c e s s i o n w a s m a i n l y a p o l i t i c a l ploy f o r most moderate Akalis. Having shifted the political d i s c o u r s e in that d i r e c t i o n , h o w e v e r , a n y and all e f f o r t s to w o r k w i t h N e w D e l h i s i m p l y u n d e r m i n e d the l e g i t i m a c y of this moderate leadership; normal politics made t h e m o d e r a t e s l o o k like o p p o r t u n i s t s , n o t w o r t h y of a l e a d e r s h i p m a n t l e . T r u e b e l i e v e r s , i n s t e a d , b e c a m e h e r o e s of t h e d a y a n d gained public sympathy. A r m e d with w e a p o n s t h a t o f t e n c a m e f r o m A f g h a n i s t a n via P a k istan, Sikh militants then unleashed a holy w a r , a i m e d at e s t a b l i s h i n g a s o v e r e i g n S i k h state. I n d i r a G a n d h i c o u n t e r e d by i n c r e a s i n g governmental repression. As a militancy and r e p r e s s i o n c y c l e set in, P u n j a b , o n e of India's most prosperous states, b e c a m e eng u l f e d in a long d e c a d e of v i o l e n c e . T h e r e w e r e at least t w o i m p o r t a n t o c c a s i o n s d u r i n g the 1980s w h e n t h e C o n g r e s s

Atul

Kohli

p a r t y a n d S i k h m o d e r a t e s c a m e c l o s e to a c o m p r o m i s e . A m o n g the d e m a n d s of A k a l i s w e r e a n u m b e r of c o n c r e t e " b r e a d and b u t t e r " i s s u e s that fell well s h o r t of s e c e s s i o n : control over river waters, over the capital city of P u n j a b , a n d o v e r a g r i c u l t u r a l s u b s i d i e s . I n d i r a G a n d h i , d u r i n g 1 9 8 2 - 1 9 8 4 , ref u s e d t h e s e c o m p r o m i s e s , lest she be v i e w e d n a t i o n a l l y as a p p e a s i n g m i n o r i t i e s . T h i s w e a k e n e d S i k h m o d e r a t e s and p r i v i l e g e d t h o s e w h o w a n t e d to use m o r e m i l i t a n t tactics. A s e c o n d a n d m o r e i m p o r t a n t o c c a s i o n a r o s e w h e n R a j i v G a n d h i c a m e to p o w e r in 1984. F l u s h with v i c t o r y a n d c o m m i t t e d to resolving the P u n j a b conflict, Rajiv offered b r o a d c o m p r o m i s e s to A k a l i s . T h e r e s u l t s w e r e d r a m a t i c . E l e c t i o n s w e r e h e l d in the state, A k a l i s c a m e to p o w e r , and political vio l e n c e c a m e d o w n s h a r p l y d u r i n g 1985. U n f o r t u n a t e l y , all this w a s s h o r t - l i v e d . Very q u i c k l y R a j i v G a n d h i f o u n d it i m p o s s i b l e to i m p l e m e n t the c o m p r o m i s e s he had o f f e r e d to t h e A k a l i l e a d e r s . W h i l e the d e t a i l s are c o m p l e x , the m a j o r o b s t a c l e s to i m p l e m e n t a tion w e r e R a j i v ' s o w n g r o w i n g political vuln e r a b i l i t i e s : as his n a t i o n a l p o p u l a r i t y d e c l i n e d , s t a r t i n g s o m e t i m e s in 1986. he w a s i n c r e a s i n g l y p r e s s e d within his o w n party to not m a k e a n y " f u r t h e r " c o n c e s s i o n s to m i norities. O n c e it b e c a m e clear, t h e r e f o r e , that c o n c e s s i o n s f r o m Delhi w e r e m o r e a p p a r e n t than real, the p o s i t i o n of e l e c t e d Akali leaders w a s a g a i n u n d e r m i n e d and m i l i t a n c y and the r e p r e s s i o n c y c l e r e a p p e a r e d . Had India been a weaker state during this p e r i o d , it is c o n c e i v a b l e that S i k h s e c e s s i o n i s t s w o u l d h a v e s u c c e e d e d in e s t a b l i s h ing yet a n o t h e r state on the s u b c o n t i n e n t . A s it w a s , e v e n t h o u g h I n d i a ' s p o l i t i c a l institut i o n s w e a k e n e d c o n s i d e r a b l y o v e r the last few decades, India remained a relatively w e l l - e s t a b l i s h e d state. N a t i o n a l l e g i t i m a c y of e l e c t e d l e a d e r s , an e f f e c t i v e civil a n d p o l i c e b u r e a u c r a c y , and most important, loyal a r m e d f o r c e s a r e c r i t i c a l c o m p o n e n t s of this state. T h e y w e r e all u t i l i z e d , e s p e c i a l l y t h e b r u t e f o r c e a s p e c t , to c o n t a i n and r e p r e s s Sikh m i l itants. T h e s e m i l i t a n t s also b e c a m e m a r g i n a l ized o v e r t i m e , l o s i n g p o p u l a r s u p p o r t . R e p r e s s i o n a n d p o l i t i c a l m a r g i n a l i z a t i o n led to

The Bell Curve of Ethnic

Politics

a d w i n d l i n g n u m b e r of Sikh militants undertaking violent acts in order to a c c o m p l i s h secessionist goals. Mr. R a o finally called elections in the P u n j a b in the early 1990s. T h e A k a l i s b o y cotted the election but a Sikh-led C o n g r e s s party g o v e r n m e n t c a m e to power. O v e r time, w h e n municipal elections were called, not wanting to be left out, even the Akalis joined in. Thus, for now the militancy and repression of the 1980s has fallen into the background. To sum up, Sikh nationalism in the Punj a b a l s o t r a v e r s e d the bell c u r v e d i s c u s s e d earlier but the top of the bell turned out to be p r o l o n g e d . A m o n g the important u n d e r l y i n g d i f f e r e n c e s with the earlier m o v e m e n t of the T a m i l s was the c o n t r a s t i n g a p p r o a c h of N e h r u and Indira G a n d h i : N e h r u was a c c o m m o d a t i n g and Indira w a s not. Of c o u r s e , there were other f a c t o r s at work: T a m i l s d o m i n a t e T a m i l n a d u , w h e r e a s the Sikhs constitute only half of the P u n j a b ' s p o p u l a t i o n ; Tamils are a linguistic group, w h e r e a s Sikhs are a r e l i g i o u s g r o u p a n d , given the c l o s e m a r r i a g e of politics and religion in S i k h i s m , Sikh religion p r o b a b l y p r o v i d e s a m o r e enc o m p a s s i n g identity than d o e s attachment to a language; and Tamils did not have as easy an a c c e s s to a r m s and a c r o s s - t h e - b o r d e r sanctuaries as did Sikh militants. All of these f a c t o r s p l a y e d s o m e role, but n o n e of t h e m on their own coincides as neatly with the rise and decline of m o v e m e n t s as d o the relative d e g r e e s of i n s t i t u t i o n a l i z a t i o n of state authority and the c o n t r a s t i n g strategies of national leaders. Within a m o r e t u r b u l e n t polity, Indira G a n d h i ' s c o m m i t m e n t to d o m i nate P u n j a b politics p u s h e d A k a l i s into aggressive mobilization. Once mobilized, professional politicians lost control and militants took over. Finally, over time, militants were r e p r e s s e d out of e x i s t e n c e and a tired population was relieved to accept s o m e conc e s s i o n s f r o m a m o r e a c c o m m o d a t i n g national l e a d e r s h i p a n d to v o t e an e l e c t e d provincial g o v e r n m e n t back to power.

321 Muslim Nationalism in Kashmir Since 1989 the state of J a m m u and K a s h m i r , especially its northern valley of Kashmir, has been gripped by a militancy-repression cycle. T h e m a i n p r o t a g o n i s t s of the conflict are Islamic g r o u p s that d o not want K a s h m i r to be part of India, on the one hand, and a variety of Indian security f o r c e s , on the o t h e r h a n d . T h e d i m e n s i o n s of the c o n f l i c t are quite severe: in a s o m e w h a t sparsely p o p u l a t e d state of a p p r o x i m a t e l y eight m i l l i o n p e o p l e (app r o x i m a t e l y 65 p e r c e n t M u s l i m ) , nearly ten t h o u s a n d p e o p l e h a v e died as a result of political violence over the last five years; security forces d e p l o y e d in the state by n o w consist of m o r e than three h u n d r e d paramilitary c o m p a n i e s and several a r m y d i v i s i o n s ; and nearly o n e h u n d r e d t h o u s a n d H i n d u s h a v e m i g r a t e d a w a y f r o m the M u s l i m - d o m i n a t e d K a s h m i r valley, m a i n l y to J a m m u , the southern, H i n d u - d o m i n a t e d part of the state. At the time of writing (late 1994), India's central g o v e r n m e n t is pursuing a t w o - p r o n g e d strate g y : it is c o m i n g d o w n quite hard on recalcitrant I s l a m i c militants; and it is o p e n l y calling for elections in the " n e a r f u t u r e " and strengthening the h a n d s of those leaders w h o are willing to respect "constitutional b o u n d a r i e s " and to participate in electoral politics. W h e t h e r this will generate a result similar to that in the case of the Sikhs in Punjab, namely, a return to normalcy, is not clear as yet. O n c e again, the full " s t o r y " b e h i n d this s p e c i f i c I n d i a n c a s e of e t h n i c politics need not be r e c a l l e d h e r e . 1 2 T h e c o n d e n s e d acc o u n t that f o l l o w s s u g g e s t s that this c a s e d o e s not fit as neatly into the bell c u r v e arg u m e n t d e v e l o p e d earlier. I explain this partial a n o m a l y as a result, in s o m e m e a s u r e , of the fact that the conflict is m o r e internationalized t h a n the o t h e r t w o c a s e s d i s c u s s e d p r e v i o u s l y a n d , f o r the rest, the c o n f l i c t is still relatively " y o u n g " ; as predicted, the dec l i n e of e t h n i c m i l i t a n c y and of the related f r a t r i c i d e m a y still set in o v e r the next f e w years. W h a t e v e r the eventual o u t c o m e , s o m e

12. A good account is to be found in Ashutosh Varshney, "India, Pakistan and Kashmir: Antinomies of Nationalism," Asian Survey 31, no. 11 (November 1991).

322

Atul

e l e m e n t s of h o w and w h y ethnic

conflict

Within

Kashmir, Kashmir's

Kohli

"founding

f l a r e d u p in K a s h m i r a r e still b r o a d l y c o n s i s -

father" and m u c h revered leader, Sheikh Ab-

tent w i t h t h e p r o p o s i t i o n s d e v e l o p e d e a r l i e r .

d u l l a h , d i e d in 1982. H i s s o n F a r o o q A b d u l -

Ever since India and Pakistan e m e r g e d as s o v e r e i g n s t a t e s in l a t e 1 9 4 0 s , K a s h m i r

lah m o v e d i n t o t h e r e s u l t i n g p o l i t i c a l

vac-

u u m , b o t h as t h e l e a d e r of t h e s t a t e ' s m a i n

h a s b e e n a f o c u s of d i s p u t e . A s a M u s l i m

r.on-Congress political party, the

m a j o r i t y s t a t e t h a t w a s c o n t i g u o u s to P a k -

C o n f e r e n c e , a n d as t h e h e a d of t h e state g o v -

National

istan, it is a r g u a b l e that K a s h m i r s h o u l d h a v e

e r n m e n t . S t a t e - l e v e l e l e c t i o n s of 1983 t u r n e d

b e c o m e a p a r t of P a k i s t a n . T h e H i n d u h e a d

o u t to b e q u i t e i m p o r t a n t . F a r o o q s u c c e s s f u l l y

of t h e K a s h m i r i s t a t e i n s t e a d c h o s e t o j o i n

c a m p a i g n e d on an anti-Congress, anti-Delhi,

I n d i a . P a k i s t a n c o n t e s t e d t h e " l e g a l i t y " of

and a pro-Kashmiri autonomy platform. The

t h i s d e c i s i o n a n d , as o f t e n h a p p e n s in i n t e r -

c a m p a i g n c a u g h t t h e i m a g i n a t i o n of a l a r g e

s t a t e r e l a t i o n s , it w a s n o t l e g a l i t y b u t m i g h t

majority, especially Kashmir's Muslim ma-

that d e t e r m i n e d w h a t w a s r i g h t ; I n d i a a n d

j o r i t y . I n d i r a G a n d h i h e r s e l f c a m p a i g n e d in

Pakistan fought two wars over the issue and

Kashmir

a l a r g e p a r t of K a s h m i r w a s

p a r t y , o f t e n a p p e a l i n g to t h e f e a r s of J a m m u

incorporated

on behalf Communal

of t h e s t a t e

Congress

i n t o I n d i a . W h a t is i m p o r t a n t f o r o u r a n a l y t i -

Hindus.

cal p u r p o s e s is t h a t , in s p i t e of t h e s e i n t e r n a -

h a r d l y n e w to K a s h m i r , i n c r e a s i n g l y c a m e to

polarization,

while

t i o n a l p r o b l e m s , f o r m u c h of this p e r i o d , say

b e s p o n s o r e d by c o m p e t i n g e l i t e s a n d t h u s

1 9 5 0 to 1 9 8 0 , e t h n i c n a t i o n a l i s m in K a s h m i r

g r e w m o r e p r e v a l e n t . F a r o o q ' s p l a t f o r m fell

remained relatively mild. The m e m o r y and

well short of s e c e s s i o n i s t d e m a n d s . N e v e r t h e -

s t o r i e s of e t h n i c i n j u s t i c e s w e r e

probably

less, his e m p h a s i s on regional a u t o n o m y for

kept alive. N e v e r t h e l e s s , K a s h m i r w a s ac-

K a s h m i r t u r n e d o u t to b e v e r y p o p u l a r , p r o -

corded a "special status" within the Indian

pelling the National C o n f e r e n c e to a h a n d -

c o n s t i t u t i o n , g i v i n g it c o n s i d e r a b l e a u t o n o m y

s o m e electoral victory against the C o n g r e s s .

w i t h i n I n d i a ' s f e d e r a l s y s t e m . T h i s s e e m e d to

F a r o o q in K a s h m i r h a d t o t r e a d a t h i n

have done the "trick." While both N e w Delhi

line b e t w e e n e m p h a s i z i n g K a s h m i r i a u t o n -

and

o m y , o n t h e o n e h a n d , a n d to n o t a p p e a r i n g

Kashmiri

leaders,

especially

Muslim

leaders, viewed each other with suspicion, a

to b e a n a n t i n a t i o n a l , M u s l i m K a s h m i r i s e -

w o r k i n g a r r a n g e m e n t of s o r t s o p e r a t e d w e l l

c e s s i o n i s t , o n t h e o t h e r h a n d . In o r d e r to

into the early 1980s.

bolster this precarious position, he j o i n e d

S e v e r a l n e w f a c t o r s c a m e i n t o p l a y in

hands with other non-Congress party heads

t h e e a r l y 1 9 8 0 s . A s d i s c u s s e d p r e v i o u s l y . In-

of s t a t e g o v e r n m e n t s . H o p i n g to b e o n e of

d i a n p o l i t y a s a w h o l e w a s by n o w r e l a t i v e l y

t h e m a n y w h o w e r e p a r t of t h e " l o y a l o p p o -

more turbulent. Old nationalist

institutions

l i k e t h e C o n g r e s s p a r t y w e r e in d e c l i n e . A whole new

postnationalist

generation

de-

m a n d e d a g r e a t e r s h a r e of p o l i t i c a l a n d e c o -

sition,"

Farooq

hosted

a

well-publicized

c o n f e r e n c e in K a s h m i r of all m a j o r o p p o s i tion leaders. U n f o r t u n a t e l y , this w a s

pre-

c i s e l y t h e t y p e of m o v e that t r u l y t h r e a t e n e d

n o m i c r e s o u r c e s . I n d i r a G a n d h i w a s at t h e

Indira

h e l m n a t i o n a l l y . In h e r p o s t p o p u l i s t p h a s e in

growing political wings, Indira appointed a

Gandhi.

Hoping

to

clip

Farooq's

the early 1980s she increasingly flirted with

c l o s e a n d t o u g h p e r s o n a l a i d e , J a g m o h a n , to

p r o - H i n d u t h e m e s in o r d e r t o r e c r e a t e a n e w

b e K a s h m i r ' s G o v e r n o r . J a g m o h a n , in t u r n ,

in

i n i t i a t e d a s e r i e s of m a c h i n a t i o n s w h e r e b y a

s t r a t e g y b o d e ill f o r s t a t e s w i t h c o n s i d e r a b l e

n u m b e r of N a t i o n a l C o n f e r e n c e l e g i s l a t o r s

national

electoral

coalition. This

shift

n o n - H i n d u p o p u l a t i o n s , s u c h as t h e S i k h s in

d e f e c t e d to the C o n g r e s s , t h r e a t e n i n g

Fa-

the P u n j a b and the M u s l i m s

in

rooq's position. Jagmohan eventually

dis-

Given

unaccommo-

her

centralizing

and

Kashmir.

dating instincts, moreover, states such Kashmir pressure.

came

under

increasing

as

political

m i s s e d F a r o o q as K a s h m i r ' s C h i e f M i n i s t e r in 1 9 8 4 , c l a i m i n g w i t h o u t p r o o f t h a t F a r o o q h a d l o s t t h e s u p p o r t o f a m a j o r i t y in legislature.

the

The Bell Curve of Ethnic

Politics

323

F a r o o q ' s d i s m i s s a l — j u s t o n e a c t i o n in a

a s e n s e of c o n f i d e n c e v i s - à - v i s I n d i a

that

b r o a d p a t t e r n of a t h r e a t e n e d I n d i r a G a n d h i ,

t h e y lost d u r i n g t h e 1971 w a r o v e r B a n g l a -

bent on centralizing and w e a k e n i n g India's

d e s h . T h e r e is a m p l e e v i d e n c e to i n d i c a t e

f e d e r a l i n s t i t u t i o n s — t u r n e d o u t to b e a c r i t i -

that

cal turning point. W h i l e public o p i n i o n data

youths from Kashmir

is n o t a v a i l a b l e , it a p p e a r s that t h e d i s m i s s a l

with arms and resources, and, even w h e n the

Pakistan

trained

alienated and

Muslim

provided

them

s e n t a s t r o n g m e s s a g e , e s p e c i a l l y to K a s h -

Pakistani g o v e r n m e n t was not directly

m i r i M u s l i m s , t h a t t h e i r d e m o c r a t i c a n d le-

volved, India's hostile neighbor b e c a m e both

g i t i m a t e e f f o r t s to create greater

a staging ground and a sanctuary for Kash-

political

in-

spaces within India m a y well be thwarted.13

miri

T h i s g r o w i n g a l i e n a t i o n of M u s l i m s , e s p e -

t r a i n e d in P a k i s t a n is b y n o w e s t i m a t e d to b e

c i a l l y of t h e i r u r b a n y o u t h , w a s n o t h e l p e d

several thousands.14

by p o l i t i c a l e v e n t s that f o l l o w e d . A s t h e 1987

militants. T h e n u m b e r of

Kashmiris

F o l l o w i n g the 1987 elections, K a s h m i r i

state e l e c t i o n s a p p r o a c h e d ( I n d i r a G a n d h i w a s

Muslims,

by n o w d e a d , r e p l a c e d n a t i o n a l l y b y h e r son

( M u s l i m s in J a m m u t e n d to b e e t h n i c a l l y d i s -

especially

those

in

the

valley

R a j i v ) . Farooq Abdullah, both pressed politi-

t i n c t ) , c o n f r o n t e d g o v e r n m e n t s in K a s h m i r

cally and sufficiently opportunistic, formed

a n d in N e w D e l h i s i m u l t a n e o u s l y as h o s t i l e

a n e l e c t o r a l a l l i a n c e w i t h t h e C o n g r e s s party.

parties.

This seemingly innocuous electoral

f o r c e s i n c r e a s i n g l y m e t e a c h o t h e r in g r o w -

oppor-

Kashmiri

militants

and

security

t u n i s m h a d t h e p r o f o u n d i m p a c t of e l i m i n a t -

ing

ing any m a j o r d e m o c r a t i c outlet for Kash-

Human

miri M u s l i m s w h o sought greater a u t o n o m y

such abuses must have further alienated the

cycles

of

militancy

and

repression.

rights abuses occurred. Stories

of

f r o m D e l h i . A n u m b e r of M u s l i m g r o u p s h u r -

Muslim

r i e d l y c a m e t o g e t h e r in an u m b r e l l a o r g a n i -

c a l l e d a g a i n in 1 9 8 9 , m i l i t a n t g r o u p s b o y -

z a t i o n , t h e M u s l i m U n i t e d F r o n t . T h e y , in

cotted them quite successfully. T h e m o r e the

turn, mobilized the urban youth and

d e m o c r a t i c p o l i t i c a l p r o c e s s lost its m e a n i n g ,

their

population.

When

p o p u l a r i t y grew. E l e c t i o n s and the a f t e r m a t h

the

turned out to be bitter. M o b i l i z e d and angry

c a m e to b e u n l e a s h e d .

youth w e r e c o n f r o n t e d by security M a n y w e r e r o u g h e d up. F u r t h e r

forces.

alienated,

s o m e w e n t a c r o s s t h e b o r d e r t o P a k i s t a n to be trained as m i l i t a n t s and returned

with

Kalishnikovs. The National Front-Congress party alliance w o n the election, but c h a r g e s that t h e y h a d r i g g e d t h e e l e c t i o n s w e r e w i d e spread. W h a t e v e r the reality, K a s h m i r was e n g u l f e d by a serious legitimacy crisis.

more

rapidly

Factionalism

elections

a full-scale among

Islamic

were

insurgency militants

has also increasingly c o m e to the fore. T h e J a m m u and K a s h m i r L i b e r a t i o n F r o n t ( J K L F ) a r g u e s f o r a s o v e r e i g n s t a t e of K a s h m i r , inc l u d i n g the K a s h m i r c o n t r o l l e d by P a k i s t a n , and

remains

the

most

popular

political

g r o u p . T h e H i z b a l M u j a h i d e e n is m o d e l e d a f t e r t h e M u j a h i d e e n in A f g h a n i s t a n a n d a r g u e s for a c c e s s i o n of K a s h m i r to Pakistan.

M e a n w h i l e , the Soviet Union intervened

W h i l e less p o p u l a r than the J K L F , the M u j a -

in A f g h a n i s t a n , t h e U n i t e d S t a t e s a g a i n r e -

hideen receives more support from Pakistan

armed Pakistan, and Pakistani rulers regained

a n d its h a r d e n e d m i l i t a n t s a r e b e t t e r - t r a i n e d

13. See, for example, the essays by George Fernandez (a well-known Indian political leader who directly participated in Kashmiri affairs) and Riyaz Punjabi (a Kashmiri professor who lived through these events) in Raju Thomas, ed., Perspectives on Kashmir: The Roots of Conflict in South Asia (Boulder, Colo.: Westview Press, 1992). 14. George Fernandez in 1990 estimated this figure to be in the range of three to five thousand. Since in his former capacity as India's minister for internal affairs (Janata Government, 1989), he had access to all of Indian and other intelligence services data and since this estimate was provided in a public lecture at Harvard University, one is inclined to give some credence to these estimates. See Thomas, ed., Perspectives on Kashmir: The Roots of Conflict in South Asia, p. 289.

AtuI Kohli

324

and better-armed. The popular J K L F faces

leader helped push normal power struggles

t h e e n o r m o u s o b s t a c l e that n e i t h e r I n d i a n o r

d o w n t h e p a t h of a m i l i t a n c y a n d r e p r e s s i o n

P a k i s t a n s u p p o r t t h e p o s s i b i l i t y of a s o v e r -

cycle. T h e origins of the K a s h m i r conflict

e i g n state of K a s h m i r . B y c o n t r a s t , t h e m i l i -

t h u s b r o a d l y fit t h e a n a l y t i c a l s c h e m e d e v e l -

tant M u j a h i d e e n , while a potent a r m e d force,

o p e d e a r l i e r . T h e o b v i o u s f a c t , h o w e v e r , that

is p o l i t i c a l l y q u i t e m a r g i n a l i z e d . T h e m o r e

t h e c o n f l i c t in K a s h m i r c o n t i n u e s c l e a r l y d e -

t h e H i n d u s h a v e m i g r a t e d o u t of t h e K a s h m i r

fies the

valley, the m o r e the struggle has b e c o m e one

c o n d i t i o n s — o f e t h n i c c o n f l i c t s along a bell

of K a s h m i r i

curve. Since India's democratic institutions,

Muslims

versus

India.

Most

predicted journey—given

certain

Kashmiri Muslims, however, want a sover-

in s p i t e of s o m e w e a k e n i n g , r e m a i n

e i g n state; t h e y d o n o t w a n t t o j o i n P a k i s t a n .

t i v e l y s t r o n g a n d s i n c e t h e l e a d e r s h i p of M r .

rela-

Aside f r o m the fact that neither India nor

R a o has been m o r e a c c o m m o d a t i n g than In-

P a k i s t a n f a v o r s u c h an o u t c o m e ,

Kashmiri

dira G a n d h i , h o w d o e s o n e e x p l a i n the per-

M u s l i m s face another m a j o r hurdle: there are

s i s t e n c e of a h i g h - i n t e n s i t y e t h n i c c o n f l i c t in

nearly

Kashmir?

one

hundred

million

Muslims

in

I n d i a , of w h i c h K a s h m i r i M u s l i m s c o n s t i t u t e only about five million. F e a r i n g f o r their o w n w e l f a r e in India if a Kashmiri

T h r e e d i f f e r e n t a n s w e r s (or three c o m p o n e n t s of o n e a n s w e r ) a r e p o s s i b l e to t h i s

M u s l i m state w a s e s t a b l i s h e d

by

question, each with different implications for the

analytical

argument

proposed

in

this

f o r c e (such a m o v e is b o u n d to e n c o u r a g e anti-

essay. T h e first answer, and the one

M u s l i m sentiments and propel the p r o - H i n d u

compatible

B J P p a r t y to t h e p o l i t i c a l f o r e f r o n t a c r o s s

w o u l d f o c u s on the distinct values and dis-

India), Indian Muslims have generally

re-

c o u r s e of I s l a m , p o s s i b l y s u g g e s t i n g that p o -

f r a i n e d f r o m o p e n l y s u p p o r t i n g t h e c a u s e of

litical i d e n t i t y b a s e d o n I s l a m is b o t h f e l t

with

t h e t h e s i s of t h i s

K a s h m i r i M u s l i m s . T h e o v e r a l l s i t u a t i o n is

more intensely and more

thus a near stalemate: most Kashmiri

a n d t h u s an I s l a m - b a s e d e t h n i c

Mus-

least essay,

comprehensively movement

l i m s a r e by n o w d e e p l y a l i e n a t e d f r o m I n d i a ;

o u g h t n o t b e e x p e c t e d to f o l l o w t h e s a m e t r a -

while divided among themselves, a majority

j e c t o r y as f o l l o w e d b y T a m i l o r S i k h n a t i o n -

a m o n g the M u s l i m s w o u l d p r o b a b l y opt for a

a l i s t m o v e m e n t s . S u c h an a r g u m e n t ,

s o v e r e i g n state of K a s h m i r ; n o t o n l y will t h e

e v e r , w o u l d h a v e t h e b u r d e n of e x p l a i n i n g

p o w e r f u l I n d i a n s t a t e n o t let g o of

w h y M u s l i m n a t i o n a l i s m flared u p m a i n l y in

them,

e v e n P a k i s t a n d o e s n o t s u p p o r t s u c h an o u t -

how-

K a s h m i r a n d m a i n l y in t h e 1 9 9 0 s .

come; Pakistani-trained militants, however,

A s e c o n d a n s w e r w o u l d f o c u s on

with arms f r o m Afghanistan, remain a power-

r o l e of P a k i s t a n in t h e K a s h m i r c r i s i s ; u n l i k e

f u l m i l i t a n t f o r c e , but o n e that I n d i a n s e c u r i t y

t h e s i t u a t i o n in T a m i l n a d u a n d e v e n

f o r c e s h a v e s u c c e s s f u l l y f o u g h t to a standstill.

t h a n in t h e P u n j a b , t h e a r g u m e n t w o u l d g o ,

the

more

L e a v i n g t h e d e t a i l s of t h e t r a g i c " s t o r y "

P a k i s t a n ' s c o n t i n u i n g i n v o l v e m e n t in K a s h -

a s i d e , w h a t a r e its a n a l y t i c a l i m p l i c a t i o n s ? It

m i r has p r o l o n g e d the conflict. S u c h an ar-

is c l e a r that t h e r o o t s of t h e m i l i t a n c y - r e p r e s -

g u m e n t is c o m p a t i b l e w i t h t h e t h e s i s of t h i s

s i o n c y c l e in K a s h m i r c a n b e t r a c e d b a c k t o

e s s a y i n s o f a r as t h e l o g i c of t h e a r g u m e n t d e -

a p o w e r c o n f l i c t in w h i c h a c e n t r a l i z i n g I n -

v e l o p e d h e r e is e s s e n t i a l l y p o l i t i c a l : e t h n i c

dira Gandhi dislodged the elected

m o v e m e n t s in d e v e l o p i n g c o u n t r y d e m o c r a -

governa

cies are a political p r o c e s s w h e r e b y the c e n -

l o n g - t e r m l e g i t i m a c y c r i s i s . H a d p o l i t i c a l in-

tral s t a t e a n d m o b i l i z e d g r o u p s d i s c o v e r t h e i r

m e n t of F a r o o q A b d u l l a h , p r e c i p i t a t i n g

s t i t u t i o n s , s u c h as p a r t i e s w i t h i n K a s h m i r o r

relative p o w e r balances. Intervention by an

the Indian federal system, been stronger, the

external actor then alters the p o w e r - b a l a n c i n g

c e n t r a l i z i n g a n t i c s of o n e l e a d e r w o u l d n o t

p r o c e s s , at l e a s t p r o l o n g i n g , if n o t a l t e r i n g ,

o n l y h a v e b e e n d i f f i c u l t to p u r s u e b u t , e v e n

t h e o v e r a l l t r a j e c t o r y . A n d f i n a l l y , t h e last

if p u r s u e d , m a y h a v e b e e n e a s i e r t o w e a t h e r .

a n s w e r a n d t h e o n e that is m o s t r e a d i l y c o m -

T h e c o m b i n a t i o n , h o w e v e r , of w e a k e n i n g in-

p a t i b l e w i t h this e s s a y ' s t h e s i s is that it is still

stitutions and an u n a c c o m m o d a t i n g national

t o o e a r l y to p r e d i c t h o w t h e K a s h m i r c r i s i s

The Bell Curve of Ethnic

325

Politics

will e n d ; if P a k i s t a n ' s r o l e d i m i n i s h e s a n d if

act in a f i r m b u t a c c o m m o d a t i n g

t h e R a o g o v e r n m e n t m a i n t a i n s a f i r m but

e t h n i c c o n f l i c t s t y p i c a l l y f o l l o w t h e s h a p e of

flex-

manner,

ible set of p o l i c i e s , the e t h n i c c o n f l i c t in K a s h -

a bell curve. B o t h national leaders and lead-

m i r m a y well d e c l i n e o v e r t h e next f e w y e a r s .

e r s of e t h n i c m o v e m e n t s m a y b e q u i t e c a l c u lating and thus their strategies and counter-

Conclusion

strategies m a y be a m e n a b l e to a bargainingthis

t y p e of r a t i o n a l i s t a n a l y s i s . T h e s h i f t s in v a l -

e s s a y is b o t h u n f a l s i f i a b l e a n d n e a r l y t r i v i a l .

u e s a n d d i s c o u r s e s of t h e b r o a d e r m e m b e r -

Taken

too

literally, the a r g u m e n t

of

It m e r e l y s u g g e s t s that in an e s t a b l i s h e d m u l -

ship

t i c u l t u r a l d e m o c r a c y of t h e d e v e l o p i n g w o r l d ,

e m e r g e d u r i n g e t h n i c m o b i l i z a t i o n a r e , in

of

an

ethnic

group

that

inevitably

ethnic c o n f l i c t s will c o m e and go. Well, of

turn, best understood f r o m a close, anthropo-

c o u r s e ! T h e r e a l m e s s a g e of t h e e s s a y is t h u s

l o g i c a l t y p e of r e s e a r c h . A s a n

n o t s o m u c h its l i t e r a l i n t e r p r e t a t i o n b u t is

" m i c r o " approach, however, neither rational

r a t h e r c o n t a i n e d in s o m e of t h e i m p l i c a t i o n s

c h o i c e n o r an a n t h r o p o l o g i c a l i n s i g h t r e a d i l y

t h a t f l o w f r o m it. In c o n c l u s i o n , t h e r e f o r e , I

aggregates

w i s h to spell o u t t w o of t h e s e i m p l i c a t i o n s .

Generalizations

into

"macro" about

analytical

generalizations.

the conditions

that

concerns

h e l p e x p l a i n t h e r i s e a n d d e c l i n e of e t h n i c

a n a l y t i c a l i s s u e s . I n d i a n s o u r c e s s u g g e s t that

m o v e m e n t s are therefore best derived f r o m a

e t h n i c c o n f l i c t s a r e b e s t t h o u g h t of as p o w e r

d i r e c t , m a c r o f o c u s o n state a n d s o c i e t a l c o n -

c o n f l i c t s . E t h n i c c o n f l i c t s are thus a subset

d i t i o n s . T h e e m p h a s i s o n t h e d e g r e e of insti-

of t h e l a r g e r set of p o l i t i c a l c o n f l i c t s t h a t

t u t i o n a l i z a t i o n of s t a t e a u t h o r i t y in s o c i e t y

precipitate along class, caste, or party lines

and a f o c u s on leadership held up pretty well

a n d that d o t t h e p o l i t i c a l l a n d s c a p e of l o w -

a g a i n s t I n d i a n s o u r c e s . If it is p e r s u a s i v e , o r

income democracies. W h i l e one can readily

at least s u g g e s t i v e , s u c h an a p p r o a c h a n d h y -

T h e f i r s t set of i m p l i c a t i o n s

e m p h a s i z e t h e d i s t i n c t i v e n e s s of e t h n i c f r o m

pothesis m a y be worth e x a m i n i n g

o t h e r t y p e s of p o l i t i c a l c o n f l i c t s , w h a t e t h n i c

c a s e s o t h e r t h a n t h e s i t u a t i o n in I n d i a .

against

c o n f l i c t s s h a r e w i t h t h e s e o t h e r c o n f l i c t s is

T h e s e c o n d set of i m p l i c a t i o n s c o n c e r n s

that m o b i l i z e d e t h n i c g r o u p s , like o t h e r m o -

n o r m a t i v e and policy issues. To the extent

bilized groups, seek greater power and con-

that e t h n i c c o n f l i c t s a r e p o w e r c o n f l i c t s , it is

t r o l , e i t h e r as a n e n d in t h e m s e l v e s o r as a

o f t e n d i f f i c u l t to c h o o s e t r u e h e r o e s a n d vil-

m e a n s t o s e c u r e a s o c i e t y ' s o t h e r v a l u e d re-

l a i n s in t h e s e c o n f l i c t s . It is d i f f i c u l t o n an a

s o u r c e s . S u c h a p e r s p e c t i v e , in t u r n ,

priori

also

basis

to

hold

whether

established

suggests what ethnic c o n f l i c t s are not: they

states are m o r e right or w r o n g than are eth-

a r e n o t i n e v i t a b l e e x p r e s s i o n s of p r i m o r d i a l

n i c g r o u p s m a k i n g d e m a n d s . A lot d e p e n d s

"blood ties"; they are not a n o m i c responses

on t h e s i t u a t i o n . W h a t is c l e a r is that l e a d e r s ,

to t h e " d i s e q u i l i b r i u m " g e n e r a t e d b y " m o d -

especially national leaders, but also leaders

ernization"; and while ethnic identities are

of e t h n i c m o v e m e n t s , w h o c h o o s e t o b e u n -

i n d e e d c o n t i n g e n t , t h e p r o c e s s of

identity

a c c o m m o d a t i n g will channel normal p o w e r

f o r m a t i o n a n d e t h n i c c o n f l i c t is a l s o n o t s o

conflicts down

i n d e t e r m i n a t e as to d e f y a c a u s a l , g e n e r a l i z -

where calculating leaders drop off and true

ing a n a l y s i s .

believers take over, utilizing militant tactics

a destructive path, a path

If e t h n i c c o n f l i c t s a r e m a i n l y p o w e r c o n -

b e c a u s e t h e c a u s e is n o w w o r t h d y i n g f o r .

f l i c t s , t h e n t h e w a y t h a t p o w e r is o r g a n i z e d

T h e true villains of ethnic conflicts are thus

in s t a t e a n d s o c i e t y b e c o m e s i m p o r t a n t f o r

t h o s e l e a d e r s w h o r e f u s e t o s e e that t h e f a i l -

understanding

sug-

u r e of t i m e l y a c c o m m o d a t i o n c a n o n l y p r o -

de-

d u c e a n d e x a c e r b a t e p o l i t i c a l p r o b l e m s , in-

their patterns.

I have

gested that, given d e v e l o p i n g country mocracies,

when

state

authority

is

well-

institutionalized and when national leaders

cluding their o w n d o w n f a l l .

326

Susanne

Hoeber

Rudolph

Commentary Susanne Hoeber

Rudolph

The Idea of Self-Administration in Multinational States The Liechtenstein proposal,15 which prov i d e d the f r a m e w o r k f o r a S e c o n d I n t e r n a tional C o n f e r e n c e o n S e l f - D e t e r m i n a t i o n , has indeed f o c u s e d a t t e n t i o n on s e l f - d e t e r m i nation. Yet it did so by p r o p o s i n g that " s e l f administration," rather than independence, m i g h t well be an a p p r o p r i a t e a n d s u f f i c i e n t goal f o r c o m m u n i t i e s s e e k i n g s e l f - d e t e r m i n a t i o n . In that s e n s e , t h e p r o p o s a l m o d i f i e s the i m p l i c a t i o n s of s e l f - d e t e r m i n a t i o n as it is often understood. At its e x t r e m e , s e l f - d e t e r m i n a t i o n m a y invite political instability by l e g i t i m i z i n g the d e m a n d s of d i s c o n t e n t e d territorial a n d n o n territorial g r o u p s for a u t o n o m y or s e c e s s i o n . It a p p e a r s to m a k e loyalty to p a r t i c u l a r states a m a t t e r of s h i f t i n g m a r k e t - l i k e p r e f e r e n c e s by a s k i n g c i t i z e n s as p o l i t i c a l c o n s u m e r s to continually weigh competing possibilities against e a c h o t h e r — t h e c o s t s and b e n e f i t s of l o y a l t y to an e s t a b l i s h e d s t a t e v e r s u s the g a i n s of s e p a r a t i o n . 1 6 F o r the g o v e r n m e n t of I n d i a , w h i c h has r e s i s t e d c o m m i t m e n t to an u n q u a l i f i e d a s s e r t i o n of s e l f - d e t e r m i n a t i o n , the c o n c e p t o f f e r s o p p o r t u n i t i e s f o r n e i g h b o r i n g states to f i s h in t r o u b l e d w a t e r s — a s P a k i s t a n has d o n e with respect to s e c e s s i o n ist m o v e m e n t s in the P u n j a b a n d K a s h m i r . Self-determination then becomes a counter in an international p o w e r g a m e , w h e r e states threaten p e a c e by i n t e r v e n i n g in t h e internal

a f f a i r s of n e i g h b o r i n g s t a t e s . I n d i a ' s role in c o n n e c t i o n with s e c e s s i o n i s t m o v e m e n t s in East P a k i s t a n and in Sri L a n k a raises similar questions. S e l f - a d m i n i s t r a t i o n , o n the o t h e r h a n d , a p p e a r s as a d e v i c e f o r o p e n i n g a c o n v e r s a tion a b o u t d e c e n t r a l i z a t i o n and d e v o l u t i o n of p o w e r s and f u n c t i o n s . A U N r e s o l u t i o n of 1970 that " a c c e p t s that i n d e p e n d e n c e is not the only p o s s i b l e o u t c o m e of s e l f - d e t e r m i n a t i o n ' ' also " n o t e s that the p o s s e s s i o n of a deg r e e of s e l f - a d m i n i s t r a t i o n is consistent with the right of s e l f - d e t e r m i n a t i o n " and that " s e l f administration m a y be felt to be sufficient exercise of the right of s e l f - d e t e r m i n a t i o n , without any need to m o r e full i n d e p e n d e n c e . " 1 7 In this f o r m u l a t i o n , federal constitutions b e c o m e w a y s of t a l k i n g a b o u t s e l f - d e t e r m i n a t i o n . S o d o a r r a n g e m e n t s f o r d e v o l v i n g p o w e r to local i n s t i t u t i o n s by e n h a n c i n g a u t o n o m y at t h e urban m u n i c i p a l a n d rural district levels. W h y s h o u l d India be a f o c u s for d i s c u s s i o n in this c o n f e r e n c e ? B e c a u s e i s s u e s of s e l f - d e t e r m i n a t i o n a c q u i r e special saliency in c o n n e c t i o n w i t h m u l t i n a t i o n a l p o l i t i e s , of w h i c h India is a leading e x e m p l a r . G i v e n E u r o p e a n c o n c e p t i o n s , it m a y be c o u n t e r i n t u itive to s u g g e s t that I n d i a m a y be t h e m o s t relevant case for thinking creatively about the f u t u r e of the E u r o p e a n U n i o n , the C o m m o n w e a l t h of I n d e p e n d e n t S t a t e s , t h e r e m n a n t s of Y u g o s l a v i a , a n d e v e n C h i n a a n d C a n a d a — t h a t is, s i t e s w h e r e the p o s s i b i l i t y

15. Permanent M i s s i o n of the Principality of Liechtenstein to the United N a t i o n s , "Draft C o n v e n t i o n of S e l f - D e t e r m i n a t i o n Through S e l f - A d m i n i s t r a t i o n and C o m m e n t s , " April 1994, unpublished ms. 16. T h e idea of durable state l o y a l t i e s as an o v e r r i d i n g n o r m a t i v e c l a i m is itself mainly c o t e r m i n o u s with the rise of the nation-state. L o y a l t i e s to territorially based lords w e r e in tension with c a l c u l a t i o n s of advantage, and legal structures securing e x c l u s i v e l o y a l t i e s — s u c h as the U . S . mandate that c i t i z e n ship is incompatible with serving in a foreign a r m y — a r e nation-state products. For a discussion of polities in w h i c h loyalties were fluid, s e e Andre W i n k ' s d i s c u s s i o n of "fitna" in his Land and Sovereignty in India: Agrarian Society and Politics under the Eighteenth Century Maratha Svarajya (Cambridge: Cambridge U n i v e r s i t y Press, 1986). 17. "Draft C o n v e n t i o n , " p. 3, referring to General A s s e m b l y R e s o l u t i o n 2 6 2 5 ( X X V ) ( 1 9 7 0 ) , paragraph 4 o f the 5th Principle of the Declaration on Principles of International L a w c o n c e r n i n g Friendly R e l a tions and Cooperation a m o n g States in a c c o r d a n c e with the Charter of the United Nations.

32 7

Commentary

of s h a r i n g s o v e r e i g n t y m a y o f f e r w a y s o u t , if not final solutions.

a r r a n g e m e n t s , it is a l s o a c o n s e q u e n c e of p o litical parties a n d a s s o c i a t i o n a l life. W h e n

A l m o s t fifty years as a stable m u l t i n a -

g o v e r n m e n t s at t h e c e n t e r h a v e b e e n

hos-

t i o n a l s t a t e g i v e s I n d i a a s p e c i a l s t a n d i n g in

p i t a b l e t o t h e i d e a of s e l f - a d m i n i s t r a t i o n b y

conversations about self-administration. And

the large linguistic-cultural states that c o m -

I n d i a a n d E u r o p e h a v e m u c h in c o m m o n . 1 8

p o s e it, as w a s t r u e in t h e N e h r u a n d S h a s t r i

I n d i a is m a d e u p of c o m p o n e n t s t h a t a r e a s

g o v e r n m e n t s , that result has been achieved

d i v e r s e as t h o s e o f E u r o p e :

as m u c h t h r o u g h p a r t y - p o l i t i c a l as t h r o u g h

Haryana

and

K e r a l a a r e a s d i f f e r e n t as S w e d e n a n d Italy,

formal constitutional

s p e a k i n g d i f f e r e n t l a n g u a g e s and s h a p e d by

for s e l f - a d m i n i s t r a t i o n h a v e to address the

structures.

different histories and cultures. Both India

nature of party

a n d t h e E u r o p e a n U n i o n rest o n d u a l , l a y e r e d

f r a m e w o r k s . A t u l K o h l i ' s s t o r i e s in t h i s v o l -

systems

as w e l l

Proposals as

legal

di-

u m e about conflict b e t w e e n the U n i o n gov-

cultural

e r n m e n t and Tamilnadu, Punjab, and Kash-

elements—Sanskritic, Persian, and English

m i r a r e t o l d as m u c h o r m o r e in t e r m s of t h e

loyalties. While

their components

verse, they are united by c o m m o n

are

c i v i l i z a t i o n a l i n f l u e n c e s , in t h e c a s e of I n d i a ;

f a i l u r e s of s t a t e u n i t s of t h e C o n g r e s s p a r t y

Greco-Roman

o r s t a t e - b a s e d o p p o s i t i o n p a r t i e s as t h e y a r e

civilization

and

Latinate

C h r i s t i a n i t y in a n c i e n t a n d m e d i e v a l E u r o p e .

in t e r m s of l e g a l - c o n s t i t u t i o n a l p r o c e s s e s a n d

F r o m C h a r l e m a g n e t o C h a r l e s V, E u r o p e h a d

structures.

t h e a p p e a r a n c e of a m u l t i n a t i o n a l

empire.

Yet p o s t - R e n a i s s a n c e E u r o p e t o o k a p a t h that led it in t h e d i r e c t i o n of t h e

nation-state,

Self-Administration: Legal Institutions and Party Systems

w h i l e I n d i a c o n t i n u e d on t h e r o a d of m u l t i -

T h e I n d i a n f e d e r a t i o n is o r g a n i z e d in w a y s

national empire, M u g h a l , British, and federal

that r e c o g n i z e l i n g u i s t i c - c u l t u r a l d i v e r s i t y . 1 9

I n d i a . N o w , in t h e 1 9 9 0 s , E u r o p e is r e t u r n -

T h e p r e s e n t u n i t s e m e r g e d in t h e m i d 1 9 5 0 s ,

i n g , as it w e r e , to t h e p a t h n o t t a k e n , a n d b e -

as t h e r e s u l t of p o w e r f u l p o l i t i c a l d i s c o n t e n t

c o m i n g , in m a n y r e s p e c t s , m o r e like I n d i a .

with the provincial organization the British

It is in t h e c o n t e x t of t h e k i n d of p o w e r s h a r i n g t h a t E u r o p e h a s b e g u n to p r a c t i c e ,

raj

l e f t as its l e g a c y . 2 0

Regional-linguistic

movements asked for a reconfiguring along

a n d w h i c h I n d i a h a s i n c o r p o r a t e d in its f e d -

l i n g u i s t i c c u l t u r a l l i n e s of t h e o l d e r c o m p o -

e r a l s y s t e m , t h a t t h e i d e a of s e l f - a d m i n i s t r a -

n e n t u n i t s that c u t a c r o s s s u c h l i n e s . N e i t h e r

tion can be fruitfully addressed. Both polities

Jawaharlal Nehru nor Indira G a n d h i , India's

r e s t o n v i s i o n s of s h a r e d p o w e r , d i f f e r e n t

first a n d t h i r d p r i m e m i n i s t e r s , w e r e f r i e n d l y

f r o m the m o n o p o l y

to

sovereignty claims

of

the

reorganization.

To

the forms

rationalist

n a t i o n - s t a t e s . Yet s h a r i n g s o v e r e i g n t y is n o t

Nehru, linguistic-cultural

o n l y a n a t t r i b u t e of l e g a l a n d c o n s t i t u t i o n a l

a t a v i s t i c f o l k c u l t u r e , e x c e p t p o s s i b l y in t h e

suggested

18. For a discussion of the problem of East-West state comparisons, see my "State Formation in Asia: Prolegomenon to a Comparative Study," Journal of Asian Studies Vol. 46, no. 4 (November 1987); see also Lloyd I. Rudolph and Susanne Hoeber Rudolph, "The Subcontinental Empire and the Regional Kingdom in Indian State Formation," in Paul Wallace, ed., Region and Nation in India (New Delhi: Oxford and IBH Publishing Co., 1985). 19. The conventional characterization of the Indian federation sorts it toward the "strong union" end of a possible spectrum. The position of Sir Ivor Jennings, that it wasn't really a federal system at all, is no longer taken very seriously. Some Characteristics of the Indian Constitution (Oxford: Oxford University Press, 1953). For a more plausible discussion of "bargaining federalism," see W.H. MorrisJones, Government and Politics of India (London: Hutchinson, 1971). 20. Government of India, Report of the States Reorganization Commission (New Delhi: Manager Government of India Press, 1955). For a pessimistic contemporary assessment of what the consequences of reorganization along linguistic lines would be, see Selig Harrison, India, the Most Dangerous Decade (Princeton: Princeton University Press, 1960).

328

Susanne Hoeber

c a s e of his n a t i v e K a s h m i r . W h e n the d e mand

for linguistic/cultural

reorganization

Rudolph

T h e stories Atul Kohli tells about P u n j a b a n d K a s h m i r h a v e t o b e r e a d in t h e c o n t e x t

first a r o s e , he p r o p o s e d that the p r o b l e m of

of

m a n a g a b l e organizational units could best be

B o t h P u n j a b a n d K a s h m i r , like a n u m b e r of

solved by drawing a vertical and a horizontal

other Indian states—Andhra, Tamilnadu, and

line t h r o u g h the s u b c o n t i n e n t , to c r e a t e f o u r

perhaps B e n g a l — h a d relatively viable oppo-

i m p e r s o n a l u n i t s . 2 1 Yet he w a s s u f f i c i e n t l y

sition state parties that e x p r e s s e d the identi-

Indira

Gandhi's

fatal

federal

strategy.

c o m m i t t e d to d e m o c r a t i c v a l u e s a n d p a r l i a -

t i e s a n d n e e d s of t h e i r r e g i o n s a n d o f t e n s u s -

mentary

tained

practice

to

recognize

the

over-

state

governments

that

worked

w h e l m i n g sentiment for linguistic re-organi-

peacefully within the federal system.24 Such

zation of I n d i a ' s f e d e r a l s y s t e m . D r i v e n by

state parties provide vehicles for the

political

l o y a l t y t h a t is i m p l i c i t in a v i a b l e m u l t i n a -

realities

and

normative

commit-

dual

ments, he e n d e d up going along with the self-

tional s t a t e — l o y a l t y to a regional

a d m i n i s t e r e d u n i t s of t o d a y ' s f e d e r a l s y s t e m .

and to a national one. I n d i a ' s regional parties

identity

makes

can be read as the v e h i c l e s of " f i s s i p a r o u s

clear, w a s different. She used both state au-

t e n d e n c i e s " ; they can also be read as vehi-

t h o r i t y a n d h e r p o l i t i c a l c l o u t in t h e

Con-

cles for sharing the political p o w e r and state

g r e s s p a r t y to o v e r r i d e d e c e n t r a l i z a t i o n and

s o v e r e i g n t y that sustain a b a r g a i n i n g f e d e r a l -

self-administration. Not content with strength-

ism that links the interests of the n a t i o n to

e n i n g the f o r m a l legal p o w e r s of the central

local and regional political/cultural forces.

Indira

Gandhi,

as

Atul

Kohli

g o v e r n m e n t , she forced draconian

amend-

Sharing p o w e r and sovereignty was not,

m e n t s to the constitution through an intimi-

h o w e v e r , the way Indira G a n d h i

dated parliament.22 She also crushed the fed-

politics. S h e s o u g h t to m o n o p o l i z e both. S h e

eral f e a t u r e s of the party a p p a r a t u s of the

felt that the Indian National C o n g r e s s ,

Indian National C o n g r e s s , revealing the ex-

p a r t y , d o m i n a n t at t h e c e n t e r , s h o u l d a l s o b e

t e n t t o w h i c h , in a d e m o c r a c y , t h e p a r t y a p -

dominant

paratus b e c o m e s a crucial mechanism for en-

and i n t e r v e n t i o n s h e l p e d to d e s t r o y the m o d -

a b l i n g — o r d i s a b l i n g — s e l f - a d m i n i s t r a t i o n . In

e r a t e r e g i o n a l p a r t i e s in P u n j a b a n d K a s h m i r ,

in t h e s t a t e s . H e r

conducted her

manipulations

s t a t e s in w h i c h h e r p a r t y w a s d o m i n a n t , s h e

u n t i l t h e n t h e p o l i t i c a l v e h i c l e s of a d u a l - l o y -

" n o m i n a t e d " c h i e f m i n i s t e r s of states,

alty

in-

structure.

In c o r r u p t i n g

the

Kashmir

stead of a l l o w i n g t h e m to be e l e c t e d by the

electoral process, she e n d a n g e r e d the credi-

relevant

b i l i t y o f t h e d e m o c r a t i c p r o c e s s in t h a t s t a t e .

state

legislature

parties,

and

ap-

pointed the party's state leaders rather than

I n d i r a G a n d h i tried to hold o n to p o w e r by

a l l o w i n g t h e m to be c h o s e n t h r o u g h d e m o c -

t a k i n g m o r e o f it. T h e a p p r o p r i a t e

r a t i c p a r t y p r o c e s s e s . In e f f e c t , s h e

f o r a m u l t i n a t i o n a l state m i g h t be d i f f e r e n t l y

her p a r t y t o w a r d a v e r s i o n of

moved

democratic

centralism that d e v a l u e d regional and local

strategy

f o r m u l a t e d : l e t t i n g g o is h o l d i n g o n . Kohli's Indian story suggests h o w

the

o p i n i o n . 2 3 T h e c o n s e q u e n c e of h e r s t r a t e g y

discussion

w a s the r e v e r s e of that i n t e n d e d : to w e a k e n

a d m i n i s t r a t i o n needs to be b r o a d e n e d .

t h e I n d i a n s t a t e a n d its d o m i n a n t p a r t y .

L i e c h t e n s t e i n d o c u m e n t to w h i c h w e a t t e n d

of self-determination

and

selfThe

21. Asha Rani, "States Reorganization," D. Phil, paper, Jawaharlal Nehru University, 1990. 22. See Lloyd I. Rudolph and Susanne Hoeber Rudolph, In Pursuit of Lakshmi; The Political Economy of the Indian State (Chicago: University of Chicago Press, 1987), Chap. 3. 23. For more detailed accounts of this process, see Rudolph and Rudolph, "The De-Institutionalization of Congress" in Lakshmi, p. 132 ff; Stanley Kochanek, "Mrs. Gandhi's Pyramid: The New Congress," in Henry Hart, Indira Gandhi's India (Boulder: Westview Press, 1976), and James Manor, "Party Decay and Political Crisis in India," The Washington Quarterly 4 no. 3 (Summer 1981), and "The Decay of Party Organization in India," Round Table 272 (October 1978). 24. The Akali Dal and the National Conference.

Commentary h e r e f o c u s e s m a i n l y o n legal and c o n s t i t u t i o n a l s t r u c t u r e s . S e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s t r a t i o n h a v e a political side that c a n s h a p e the course of political conflict and c o o p e r a t i o n in critical w a y s . T h i s side, too, d e s e r v e s to be explored.

The Bell Curve as Liberal Metaphor: Benign and Malign Outcomes A t u l K o h l i uses a bell c u r v e m e t a p h o r to s u g g e s t the life cycle of s e l f - d e t e r m i n a t i o n m o v e m e n t s in relatively liberal states. It is likely to w o r k , says K o h l i , in multicultural democracies with a well-established central authority and firm but compromising leaders. T h e life c y c l e of the bell c u r v e e n c o m p a s s e s three p h a s e s : g r o u p m o b i l i z a t i o n , e n c o u r a g e d by the d e m o c r a t i c setting; c o n f r o n t a t i o n with a central authority and c o n s e q u e n t p o w e r negotiation; and decline and exh a u s t i o n , a c c o m p a n i e d or g e n e r a t e d by p o w e r sharing and a c c o m m o d a t i o n . This is a relatively optimistic metaphor, presuming b e n i g n conditions and b e n i g n o u t c o m e s . T h e m e t a p h o r s we use to discuss the life c y c l e s of ethnicity, religion, class, and other social c l e a v a g e s are f l a g s and s i g n a l s not only about our visions of the future, but also a b o u t o u r u n d e r s t a n d i n g s of h u m a n agency. T h e y are w a y s of s u m m a r i z i n g the m o v e m e n t of history, the c o n s t r a i n t s on action, and the capacity of h u m a n s to shape their social a n d political fates. Let m e f o c u s , then, on the m e t a p h o r of the bell c u r v e . W h e n I first e n c o u n t e r e d the m e t a p h o r , I saw it as too p r o c r u s t e a n , partaking of the m e c h a n i c a l quality that N e w t o n i a n p h y s i c s has b e s t o w e d on the social sciences. It s e e m e d too regular and d e t e r m i n i s t i c to c a p t u r e the c o n t i n g e n t and i n d e t e r m i n a t e n a t u r e of these m o v e m e n t s . Kohli, however, uses it in a relatively c o n t i n g e n t manner. K o h l i ' s paper traces the rise and decline of t w o e t h n i c m o v e m e n t s that fit the m o d e l , that of the T a m i l s and the Sikhs, stressing

329 that the m o m e n t of d e c l i n e c o i n c i d e d in both c a s e s with the e m e r g e n c e of m o r e c o n c e s sional leadership. 2 5 Kohli traces the o n e c a s e that d o e s not fit: the a n o m a l o u s K a s h m i r m o v e m e n t . It h a s e x p e r i e n c e d n o d e c l i n e , only s t a l e m a t e or d e t e r i o r a t i o n . T h e a c c o m m o d a t i v e strategy of P r i m e M i n i s t e r N a r a s i m h a R a o in early s u m m e r 1995, w h e n he called f o r e l e c t i o n s , r e m a i n e d u n c e r t a i n , given the d i s a s t r o u s legacy of c o r r u p t or rep r e s s i v e l e a d e r s h i p at the n a t i o n a l a n d state levels. K a s h m i r ' s f u t u r e as of m i d - 1 9 9 5 remains opaque. T h e analysis is relevant to the L i e c h t e n stein p r o j e c t . W h e r e the p r e c o n d i t i o n s of w e l l - e s t a b l i s h e d central a u t h o r i t y a n d f i r m but c o m p r o m i s i n g leaders u n d e r d e m o c r a t i c c o n d i t i o n s are m e t , s e l f - a d m i n i s t r a t i o n m a y adequately satisfy a d e m a n d for self-determination. This was true in T a m i l n a d u . T h e Punj a b case w a s p r e c e d e d by f i v e y e a r s of d e a d l y v i o l e n c e b e f o r e the seeds of s e l f administration could g r o w and flourish. T h e p r e c o n d i t i o n s Kohli s p e c i f i e s are not a l w a y s f o u n d . U n r e s p o n s i v e l e a d e r s h i p m a y simply repress d e m a n d s . Instead of selfa d m i n i s t r a t i o n , at the e n d of the bell c u r v e there m a y be a s y m m e t r y that d i s e n f r a n c h i s e s those calling for self-determination. In K a s h mir, one cause of discontent was the d i s m a n tling of self-administration u n d e r Article 3 7 0 of the c o n s t i t u t i o n . D o m e s t i c political c o n s t r a i n t s — t h e rise of H i n d u f u n d a m e n t a l i s t nationalism, as well as political and a d m i n i s trative i n e p t i t u d e — d e t e r r e d the J a n a t a Dal and C o n g r e s s g o v e r n m e n t s f r o m t i m e l y res p o n s e s that m i g h t h a v e r e v i v e d earlier d e g r e e s of s e l f - a d m i n i s t r a t i o n , and n o w they m a y no longer suffice. T h e final stage of a bell c u r v e m a y be q u i t e d i f f e r e n t f r o m the status q u o ante. At the e n d of a series of c o n f l i c t s and c o n f r o n t a t i o n s , the u n d e r l y i n g political situation m a y h a v e c h a n g e d radically. T h e bell c u r v e s p e a k s about the flaring up and d y i n g

25. For the Punjab case, see also Lloyd I. Rudolph, "India and the Punjab: A Fragile Peace" in The Asia Society, Asian Issues 1985; Asian Agenda Report 3 (Lanhamm Md.: University Press of America, 1986).

Susanne

330

Hoeber

Rudolph

d o w n of c o n f l i c t . M o d e l s of c o n f l i c t o v e r

inherited f r o m 1950s and 1960s social theory

s e l f - d e t e r m i n a t i o n w i l l h a v e to i n c l u d e t h e

d o not help explain these d i f f e r e n c e s .

n o t i o n t h a t w h a t g o e s o n at t h e b a r g a i n i n g

T h e m a c r o c a t e g o r i e s w e invent are p o w -

and negotiating stage m a y b e n i g n l y or m a -

erful instruments; they shape the normative

lignly reconstruct the social and

a n d p o l i c y i m a g i n a t i o n . T h e y tell u s w h o a r e

political

universe. M u s l i m s m a y be relegated to sec-

p e o p l e like us and p e o p l e like " t h e m . " T h e

o n d - c l a s s - c i t i z e n s t a t u s as p a r t o f a " s e t t l e -

c a t e g o r i e s in t h e K o h l i p a p e r slip f r o m " f o l -

m e n t , " as h a p p e n e d in a n u m b e r of I n d i a n

lower d e m o c r a c i e s , " a c o n c e p t sensitive to

t o w n s a f t e r t h e 1993 r i o t s a n d n o w s e e m s to

h i s t o r i c a l p a r t i c u l a r s , to " d e v e l o p i n g c o u n -

b e h a p p e n i n g in M a h a r a s h t r a u n d e r a S h i v

tries," a totalizing sociological generalization

S e n a / B J P g o v e r n m e n t . N o t all d e m a n d s f o r

r e s i s t a n t to p a r t i c u l a r i t y . O n e c a n i m a g i n e a g -

s e l f - d e t e r m i n a t i o n e n d in a s e l f - a d m i n i s t r a -

g r e g a t i n g K o r e a , T a i w a n , and S i n g a p o r e on

tive s o l u t i o n . M a n y e n d in r e p r e s s i o n .

t h e b a s i s of c o m m o n e c o n o m i e s ; o r t h e b a c k ward giants, China, India, and Russia, on the

Are There Still Developing Countries?

b a s i s of c o m m o n p r o b l e m s a r i s i n g o u t of t h e

In f r a m i n g t h e p r o b l e m s of s e l f - d e t e r m i n a -

s i z e of t h e i r e c o n o m i e s a n d t h e d i v e r s i t y of

tion m o v e m e n t s

and

t h e i r p o p u l a t i o n s ( b u t n o t o n t h e b a s i s of

T a m i l n a d u , A t u l K o h l i e x a m i n e s t h e c a s e in

their polities); or Saudi A r a b i a and K u w a i t

in K a s h m i r ,

Punjab,

t h e c o n t e x t of a g e n e r a l t h e o r y a b o u t d e v e l -

as r i c h a u t h o r i t a r i a n r e n t i e r s t a t e s . It is d i f f i -

o p i n g c o u n t r i e s . H e s u g g e s t s that s u c h c o u n -

c u l t , h o w e v e r , to i m a g i n e c h a r a c t e r i s t i c s that

tries m a y have m o r e d i f f i c u l t y than " d e v e l -

a r e a p p l i c a b l e to all of t h e m as " d e v e l o p i n g

o p e d " c o u n t r i e s in a d d r e s s i n g p r o b l e m s of

c o u n t r i e s " w h o share c o m m o n political, so-

d e m o c r a c y a n d s e l f - d e t e r m i n a t i o n b e c a u s e of

ciological, and economic features.

social

features that

uniquely

characterize

T h e K o h l i a n a l y s i s s p e a k s of an " i m -

t h e m . T h e t h e o r y of " f o l l o w e r d e m o c r a c i e s "

p o r t e d " m o d e l of liberal d e m o c r a c y , c o n v e y -

is an i n t e r e s t i n g f o r m u l a t i o n that d r a w s on a

ing t h e i m p r e s s i o n t h a t in S o u t h A s i a a n d

parallel

Ger-

L a t i n A m e r i c a a n d A f r i c a — w h i c h is w h e r e

s c h e n k r o n in e c o n o m i c h i s t o r y . It r e s t s , h o w -

" f o l l o w e r d e m o c r a c i e s " a p p e a r to d w e l l —

ever, on a s y s t e m a t i c d i c h o t o m y

democracy

formulation

by

Alexander

between

is s o m e h o w a f o r e i g n b o d y

in

"leader" and " f o l l o w e r " democracies, which

w a y s it is n o t in E u r o p e . Yet l i b e r a l d e m o c -

t h r e a t e n s to r e c a p i t u l a t e s o m e of t h e n o r m a -

racy has been e v e r y w h e r e m o r e or less a

t i v e a n d e m p i r i c a l b i n a r i s m s of m o d e r n i z a -

" f o r e i g n b o d y . " C o n s i d e r , f o r e x a m p l e , all

t i o n t h e o r y . T h e l i n e is d r a w n b e t w e e n

those

shadowy, unproblematized

E u r o p e and

a an

European

monarchies,

aristocracies,

and despotisms whose social and

political

u n d i f f e r e n t i a t e d n o n - E u r o p e to w h i c h c o m -

s t r u c t u r e s h a d to b e t r a n s f o r m e d to m a k e lib-

m o n c h a r a c t e r i s t i c s a r e a t t r i b u t e d . Yet s u r e l y

eral d e m o c r a c y p o s s i b l e . 2 6

w h a t is e m e r g i n g as o n e of t h e m o s t i m p o r tant

f e a t u r e s of t h e

contemporary

global

A g a i n , " c u l t u r a l c o n d i t i o n s in d e v e l o p ing c o u n t r i e s " a r e c i t e d to a c c o u n t f o r p a r t i c -

l a n d s c a p e is t h e g r e a t d i f f e r e n c e in e c o n o m i c

ular difficulties with receiving

and political patterns a m o n g

Yet t h e s e s a m e c u l t u r a l c o n d i t i o n s c h a r a c t e r -

"developing"

democracy.

countries. S o m e of t h e m h a v e m a d e , or are

i z e d m u c h of n i n e t e e n t h - c e n t u r y E u r o p e as it

m a k i n g , a t r a n s i t i o n to d e m o c r a c y ; o t h e r s a r e

b e g a n its r u n u p o n d e m o c r a t i c i n s t i t u t i o n s .

n o t . S o m e of t h e m h a v e m a d e a t r a n s i t i o n t o

O n e s u c h c h a r a c t e r i s t i c of t h e

m o d e r n social and e c o n o m i c structures; oth-

c o u n t r i e s c i t e d is t h a t i d e n t i t i e s t e n d to b e

ers

m o r e l o c a l t h a n n a t i o n a l . Yet c o n s i d e r t h e

have

not.

The

received

explanations

developing

26. This is the core of the argument, distinguishing the United States from Europe, in Louis Hartz, The Liberal Tradition in America (San Diego: Harcourt Brace, Jovanovich, 2d Harvest Edition, 1991). 27. Eugen Weber, Peasants into Frenchmen: The Modernization of Rural France, 1870 to 1914 (Stanford: Stanford University Press, 1976).

Commentary l o c a l i s m s of E u g e n W e b e r ' s F r a n c e , or C r a i g ' s G e r m a n y or "Celtic Fringe" Britain. 2 7 A n o t h e r c h a r a c t e r i s t i c of d e v e l o p i n g c o u n tries is said to be c o m m u n i t y n o r m s prevailing o v e r n a r r o w i n d i v i d u a l i s m . Yet c o n s i d e r B u r k e ' s a d v o c a c y of "little p l a t o o n s " f u n c tioning as the political glue in the local politics of English c o u n t i e s . N i n e t e e n t h - c e n t u r y British politics rested on n e t w o r k s and c o n n e c t i o n s , on p o w e r f u l local c o m m u n i t i e s . T h e individualist United States spawned so active an associational life that it persuaded Alexis de Tocqueville in 1830 and Max Weber in 1904, almost a century apart, that it was a central feature of its society and politics. T h e question is less, h o w are n o n - E u r o pean c o u n t r i e s d i f f e r e n t f r o m E u r o p e , and will that s t y m i e the i m p o r t of " f o r e i g n " d e m o c r a c y ? T h e q u e s t i o n is, h o w did European countries r e w o r k patterns of social solidarity and c o n v e n t i o n s of authority as they m o v e d f r o m f a m i l i a r aristocratic institutions to u n f a m i l i a r d e m o c r a t i c o n e s ? 2 8 A n d will

331

o t h e r c o u n t r i e s r e f a s h i o n i n g their polities m a k e similar adaptations, and h o w ? Let m e reiterate the w a y s in which I find this p a p e r an i m p o r t a n t c o n t r i b u t i o n to the discussion of self-determination. Atul K o h l i ' s f o c u s on firm but a c c o m m o d a t i v e leadership e m p h a s i s e s that s e l f - a d m i n i s t r a t i o n may satisfy d e m a n d s for s e l f - d e t e r m i n a t i o n . His application of the b e l l - c u r v e life c y c l e to the s u c c e s s f u l o u t c o m e in the Tamil c o n f l i c t , the long duration of the P u n j a b conflict, and the thus far u n s u c c e s s f u l K a s h m i r o u t c o m e suggests that the life c y c l e is n e i t h e r inevitable nor p r e d i c t a b l e . In the case of K a s h m i r , he m a k e s it c l e a r that l e a d e r s h i p is not a l w a y s a c c o m m o d a t i v e , and that the o f f e r s of selfa d m i n i s t r a t i o n have fallen short of what it would take to satisfy Kashmiri d e m a n d s . T h e f u t u r e of this particular case d e p e n d s on h o w central authorities handle the possibilities of s h a r i n g s o v e r e i g n t y a v a i l a b l e in the f e d e r a l s t r u c t u r e of the I n d i a n c o n s t i t u t i o n and the federal structure of the d o m i n a n t party.

Commentary Michael C. van Walt van Praag

A

tul K o h l i ' s paper discusses self-determination m o v e m e n t s in the c o n t e x t of e m e r g i n g d e m o c r a c i e s . It could be that s o m e of the p a p e r ' s o b s e r v a t i o n s are also relevant o u t s i d e this p a r t i c u l a r c o n t e x t , but they are not i n t e n d e d to c o v e r o t h e r situations. T h e p a p e r d e v e l o p s the t h e s i s that s e l f - d e t e r m i nation m o v e m e n t s c o n s t i t u t e a political process in w h i c h the central state and a variety of g r o u p s d i s c o v e r their relative p o w e r b a l a n c e s in e m e r g i n g d e m o c r a c i e s . T h e c o u r s e of such m o v e m e n t s d e p e n d s o n h o w well the central authority is institutionalized and the willingness of ruling groups to share

p o w e r and r e s o u r c e s with m o b i l i z e d groups. W h e r e the central g o v e r n m e n t is well-established and its l e a d e r s are f i r m but c o m p r o mising, the p a p e r c o n c l u d e s , s e l f - d e t e r m i n a tion m o v e m e n t s f o l l o w a bell curve. A r t i c l e s 1 of both I n t e r n a t i o n a l H u m a n R i g h t s C o v e n a n t s (the I C C P R and the I C E S C R ) provide that "all p e o p l e s have the right to s e l f - d e t e r m i n a t i o n , " w h i c h is d e f i n e d as the right to f r e e l y d e t e r m i n e their political status and f r e e l y p u r s u e their e c o n o m i c , social, and c u l t u r a l d e v e l o p m e n t . T h i s principle, also c o n t a i n e d in the first article of the C h a r t e r of the U n i t e d N a t i o n s , is the basis

28. For an account of the m o v e m e n t from aristocratic to d e m o c r a t i c politics in the West, s e e L l o y d I. Rudolph. "From the Politics of Status to the Politics of O p i n i o n in 18th Century England and A m e r i c a " (Ph.D. diss., Harvard University, 1956).

332

Michael C. van Walt van Praag

u p o n w h i c h t h e U n i t e d N a t i o n s ' m a n d a t e to

g r o u p s ; t h e p r o m o t i o n of e x t e r n a l e n e m i e s ;

develop

relations

o r t h e p r o p a g a t i o n of a n o n e t h n i c a l l y b a s e d

a m o n g s t a t e s " is to b e a c h i e v e d . O t h e r U N

political and social ideology. Usually rulers

i n s t r u m e n t s h o l d that t h e r i g h t to s e l f - d e t e r -

of n e w s t a t e s , i n c l u d i n g e m e r g i n g d e m o c r a -

and

maintain

"friendly

m i n a t i o n is a p r e r e q u i s i t e t o t h e e n j o y m e n t

c i e s , a r e a f r a i d to p e r m i t t h e e x p r e s s i o n of

of all o t h e r f u n d a m e n t a l h u m a n r i g h t s . M o s t

cultural

recently, the United Nations World Confer-

g r o u p s w i t h i n its b o r d e r s .

or

political

autonomy

of

ethnic

e n c e o n H u m a n R i g h t s , w h i c h t o o k p l a c e in

E x p e r i e n c e has s h o w n that the f o r c e f u l

V i e n n a in J u n e 1 9 9 3 , a f f i r m e d that t h e r i g h t

s u p p r e s s i o n of e t h n i c , r e l i g i o u s , a n d c u l t u r a l

t o s e l f - d e t e r m i n a t i o n is p a r t of t h e i n t e r n a -

identity rarely obtains the e f f e c t desired by

t i o n a l l a w of h u m a n r i g h t s .

t h e s u p p r e s s o r . In m o s t c a s e s ,

suppression

impor-

e n h a n c e s a n d e n t r e n c h e s t h e f e e l i n g s of s e p -

self-determination

a r a t e i d e n t i t y a n d d i s a s s o c i a t i o n of t h e v i c -

w i t h i n t h e s u b s t a n t i v e b o d y of i n t e r n a t i o n a l

t i m g r o u p . T h i s is a l s o c o n f i r m e d b y A t u l

Notwithstanding the theoretical tance

of

the

right

of

l a w , c o n s i d e r a t i o n a n d e n f o r c e m e n t of t h i s

K o h l i ' s a n a l y s i s . D e s p i t e t h a t , s u p p r e s s i o n is

r i g h t by i n d i v i d u a l s t a t e s a n d t h e

t h e m o s t c o m m o n r e s p o n s e to e x p r e s s i o n s of

interna-

t i o n a l c o m m u n i t y is e x t r e m e l y r a r e . T h e ret-

desire

i c e n c e of i n d i v i d u a l s t a t e s to v i n d i c a t e t h e

states, including e m e r g i n g d e m o c r a c i e s . T h e

for self-determination

in

emerging

r i g h t w i t h i n t h e i r r e s p e c t i v e b o r d e r s is n o t

m o s t r e c e n t a n d b r u t a l e x a m p l e is, of c o u r s e ,

s u r p r i s i n g . F e w if a n y state g o v e r n m e n t s will

R u s s i a ' s m a s s i v e a n d m e r c i l e s s r e p r e s s i o n of

v o l u n t a r i l y r e l i n q u i s h a u t h o r i t y to a c o m p e t -

the C h e c h e n people. A l b a n i a and

ing p o l i t i c a l entity.

m a y b e p e r s u a d e d to f o l l o w a d i f f e r e n t r o u t e

Many

governments

are

further

con-

c e r n e d that f l e x i b i l i t y w i t h r e s p e c t to t h e

Romania

w i t h r e s p e c t to t h e a s p i r a t i o n s of t h e G r e e k s and H u n g a r i a n s within their borders.

n e e d s of o n e g r o u p w i t h i n t h e i r b o r d e r s will

E s s e n t i a l l y , d e m o c r a c y in s t a t e s t h a t a r e

e n c o u r a g e d e m a n d s for special treatment by

m a d e u p of d i f f e r e n t e t h n i c , r e l i g i o u s , o r c u l -

others

tural g r o u p s m u s t p r o v i d e f o r t h e f u l l p a r t i c -

and

even

separatist

movements,

t h r e a t e n i n g t h e l o n g e v i t y of t h e i r r u l e .

i p a t i o n of t h o s e c o n s t i t u e n t g r o u p s , a s s u c h ,

A n u m b e r of e m e r g i n g d e m o c r a c i e s a r e

in t h e p o l i t i c a l p r o c e s s . D e m o c r a c y , if i n t e r -

d e v e l o p i n g in s t a t e s w h o s e b o r d e r s w e r e in-

p r e t e d t o m e a n t h e r u l e of t h e n u m e r i c a l m a -

herited f r o m colonial p o w e r s , e m p i r e s , or the

j o r i t y , c a n n o t s e r v e t h e i n t e r e s t s of n o n m a -

m a c h i n a t i o n s of d i c t a t o r s . T h i s p r o d u c e s an

j o r i t a r i a n g r o u p s a n d is t h e r e f o r e a d i v i s i v e ,

e s p e c i a l l y d i f f i c u l t s i t u a t i o n , in w h i c h p e o -

r a t h e r t h a n u n i f y i n g , f o r c e . In s o m e , b u t n o t

ples

by

all c a s e s , t h e e x p r e s s i o n of t h e d i s t i n c t i d e n -

c h o i c e but m o r e o f t e n by f o r c e , and w h e r e

t i t i e s a n d i n t e r e s t s of c o n s t i t u e n t p e o p l e s a n d

peoples h a v e been divided by artificial polit-

g r o u p s w i t h i n s t a t e s is b a s e d o n t e r r i t o r i a l

have

been

grouped

together

not

ical b o u n d a r i e s , a l s o a g a i n s t their o w n w i s h e s .

lines. P a r t i c u l a r l y in t h e s e c a s e s , A t u l K o h l i ' s

T h u s , in m a n y c a s e s t h e p r o c e s s b e g i n s f r o m

a p p r o a c h is of m o s t v a l u e .

a p o i n t of d e n i a l of t h e p r i n c i p l e of s e l f - d e -

T o a g r e a t e x t e n t , t h e d e g r e e of i n s t i t u -

t e r m i n a t i o n of p e o p l e s . T h e p r o c e s s of s o -

t i o n a l i z a t i o n of t h e c e n t r a l g o v e r n m e n t is a

c a l l e d nation-building

usually represents the

f a c t o r in t h e p e o p l e ' s p e r c e p t i o n of its l e g i t i -

first attempt by the d o m i n a n t people or the

m a c y . If it is n o t p e r c e i v e d to b e l e g i t i m a t e

elite to d e v e l o p a c o m m o n identity

by one or m o r e constituent peoples, their ex-

among

t h e c o n s t i t u e n t p e o p l e s of t h e n e w s t a t e a n d

p r e s s i o n of s e l f - d e t e r m i n a t i o n will t a k e m o r e

to c o u n t e r t h e n a t u r a l t e n d e n c y of i d e n t i f i c a -

e x t r e m e f o r m s , s u c h as t h e d e s i r e t o s e p a r a t e

tion along p e o p l e s ' or tribal lines. T h i s effort

o r r e g a i n i n d e p e n d e n c e . L e g i t i m a c y , in t h e

has taken many forms or combinations

of

e y e s o f t h e r u l e d , is d e t e r m i n e d by t h e d e -

f o r m s , i n c l u d i n g t h e i m p o s i t i o n of a d o m i -

gree to w h i c h a g o v e r n m e n t fulfills the es-

n a n t g r o u p ' s c u l t u r e a n d i d e n t i t y o n all o t h e r

sential duties of the state: protection, p r o m o t i o n

Commentary

o f w e l f a r e , and e f f e c t i v e i n t e r n a t i o n a l repres e n t a t i o n of the i n t e r e s t s of the ruled. W h e r e t h e c e n t r a l g o v e r n m e n t d o e s not (or is not p e r c e i v e d to) f u l f i l l t h o s e d u t i e s with r e s p e c t t o a c o n s t i t u e n t p e o p l e or e v e n c o m m u n i t y , it l o s e s l e g i t i m a c y w i t h r e s p e c t to the a f f e c t e d people or community. T h e w i l l i n g n e s s of r u l i n g g r o u p s to s h a r e p o w e r and r e s o u r c e s w i t h c o n s t i t u e n t g r o u p s is i n d e e d a c r u c i a l f a c t o r in r a i s i n g t h e p e r c e p t i o n of t h e l e g i t i m a c y of the c e n tral g o v e r n m e n t a n d in p r o v i d i n g a m e c h a n i s m f o r t h e e x p r e s s i o n and e x e r c i s e of a deg r e e of s e l f - d e t e r m i n a t i o n f o r a f f e c t e d g r o u p s w i t h i n t h e state. In m o s t c a s e s , a g e n u i n e w i l l i n g n e s s to share p o w e r and r e s o u r c e s , tog e t h e r with a d e q u a t e rules and p r o c e d u r e s in o r d e r to e n s u r e c o n f i d e n c e in this s h a r i n g a n d m e c h a n i s m s f o r s a t i s f a c t o r y c o n f l i c t reso l u t i o n c a n p r o v i d e t h e best o u t c o m e in the interest of peace, d e m o c r a c y , and stability. I n d i v i d u a l s and g r o u p s in p o w e r o f t e n f e a r t h e n e e d to c o m p r o m i s e , as it c o u l d be i n t e r p r e t e d as a s i g n of w e a k n e s s . H e r e a g a i n , the d e g r e e of l e g i t i m a c y of the rulers, a n d t h e r e a l i z a t i o n that c o m p r o m i s e l e a d i n g t o p o w e r - and r e s o u r c e - s h a r i n g m a y enh a n c e . not w e a k e n , that legitimacy, is crucial to l e a d e r s ' ability to c o m p r o m i s e . T h e f i r m n e s s of t h e l e a d e r s h i p , to w h i c h Atul K o h l i r e f e r s , m u s t also be s e e n w i t h i n t h e c o n t e x t of the l e g i t i m a c y of the l e a d e r s h i p , not o n l y in r e l a t i o n to the m a j o r i t y g r o u p s but also regarding the affected minoritarian groups. F i r m n e s s can h e l p p r o m o t e p e a c e f u l r e s o l u tion of s e l f - d e t e r m i n a t i o n i s s u e s w h e n c o m b i n e d with the w i l l i n g n e s s to c o m p r o m i s e , as s u g g e s t e d by Atul K o h l i , b u t o n l y if s u c h f i r m n e s s is e x e r c i s e d by r u l e r s that a r e p e r c e i v e d to p o s s e s s the r e q u i r e d l e g i t i m a c y . T h e p a p e r d o e s a s s u m e that s e l f - d e t e r m i n a t i o n i s s u e s c a n a n d s h o u l d be r e s o l v e d w i t h i n the c o n t e x t of t h e m a i n t e n a n c e of the state. T h e m o r e that t h e e m e r g i n g d e m o c r a c y ' s r u l e r s f o l l o w t h e p r o p o s a l s in t h e p a p e r a n d in t h e s e c o m m e n t s , the m o r e likely it is that s o l u t i o n s will be f o u n d within t h e f r a m e w o r k of t h e state. T h e s e c o u l d inc l u d e f a r - r e a c h i n g f o r m s of a u t o n o m y or

333

e v e n c o n f e d e r a l r e l a t i o n s w i t h r e s p e c t to s o m e of t h e c o n s t i t u e n t p e o p l e s w i t h i n the state. N e v e r t h e l e s s , t h e r e m a y be c e r t a i n s e l f - d e t e r m i n a t i o n m o v e m e n t s that c a n n o t be s a t i s f i e d w i t h i n t h e f r a m e w o r k of the e x i s t ing state. T h i s c o u l d be c a u s e d by a p a r t i c u lar p e o p l e ' s d e g r e e of d i s a s s o c i a t i o n f r o m the d o m i n a n t g r o u p ; t h e d i s p a r i t y of res o u r c e s and r e s o u r c e a l l o c a t i o n ; or the assoc i a t i o n of the g r o u p w i t h a r e l a t e d g r o u p a c r o s s state b o u n d a r i e s . It c o u l d also be a ref l e c t i o n of historical realities. T h e s e p a r a t i o n or r e s t o r a t i o n of political i n d e p e n d e n c e m u s t not be ruled out as a p o s s i b l e and a c c e p t a b l e o u t c o m e of d e m o c r a t i c c h o i c e . A c c o r d i n g to U N G A R e s o l u t i o n 1541, the right of s e l f - d e t e r m i n a t i o n c a n be realized t h r o u g h the e s t a b l i s h m e n t of a variety of political entities or r e l a t i o n s h i p s : T h e e s t a b l i s h m e n t of a s o v e r e i g n a n d i n d e p e n d e n t S t a t e , the f r e e a s s o c i a t i o n or i n t e g r a t i o n w i t h an i n d e p e n d e n t S t a t e or t h e e m e r gence into any other political status freely d e t e r m i n e d b y a p e o p l e c o n s t i t u t e s m o d e s of i m p l e m e n t i n g the right of s e l f - d e t e r m i n a t i o n by that p e o p l e .

U n d e r international law, there is a c o n t i n u u m of p o s s i b l e r e l a t i o n s h i p s , a n y o n e of w h i c h can r e p r e s e n t a s u c c e s s f u l e x e r c i s e of a p a r ticular p e o p l e ' s inherent right. T h e d e g r e e to w h i c h the g r o u p s e e k i n g to e x e r c i s e the right b e c o m e s s e l f - g o v e r n i n g a n d the a m o u n t of c o n t r o l it retains o v e r its e x t e r n a l a f f a i r s det e r m i n e s w h e r e , on t h e s o v e r e i g n t y c o n t i n u u m , its p o l i t i c a l s t a t u s is p l a c e d . R e l a t i o n s h i p s that c o n t e m p l a t e less c o n t r o l i n c l u d e c o m p l e t e i n c o r p o r a t i o n into a u n i t a r y s t a t e , a u t o n o m o u s s t a t u s , or s t a t e h o o d w i t h i n a f e d e r a t i o n . Territorial status, c o m m o n w e a l t h d e s i g n a t i o n , f r e e a s s o c i a t i o n (with or w i t h o u t c i t i z e n s h i p ) , c o n f e d e r a t i o n , and p r o t e c t o r a t e status, e a c h w i t h lesser or g r e a t e r d e g r e e s of a c t u a l a u t o n o m y , as w e l l as i n d e p e n d e n c e , r e p r e s e n t the f a r e n d of the s p e c t r u m . P e a c e a n d stability c a n o n l y c o m e f r o m associations among peoples and communities that are b a s e d o n v o l u n t a r i n e s s , m u t u a l r e s p e c t , a n d m u t u a l b e n e f i t . T h e state m u s t be the result o f , a n d m u s t c o n t i n u e to r e f l e c t ,

334

Michael C. van Walt van Praag

these basic principles in ever changing cir-

absolute; on the other hand, neither is a peo-

cumstances. Its leaders and the international

ple's right o f self-determination. In a conflict

community must accept that change is a nat-

between these two interests, an analysis o f

ural and permanent p r o c e s s , and that the

all the relevant factors must be undertaken.

nature o f relations among the

constituent

T h i s includes balancing the needs o f the en-

peoples and c o m m u n i t i e s o f the state must

tire population o f the e x i s t i n g state against

be adapted to reflect and respond to change.

those o f the aggrieved peoples and analyzing

T h e crucial requirement o f the present inter-

the impact o f a s u c c e s s f u l e x e r c i s e o f the

national c o m m u n i t y is to find m e c h a n i s m s

p e o p l e ' s bid for s e l f - d e t e r m i n a t i o n on in-

for peacefully

trastate. regional, and international affairs.

responding to pressure

for

change in constructive ways.

T h e result o f this analysis may call for a

If global peace and stability are the true goals o f the international community, its approach

to

the

tensions

between

readjustment o f the e x i s t i n g political relationship between the parties.

existing

T h i s is where a proposal such as that put

states and their constituent peoples is ill-con-

forward by the Prince o f Liechtenstein is o f

ceived. Ignoring or suppressing m o v e m e n t s

great importance. That proposal r e f l e c t s an

for self-determination will not occasion their

a c c e p t a n c e o f a number o f essential princi-

disappearance. As recent events in the Cau-

ples discussed above:

casus have shown, centuries o f intermittent occupation, efforts at assimilation, and even

•

deportation o f disfavored ethnic groups will

the fundamental need to ensure the continued legitimacy o f rulers;

not extinguish a p e o p l e ' s desire to preserve

•

the requirement that d e m o c r a c y pro-

their national and cultural identity. T h e les-

vide for the representation and full

son the international community should learn

participation of all constituent groups

from these events is that these tensions must

as an expression o f their self-determi-

be addressed before they escalate to the level

nation;

o f armed c o n f l i c t s that are now devastating

•

regions such as the former Yugoslavia.

the

requirement

that

associations

among peoples and c o m m u n i t i e s be

The only long-term solution to conflicts

based on voluntariness, mutual

between states and the peoples and nations

re-

spect, and mutual benefit;

they r u l e — l e g i t i m a t e l y or i l l e g i t i m a t e l y — i s

•

one premised on the free expression o f the

the recognition that

self-determina-

tion quests may legitimately lead, in

particular group's need to determine its own

some c a s e s , to separation or restora-

destiny. T h i s is not easy and does not neces-

tion o f independence; and

sarily require a full vindication o f the claims

•

the a c c e p t a n c e

o f change

and

the

o f any one people or nation. Yet any " s o l u -

need to develop adequate mechanisms

t i o n " that does not attempt to respond to the

to implement change.

expressed desires o f peoples for self-determination can only be c o s m e t i c in nature. Un-

T h e clash between the interests o f exist-

less the nature o f relations between the ag-

ing states or their rulers and o f peoples seek-

grieved peoples and the g o v e r n m e n t s that

ing self-determination is a m a j o r problem

rule them are c o m p r e h e n s i v e l y

today and is a source o f tragic armed conflict

reassessed

and revised, the underlying p r o b l e m s will

in

only resurface to cause further instability,

c h a n g e : it can happen by no longer seeing

hardship, and death, at the first opportune

these

moment.

problem but as a natural p r o c e s s o f c h a n g e

On the one hand, a state's right to main-

many

parts

apparently

of

the

world.

divergent

This

interests

must as

a

that can be channeled by fair and f l e x i b l e

tain the status quo, territorial integrity, or

mechanisms to strengthen, rather than weaken,

even

emerging democracies and other states. T h e

its own continued

existence

is

not

335

Commentary

interest o f states in preserving their territor-

that recognizes the equal importance o f both

ial integrity and that o f peoples in expressing

these interests and provides a structure to re-

their right to self-determination are both fun-

solve conflicts between them must be devel-

damental principles or rights. Neither is ab-

oped T h e Liechtenstein proposal can, in the

solute, and so neither should be pursued uni-

long term, provide the necessary framework

laterally by the use o f force. Instead, a process

for this.

CHAPTER 14

Sudan: The Challenge of Nationhood Francis M. Deng

Overview

as A f r i c a n s even if they are M u s l i m s , in the

It is ironic that the civil war in the Sudan that

Sudan Islam, the A r a b i c language, and Ara-

has

bism as a c o m b i n e d ethnic, cultural, and na-

raged

intermittently

for

nearly

four

decades should be the result o f the country's

tionalist

greatest promise as a microcosm o f Africa and

Northern S u d a n e s e M u s l i m s therefore

concept

are c l o s e l y

intertwined.

a bridge or crossroads between the continent

themselves simply as Arabs despite the visi-

see

and the Middle East. The racial, ethnic, cul-

ble A f r i c a n e l e m e n t in their skin c o l o r and

tural, and religious diversities in Sudan's com-

physical features. T h e r e are, however, non-

position are most often described as falling

Arab c o m m u n i t i e s

into North and South. T h e North, which is

though large in numbers proportional to the

two-thirds o f the country as measured by both

Arabized tribes, have been partially assimi-

in the North that,

al-

land and population, is inhabited by indige-

lated by their conversion to Islam and adop-

nous tribal groups. The dominant groups inter-

tion o f Arabic as the language o f c o m m u n i -

married with incoming Arab traders, begin-

cation with the other tribes. 1

ning in pre-Islamic times and with increased

It is in the South, the remaining third o f

frequency after the advent o f Islam in the sev-

the country in land and population, that the

enth century. This produced a

genetically

A f r i c a n identity in its racial and cultural

mixed African-Arab racial and cultural iden-

composition has withstood assimilation into

tity. The resulting racial characteristics look

Arabism

very similar to those o f the African groups in

southward met with strong resistance, dating

the continent below the Sahara: Ethiopia, Er-

b a c k to the hostile encounters o f the slave

itrea, Djibouti, and Somalia in the east; Chad,

trade that peaked in the nineteenth century.

Niger, and Mali in the center; and Senegal to the west. Indeed, the Arabic phrase Bilad

El

from which the Sudan derives

its

Sudan,

name, means " L a n d o f the B l a c k s " and refers to all these sub-Saharan territories. Unlike the situation in these sub-Saharan countries, where people identify themselves

and

Islam.

Northern

incursions

T h e British c o l o n i a l p o l i c y o f administering the North and the South

separately

r e i n f o r c e d A r a b i s m and I s l a m in the North, encouraged southern development along indigenous

African

Christian

missionary

lines,

and

education

introduced and

rudi-

ments o f Western culture as e l e m e n t s

of

1. In Sudan, unlike other African countries with a Muslim population, Islam is closely associated with the Arabic language, culture, and race, perhaps because of the historical association with the Arab world and in particular with Egypt. For the contrasting models of Islam in sub-Saharan and northern Africa, see Omar H. Kokole, "The Islamic Factor in African-Arab Relations," in Third World Quarterly 6 (July 1984): 6 8 7 - 7 0 1 . According to the author, while African countries south of the Sahara underwent Islamization, North Africa experienced two processes: Islamization and Arabization. "With time the North Africans came to see themselves as 'Arabs,"' p. 688.

337

338

Francis M. Deng

m o d e r n i z a t i o n in t h e S o u t h . I n t e r a c t i o n b e -

l a m i z a t i o n m o r e v i g o r o u s l y , u n h a m p e r e d by

t w e e n t h e t w o s e t s of p e o p l e w a s s t r o n g l y

parliamentary democracy. The

discouraged.

with which these assimilation policies were

ruthlessness

invested

p u r s u e d in t h e S o u t h a g g r a v a t e d t h e c o n f l i c t ,

c o n s i d e r a b l y in t h e p o l i t i c a l , e c o n o m i c , s o -

w h i c h b e c a m e a f u l l - f l e d g e d c i v i l w a r in the

While

British

administration

c i a l , a n d c u l t u r a l d e v e l o p m e n t of t h e N o r t h ,

1 9 6 0 s . T h e e f f e c t of that w a r o n t h e p o l i t i c a l

the South r e m a i n e d

situation

isolated and

undevel-

led to t h e p o p u l a r

uprising

that

o p e d . T h e p r i n c i p a l o b j e c t i v e of c o l o n i a l r u l e

o v e r t h r e w t h e m i l i t a r y r e g i m e in 1 9 6 4 . T h e

in t h e

and

oppressive policies toward the South were

m a i n t e n a n c e of l a w a n d o r d e r . T h e s e p a r a t e

temporarily relaxed. The g o v e r n m e n t orga-

a d m i n i s t r a t i o n of the N o r t h and the South

n i z e d a r o u n d t a b l e c o n f e r e n c e on t h e p r o b -

region

was

the

establishment

left open the o p t i o n that the S o u t h

might

e v e n t u a l l y b e a n n e x e d to o n e of t h e

East

l e m of t h e S o u t h . T h e c o n f e r e n c e r e j e c t e d separation or s e l f - d e t e r m i n a t i o n

but

man-

A f r i c a n colonies or be an i n d e p e n d e n t state.

d a t e d a T w e l v e M e n C o m m i t t e e to f o r m u l a t e

In d e f e r e n c e t o E g y p t , w h e r e its p a r a m o u n t

an

i n t e r e s t s lay, t h e B r i t i s h in 1947 r e v e r s e d t h e

that w o u l d r e c o n c i l e s o u t h e r n d e m a n d s w i t h

policy

appropriate

constitutional

arrangement

the

t h e p r e s e r v a t i o n of n a t i o n a l u n i t y . T h e C o m -

S o u t h . H o w e v e r , in t h e n i n e y e a r s l e a d i n g u p

mittee r e c o m m e n d e d regional a u t o n o m y for

t o S u d a n e s e i n d e p e n d e n c e in J a n u a r y

the South. P a r l i a m e n t a r y

of

separate

development

for

1956,

the British had neither the time nor the political

will

to

put

in

place

constitutional

a r r a n g e m e n t s that w o u l d e n s u r e

protection

The preoccupying concern among

the

n o r t h e r n e r s s i n c e i n d e p e n d e n c e h a s b e e n to c o r r e c t t h e d i v i s i v e e f f e c t of t h e s e p a r a t i s t policies of the colonial a d m i n i s t r a t i o n the

assimilation

of

the

by

South

through Arabization and Islamization.

was,

Committee's

r e c o m m e n d a t i o n could be i m p l e m e n t e d by t h e i n t e r i m g o v e r n m e n t . W i t h t h e r e t u r n of d e m o c r a c y , the traditional political

f o r t h e S o u t h in a u n i t e d S u d a n .

pursuing

democracy

however, restored before the

parties

a s s u m e d control and r e s u m e d the assimilation policies with a v e n g e a n c e . As the violence e s c a l a t e d , the d i f f e r e n c e s b e t w e e n the North and the S o u t h b e c a m e sharper, and the level of p o l i t i c a l i n s t a b i l i t y r o s e .

For

T h i s v i c i o u s c y c l e w a s b r o k e n in 1 9 6 9 ,

the South, northern d o m i n a t i o n has been tan-

w h e n a n o t h e r military j u n t a , this time under

tamount

the

to

replacing

British

colonialism

leadership

of

Jaafar

Mohammed

with internal A r a b "colonialism." Southern

N i m e i r i , s e i z e d p o w e r in a l l i a n c e w i t h t h e

r e s i s t a n c e first t o o k t h e f o r m of a m u t i n y in

C o m m u n i s t P a r t y , w h i c h b e l i e v e d in a u t o n -

1 9 5 5 b y a b a t t a l i o n , t h e n of a p o l i t i c a l c a l l

omy for a socialist South. Following

f o r a f e d e r a l a r r a n g e m e n t , a n d of an a r m e d

a b o r t i v e c o u p of 1971 w h e n t h e l e f t i s t e l e -

s t r u g g l e f o r s e c e s s i o n o r at least t h e r i g h t of

m e n t s in t h e g o v e r n m e n t t r i e d t o t a k e o v e r

self-determination.2

power from within, Nimeiri's regime even-

T h e p o l i t i c a l i m p a s s e c r e a t e d b y t h e sit-

tually negotiated with the Southern

the

Sudan

u a t i o n in t h e S o u t h p r o m p t e d t h e S u d a n e s e

L i b e r a t i o n M o v e m e n t ( S S L M ) a n d in 1 9 7 2

m i l i t a r y t o s e i z e p o w e r in 1 9 5 8 , o n l y t w o

concluded

years a f t e r i n d e p e n d e n c e , with the aim of

which, based on the r e c o m m e n d a t i o n s of the

p u r s u i n g t h e s t r a t e g i e s of A r a b i z a t i o n a n d Is-

Twelve Men Committee, granted the South

the

Addis

Ababa

Agreement,

2. For a background on the conflict and a history of the first phase of the war, see Mohamed Omer Beshir, The Southern Sudan: Background to Conflict (London: C. Hurst and Company, 1968, republished by Khartoum University Press, 1979). See also Dunstan M. Wai, The Southern Sudan: A Problem of National Integration (London: Frank Cass, 1973) and The African-Arab Conflict in the Sudan (New York and London: Africana Publishing Company, 1981). For a southern point of view, see William Deng and Joseph Oduho, The Problem of the Southern Sudan (Oxford: Institute of Race Relations, 1962); and Oliver Albino, The Sudan: A Southern Viewpoint (Guildford and London: Billing & Sons, 1970).

Sudan: The Challenge of Nationhood

regional autonomy with a democratic parliamentary system.3 The regime, however, remained under p r e s s u r e f r o m I s l a m i c e l e m e n t s , in particular, the traditional s e c t a r i a n parties and the M u s lim B r o t h e r s ( I k h w a n El M u s l i m e e n ) , a radical r i g h t i s t r e l i g i o u s g r o u p , with w h o m N i m e i r i e v e n t u a l l y e n t e r e d into an u n e a s y alliance. Nimeiri also underwent a personal conversion, becoming a born-again Muslim, e v e n t h o u g h he still h o p e d that t h r o u g h relig i o u s r e f o r m s he c o u l d pull the r u g f r o m u n d e r t h e f e e t of the s e c t a r i a n o p p o s i t i o n leaders. H e a l s o h o p e d to r e m o v e the a n o m aly of liberal d e m o c r a c y in the S o u t h , w h i c h w a s i n c o n g r u o u s with the national s y s t e m of an a u t h o r i t a r i a n p r e s i d e n c y . N i m e i r i g r a d u ally e r o d e d the S o u t h ' s a u t o n o m y , m o v i n g relentlessly t o w a r d i m p o s i n g Islamic law, shari'a. a n d e s t a b l i s h i n g an I s l a m i c state. E v e n t u a l l y , he u n i l a t e r a l l y a b r o g a t e d the A d d i s A b a b a A g r e e m e n t in 1983 by d i v i d i n g the S o u t h into three r e g i o n s and o r d e r i n g the t r a n s f e r of s o u t h e r n t r o o p s to the N o r t h . T h i s triggered the f o r m a t i o n of the S u d a n P e o p l e ' s L i b e r a t i o n M o v e m e n t ( S P L M ) and its military w i n g , the S u d a n P e o p l e ' s L i b e r a t i o n A r m y ( S P L A ) , u n d e r the l e a d e r s h i p of J o h n G a r a n g d e M a b i o r . T o the s u r p r i s e of m o s t p e o p l e , t h e d e c l a r e d o b j e c t i v e of the m o v e m e n t w a s not s e c e s s i o n but the c r e a t i o n of a n e w , s e c u l a r , d e m o c r a t i c , and p l u r a l i s t i c S u d a n . W i t h i n o n l y t w o years of the r e s u m p tion of h o s t i l i t i e s , a p o p u l a r u p r i s i n g , intifada, largely f u e l l e d by the m i l i t a r y situa-

339

tion in the S o u t h , led to N i m e i r i ' s o w n o v e r t h r o w in A p r i l 1985. M o s t n o r t h e r n e r s e x p e c t e d t h e S P L M / S P L A to p u t d o w n their a r m s a n d ride t h e d e m o c r a t i c w a v e , but the m o v e m e n t s e e m e d g e n u i n e l y c o m m i t t e d to the c r e a t i o n of the n e w S u d a n , w h i c h p o s e d an e v e n g r e a t e r threat to the A r a b - I s l a m i c est a b l i s h m e n t of the N o r t h than s e c e s s i o n . A f t e r N i m e i r i ' s fall a n d e x i l e , t h e M u s lim B r o t h e r s r e o r g a n i z e d t h e m s e l v e s i n t o a b r o a d e r - b a s e d p o l i t i c a l party, t h e N a t i o n a l Islamic Front (NIF), which won the third largest n u m b e r of seats in the p a r l i a m e n t a r y e l e c t i o n s of 1986. T h e F r o n t ' s I s l a m i c national a g e n d a w a s e n d o r s e d and s i g n i f i c a n t l y r e i n f o r c e d w h e n G e n e r a l O m a r H a s s a n alB a s h i r . in a l l i a n c e w i t h the NIF, s e i z e d p o w e r o n J u n e 30. 1989, in the n a m e of the Revolution for National Salvation. The S P L M / S P L A c o n d e m n e d the c o u p as an Isl a m i s t m o v e e n g i n e e r e d by the N I F a n d secretly c o m m i t t e d to the d i v i s i o n of the c o u n try a l o n g r e l i g i o u s l i n e s . 4 T h e m o v e m e n t a g r e e d , h o w e v e r , to p a r t i c i p a t e w i t h the g o v e r n m e n t in p e a c e talks, w h i c h , w h i l e r a i s i n g n o c o n t r o v e r s i e s o n s u c h g e n e r a l i t i e s as p r e s e r v a t i o n of t h e unity of t h e c o u n t r y , a d o p t i o n of a f e d e r a l s y s t e m of g o v e r n m e n t , and c o r r e c t i o n of the d i s p a r i t i e s in e c o n o m i c and s o c i a l d e v e l o p m e n t a m o n g t h e r e g i o n s , b r o k e d o w n on the c h a r a c t e r i z a t i o n of t h e p r o b l e m as " s o u t h e r n " rather than " n a t i o n a l , " the i m p l i c a t i o n b e i n g a f u n d a m e n t a l disa g r e e m e n t o n t h e o b j e c t i v e of r e s t r u c t u r i n g the s y s t e m t o w a r d c r e a t i n g a n e w S u d a n . 5

3. For a detailed account of the Addis Ababa Agreement, see Ministry of Foreign Affairs, Peace and Unity in the Sudan: An African Achievement (Khartoum: Khartoum University Press, 1973); Beshir, Southern Sudan: From Conflict to Peace. For the negotiations that led to the agreement, see Wai, African-Arab Conflict in the Sudan; Hizkias Assefa, Mediation of Civil Wars: Approaches and Strategies—The Sudan Conflict (Boulder and London: Westview Press, 1987); and Abel Alier, Southern Sudan: Too Many Agreements Dishonoured (Exeter: Ithaca Press, 1990). 4. For the reaction of the SPLM/SPLA, see John Garang de Mabior, "Statement to the Sudanese People on the Current Situation in the Sudan" (General Headquarters, SPLM/SPLA, August 10, 1989). 5. Between September9 and October 21, 1989, the government convened a National Dialogue Conference on Peace issues, whose principal recommendation for solving the country's problems of regional, ethnic, cultural, and religious diversity was a federal constitution. The government endorsed the recommendations of the conference and the SPLM-SPLA acknowledged them, along with recommendations from other sources, as useful bases for constitutional talks. For the official report on the conference, see Steering Committee for National Dialogue on Peace Issues, Final Report and Recommendations (Khartoum 1989), the so-called Red Book. The report was officially endorsed and reissued as "The Government's Peace Programme for Negotiations with the SPLM-SPLA" in November 1989 with an "Introduction" by Colonel Mohamed al Amin Khalifa, a member of the Revolutionary Command Council for National Salvation and Chairman of the National Dialogue.

340

Francis

M.

Deng

Further talks, which have been sponsored by

s i n c e the d i f f e r e n c e s w o u l d then be m i n i -

various mediators o v e r the years, have raised

mized or reduced.

i s s u e s o f detail such as p l u r a l i s t i c

democ-

T h e c o n t r a s t i n g set o f i m p l i c a t i o n s ar-

racy, separation o f religion and state, and the

gues

right o f self-determination, all o f which have

founded or not, must be a c c e p t e d as they are

been severely c o n t e n t i o u s . A s a result, these

and not scrutinized in the interest o f a postu-

that

self-perceptions,

whether

well-

talks appear to be in the realm o f public rela-

lated f r a m e w o r k o f unity that does not, in

tions r h e t o r i c , and no a p p r e c i a b l e p r o g r e s s

fact, exist. If unity despite diversity is desir-

has so far b e e n m a d e on the p e a c e f r o n t . 6

able, the argument g o e s , then the gap b e -

T h e c o n f l i c t has e s c a l a t e d into a crisis o f na-

tween the e x c l u s i v e identities and the na-

tional identity with far-reaching i m p l i c a t i o n s

tional f r a m e w o r k , which is a reflection o f the

for the future o f the country.

p o w e r d y n a m i c s o f the country, should be

T h e current struggle o v e r national iden-

m a n a g e d through v a r i o u s f o r m s o f d i v e r s i -

tity is r e f l e c t e d at t w o principal l e v e l s : O n e

fied unity and equity. T o the extent that a

has to do with the c o n f i g u r a t i o n o f S u d a n e s e

f o r m u l a f o r unity in d i v e r s i t y and an e q u i -

identity in the light o f h i s t o r i c a l p r o c e s s e s

table s y s t e m o f sharing p o w e r and wealth

that have left the peoples with layers o f c i v i -

can be d e v e l o p e d and agreed upon, this line

lizations, racial c h a r a c t e r i s t i c s , and cultural

o f approach may s u c c e e d in preserving s o m e

traditions; the o t h e r c o n c e r n s the r e p e r c u s -

form o f national unity. Yet under those c i r -

sions for unity in a pluralistic modern nation

c u m s t a n c e s , disparities that can nurture divi-

state in which the c o n f l i c t between the iden-

s i v e n e s s and intensify the call for self-deter-

tities that g i v e the c o u n t r y its g e o p o l i t i c a l

m i n a t i o n and e v e n s e c e s s i o n are likely to

s i g n i f i c a n c e now threaten the nation

persist.

with

disintegration.

T h i s c h a p t e r p r o b e s into these

T h e c r i s i s o f national identity m a n i f e s t s

from

the p e r s p e c t i v e how

issues

o f the d y n a m i c s

they have

shaped

of

i t s e l f in two corresponding sets o f discrepan-

identification,

the

c i e s : O n e is the gap b e t w e e n s e l f - p e r c e p t i o n s

p e r c e p t i o n s o f the p r i n c i p a l a c t o r s , and the

o f identity, what people c l a i m to be, and the

current t e n s i o n b e t w e e n the aspirations f o r

reality o f what they are as determined by ob-

n a t i o n a l unity and the pressures for

j e c t i v e factors. T h e other is the gap b e t w e e n

d e t e r m i n a t i o n , with the potential for separa-

how individual groups p e r c e i v e t h e m s e l v e s

tion. It c o n s i d e r s h i s t o r i c a l p r o c e s s through

or are perceived o b j e c t i v e l y and how the na-

which the c o n f l i c t i n g identities o f the North

self-

and the South were shaped and discusses the

tional f r a m e w o r k is defined. T h e s e t h e m e s lead to contrasting p o l i c y

g e n e r i c c o n c e p t o f identity as a f a c t o r in c o n -

i m p l i c a t i o n s . O n e set o f i m p l i c a t i o n s argues

flict and how it m a n i f e s t s i t s e l f in the S u -

that the gap b e t w e e n s e l f - p e r c e p t i o n and the

d a n e s e c a s e . It e n d s with a c r i t i c a l a n a l y s i s

reality o f identity is u n f o u n d e d and f i c t i -

o f the o p t i o n s c o n f r o n t i n g the S u d a n e s e in

tious. B y d i s c r e d i t i n g the s u b j e c t i v e m y t h s

the light o f the c o n t e s t e d issues and the posi-

o f identity that divide, the c o m m o n e l e m e n t s

tions o f the parties on them.

can be brought to the f o r e as grounds f o r

W h e t h e r or not a " p e o p l e " is entitled to

unity. A d j u s t i n g s e l f - p e r c e p t i o n s to h a r m o -

e x e r c i s e the right o f self-determination to the

nize

con-

e x t e n t o f s e c e s s i o n or not, h o w j u s t i f i e d are

tribute to bridging the gap b e t w e e n individ-

with

objective

realities

should

the notions o f identity that d i c h o t o m i z e peo-

ual group identities and the national identity,

ples and threaten to tear nations apart on the

6 . T h e latest initiative by the c o u n t r i e s o f the I n t e r - G o v e r n m e n t a l A u t h o r i t y for D r a u g h t and D e v e l o p m e n t , I G A D D , s h o w s a m o r e s u s t a i n e d c o m m i t m e n t to the s e a r c h f o r a just and lasting solution, but e v e n that s e e m s to h a v e r e a c h e d a dead end as the parties r e m a i n c o m m i t t e d to s e e m i n g l y unbridgeable positions on the critical issues o f s e c u l a r i s m and s e l f - d e t e r m i n a t i o n . F o r m o r e on the I G A D D p e a c e initiative, see the Sudan November 1994).

Democratic

Gazette:

A Newsletter

for Democratic

Pluralism,

nos. 4 8 - 5 4 ( M a y to

Sudan: The Challenge of

Nationhood

341

b a s i s of t h e i r i n h e r e n t r a c i a l , e t h n i c , c u l t u r a l ,

and ninth centuries, concluded peace accords

o r r e l i g i o u s d i f f e r e n c e s ? D o a s s u m p t i o n s of

w i t h t h e n o r t h e r n p e o p l e s of N u b i a a n d B e j a ,

i d e n t i t y m a t c h t h e r e a l i t i e s of t h e

identity

respectively.8 T h e s e a c c o r d s established re-

m a p of t h e c o u n t r y ? T h e s e q u e s t i o n s a r e p a r -

m o t e A r a b controls over the country, opened

t i c u l a r l y p e r t i n e n t to t h e c a s e of t h e S u d a n .

t h e c h a n n e l s of c o m m u n i c a t i o n w i t h the A r a b

T o a p p r e c i a t e m o r e f u l l y t h e v a l u e of

w o r l d , g u a r a n t e e d f r e e d o m of m o v e m e n t f o r

self-determination as a political and h u m a n

the Arabs, protected A r a b trade, and

rights principle, the " p e o p l e " w h o are enti-

g u a r d e d A r a b s e t t l e m e n t , but o t h e r w i s e left the

safe-

t l e d to e n j o y it, a n d t h e s c o p e o f its a p p l i c a -

S u d a n e s e in r e l a t i v e p e a c e a n d i n d e p e n d e n c e . 9

t i o n w i t h i n or b e y o n d n a t i o n a l u n i t y , a c l o s e r

Although the A r a b settlers were traders

l o o k at t h e h i s t o r i c a l e v o l u t i o n of t h e d i s t i n c -

and not rulers, their privileged position, their

t i v e i d e n t i t i e s of t h e N o r t h a n d t h e

m o r e c o s m o p o l i t a n and u n i v e r s a l i z i n g reli-

South

gious culture, and their superior

might provide useful insights.

material

wealth c o m b i n e d with the liberal assimila-

North

tionist A r a b Islamic tradition, opened gates

T h e h i s t o r i c a l p r o c e s s that h a s s e p a r a t e d t h e

to u n i v e r s a l " b r o t h e r h o o d , " a n d m a d e t h e m

A r a b M u s l i m N o r t h and the A f r i c a n South

an a p p e a l i n g c l a s s f o r i n t e r m a r r i a g e w i t h t h e

h a s its r o o t s in t h e A r a b i z a t i o n a n d I s l a m i z a -

l e a d i n g S u d a n e s e f a m i l i e s . A s A r a b s did n o t

t i o n of t h e N o r t h a n d in t h e r e s i s t a n c e

c o m e w i t h t h e i r w i v e s , a n d as I s l a m d i d n o t

to

t h o s e f o r c e s in t h e S o u t h . 7 S u d a n e s e c o n t a c t

p e r m i t t h e m a r r i a g e of M u s l i m w o m e n

and interaction

via

non-Muslims, intermarriage was a one-way

E g y p t d a t e b a c k t h o u s a n d s of y e a r s b e f o r e

s t r e e t . It is g e n e r a l l y a c c e p t e d t h a t t h e d e -

with the M i d d l e

East

C h r i s t , t a k i n g t h e f o r m of t r a d e in

ivory,

to

s c e n d a n t s of t h e A r a b s s u c c e e d e d to t h e l e a d -

gold, and other commodities. Arab traders

e r s h i p p o s i t i o n s of t h e i r m a t e r n a l

settled a m o n g the indigenous population and

t h r o u g h t h e s y s t e m of m a t r i l i n e a l s u c c e s s i o n

i n t e g r a t e d t h e m s e l v e s w i t h t h e a d v a n t a g e s of

t h e n p r e v a l e n t in t h e N o r t h . T h e p a t r i a r c h a l

wealth, which promoted pro-Arab

s y s t e m then took over and p e r p e t u a t e d the

associa-

families

t i o n to t h e p o i n t w h e n , e v e n t u a l l y , t h e S u -

A r a b - M u s l i m m a l e line. T h e c h i l d r e n i d e n t i -

danese

The

f i e d w i t h t h e p a t e r n a l l i n e , a n d , in t h e c o u r s e

p r o c e s s i n t e n s i f i e d a f t e r t h e a d v e n t of I s l a m

of t i m e , t h e A r a b e l e m e n t p r e d o m i n a t e d . T h e

identified

with

the

Arabs.

in t h e s e v e n t h c e n t u r y . T h e A r a b

Muslim

e m p i r e i n v a d e d S u d a n , a n d , in t h e s e v e n t h

pre-Islamic system was not so m u c h overt h r o w n as " t u r n e d i n s i d e o u t . " 1 0

7. In Sudan, unlike other African countries with a Muslim population, Islam is closely associated with the Arabic language, culture, and race, perhaps because of the historical association with the Arab world and, in particular, with Egypt. For the contrasting models of Islam in sub-Saharan and northern Africa, see Omar H. Kokole, "The Islamic Factor in African-Arab Relations," in Third World Quarterly 6 (July 1984): 687-701. According to the author, while African countries south of the Sahara underwent Islamization, North Africa experienced two processes: Islamization and Arabization. "With time the North Africans came to see themselves as 'Arabs,'" p. 688. 8. For the texts of the agreements, see Abd el-Fatah el-Sayed Baddour, Sudanese-Egyptian Relations (The Hague, M. Nisheff, 1960), pp. 17-20, and Yusuf Fadl Hasan, The Arabs and the Sudan, pp. 22-24. 9. Ibid. 10. Yusuf Fadl Hasan, The Arabs and the Sudan (Edinburgh University Press, 1967), p. 90. The current tendency, however, is to dispute the matrilineal theory and to see the process more in terms of the dominance of the Arabs in the power process with a degree of magnanimity and a relatively harmonious interaction that favored the Arab-Islamic identity as a symbol of upward mobility. See, for instance, Lloyd Binagi, The Genesis of the Modern Sudan: An Interpretative Study of the Rise of Afro-Arab Hegemony in the Nile Valley A.D. 1260-1826 (Temple University, Ph.D. diss., 1981). Abdullahi A. Ibrahim addresses this very point: "Scholars adhering to the model have not taken into account the parameters of power attending the Arab/African encounter in the Sudan." See Abdullahi A. Ibrahim, The Northern Sudanese: An Anthropology of Hybridity, unpublished proposal, December 1991, p. 3. Ibrahim also reviews the literature of the new thinking on the issue of the assumed matrilineality of the system that prevailed at that time.

342

T h e a d v e n t of I s l a m w a s c r u c i a l in c o n s o l i d a t i n g a u n i f y i n g A r a b - I s l a m i c identity in t h e N o r t h that m o l d e d t o g e t h e r p r e e x i s t i n g e l e m e n t s with the a d v e n t i t i o u s I s l a m i c d o c trine. S u f i o r d e r s are w i d e l y a c k n o w l e d g e d as h a v i n g p l a y e d a p i v o t a l role in b l e n d i n g I s l a m with i n d i g e n o u s t r a d i t i o n s to p r o d u c e an e c l e c t i c notion of the f a i t h . " By the f o u r t e e n t h century, b r o t h e r h o o d s b a s e d o n m y s t i cal ideas b e g a n to e m e r g e as an i m p o r t a n t f o r m of social o r g a n i z a t i o n . T h e s e r e l i g i o u s o r d e r s k n o w n as tariqahs, which spread t h r o u g h the e f f o r t s of w a n d e r i n g t e a c h e r s , w e r e d e c e n t r a l i z e d in o r g a n i z a t i o n , r e f l e c t i n g the lack of c e n t r a l i z e d s t r u c t u r e s in S u d a n e s e I s l a m i c c o m m u n i t i e s . T h e y also p r o v i d e d an a l t e r n a t i v e basis of s u p p o r t f o r the local holy m e n and holy f a m i l i e s , t h e r e b y a d d i n g a dim e n s i o n of r e l i g i o u s d i v e r s i t y to the c o m m u nity. Islamic o r d e r s with m o r e c e n t r a l i z e d org a n i z a t i o n a l a p p r o a c h e s b e g a n to c o m e to the S u d a n by the b e g i n n i n g of the n i n e t e e n t h c e n t u r y . A m o n g the b e s t - k n o w n a n d c e r t a i n l y the m o s t w i d e s p r e a d of t h e s e w a s the K h a t m i y y a h o r d e r , b r o u g h t to t h e S u d a n by Muhammad Uthman al-Mirghani ( 1 7 9 3 1853), a r e l i g i o u s t e a c h e r a n d l e a d e r f r o m Mecca. The order became firmly established by his son, H a s a n a l - M i r g h a n i ( 1 8 1 9 - 1 8 6 9 ) . S i n c e that t i m e , t h e o r d e r h a s b e e n led by m e m b e r s of t h e M i r g h a n i f a m i l y a n d h a s maintained a relatively centralized, countrywide organization. It is n o w well k n o w n that t h e t w o l e a d ing patron f a m i l i e s of the m a j o r political p a r t i e s — t h e M a h d i f a m i l y , w h i c h p a t r o n i z e s the U m m a Party, and the M i r g h a n i f a m i l y , w h i c h p a t r o n i z e s t h e rival D e m o c r a t i c U n i o n i s t P a r t y ( D U P ) — w e r e t h e b e n e f i c i a r i e s of t h e r e l i g i o u s e v o l u t i o n of S u f i s m , w h i c h M o h a m e d A h m e d a l - M a h d i tried to d e s t r o y but w h i c h instead c o o p t e d his d e s c e n d a n t s . C o n trary to O r t h o d o x I s l a m , t h e d e s c e n d a n t s of

Francis M. Deng

the f o u n d e r s i n h e r i t e d the s p i r i t u a l l e a d e r s h i p that, in d u e c o u r s e , b e c a m e t r a n s f o r m e d into a t h e o c r a t i c political d y n a s t y . With a sup e r s t i t i o u s zeal that is also u n - I s l a m i c by Ort h o d o x criteria, the u n s o p h i s t i c a t e d f o l l o w e r s of t h e s e spiritual l e a d e r s see t h e m as d i v i n e , with s u p e r n a t u r a l p o w e r s to bless, curse, and d e s t r o y in a w o r l d l y c o n t e x t . S u f i s t I s l a m is t h u s as w o r l d l y in its o r i e n t a t i o n as traditional A f r i c a n r e l i g i o u s b e l i e f s and practices. A n d , like A f r i c a n i n d i g e n o u s r e l i g i o n s , it is a l s o m o r e t o l e r a n t of d i v e r s i t y in r e l i g i o u s e x p r e s s i o n t h a n the c e n t r a l i z e d O r t h o d o x Islam of the m o d e r n state. It w a s the g r a s s r o o t s p o w e r of s e c t a r i a n I s l a m that the B r i t i s h r u l e r s e v e n t u a l l y reco g n i z e d and u s e d t o w a r d their political e n d s . At first, they f e a r e d and r e p r e s s e d the m e m ory of the M a h d i , e s p e c i a l l y as n e o - M a h d i s t r e s i s t a n c e m o v e m e n t s in the N o r t h c o n t i n u e d to c h a l l e n g e the n a s c e n t a d m i n i s t r a t i o n . 1 2 T h e p o s t h u m o u s son of t h e M a h d i , A b d alR a h m a n g r e w up a m o d e s t , o r d i n a r y m e m b e r of his local c o m m u n i t y , c l o s e l y w a t c h e d by the a u t h o r i t i e s but o t h e r w i s e u n n o t i c e d bey o n d his n a r r o w c o n f i n e s . S h e i k h Ali alM i r g h a n i , on the o t h e r h a n d , w h o s e sect had originally opposed the M a h d i y y a , was fav o r e d by the A n g l o - E g y p t i a n C o n d o m i n i u m p o w e r s , e s p e c i a l l y E g y p t . His i n f l u e n c e c o n tinued to be e n h a n c e d by the material r e w a r d s he received through his Egyptian c o n n e c t i o n . W h e n the B r i t i s h s a w the r i s i n g tide of s e c u l a r n a t i o n a l i s m a m o n g the e d u c a t e d y o u t h , t h e y d e c i d e d to t u r n to t h e s e c t a r i a n leaders and especially the anti-Egyptian M a h d i s t s , as political allies. T h r o u g h a l l o c a tion of land a n d vast loans f o r capital investm e n t s , t h e M a h d i ' s f a m i l y w a s g i v e n an enormous economic base. Abd al-Rahman al-Mahdi's status was dramatically transf o r m e d . Given the rivalry between the t w o r u l i n g p o w e r s and t h e t r a d i t i o n a l a n i m o s i t y

11. For Sufi orders in the Sudan, see Tom Niblock, Power and Class in the Sudan: The Dynamics of Sudanese Politics 1898-1985 (Albany: State University of New York, 1987). See also K.D.D. Henderson, Sudan Republic (London: Ernest Benn Ltd., 1965), p. 23. 12. See Mekki Shibeika, The Independent Sudan (New York, 1959), pp. 410-411. See also Mohamed Omer Beshir, Revolution and Nationalism, p. 52; and Tim Niblock, Power and Class in the Sudan, pp. 162, 172.

Sudan: The Challenge of

Nationhood

343

between the M a h d i family and Egypt, A b d

of S a y y i d w a s m o r e p o w e r f u l l y r o o t e d in t h e

al-Rahman

p o l i t i c a l a n d r e l i g i o u s c u l t u r e of t h e c o u n t r y

al-Mahdi

grew

closer

to

the

B r i t i s h as b o t h b e n e f a c t o r s a n d p o l i t i c a l a l -

t h a n t h e B r i t i s h title " S i r . "

lies, w h i l e A l i a l - M i r g h a n i c o n t i n u e d h i s alliance with Egypt.13

T h e r e a c t i o n to t h e c o n s e r v a t i v e s e c t a r ian

T h e m a i n f o l l o w i n g of t h e t w o f a m i l i e s

mold

of political-religious

leadership

g a v e rise to radical m o v e m e n t s representing

in t h e i r t r a d i t i o n a l s t r o n g h o l d s d i v i d e d t h e

both secularism and Islam, which,

country

the

a n t a g o n i s t i c , h a d a n t i s e c t a r i a n i s m as a c o m -

M a h d i and the north and east for Mirghani,

m o n objective.15 T h e s e were the C o m m u n i s t

with the central r e g i o n s split b e t w e e n t h e m .

Party and the t w o Brotherhoods, the M u s l i m

Popular

Brothers and the Republican Brothers, the

into the

support

western

for these

regions

for

families

grew

though

rapidly along these lines with official recog-

last t w o d i f f e r i n g in t h e i r i n t e r p r e t a t i o n of

nition, and indeed

the Islamic doctrine, one O r t h o d o x and the

promotion,

albeit

very

o t h e r l i b e r a l . W h a t all t h e s e t h r e e

a m b i v a l e n t at t i m e s . T h e c o l o n i a l e x p l o i t a t i o n of t h e s e t r a d i -

radical

m o v e m e n t s h a d in c o m m o n , a p a r t f r o m t h e i r

t i o n a l l e a d e r s , in t u r n , p r o v o k e d a n a m b i v a -

antisectarian agenda, was a pragmatism

in

lent r e a c t i o n t o w a r d t h e m f r o m t h e e d u c a t e d

r e s p o n s e to the S u d a n e s e reality that m a d e

c l a s s w i t h t h e rise of t h e n a t i o n a l i s t i n d e p e n -

t h e m a m b i v a l e n t l y o p p o s e d yet d e f e r e n t i a l to

d e n c e m o v e m e n t . In t h e 1 9 4 0 s , t w o s e e m -

the p o p u l a r religious s e n t i m e n t s behind the

i n g l y c o n t r a d i c t o r y t r e n d s b e g a n to e m e r g e .

a u t h o r i t y of t h e S a y y i d s . 1 6 T h e p r e d i c a m e n t

On the one hand, the n e w l y f o r m e d G r a d u -

translated m o r e into a c o m p r o m i s i n g weak-

a t e s ' C o n g r e s s s a w i t s e l f as t h e m o u t h p i e c e

ness for the r e f o r m e r s than a threat to the

of S u d a n e s e n a t i o n a l i s m a b o v e s e c t a r i a n i s m .

traditionals.

On the other hand, the m o d e r n

nationalist

Initially,

the

young

liberal

educated

elites realized that they c o u l d not h a v e ac-

class saw c o m m u n i s m

c e s s to t h e m a s s e s w i t h o u t t h e s u p p o r t , if n o t

ideology for combatting Western

t h e p a t r o n a g e , of t h e s e c t a r i a n l e a d e r s . W h a t

ism

this m e a n s is t h a t t h e p o l i t i c a l s c e n e b e c a m e

p r o g r e s s . Yet S u d a n e s e M a r x i s t s w e r e b y n o

and

promoting

as t h e m o s t

economic

viable

imperial-

and

social

c o n t e s t e d o n l y w i t h i n t h e c o n f i n e s of t h e

means radical. For the family-oriented

Ansar-Khatmiyya

the

d a n e s e y o u t h , c o m m u n i s m b e c a m e an i n s t r u -

t w o S a y y i d s , A b d a l - R a h m a n El M a h d i a n d

m e n t of political a n d social o p p o s i t i o n w i t h o u t

Ali a l - M i r g h a n i . 1 4 A l t h o u g h both m e n were

u n d e r m i n i n g t h e f o u n d a t i o n s of t h e p r e v a i l i n g

k n i g h t e d by the K i n g of E n g l a n d , their title

s y s t e m , a f o r m of r i t u a l i z e d r e b e l l i o n t h a t w a s

orbit, dominated

by

Su-

13. For the rise of sectarian leadership during colonial rule, see Mansour Khalid, The Government They Deserve: The Role of the Elite in Sudan's Political Evolution (London and New York: Kegan Paul International 1990); Mudathir Abd al-Rahim, Imperialism and Nationalism in the Sudan 1898-1956 (London: Clarendon Press, 1969); Mohamed Omer Beshir, Revolution and Nationalism in the Sudan (London: Rex Collings Ltd., 1974); and Niblock, Power and Class in the Sudan. 14. See Khalid Duran, "The Centrifugal Forces of Religion in Sudanese Politics," Orient 26, no. 4 (April 1985): 5 7 4 - 5 7 5 . See also Niblock, Power and Class, pp. 195-196. 15. For studies of these two movements, see Mohamed Nuri El-Amin, The Emergence and Development of the Leftist Movement in the Sudan During the 1930s and 1940s (Khartoum: Institute of African and Asian Studies, Khartoum University Press, 1984); and Hassan Mekki Mohamed Ahmed, Harakat El Ikhwan El Muslimeen Fil-Sudan 1944-1969 (Khartoum: Khartoum University Press, 1987). 16. See Gabriel Warburg, Islam, Nationalism and Communism (London: Frank Cass, 1978), p. 110. See also the Report of the Central Committee of the Communist Party of Sudan, September-November 1971, p. 20, which emphasizes youth and students as the most significant element of the party's main activities. Peter Woodward argues that in the 1950s the "Muslim Brotherhood was largely associated with the educated elite, and has always had particular support in schools and colleges," "Islam and Politics," Muddathir Abd al-Rahim et al., eds., Sudan Since Independence (London: Hunts, 1950), p. 3.

344 as conscious of the need for reform as it was a benign part of the social order. Sudanese "Marxists" were indeed an extraordinary assortment of young people of relatively privileged backgrounds from the urban middle class. Paradoxically, the groups that opposed the Communists were those from the rural backgrounds who were supposed to be benefitted by communism, but whose perspective was far from that of a deprived sector of the country. Within the rural context, they were from a privileged background where they had not been the victims of the class struggle portrayed by communism. Far from it, they were the beneficiaries of change or modernization that had taken them to the top of the educational ladder, thanks to the egalitarian system of education instituted by the British administration. The Muslim Brothers and the Republican Brothers were initially of the same mold. Hassan al-Banna, the Egyptian founder of the Muslim Brotherhood (a schoolteacher), and M a h m o u d Mohamed Taha, the founder of the Republican Brothers (an engineer), had much in common. Like most of the early Muslim Brothers, they were deeply religious and committed to the Islamic frame of reference in a spiritual sense; but, of course, the political dimension was central to their agenda. Mahmoud Mohamed Taha was not only held in high esteem from a spiritual perspective, but was also heralded as a political hero who had led nonviolent demonstrations against the British and was one of the first Sudanese to be imprisoned with the resumption of the struggle for independence from colonial rule. There were profound ideological differences between the Islamic movements, which, though headed in the modern direction, became divided by the degree of their commitment to

Francis M. Deng

the original doctrine or to the imperatives of modernity. The Muslim Brothers embraced the shari'a and Islamic vision that provided the framework for a modern Islamic state. Mahmoud Mohamed Taha, on the other hand, reinterpreted shari'a in the context of historical criticism based on the principle that what was appropriate for seventhcentury Arabia could not be equally suited to twentieth-century conditions. He did not consider it the divine plan to literally follow a bygone code whose moral imperatives were less than what was demanded from the contemporary generation, such as human rights, social justice, and international peace. 1 7 Three interrelated and interdependent factors figured in the strategy of the Muslim Brothers: the pursuit of power; the reform of society in the political, economic, social, and cultural fields; and the use of religion as a potent tool for the mobilization of the community. The difference between the Republican Brothers and the Muslim Brothers may well be in the degree to which Islamic ideals are an end or the religion is a means to other objectives. The first represents the Republicans, the second the Muslim Brothers—at least, the dominant faction. The differences, indeed the conflicts, between the two wings of the Islamic path increased with time and with a helping hand from the "September L a w s " of the military ruler, Jaafar Nimeiri, enacted in alliance with the Muslim Brothers and which eventually resulted in the public hanging of Mahmoud Mohamed Taha on January 18, 1985, condemned for apostasy. 1 8 From the foregoing, it is obvious that the Islamic platform of the Muslim Brothers, now the National Islamic Front, has been shared by virtually all political forces in the North, the main differences being the degree of commitment. The NIF's rise to power has sharpened

17. For the philosophy of Mahmoud Mohamed Taha, see Abdullahi An-Na'im, The Second Message (Syracuse: Syracuse University Press, 1987). 18. On Mahmoud Mohamed Taha's trial and execution, see Abdullahi Ahmed An-Na'im, "The Islamic Law of Apostasy and Its Modern Application: A Case from the Sudan," in Religion 16 (1986): 197. Sadiq al-Mahdi also opposed September Laws. See his views in his Islam and the Problem of the South, published by the author (Khartoum, 1984).

Sudan: The Challenge of Nationhood the differences between the North and the South and has placed the national question on the frontline of conflict of identities.

South What is particularly significant about the southern c o n f r o n t a t i o n with the North, whether prior or subsequent to the advent of Islam, is that while the Arabs persistently invaded the South for slaves, they never penetrated it sufficiently, far less attempted to settle it. S w a m p s , insects, tropical humidity, and not least the fierce resistance of the tribes kept the contact marginal, even as it was devastatingly violent. Furthermore, since the A r a b Muslim was interested in the actual or potential value of the Negro as a slave, he did not desire to interact and integrate with him in the manner experienced by the North. To convert the Negroes of the South to Islam would have meant that they could not be justifiably raided for slaves. The Anglo-Egyptian condominium rule, while objectionable in principle, gave the South the only period of peace, tranquility, and relative i n d e p e n d e n c e in the form of "tribal" autonomy that they had experienced for centuries. However, the British did not develop the South, but kept it isolated f r o m the North as " C l o s e d Districts" to evolve along indigenous lines with the Christian missionaries playing a modest "civilizing" role. The separation of the administrative setup and of the educational system, which envisaged the South more in the context of East Africa than in the national framework of the Sudan, meant that graduates f r o m the southern intermediate schools went to Makerere College in U g a n d a for higher education, and the f u t u r e of the South was contemplated in the context of East Africa rather than the Middle East. There were a f e w a m o n g the British, however, who conceived of the future of the South differently, arguing that it would not be easy to redefine the boundary satisfactorily; that left alone, the North would almost

345 certainly be absorbed by the A r a b Middle East, especially by Egypt; that racially, the African blood from the South had been mingled with that of every northern tribe; and that the South possessed the e c o n o m i c potential that also existed in U g a n d a . They reckoned that "if the South, remaining essentially southern, could yet become an integral part of an independent Sudan it could help to bridge the inevitable gulf between Muslim and non-Muslim, Asian and African, white or brown and black, in the Africa of the future." 1 9 With the rise of political consciousness in the North, the independence m o v e m e n t , spearheaded by northern elites collaborating with Egypt, began to manifest aspirations for the integration of the South into the national political process. The first step was taken by the Graduates Congress in 1942 when they d e m a n d e d f r o m the government, among other things, the abolition of restrictions placed on trade and intra-Sudanese travel, and the unification of the educational system of the country. By 1944, an advisory council was f o r m e d in the North, which, though it did not legislate, wielded much influence. The South did not participate in the council. Indeed, the possibility of its being separated f r o m the Sudan and annexed to one of its neighbors to the South or left completely independent was still in mind. The issue of whether the South should be united with the North or separated remained an open question for the British administration. The same year the Fabian Colonial Bureau report was published, an official " D e s p a t c h " stated: " T h e approved policy of the G o v e r n m e n t is to act upon the fact that the people of the Southern Sudan are distinctly A f r i c a n and Negroid, and that our obvious duty to them is therefore to push ahead as far as we can with their e c o n o m i c and educational develo p m e n t on A f r i c a n and Negroid lines, and not upon the Middle Eastern A r a b lines of progress which are suitable for the Northern Sudan. It is only by e c o n o m i c and educational development that these people can be

19. Henderson, The Sudan Republic (London: Ernest Benn Ltd., 1965), p. 164.

Francis M. Deng

346

e q u i p p e d t o s t a n d u p f o r t h e m s e l v e s in t h e

i n q u i r y i n t o t h e c o n d i t i o n s t h e r e . T h e y re-

f u t u r e , w h e t h e r t h e i r lot b e e v e n t u a l l y c a s t

t u r n e d to r e c o m m e n d t h e u n i t y of t h e S o u t h

with the N o r t h e r n S u d a n or with

Eastern

A f r i c a (or p a r t l y w i t h e a c h ) . " 2 0 Negotiations

between

Britain

E g y p t o n t h e f u t u r e of t h e S u d a n , b e g a n in D e c e m b e r

with the N o r t h , to begin with the participat i o n of t h e S o u t h in a L e g i s l a t i v e A s s e m b l y

and

that w a s to b e f o r m e d .

which

1 9 4 5 , r e s u l t e d in t h e

That year, under pressure from

Egypt

and N o r t h e r n S u d a n , R o b e r t s o n decided to

1946 draft treaty that i n c l u d e d a p r o t o c o l

reverse

p r o v i d i n g for a f r a m e w o r k of unity b e t w e e n

f a v o r of u l t i m a t e u n i t y of t h e S u d a n . 2 2 H e ar-

Egypt

g u e d that E a s t A f r i c a ' s p l a n s r e g a r d i n g b e t t e r

and the S u d a n u n d e r the

common

the

separatist

southern

policy

in

c r o w n of E g y p t . T h e o u t r a g e d r e a c t i o n o f

c o m m u n i c a t i o n s with Southern Sudan

the S u d a n e s e and the British political elite

b e e n f o u n d t o b e n e b u l o u s . " O u r c h a n c e s of

had

l e d t o t h e i m m e d i a t e a b a n d o n m e n t of t h e

succeeding depend, I think, upon confining

p l a n a n d a s t a t e m e n t by t h e B r i t i s h f o r e i g n

o u r s e l v e s to t h e o n e a i m of d e v e l o p i n g t r a d e

secretary

on

in t h e S o u t h , a n d b e t w e e n t h e N o r t h a n d t h e

M a r c h 26, 1946, to the e f f e c t that the g o v -

to the

House

of

Commons

South."23 The new policy regarding Southern

e r n m e n t c o n s i d e r e d t h e s o l e a i m of t h e i r ad-

S u d a n w a s t h e r e f o r e " t o act u p o n t h e f a c t

m i n i s t r a t i o n in t h e S u d a n t o b e t h e w e l f a r e

that t h e p e o p l e s of t h e S o u t h e r n S u d a n a r e

of the S u d a n e s e p e o p l e and that no c h a n g e

distinctly A f r i c a n and n e g r o i d , but g e o g r a -

in t h e s t a t u s of t h e S u d a n s h o u l d b e m a d e

p h y a n d e c o n o m i c s c o m b i n e ( s o f a r as c a n b e

until

the

Sudanese

had

consulted

s e e n at t h e p r e s e n t t i m e ) t o r e n d e r t h e m in-

through constitutional channels. That year,

extricably bound for the future d e v e l o p m e n t

the g o v e r n m e n t

to t h e M i d d l e E a s t e r n a n d A r a b i c i z e d N o r t h -

convened

been

the S u d a n

m i n i s t r a t i v e C o n f e r e n c e to plan t i o n a l c h a n g e s . It w a s at t h a t

ern S u d a n . " 2 4

conference

t h a t t h e i d e a o f t h e u n i t y of t h e North and South, was formally

Ad-

constitu-

Even

then,

the

ultimate

unity

of

the

country,

country w a s not c o m p l e t e l y a f o r e g o n e con-

presented

c l u s i o n , as t h e B r i t i s h still s e e m e d t o h o p e

and c o n f r o n t e d for the first time.21

that t h e N o r t h m i g h t c h a n g e its m i n d a n d re-

In 1 9 4 6 , t h e g o v e r n o r - g e n e r a l set u p an

j e c t t h e S o u t h as a f i n a n c i a l b u r d e n a n d , in

administration c o n f e r e n c e to help d e t e r m i n e

a n y c a s e , it w a s still e n v i s a g e d that c e r t a i n

s t e p s to b e t a k e n t o w a r d t h e d e v o l u t i o n of

parts m i g h t be severed f r o m the S u d a n and

p o w e r to t h e S u d a n e s e . A g a i n , t h e S o u t h d i d

a n n e x e d to East A f r i c a n territories.25

n o t p a r t i c i p a t e in t h a t c o n s u l t a t i o n .

J u b a C o n f e r e n c e w a s h e l d o n J u n e 12, 1947,

When

northern m e m b e r s d e m a n d e d the unification

to

of t h e S o u t h a n d t h e N o r t h , p a r t i c i p a n t s w e r e

w h e t h e r and h o w the South should be repre-

f l o w n to t h e S o u t h f o r an

s e n t e d in t h e p r o p o s e d a s s e m b l y . 2 6 A m o n g

impressionistic

seek

southern

views

on

the

issue

The of

20. Secret Despatch No. 89 of 4 August 1945. 21. Mohamed Ahmed Mahjoub, Democracy on Trial (London: Andre Deutsch, 1974). p. 208. 22. See Memorandum on Revision of Southern Policy CS/SCR/1 .C. 1, December 16, 1946; Appendix VIII of Muddathir Abd Al-Rahim, Imperialism and Nationalism. 23. Ibid., p. 254. 24. Ibid., p. 255. 25. Ibid. 26. This conference is often cited by northerners as the occasion when the southerners decided for a fully united Sudan, but this is a disputed view. See also Basic Facts About the Southern Provinces, op. cit., p. 18. The same point was reiterated by northern spokesmen at the Round Table Conference in 1965. For the southern viewpoint, see The Report of Enquiry, pp. 18-19; for the speech of the representative of the Southern Front at the Round Table Conference on the Southern Problem, see Deng and Oduho, The Problem of the Southern Sudan, and Oliver Albino, The Sudan, A Southern Viewpoint (London: Oxford University Press, 1970), pp. 2 5 - 2 8 . See also Bona Malwal, People and Power in the Sudan (London: Ithaca Press, 1981), pp. 24-30; Dunstan Wai, The African Arab Conflict in the Sudan, op. cit., pp. 42^14; and Abel Alier, Southern Sudan, pp. 2 0 - 2 1 .

Sudan: The Challenge of

Nationhood

those attending were the British governors of the southern provinces, the director of establishments, seventeen southerners including tribal c h i e f s and government civil servants, and six northern Sudanese. At the conference, the southerners, while willing to accept the Sudan as one country, d e m a n d e d a separate advisory council until such time as they could have a legislative body on equal footing with the northerners. M e a n w h i l e , they wanted to learn f r o m the f o r t h c o m i n g Legislative Assembly in the North as observers. 2 7 Opening the conference the next day, the chairman "deplored the mutual suspicion which seemed to exist between northerners and southerners." 2 8 The northerners suspected the southerners of desiring separation and the southerners suspected the northerners of wishing to dominate the South. The chairman urged that these suspicions be dispelled to facilitate the value of the talks. And indeed, the second day's meeting witnessed a change a m o n g some southerners. They had thought the matter over, they said, and had decided not only to go to K h a r t o u m to observe but also to participate fully in the Legislative Assembly. Sorror Ramley, who was a participant in the "very long struggle" to persuade the southerners to change their minds, later recalled that after receiving "some sort of assurance or something like that [they were] very genuinely for unity." Ramley confessed that the task of winning the southerners took "a complete night's work." As he explained, "We were trying to pull together the different arguments and to give assurances to those who were a bit doubtful about the future. We m a d e the situation clear to them. And early in the morning we agreed that we should not talk in the meeting that day and that we should just a n n o u n c e that we had reached agreement and that was all." 2 9

347 To the argument often made that the South opted for unity at the Juba C o n f e r ence, Sir James Robertson himself explained in his m e m o i r s that " N o decision could be made by the conference, since members had not received a mandate f r o m their people. The only decision resulting f r o m the conference was taken by myself. I decided that I would, after what I had seen about the Southerners w h o attended, endorse the reco m m e n d a t i o n of the administrative conference and ask the Governor-General in council to accept the proposal that the new Legislative Assembly would be representative of the whole Sudan." 3 0 Only two years after the Legislative Assembly o p e n e d in D e c e m b e r 1948, a C o n stitutional A m e n d m e n t C o m m i s s i o n was set up to e x a m i n e the situation and r e c o m m e n d steps to be taken in the advance to self-gove r n m e n t . W h i l e n e g o t i a t i o n s b e t w e e n Britain and Egypt on the f u t u r e of the Sudan were under way, northern parties negotiated and agreed with Egypt in January 1953 on a strategy w h e r e b y s e l f - d e t e r m i n a t i o n could be exercised by a parliamentary declaration of i n d e p e n d e n c e without the need for the stipulated n a t i o n w i d e plebiscite. B r i t a i n ' s response was based on weighing their moral responsibility toward the South against their interest in c o o p e r a t i n g with Egypt and the North. In the final analysis, the interest of the South was v i e w e d only as an i n c o n v e nience: " T h e issue is, however, c o n f u s e d by the f e e l i n g that there w o u l d be a breach of faith t o w a r d s the s o u t h e r n e r s . " All things c o n s i d e r e d , British interest and responsibility t o w a r d a united Sudan s e e m e d to prevail: Our responsibility for government in the Sudan involves a duty to keep faith with the country as a whole. The break on the question of the South would involve constitutional chaos throughout the country and set

27. This view was emphasized by nearly all the tribal chiefs, w h o were consistent even when many government officials altered their stand. 28. Mohamed O. Beshir, The Southern Sudan: Background to Conflict, p. 145. 29. Bonds of Silk, pp. 1 4 0 - 1 4 1 . 30. James W. Robertson, Transition in Africa: From Direct Rule to Independence (London: Hurst, 1974), pp. 108-109.

348

Francis M.

back the work of the administration by many years. Without cooperation from the politicians there would p r e s u m a b l y have to be a return to authoritarian government and there would be no guarantee that the northerners would accept the orders of the British administration. The net result would surely be, unless we are prepared to use the strongest measures (and this is obviously out of the question), to throw the Sudan into the arms of the Egyptians. If this should c o m e about, what would be the benefit of the South? 3 1

N o r t h ; and that unity with the N o r t h government. As Tim Niblock observed.

From 1946, therefore, the C o n d o m i n i u m government was committed to integrating the South into a unitary Sudan. Although the South could not now be deprived of that distinct cultural identity which had been safeguarded and fostered by earlier policies, the emphasis was placed on conditioning southerners to increased contacts with northerners, drawing the South into national political institutions. and making southern education compatible with the educational systems established in the North. With less than seven years before southerners had to cope with the politics of national self-determination, however. it was too late. The possibility of gradual acculturation which could have drawn southerners into the national community, while enabling them to retain local customs and identities, had long since p a s s e d . 1 '

That year, northern parties agreed with with

a transitional

period

of

self-

g o v e r n m e n t a n d w o u l d l e a d to s e l f - d e t e r m i n a t i o n in t h r e e y e a r s . T h e S o u t h w a s

not

represented

the

in t h o s e

negotiations. As

southern statesman and jurist Abel Alier has o b s e r v e d , d u r i n g t h e a c c e l e r a t e d m a r c h t o independence,

"The

British

Civil

was

o n l y p o s s i b l e u n d e r a d i v e r s i f i e d s y s t e m of

Egypt and Britain on a p r o c e s s that w o u l d begin

Deng

Secretary

[Sir J a m e s R o b e r t s o n ] w a s p r e o c c u p i e d w i t h

What remained was the formal i m p l e m e n t a -

h o w to w i n t h e N o r t h e r n S u d a n e s e

intelli-

t i o n of t h e s t e p s o u t l i n e d in t h e 1 9 5 3 a g r e e -

gentsia a w a y f r o m the E g y p t i a n g o v e r n m e n t

ment between Britain and Egypt with north-

in the c o n t e s t b e t w e e n t h e t w o C o n d o m i n i u m

ern

p o w e r s . . . . R o b e r t s o n believed that safe-

country through self-rule to

guards for the South w e r e b o u n d to drive

T h e P a r l i a m e n t t h a t w a s e l e c t e d in 1 9 5 3 t o

N o r t h e r n S u d a n e s e p o l i t i c a l l e a d e r s o v e r to

d e t e r m i n e the c o u n t r y ' s f u t u r e d e c i d e d

Egypt which w a s craftily c h a m p i o n i n g the

A u g u s t 16 by a u n a n i m o u s v o t e t o c a r r y o u t

Northern Sudanese case for

the

unconditional

u n i t y of t h e t w o r e g i o n s of t h e S u d a n . " 1 2 W i t h t h e s i g n i n g of t h e A n g l o - E g y p t i a n

participation

requisite

steps

that

would

toward

guide

the

independence.

exercising

on the

r i g h t of s e l f - d e t e r m i n a t i o n . O n A u g u s t 2 9 a r e s o l u t i o n w a s p a s s e d f o r t h e h o l d i n g of a

A g r e e m e n t in 1 9 5 3 , s o u t h e r n p o l i t i c a l c o n -

nationwide plebiscite to ascertain the wishes

sciousness was aroused and the nationalist

of t h e S u d a n e s e p e o p l e . T h i s d e c i s i o n

m o v e m e n t f o r r e c o g n i t i o n b e g a n to t a k e o r -

quickly reversed. " T h e political parties real-

was

g a n i z e d f o r m in t h e r e g i o n . T h e g i s t of t h i s

ized that t h e o r g a n i z a t i o n of a p l e b i s c i t e in a

m o v e m e n t was that the South had not been

c o u n t r y as v a s t a n d d i v e r s i f i e d as t h e S u d a n

accorded

w i t h its l a r g e l y i l l i t e r a t e p o p u l a t i o n , in t h e

its

due

share

in

the

decision

p r o c e s s e s l e a d i n g t o s e l f - d e t e r m i n a t i o n ; that

south especially, would create m a n y

t h e c o n s t i t u t i o n a l s e t u p e n v i s a g e d f o r t h e in-

l e m s a n d s o l v e n o n e . M o r e o v e r , it w o u l d b e

prob-

dependent Sudan did not give due recogni-

v i r t u a l l y i m p o s s i b l e to c o n d u c t a p l e b i s c i t e

tion to the southern identity; that u n d e r the

in t h e s o u t h s i n c e t h e [ 1 9 5 5 ] m u t i n y

unitary system, the South would be politi-

c a u s e d a c o l l a p s e in t h e s e c u r i t y a n d a d m i n -

had

c a l l y s u b o r d i n a t e d to, a n d d o m i n a t e d by, t h e

istrative system."34

31. Stevenson, Cairo, to Foreign Office (FO), London, #80, 15 January 1953. Quoted in Bona Malwal, "Address to the Sudan Studies Association," pp. 5 - 6 . 32. Abel Alier, The Southern Sudan: Too Manx Agreements Dishonoured (Exeter: Ithaca Press, 1990), pp. 2 1 - 2 2 . 33. Niblock, Power and Class in the Sudan, p. 156. 34. Mohamed Omer Beshir, Revolution and Nationalism, p. 182.

Sudan:

The Challenge

of

Nationhood

W h e n t h e c r i t i c a l m o m e n t of a g r e e i n g o n the d e c l a r a t i o n of i n d e p e n d e n c e c a m e , the l e a d e r s of the nationalist m o v e m e n t " w o r k e d feverishly" over "the next few days," wrote M o h a m e d A h m e d M a h j o u b in his m e m o i r s , to p e r s u a d e the S o u t h to a c c e d e . " W e e n c o u n t e r e d s o m e d i f f i c u l t y in c o n v i n c i n g the S o u t h e r n e r s so w e i n s e r t e d a s p e c i a l r e s o l u tion to p l e a s e t h e m , p l e d g i n g that t h e C o n stituent A s s e m b l y w o u l d g i v e f u l l c o n s i d e r a tion to the c l a i m s of S o u t h e r n S u d a n e s e M e m b e r s of P a r l i a m e n t f o r a f e d e r a l g o v e r n m e n t f o r the three S o u t h e r n P r o v i n c e s . " 3 5 O n D e c e m b e r 19, 1955, t h e S u d a n e s e P a r l i a m e n t a d o p t e d a u n a n i m o u s r e s o l u t i o n in f a v o r of a d e c l a r a t i o n of i n d e p e n d e n c e , w h i c h b e c a m e e f f e c t i v e J a n u a r y 1, 1956. W h e t h e r M a h j o u b a n d his c o l l e a g u e s int e n d e d to lake this p l e d g e s e r i o u s l y or not c a n o n l y be j u d g e d f r o m the c u r s o r y r e f e r e n c e to it and the s u b s e q u e n t d i s m i s s a l of the southern claim without anything near a "full consideration."36 T h i s h i s t o r i c a l a c c o u n t of the c o n s t i t u tional d e v e l o p m e n t s l e a d i n g to the i n d e p e n d e n c e of the S u d a n as a unitary state is g i v e n in s o m e detail not to p r o v i d e c o n s t i t u t i o n a l j u s t i f i c a t i o n f o r the s o u t h e r n call f o r s e l f - d e t e r m i n a t i o n , but r a t h e r to s u b s t a n t i a t e t h e p o l i t i c i z a t i o n and c o n s o l i d a t i o n of the N o r t h S o u t h d i c h o t o m y and t h e m a r g i n a l i z a t i o n of t h e S o u t h f r o m the m a i n s t r e a m n a t i o n a l i s m

349

of t h e c o u n t r y , w h i c h c o n t i n u e s to b e t h e c o r e of s o u t h e r n g r i e v a n c e s a n d t h e r e a s o n for separatist tendencies a m o n g southerners. R a t h e r t h a n e n d e a v o r to w i n the S o u t h , n o r t h e r n p e r s p e c t i v e s on the S o u t h s i n c e ind e p e n d e n c e h a v e f o c u s e d on t h e s e p a r a t i s t p o l i c i e s of the British a n d e s p e c i a l l y the e n c o u r a g e m e n t of a s o u t h e r n identity b a s e d o n t r a d i t i o n a l tribal s y s t e m s c o m b i n e d w i t h t h e m o d e r n i n f l u e n c e of C h r i s t i a n i t y a n d W e s t ern c u l t u r e . C o n s e q u e n t l y , the r e m e d y of the N o r t h h a s p e r s i s t e n t l y been a i m e d at u n d o i n g this h i s t o r y t h r o u g h A r a b i z a t i o n a n d Isl a m i z a t i o n , in o r d e r to r e m o v e the C h r i s t i a n W e s t e r n i n f l u e n c e a n d to integrate the c o u n try a l o n g t h e lines of t h e n o r t h e r n m o d e l . 3 7 W h a t t h e y d o not r e a l i z e is that t r a d i t i o n a l i d e n t i t y and C h r i s t i a n W e s t e r n i n f l u e n c e h a v e c o m b i n e d to c o n s o l i d a t e and s t r e n g t h e n a m o d e r n s o u t h e r n i d e n t i t y of v i o l e n t r e s i s tance to I s l a m i z a t i o n and A r a b i z a t i o n . S i n c e the S o u t h is d e e m e d by the N o r t h to be a s p i r i t u a l v a c u u m to be f i l l e d by the u n i v e r s a l r e l i g i o n s , o n l y t h e c o m p e t i t i o n of the C h r i s t i a n West c o u l d o b s t r u c t t h e p r o g r e s s of I s l a m in that r e g i o n . T h e m a j o r p o l i t i c a l f o r c e s in the N o r t h are b a s i c a l l y a g r e e d o n the A r a b - I s l a m i c i d e n t i t y of t h e S u d a n a n d t h e n e e d to s p r e a d their m i s s i o n into B l a c k A f r i c a , b e g i n n i n g first w i t h t h e S o u t h . T h e y d i s a g r e e in t h e i r o p i n i o n s c o n c e r n i n g w h i c h of t h e m s h o u l d o c c u p y the

35. Mahjoub, Democracy on Trial, p. 57. 36. Khalid, The Government They Deserve, p. 2 3 1 . And as Tim N i b l o c k noted, "Southerners remained peripheral to the debate o v e r i n d e p e n d e n c e arrangements during 1 9 5 5 , e x c e p t w h e n their v o t e s w e r e n e e d e d in Parliament. S u c h attention as northern political parties did g i v e to southern Sudan, m o r e o v e r , w a s m o t i v a t e d by short-term political interest and o f t e n had destructive c o n s e q u e n c e s . P r o m i s e s w e r e m a d e by northern politicians in the course o f the 1953 e l e c t i o n s w h i c h bore little relation to what t h e s e politicians intended, or were able, to do," Power and Class, p. 2 1 5 . A f t e r r e v i e w i n g the constitutional and political d e v e l o p m e n t s l e a d i n g to the declaration o f i n d e p e n d e n c e , B o n a M a l w a l c o n c l u d e d : "We have g o n e into these lengths in quoting from the p r e - i n d e p e n d e n c e d o c u m e n t s in order to prove that the s o v e r e i g n state c a l l e d S u d a n is at best an i l l e g i t i m a t e c h i l d and at worst n o n - e x i s t e n t . G e o g r a p h i c a l S u d a n d o e s e x i s t — a s a p i e c e of real e s t a t e — B u t the nation c a l l e d S u d a n d o e s not," " A d d r e s s to the S u d a n S t u d i e s A s s o c i a t i o n , " p. 15. C o m m e n t i n g o n this e v e n t , a northern s c h o l a r has o b s e r v e d that "Sudan's declaration of i n d e p e n d e n c e , in the w o r d s of o n e of its authors, w a s thus a take-in: a fraudulent d o c u m e n t o b t a i n e d through f a l s e p r e t e n s e s and s u b t e r f u g e ; that d o e s n o h o n o u r to the northern political e s t a b l i s h m e n t . " 37. A s an Islamist scholar has o b s e r v e d , "For lkhwan [ M u s l i m Brotherhood], the South w a s p e r c e i v e d as a distant, v a g u e l y s y m b o l i c place. Like the rest of the e d u c a t e d [Northerners], lkhwan o n l y s a w in the S o u t h the alienated, lost brother, w h o had to be retrieved through the spread o f Islam, the A r a b i c l a n g u a g e and better c o m m u n i c a t i o n s , " A b d e l Wahab E l - A f f e n d i , Turahi's Revolution, p. 148.

350

c h a i r of p o w e r and the d e g r e e to w h i c h Islam s h o u l d a c c o m m o d a t e the n o n - M u s l i m s in a pluralistic s y s t e m . It is o f t e n a r g u e d , e s p e c i a l l y by the o p p o s i t i o n g r o u p s f r o m both the S o u t h and the N o r t h , that the r u l i n g I s l a m i s t s a r e a s m a l l , n a r r o w - b a s e d elite k e p t in p o w e r o n l y by m i l i t a r y d i c t a t o r s h i p . W h i l e t h e m i l i t a r y aspect of their rule m a k e s this a r g u m e n t s o m e t h i n g of a t r u i s m , it c a n a l s o be a r g u e d that the r e g i m e r e p r e s e n t s an e x t r e m e v e r s i o n of t h e I s l a m i c a g e n d a that all the p o l i t i c a l p a r ties h a v e p u r s u e d in v a r y i n g d e g r e e s . It is a l s o a fact that the political parties that h a v e w i e l d e d g r a s s r o o t s m a j o r i t y s u p p o r t h a v e dep e n d e d on their r e l i g i o u s l e a d e r s h i p and the loyalty o w e d t h e m on that b a s i s . It is w i d e l y r e c o g n i z e d that the o v e r w h e l m i n g m a j o r i t y of the S u d a n e s e , e v e n the s o - c a l l e d a n i m i s t s , a r e d e v o t e d l y r e l i g i o u s . W h i l e the S u f i orig i n s of S u d a n e s e I s l a m m a k e the p e o p l e liberal and tolerant of o t h e r b e l i e f s , this relig i o u s d e v o t i o n is c a p a b l e of b e i n g m a n i p u lated and m o b i l i z e d by political elites t o w a r d c o n s e r v a t i s m and i n t o l e r a n c e . G i v e n the t w o f a c t o r s , the c o n s e r v a t i s m of t r a d i t i o n a l sect a r i a n p a r t i e s a n d the p o t e n t i a l f o r m o l d i n g a n d d i r e c t i n g the religiosity of the S u d a n e s e masses, the Islamists, w h o advocate a synthesis between revivalism and modernity, s t a n d a g o o d c h a n c e of b u i l d i n g a b r o a d b a s e d c o n s t i t u e n c y in the M u s l i m c o m m u n i ties in the N o r t h . T h e f a c t that t h e y w a n t to build a m o d e r n state b a s e d on the v a l u e s and i n s t i t u t i o n s of I s l a m in o r d e r to o f f e r an alt e r n a t i v e to the f a i l e d m o d e l f r o m the West g i v e s their m e s s a g e a sense of o p t i m i s m that c o n t r a s t s s h a r p l y with the p e s s i m i s m b r e d by t h e c o n t i n u i n g c r i s e s and d i s i n t e g r a t i o n that h a v e c h a r a c t e r i z e d d e v e l o p m e n t s since indep e n d e n c e . W h a t is m o r e , the fact that the res i s t a n c e in t h e S o u t h is m i s c o n s t r u e d as a

Francis

M.

Deng

c r e a t i o n of the C h r i s t i a n West that t h r e a t e n s both Islam and A r a b i s m intensifies the perc e p t i o n of j i h a d as a w a r of s u r v i v a l , n o t only f o r t h e I s l a m i c m a j o r i t y , but, e v e n m o r e pertinently, f o r the A r a b m i n o r i t y , w h i c h sees itself as t h r e a t e n e d by the n o n - A r a b m a j o r i t y in the c o u n t r y . T h e A d d i s A b a b a A g r e e m e n t of 1972, w h i l e s e e m i n g l y u n i t i n g the c o u n t r y , a l s o app e a r s to h a v e h a d the e f f e c t of a r o u s i n g the f e a r s of the e x t r e m i s t s on b o t h s i d e s . It w a s p a r t i c u l a r l y p e r c e i v e d by the r i g h t - w i n g f a c t i o n s of A r a b i s m a n d I s l a m as a v i c t o r y f o r their adversaries—southern Christians and s e c u l a r i s t s — n o t to m e n t i o n m i l i t a r y d i c t a t o r ship. A n d , of c o u r s e , there w e r e s o u t h e r n e r s w h o saw the a g r e e m e n t as a virtual s u r r e n d e r and c h o s e to r e m a i n o u t s i d e the s e t t l e m e n t . M o h a m e d Beshir H a m i d c a p t u r e d the res p o n s e f r o m both sides w h e n he w r o t e : " D e spite i m p o r t a n t c o n c e s s i o n s f r o m t h e N o r t h ern p a r t i e s , t h e r e w a s still little c o m m o n ground. The Northerners, while offering s o m e r e g i o n a l d e v o l u t i o n of p o w e r , s t o p p e d short of f e d e r a t i o n ; the S o u t h e r n e r s , w h i l e a c c e p t i n g a u n i f i e d S u d a n , w a n t e d the l o o s est of c o n f e d e r a t i o n s . " 1 8 T h i s s t r u c t u r a l c o n f l i c t of i n t e r e s t s a n d the m a n n e r in w h i c h it u n d e r m i n e d w h a t m a n y in the S u d a n and a r o u n d the w o r l d s a w as N i m e i r i ' s and the c o u n t r y ' s g r e a t e s t a c c o m p l i s h m e n t is o u t l i n e d b y A b d e l W a h a b El-Affendi: "The Addis Ababa Agreement . . . b r o u g h t p e a c e a n d the e s t a b l i s h m e n t of the S o u t h e r n R e g i o n , and c a s t t h e M a y r e g i m e . . . in a m o r e f a v o u r a b l e light in t h e West, e s p e c i a l l y a f t e r his v i o l e n t b r e a k w i t h t h e c o m m u n i s t s the p r e v i o u s year. T h e s o u t h e r n e r s n o w actively s u p p o r t e d N i m e i r i , and in fact w e r e the m a i n p r o p of t h e r e g i m e . . . . T h e I s l a m i s t s and their a l l i e s w e r e v e r y s u s p i c i o u s a b o u t the A d d i s A b a b a A g r e e -

38. M o h a m e d B e s h i r H a m i d , "Confrontation and R e c o n c i l i a t i o n Within an African C o n t e x t : T h e C a s e o f S u d a n , " Third World Quarterly 5, no. 2 (April 1 9 8 3 ) , 3 2 0 - 3 2 9 , 3 2 2 . Peter W o o d w a r d v i e w e d the A d d i s A b a b a A g r e e m e n t as "dependent r e g i o n a l i s m " w h i c h w a s " d e s i g n e d to g i v e s u f f i c i e n t regional p o w e r s to a p p e a s e the South, w h i l e creating e n o u g h ties to band the region into the Sudan as a w h o l e . " U n d e r the s y s t e m , the North p r o v i d e d patronage to the South to support national unity. T h e S o u t h w a s thus attached to, rather than incorporated into, the national political system. The Unstable State, op. cit., pp. 1 4 2 - 1 4 6 .

Sudan: The Challenge of Nationhood

m e n t , a n d w e r e c e r t a i n that it h a d s e c r e t c l a u s e s of an a n t i - I s l a m i c c h a r a c t e r . " 3 9 A c c o r d i n g to E l - A f f e n d i , a s e r i o u s d e b a t e e n s u e d a m o n g t h e I s l a m i s t s a b o u t all o w i n g the S o u t h to s e c e d e if that w a s n e c e s sary f o r the s e t t i n g u p of an I s l a m i c state in Sudan. The debate had begun when a prog r a m p r o p o s e d b y t h e M u s l i m B r o t h e r s in 1974 f o r the f o r m a t i o n of a b r o a d I s l a m i c org a n i z a t i o n g r o u p i n g all m a j o r p o l i t i c a l p a r ties in the S u d a n a p p e a r e d to e x c l u d e s o u t h ern p a r t i c i p a t i o n . In f a c t , the call f o r a u n i t e d M u s l i m f r o n t w a s j u s t i f i e d by t h e B r o t h e r s on the g r o u n d s of the n e e d to m e e t " t h e n e w c h a l l e n g e of the S o u t h w h i c h d e m a n d e d f r o m the N o r t h unity in d e f e n c e of its intere s t s and its c u l t u r a l i d e n t i t y a g a i n s t the [ C h r i s t i a n ] m i s s i o n a r y , i m p e r i a l i s t , racist m o n s t e r . " 4 0 T h e M u s l i m B r o t h e r s , w h o put f o r w a r d the p r o p o s a l to u n i t e t h e m a j o r p o litical p a r t i e s — U m m a Party, D e m o c r a t i c U n i o n i s t Party, and their o w n I s l a m i c C h a r ter F r o n t — i n t o a u n i t e d f r o n t b a s e d on I s l a m , w e r e a w a r e of the c h a r g e that " a n y ass o c i a t i o n b a s e d on I s l a m a u t o m a t i c a l l y e x cludes non-Muslim citizens."41 Nimeiri was faced with a d i l e m m a . On the o n e h a n d , he n e e d e d t h e S o u t h , w h i c h w a s p r o v i n g to be his m a i n s o u r c e of s e c u rity. O n the o t h e r h a n d , he c o n t i n u e d to be t h r e a t e n e d by the rightist, m o s t l y I s l a m i c o p position g r o u p s . He c h o s e the latter and e m b r a c e d the I s l a m i c a g e n d a , w h i c h e v e n t u a l l y led to the rise of the I s l a m i s t s to the s u m m i t of power. It is n o w w i d e l y a c c e p t e d that their s e i z u r e of p o w e r o n J u n e 30, 1989, w a s p r o m p t e d by t h e p r o s p e c t s of an i m m i n e n t agreement between the g o v e r n m e n t and the S P L M / S P L A that w o u l d h a v e c o m p r o m i s e d the I s l a m i c a g e n d a . Unless the regime wins the war militarily in t h e S o u t h , w h i c h is n o t i n c o n c e i v a b l e but is a l s o m o s t u n l i k e l y , at least in a d e c i sive m a n n e r that can b r i n g p e a c e and stability to the r e g i o n , t h e c o n s o l i d a t i o n of t h e

39. no. 40. 41.

351

I s l a m i c a g e n d a in t h e c o u n t r y is l i k e l y to c o n t i n u e to b e a s o u r c e of d i s u n i t y w i t h at least t h e W e s t e r n i z e d p o l i t i c a l e l i t e s in t h e S o u t h . It s h o u l d a l s o be a d d e d that e v e n the s o - c a l l e d A n i m i s t s in t h e S o u t h are likely to resist an I s l a m i z a t i o n that is also a s s o c i a t e d w i t h A r a b c u l t u r a l a s s i m i l a t i o n , as, i n d e e d , they h a v e also d o n e in the past. In this r e s p e c t , t h e s e c t a r i a n p o l i t i c a l parties have been m o r e c o m p r o m i s i n g than t h e I s l a m i s t s w h o are n o w in p o w e r in all i a n c e w i t h t h e m i l i t a r y . A n d f o r the s a m e r e a s o n s , t h e s e p a r t i e s w e r e p e r c e i v e d by the I s l a m i s t s to be i n d e c i s i v e a n d w e a k in the p r o m o t i o n of the I s l a m i c a g e n d a . O n the o t h e r h a n d , the I s l a m i s t p o l i c i e s of the r e g i m e h a v e w i d e n e d the c l e a v a g e with t h e S P L M / S P L A , s e v e r e l y p o l i t i c i z e d relig i o n , and t r i g g e r e d a d i v i s i v e n e s s that is beg i n n i n g to r e a c t i v a t e c a l l s f o r s e p a r a t i o n in the S o u t h , e v e n w i t h i n the S P L M / S P L A , w h i c h had been c o m m i t t e d to unity. S i n c e the v a r i o u s m o v e m e n t s that h a v e c o m e and g o n e in the S o u t h h a v e c o n s i s t e n t l y c a l l e d f o r s e c e s s i o n f r o m the N o r t h , a n d it is w i d e l y r e c o g n i z e d that the o v e r w h e l m i n g m a j o r i t y of the s o u t h e r n e r s w o u l d opt f o r s e p a r a t i o n , the s t a t e d g o a l of the S P L M / S P L A — w h i c h a i m s at p r e s e r v i n g the u n i t y of the c o u n t r y by c r e a t i n g a " n e w S u d a n " l i b e r a t e d f r o m any d i s c r i m i n a t i o n b a s e d on race, ethnicity, r e l i g i o n , c u l t u r e , or g e n d e r — h a s b e e n p e r c e i v e d as i n c o n g r u o u s . A l t h o u g h it is not e n t i r e l y i n c o n c e i v a b l e that liberal p o l i t i c a l f o r c e s in t h e N o r t h , e s p e cially the n o n - A r a b e l e m e n t s , c o u l d in the l o n g run ally t h e m s e l v e s w i t h the S o u t h to b r i n g a b o u t s u c h a c h a n g e . E v e n t h o u g h the m o v e m e n t m i g h t i n d e e d h a v e c o m e to bel i e v e that this m i g h t be i m m i n e n t w h e n it w a s m i l i t a r i l y s t r o n g in t h e f i e l d , it is n o w w i d e l y r e c o g n i z e d that t h e o b j e c t i v e of the S P L M / S P L A is u n a t t a i n a b l e in the short run. T h e t e n d e n c y , t h e r e f o r e , is e i t h e r to s e e t h e l e a d e r s of the m o v e m e n t as c a l l o u s w a r l o r d s

El-Affendi, "Discovering the South: Sudanese Dilemmas for Islam in Africa," African Affairs 89, 358 (July 1990): 371-389; 378. Ibid. Ibid.

352

Francis M.

w h o s i m p l y w a n t to p r o s e c u t e a n e n d l e s s w a r

Deng

t o t a l c o n t r o l of p o w e r , [ h a s ] g o n e o u t of [its]

or to s u s p e c t that they m u s t h a v e a h i d d e n

w a y s y s t e m a t i c a l l y and intentionally to de-

separatist agenda.

stroy another ethnic group," he

T h e t r u t h p r o b a b l y l i e s s o m e w h e r e in-

concludes

t h a t t h e c o s t of t h e w a r in t e r m s o f i n n o c e n t

b e t w e e n . A l t h o u g h s e p a r a t i o n w o u l d be the

l i v e s lost " w i t h o u t t a k i n g i n t o a c c o u n t a n y of

f i r s t c h o i c e of m o s t s o u t h e r n e r s , it is o b v i o u s

the political issues, w o u l d a l o n e j u s t i f y the

that s e p a r a t i s m d o e s n o t r e s o n a t e w e l l w o r l d -

c u r r e n t c a l l by t h e S o u t h f o r s e l f - d e t e r m i n a -

w i d e , a n d e s p e c i a l l y in A f r i c a . T h e S P L M /

tion."43 With this seemingly

SPLA

p o l a r i z a t i o n of t h e n a t i o n , t h e c o n f l i c t h a s

leadership

obviously

realized

that

unbridgeable

f i g h t i n g f o r j u s t i c e or e q u a l i t y is m o r e l i k e l y

decisively

to w i n s y m p a t h y a n d s u p p o r t t h a n c a l l i n g f o r

d i s t r i b u t i o n a l d e m a n d s to a

s h i f t e d f r o m o n e of

negotiable

s e c e s s i o n . In t h e i r c a l c u l a t i o n , e v e n t h e s e p -

c o n t e s t f o r t h e i d e n t i t y of t h e n a t i o n .

nonnegotiable

a r a t i s t s s t a n d a b e t t e r c h a n c e of a c h i e v i n g t h e i r o b j e c t i v e s w i t h i n t h e f r a m e w o r k of e q -

Identity

uitable unity, cooperating with those moti-

Identity involves how people define them-

v a t e d b y t h e p r o s p e c t s of a n a t i o n a l a l l i a n c e

s e l v e s a n d a r e d e f i n e d by o t h e r s o n t h e b a s i s

b e h i n d t h e g o a l of a n e w d e m o c r a t i c , s e c u l a r ,

of r a c e , e t h n i c i t y , c u l t u r e , l a n g u a g e , a n d reli-

and

g i o n . In s i t u a t i o n s w h e r e t h e n a t i o n o r t h e

pluralistic

Sudan.

It w o u l d

therefore

s e e m t h a t t h e S P L M / S P L A — o r at l e a s t its

country

l e a d e r s h i p — i s f o l l o w i n g , within the unitary

r a c i a l , e t h n i c , c u l t u r a l , or r e l i g i o u s i d e n t i t y

f r a m e w o r k , a m u l t i f a c e t e d p o l i c y that d o e s

of a d o m i n a n t g r o u p , w h e t h e r a m a j o r i t y or

not e x c l u d e , a n d p r o b a b l y e v e n p r e f e r s , s e p -

a ruling minority, these factors b e c o m e bases

a r a t i o n as t h e u l t i m a t e g o a l .

for discrimination. Although

is d e f i n e d

with

reference

to

the

constitutional

T h e s t a t e d ideal of a n e w u n i t e d d e m o c -

p r o v i s i o n s a n d o t h e r legal i n s t r u m e n t s m i g h t

r a t i c S u d a n is n o w b e i n g c h a l l e n g e d b y e l e -

p r o h i b i t d i s c r i m i n a t i o n , s o l o n g as t h e f r a m e -

m e n t s of a f a c t i o n t h a t b r o k e a w a y f r o m t h e

w o r k is d e f i n e d in t e r m s that e x c l u d e , s u b o r -

mainstream

1991.

d i n a t e , o r m a r g i n a l i z e t h o s e w h o d o n o t fit

T h e s e i n t e r n a l r e b e l s , t h o u g h m o t i v a t e d by

t h e d e f i n i t i o n of t h e n a t i o n , d i s c r i m i n a t i o n

personal

b e c o m e s inherent.

movement

rivalries

and

in

August

ambitions,

call

for

self-determination and separation. However,

As the Sudan

is c u r r e n t l y

defined

in

t h e m a i n s t r e a m of t h e S P L M still h o l d s t o

t e r m s that c o n n o t e r a c e , e t h n i c i t y , c u l t u r e , or

the d e l i c a t e balance b e t w e e n the h i g h e r chal-

r e l i g i o n , t h e r e is n o w a y d i s c r i m i n a t i o n c a n

lenge of unity and the m o r e p o p u l a r aspira-

b e a v o i d e d . A r a b i s m , d e f i n e d in r a c i a l a n d

tion for s e l f - d e t e r m i n a t i o n . A southern intel-

cultural

l e c t u a l - p o l i t i c i a n a r t i c u l a t e d w h a t is a w i d e l y

shah'a,

shared

terms,

and

Islam,

crystallized

in

w h i c h , in I s l a m i c d o c t r i n e , is a c o m -

southerners

p r e h e n s i v e w a y of l i f e e m b r a c i n g p u b l i c a n d

w h e n h e w r o t e , " I t is . . . n o t i m p o s s i b l e to

private d o m a i n s , are clearly the d o m i n a n t el-

m o v e b e y o n d a traumatic past and look for-

e m e n t s . W h i l e a person can be c o n v e r t e d to

w a r d to a m o r e j u s t f u t u r e , if t h e c a u s e s of

Islam

the evil acts which have been d o n e are ex-

speaking the Arabic language and adopting

plainable, . . . d e f e n s i b l e [and c o r r e c t e d ] . " 4 2

A r a b culture, one cannot be fully equal as an

D e s c r i b i n g t h e w a r in t h e S o u t h as " a w a r of

A r a b without genetic or genealogical claims

g e n o c i d e , w h e r e o n e r a c e o r e t h n i c g r o u p , in

that are visibly authentic.

point

of

view

among

and

assimilated

into

Arabism

by

42. Bona Malwal, "Address to the Sudan Studies Association," p. 1. 43. Ibid. It is worth noting that the Nilotics of Southern Sudan are among the minorities at risk of victimization, according to the global survey conducted by Ted Robert Gurr and James R. Scaritti, " M i norities' Rights at Risk: A Global Survey," Human Rights Quarterly 11 (August 1989): 3 7 5 ^ 0 5 . See also Ted Robert Gurr, "Theories of Political Violence and Revolution in the Third World." in Deng and Zartman, Conflict Resolution in Africa, p. 154.

Sudan: The Challenge of Nationhood I d e n t i t y is b a s i c a l l y a s u b j e c t i v e c o n c e p t ; it is what p e o p l e perceive t h e m s e l v e s to b e that p r i n c i p a l l y e s t a b l i s h e s w h o or w h a t t h e y are. S e c o n d , an i m p o r t a n t e l e m e n t of s u c h s u b j e c t i v e identification, i n s o f a r as ethn i c identity is c o n c e r n e d , is b l o o d - r e l a t e d ; in t h e S u d a n , this associates the concept of Arab i s m with r a c e . T h i r d , r e c o g n i z i n g identity ( i n c l u d i n g its b l o o d or racial c o m p o n e n t ) as s u b j e c t i v e d o e s not m e a n that it c a n n o t be c h a l l e n g e d by o b j e c t i v e f a c t s or criteria. F o u r t h , if an e x c l u s i v e identity conflicts with t h e r e q u i r e m e n t s of national unity in a f r a m e w o r k of d i v e r s e identities, then a need arises either to r e m o v e the divisive e l e m e n t s a n d r e d e f i n e national identity to be all-inclus i v e , or the d i v e r s e parts s h o u l d be a l l o w e d to g o their separate w a y s . T h e S u d a n e s e case u n d e r s c o r e s the fact that the c o n f l i c t in the c o u n t r y is e s s e n t i a l l y a m a n i f e s t a t i o n of an a c u t e crisis of a n a t i o n a l identity b a s e d on ethnicity and religion. Ethnicity usually implies that the ethnic g r o u p is, in large part, b i o l o g i c a l l y selfp e r p e t u a t i n g , shares f u n d a m e n t a l values, realized in overt unity in cultural forms; m a k e s u p a field of c o m m u n i c a t i o n and interaction; a n d has a m e m b e r s h i p that i d e n t i f i e s itself, a n d is identified by o t h e r s , as c o n s t i t u t i n g a c a t e g o r y d i s t i n g u i s h a b l e f r o m o t h e r categories of the s a m e order. 4 4 T h e s e e l e m e n t s of the d e f i n i t i o n support "the traditional p r o p o sition that a race = a c u l t u r e = a l a n g u a g e , and that a society = a unit that rejects or disc r i m i n a t e s against o t h e r s . " 4 i W h i l e t h e s e criteria are a c c e p t e d as obj e c t i v e i n d i c a t o r s , the g e n e r a l t e n d e n c y a m o n g scholars is to r e c o g n i z e s e l f - i d e n t i f i c a t i o n with a p a r t i c u l a r g r o u p as the crucial d e t e r m i n a n t of identity. A s C r a w f o r d Young put it, "in the final analysis, identity is a subj e c t i v e , individual p h e n o m e n o n ; it is s h a p e d

353 t h r o u g h a c o n s t a n t l y r e c u r r e n t q u e s t i o n to ego, ' W h o am I?' with its corollary, ' W h o is h e ? ' G e n e r a l i z e d to the collectivity, these bec o m e ' W h o are w e ? ' and ' W h o are t h e y ? ' " 4 6 Y o u n g q u a l i f i e s that " s u b j e c t i v e identity itself is a f f e c t e d by the labels applied by others." 4 7 T h e s e labels m a y b e c o m e internalized and a c c e p t e d as part of the s u b j e c t i v e sense of self. T h e m a i n point is that " A l t h o u g h identity is subjective, multiple, and situationally fluid, it is not infinitely elastic. Cultural p r o p e r t i e s of the individual d o constrain the p o s s i b l e range of c h o i c e of social identities. Physical a p p e a r a n c e is the most indelible attribute; w h e r e skin p i g m e n t a t i o n s e r v e s to segment c o m m u n i t i e s , only a h a n d f u l of persons at the c o l o r m a r g i n s m a y be p e r m i t t e d any c h o i c e of identity on racial lines." 4 8 In the A f r i c a n c o n t e x t , the politics of identity o f t e n clash with the d e m a n d s of s t a t e c r a f t and n a t i o n b u i l d i n g . On the o n e hand, individual and g r o u p identities pervasively rotate a r o u n d such d e s c e n t - o r i e n t e d institutions as the family, the clan (Somalia), the tribe or e t h n i c i t y ( m o s t A f r i c a n c o u n tries), l a n g u a g e , and their r e g i o n a l a f f i l i a tions (Ethiopia, Nigeria, Sudan). On the other h a n d , f o r g i n g national unity r e q u i r e s trans c e n d i n g these c o n c e p t s and d e v e l o p i n g an o v e r a r c h i n g f r a m e w o r k . T h e crisis of national identity m a y e m a n a t e f r o m the conflict b e t w e e n the s u b j e c t i v e and the o b j e c t i v e ele m e n t s of identity, or f r o m the t e n d e n c y of d o m i n a n t , h e g e m o n i c g r o u p s to impose their identity as the f r a m e w o r k f o r the nation, thereby p r o v i d i n g a basis f o r discrimination. T h e m y t h s of superiority associated with the d o m i n a n c e of h e g e m o n i c g r o u p s nearly a l w a y s run against the subjective self-esteem and d e f e n s i v e s e l f - a s s e r t i v e n e s s of disadvantaged minorities or politically weaker groups, w h i c h , as the e x a m p l e s of S o u t h A f r i c a ,

44. Frederick Barth, ed., Ethnic Groups and Boundaries: The Social Organization of Culture Differences (Boston: Little, Brown, and Company, 1969), pp. 10-11. 45. Ibid. 46. Crawford Young. The Politics of Cultural Pluralism (Madison: University of Wisconsin Press, 1970), p. 20. 47. Ibid., p. 43. 48. Ibid.

354

Francis M.

Deng

B u r u n d i - R w a n d a , and the Sudan show, could

T h e l a r g e r t h e g a p in t h e p a r t i c i p a t i o n a l

be t h e m a j o r i t y . S t u d i e s of r e l a t i v e l y i s o l a t e d

and distributional patterns b a s e d on racially,

s o c i e t i e s i n d i c a t e t h a t v i r t u a l l y all

groups

ethnically, or religiously d e t e r m i n e d f o r m s

a n d i n d i v i d u a l s in t h e i r o w n s p e c i f i c c u l t u r a l

of i d e n t i t y , t h e m o r e l i k e l y t h e b r e a k d o w n of

c o n t e x t s n o t o n l y d e m a n d r e s p e c t as h u m a n

c i v i l o r d e r a n d t h e c o n v e r s i o n of p o l i t i c a l

b e i n g s , b u t e t h n o c e n t r i c a l l y a s s u m e that t h e y

confrontation into violent conflict. T h e ob-

r e p r e s e n t t h e i d e a l m o d e l . T h i s is p a r t i c u l a r l y

j e c t i v e s m a y v a r y in d e g r e e f r o m a d e m a n d

illustrated

Sudan,

f o r a u t o n o m y to a m a j o r r e s t r u c t u r i n g of t h e

D i n k a and Nuer, w h o are a m o n g the least

national f r a m e w o r k either to be " c a p t u r e d "

by

the

Nilotics

of t h e

touched by m o d e r n i z a t i o n and yet

remain

by t h e d e m a n d - m a k i n g g r o u p o r to b e m o r e

a m o n g t h e m o s t e t h n o c e n t r i c p e o p l e s in t h e

equitably reshaped. W h e n the conflict esca-

w o r l d . E t h n o c e n t r i s m e s s e n t i a l l y m e a n s that

l a t e s i n t o a c o n t e s t f o r t h e " s o u l " or t h e i d e n -

" O n e ' s o w n g r o u p is t h e c e n t e r of e v e r y t h i n g

tity of t h e n a t i o n , it t u r n s i n t o an i n t r a c t a b l e

a n d all o t h e r s a r e s c a l e d a n d r a t e d w i t h r e f -

"zero-sum"

e r e n c e t o it. F o l k w a y s c o r r e s p o n d t o it to

negotiable demands.

confrontation,

involving

non-

c o v e r both the inner and the outer relation.

In t h e S u d a n , a n y c l a i m by n o r t h e r n S u -

E a c h g r o u p n o u r i s h e s its o w n p r i d e a n d v a n -

d a n e s e to A r a b o r i g i n s c a n o n l y b e v a l i d f o r

ity, b o a s t s i t s e l f s u p e r i o r , e x a l t s its o w n di-

a

vinities, and looks with c o n t e m p t on

out-

t h r o u g h p u t a t i v e A r a b g e n e a l o g i e s is o n e of

s i d e r s . E a c h g r o u p t h i n k s its o w n f o l k w a y s

the factors for the o v e r w h e l m i n g identifica-

t h e o n l y r i g h t o n e s , a n d if it o b s e r v e s t h a t

t i o n of t h e N o r t h a n d t h e c o u n t r y as a w h o l e

negligible

few. And

yet,

blood

traced

other groups have other f o l k w a y s , these ex-

w i t h A r a b i s m , a n d , it m u s t b e a d d e d , o n e of

c i t e its s c o r n . "

the m a j o r reasons for the conflict with the

T h e c o n t r a v e n t i o n of t h a t s e n s e of d i g -

South and b e t w e e n the g o v e r n m e n t and the

nity, w h e t h e r t h r o u g h m a t e r i a l d e p r i v a t i o n o r

non-Arab elements

s o c i a l d i s d a i n , c r e a t e s t h e k i n d of z e r o - s u m

A f r i c a n countries, identities are based

c o n f l i c t s that a r e d i f f i c u l t to n e g o t i a t e p e a c e -

distinctions within a broadly encompassing

fully. Although

r a c i a l o r e t h n i c c a t e g o r i z a t i o n as A f r i c a n s .

the

subjective

factor

be-

in t h e N o r t h . In

most on

c o m e s p i v o t a l in s u c h c o n f l i c t s , h u m a n d i g -

Such distinctions are nonetheless g r o u n d s for

nity

t e n s i o n a n d c o n f l i c t , as B u r u n d i ,

is

not

an

empty

slogan;

it c a n

be

Rwanda,

operationally or functionally translated into a

S o m a l i a , a n d a h o s t of o t h e r c o u n t r i e s t e s t i f y ,

quest for recognition and respect for human

y e t t h e y d o n o t p o s e t h e s a m e i s s u e s of r a c e

b e i n g s , b o t h as i n d i v i d u a l s a n d a s m e m b e r s

a n d e t h n i c i t y as t h e s y s t e m of a p a r t h e i d in

of i d e n t i f i a b l e g r o u p s ; a d e m a n d f o r f r e e d o m

S o u t h A f r i c a o r t h e s i t u a t i o n in t h e S u d a n . 4 9

f r o m d o m i n a t i o n ; e q u i t a b l e p a r t i c i p a t i o n in

A c c o r d i n g to N e l s e n K a s f i r , w r i t i n g o n

political, e c o n o m i c , social, and cultural life;

t h e S u d a n , e t h n i c i t y " e n c o m p a s s e s all f o r m s

a n d a f a i r s h a r e in t h e d i s t r i b u t i o n of n a t i o n a l

of i d e n t i t y t h a t h a v e at t h e i r r o o t t h e n o t i o n

wealth, services, e m p l o y m e n t opportunities,

of

and resources for development.

t r i b e . " 3 0 K a s f i r g o e s e v e n f u r t h e r in s t r e t c h -

a

common

ancestor-race

as

well

as

49. Northern Sudanese intellectuals generally argue that while Arabism is a nationalist concept in the sense that there is indeed a notion of Arab nation, Africanism is merely a geographical concept without a nationalist fervor. Agreeing with this line of argument, I. William Zartman asserts that "there is an Arab nation but there is no African nation." He, however, concedes that "The distinction is a question of degree. The term African as a regional identity term is certainly used, so that there is some kind of identity involved, but it is not as structured and not as widespread as in the term Arab nation," Zartman, "The Geopolitics and Ideopolitics of Identity," op. cit., p. 3. In the Sudan, however, where Arabism stands in confrontation with Africanism, the latter is acquiring a nationalistic connotation. 50. Nelsen Kasfir, "Peacemaking and Social Cleavages in Sudan," in Joseph V. Montville, Conflict and Peacemaking in Multiethnic Societies (Lexington, Mass.: D. C. Heath and Company, Toronto: Lexington Books, 1990), pp. 3 6 5 - 3 6 6 .

Sudan: The Challenge of

Nationhood

355

i n g t h e c o n c e p t of e t h n i c i t y b y l i n k i n g r e l i -

If t h e f o c u s is o n t h e c o n c e p t o f a c o l -

g i o n and region, with ancestor-race and eth-

l e c t i v e n a t i o n a l i d e n t i t y , a n d if a s e n s e of

nicity.''1

common

Although

he

concedes

that

the

identity

is o n l y

possible

if

the

c h o i c e " d e p e n d s on the particular situation,

r u l e r s a n d t h e p e o p l e f e e l that t h e y a r e b o u n d

not m e r e l y on the i n d i v i d u a l ' s p r e f e r e n c e , "

t o g e t h e r in a s s o c i a t i o n , t h e n e x t q u e s t i o n is

K a s f i r c o n c l u d e s with an e m p h a s i s on per-

w h a t t h e c o m m o n a s s o c i a t i o n is o r c a n b e . 5 4

sonal choice: "Though objective ethnic char-

A b s t r a c t i o n s like the nation, not s u p p o r t e d

a c t e r i s t i c s ( r a c e , l a n g u a g e , c u l t u r e , p l a c e of

by the c o n c r e t e factors that consolidate the

birth) usually provide the possible

s e n s e of i d e n t i t y , a r e u n l i k e l y to d o t h e t r i c k .

limits,

s u b j e c t i v e p e r c e p t i o n of e i t h e r t h e i d e n t i t i e s

One must therefore search for a basis

or the identified—whether objectively accu-

identity that can e f f e c t i v e l y b r i d g e the g a p

r a t e o r n o t — m a y t u r n o u t to b e d e c i s i v e f o r

b e t w e e n the mutually hostile ethnic or sub-

of

t h e social s i t u a t i o n . " 5 2 S i n c e the s u b j e c t i v e

national sentiments and the postulated more

f a c t o r i m p l i e s a s s u m p t i o n s of a c c u r a c y a b o u t

conciliatory loyalty to the nation.

objective indicators, Kasfir's analysis leaves

A r a b i s m and I s l a m c a n n o t be a c c e p t a b l e to

Clearly,

o n e w o n d e r i n g w h e r e he places the northern

t h e S o u t h a n d s i g n i f i c a n t p a r t s of t h e N o r t h

S u d a n e s e c l a i m to b e A r a b , b a l a n c i n g t h e a s -

as bases for the national identity. A n d

s e r t i o n that p e r s o n a l c h o i c e is t h e c r u c i a l cri-

both are central to the northern elite's self-

t e r i o n w i t h t h e r e c o g n i t i o n that t h e r e a r e lim-

p e r c e p t i o n . A t t e m p t s at r e s o l v i n g this d i l e m m a

its. In a p u r e l y i s o l a t e d s u b j e c t i v e w o r l d , this

have c e n t e r e d on a flexible and potentially

m a y n o t m a t t e r m u c h ; b u t in t h e c o n t e x t of a

a c c o m m o d a t i n g i n t e r p r e t a t i o n of A r a b i s m as

q u e s t f o r national unity, s u b j e c t i v e idiosyn-

a cultural, and not a racial,

c r a c i e s about identity that d o not m a t c h the

M u c h that has been written on this s u b j e c t ,

f a c t s but also divide the nation without ob-

especially by northern writers, reflects more

j e c t i v e j u s t i f i c a t i o n b e c o m e legitimate tar-

an i n t e l l e c t u a l a c r o b a t i c p r o m o t i o n of t h e p o -

gets for scrutiny. b e A r a b s a r e p r e s e n t e d as d o i n g s o o n t h e b a s i s n o t of t h e o b v i o u s g r o u n d s of r a c e , b l o o d , o r c o l o r , w h i c h , t h o u g h i n v o k e d in of

Arabism,

are

untenable,

but

r a t h e r on t h e m o r e p l a u s i b l e g r o u n d s of c u l ture,

language,

and

Islam, which,

in

the

S u d a n , a r e a s s o c i a t e d w i t h A r a b i s m as b o t h a racial and a cultural concept. lying

phenomenon.

l i t i c a l o b j e c t i v e s of n o r t h e r n i d e n t i t y t h a n a

T h u s , n o r t h e r n S u d a n e s e w h o c l a i m to

support

yet

differentiating

53

The under-

sentiments

of

race,

dispassionate

analysis

of

the

competing

m o d e l s . T h e n o r t h e r n p r e d i s p o s i t i o n is t o s e e t h e c o n c e p t of " A r a b i s m " as p r i m a r i l y c u l tural and nonracial, a classic t h o u g h controversial

interpretation

t h a t , in e s s e n c e ,

at-

t e m p t s to r e c o n c i l e t h e c o n t r a d i c t i o n s in t h e h i s t o r i c a l e x p e r i e n c e of t h e A r a b w o r l d as ref l e c t e d in c o n t e m p o r a r y c o n d i t i o n s a n d e s p e c i a l l y in its i n t e r a c t i o n w i t h t h e

non-Arab

world.

which breed contemptuous pride, prejudice,

Lloyd Binagi attributes the A r a b s ' view

and discrimination, are thereby c o v e r e d up,

of t h e i r i d e n t i t y t o t h e s u c c e s s of t h e i r p o l i c y

e v a d e d , and exonerated by benign dismissal

of a s s i m i l a t i o n t h r o u g h c o n q u e s t , c o n v e r s i o n

or neglect.

to I s l a m , t h e s p r e a d of t h e A r a b i c l a n g u a g e ,

51. Kasfir, "Peacemaking and Social Cleavages in Sudan," pp. 3 6 5 - 3 6 6 . 5 2 . I b i d . , pp. 3 4 0 ; 3 6 6 . A s P e t e r W o o d w a r d has a r g u e d , " A l t h o u g h there m a y be c o n s i d e r a b l e p l a s t i c i t y in identity, it is not s o m e t h i n g that is e n t i r e l y m a l l e a b l e , " Sudan: The Unstable State ( B o u l d e r : Lynne R i e n n e r P u b l i s h e r s , and L o n d o n : L e s t e r C o o k A c a d e m i c P u b l i s h i n g , 1 9 9 0 ) , p. 7. 53. For a comparison between Black African countries where Islam is divorced from Arabism as an ethnic and cultural concept and North African Muslim countries where Islam is tied to Arabism, see Omari H. K o k o l e , "The Islamic Factor in A f r i c a n - A r a b Relations," Third World Quarterly 6, no. 3 (July 1984): 6 8 7 - 7 0 2 . 54. Pye, "Identity" in Crises and Sequence of Political Development, p. 110.

356

Francis M.

and intermarriage.55 A c c o r d i n g to R a p h a e l P a t a i , t h e t e r m Arab

in t h e p o s t - I s l a m i c p e -

r i o d " c a m e t o d e n o t e all t h e p e o p l e s

who,

Deng

Generally, the racial a n o m a l i e s of northe r n i d e n t i t y , t h e i d e n t i t y c r i s i s i m p l i c i t in t h e p l u r a l i s m of t h e n a t i o n - s t a t e , a n d t h e r a c i a l

after h a v i n g been c o n v e r t e d to Islam, g a v e

o v e r t o n e s of t h e A r a b a t t i t u d e t o w a r d

up their ancestral

m o r e n e g r o i d A f r i c a n s , p a r t i c u l a r l y in t h e

languages

and

adopted

the

A r a b i c i n s t e a d . " 5 6 T h e e v i d e n c e of t h i s h i s -

S o u t h , all c o m b i n e to m a k e t h e c u l t u r a l c o n -

torical assimilation provides the basis for an

c e p t of A r a b i s m

a r g u m e n t t h a t a n y o n e c a n b e c o m e an A r a b

northern Sudanese politicians, intellectuals,

simply by a d o p t i n g A r a b culture,

a n d e v e n s c h o l a r s . In h i s s t a t e m e n t to t h e

speaking

particularly

appealing

to

A r a b i c , a n d , p r e f e r a b l y , c o n v e r t i n g to I s l a m .

1965 R o u n d T a b l e C o n f e r e n c e o n t h e p r o b -

A widely accepted

Arab

l e m of t h e S o u t h , P r i m e M i n i s t e r S i n ' El K h a -

speak

t i m El K h a l i f a o b s e r v e d : " G e n t l e m e n : A r a -

d e f i n i t i o n in t h e

w o r l d is t h a t " A r a b s a r e t h o s e w h o

A r a b i c , a r e b r o u g h t u p in A r a b c u l t u r e , l i v e

bism,

in a n A r a b c o u n t r y , b e l i e v e in M o h a m m e d ' s

m a j o r i t y of t h e p o p u l a t i o n of this c o u n t r y a n d

which

is

a

basic

attribute

of

the

t e a c h i n g s , c h e r i s h t h e m e m o r y of t h e A r a b

of m a n y A f r i c a n c o u n t r i e s b e s i d e s , is n o t a

empire.'"57 As Binagi says, this d e f i n i t i o n ,

racial c o n c e p t w h i c h u n i t e s t h e m e m b e r s of a

" l i k e that of t h e A r a b L e a g u e , w h i c h d e f i n e d

c e r t a i n racial g r o u p . It is a l i n g u i s t i c , c u l t u r a l

an A r a b as ' H e w h o l i v e s in o u r

country,

a n d n o n - r a c i a l link t h a t b i n d s t o g e t h e r n u -

s p e a k s o u r l a n g u a g e , is b r o u g h t u p in o u r

m e r o u s races, black, white and b r o w n . Had

c u l t u r e , a n d t a k e s p r i d e in o u r g l o r y ' . . . is

A r a b i s m been anything else but this, most

problematic and obviously questionable."

m o d e r n A r a b s , w h e t h e r A f r i c a n o r A s i a n , in-

T h i s p r o b l e m a t i c d e f i n i t i o n is o f t e n a p p l i e d w i t h little s e n s i t i v i t y to w h a t it m e a n s

c l u d i n g t h e e n t i r e p o p u l a t i o n of t h e N o r t h e r n S u d a n , w o u l d c e a s e to b e ' A r a b ' at a l l . " 5 9

for the f e l l o w S u d a n e s e w h o are not A r a b

Muddathir

a n d f o r w h o m t h e i d e n t i t y o f t h e n a t i o n is

diplomat-politician,

Abd

Al-Rahim, argues

that

a

scholarNorthern

c l e a r l y a f f e c t e d by t h e A r a b i s m of t h e N o r t h .

S u d a n is m o r e r e p r e s e n t a t i v e o f A f r i c a b e -

A s J o h n a n d S a r a h Voll h a v e o b s e r v e d , t h e

c a u s e it c o m b i n e s e l e m e n t s of A r a b i s m a n d

t w o critical factors that A r a b

intellectuals

A f r i c a n i s m t h a t a r e c h a r a c t e r i s t i c of t h e c o n -

and scholars highlight are l a n g u a g e and his-

t i n e n t . " T h e f a c t that t h e y a r e p r e d o m i n a n t l y

t o r y p e r c e i v e d in g e n e a l o g i c a l t e r m s . " A . . .

Muslim and Arab does indeed distinguish the

p e r s o n m u s t b e i d e n t i f i e d in b o t h of t h e s e di-

Northern S u d a n e s e f r o m their Southern c o m -

m e n s i o n s to b e c o n s i d e r e d a n A r a b . T h e p e r -

p a t r i o t s but d o e s n o t m e a n that t h e y a r e n o n -

s o n m u s t s p e a k A r a b i c a n d c o n s i d e r it to b e

A f r i c a n . A s t h e o n l y r e g i o n in t h e c o n t i n e n t ,

h i s o r h e r h o m e l a n g u a g e . In a d d i t i o n , h o w -

a n d i n d e e d t h e w o r l d , in w h i c h t h e p h y s i c a l ,

ever, because m a n y n o n - A r a b S u d a n e s e are

racial and cultural diversities of A f r i c a as a

n a t i v e s p e a k e r s of A r a b i c , t h e p e r s o n m u s t

w h o l e are not m e r e l y r e p r e s e n t e d b u t h a v e

a l s o b e i d e n t i f i e d w i t h a t r i b e that is b e l i e v e d

been synthesized into a unique and unparal-

to h a v e c o m e o r i g i n a l l y f r o m t h e A r a b i a n

l e l e d e n t i t y , N o r t h e r n S u d a n m a y in f a c t b e

P e n i n s u l a or with a g r o u p that has been so

d e s c r i b e d as m o r e r e p r e s e n t a t i v e of A f r i c a as

A r a b i z e d in c u l t u r e a n d c u s t o m that it h a s n o

a w h o l e t h a n a n y o t h e r c o u n t r y o r r e g i o n , in-

other visible or publicly k n o w n identity."58

cluding Southern Sudan."60

55. Lloyd Binagi, The Genesis of the Modern Sudan: An Interpretative Study of the Rise of Afro-Arab Hegemony in the Nile Valley A.D. ¡260-1826 (Temple University, Ph.D. diss., 1981). 56. Raphael Patai, The Arab Mind (New York: Charles Scribner's Sons, 1973), pp. 12-15. 57. Husayn Mohammed Tawfig and Nabih Amin Faris, The Crescent in Crisis: An Interpretative History of the Modern Arab World (Lawrence, Kan.: University of Kansas Press, 1955), pp. 177-178. 58. John Obert Voll and Sarah Potts Voll, The Sudan: Unity and Diversity in a Multicultural State (London and Sydney: Croom Helm, Boulder, Colo.: Westview Press, 1985). 59. See text in Appendix 15 in Muhammad Omer Beshir, The Southern Sudan, p. 168. 60. Ibid.

Sudan:

The Challenge

of

Nationhood

In noting that "the great majority of [northern] population rightly feel that they are Arab and African at the same time, to an e q u a l degree, and without any sense of tension or contradiction," 6 1 Muddathir Abd AlR a h i m is overgeneralizing f r o m the perspective of an elite, and even then he clearly o v e r s t a t e s the case. Certainly, the Arab t r i b e s m e n are proud to be A r a b without being aware of the notion of Africanism, far less how the two have b e c o m e f u s e d . Ordinary Sudanese Arabs are at ease with the reality of the A f r i c a n - A r a b mold, which they perceive to be monolithically Arab. 6 2 Just as the sophisticated southerner is conscious of his tribal identity, or in the case of the educated elite, his Africanness, the sophisticated northerner is conscious of the A r a b - A f r i c a n d u a l i s m of northern identity. Indeed, the m o r e aware of the dualism a northern Sudanese is, the more he realizes the inequities involved and the more he feels the tensions and the contradictions of this duality. T h e close interconnection and the ambiguities or a m b i v a l e n c e s a m o n g the various components of Arabism, such as culture, language, and religion, are justified by sayings allegedly f r o m the Prophet M u h a m m a d . M u h a m m a d El Fateh, a m e m b e r of the U r a m a party, responded emphatically to a question regarding the basis for defining A r a b i s m : "We cannot of course define the issue of A r a b n e s s because the Prophet Moh a m m e d , G o d ' s Peace and Blessings Be Upon Him, had declared that 'Everyone who speaks Arabic is an A r a b . ' It is not a matter of race or color; it is a broad definition." 6 3 Sadiq A l - M a h d i also quotes the Prophet as saying, " T h e God is one, the Father is one

357 and the Religion is one. Arabism is not derived f r o m a father or a mother but it is the tongue; w h o e v e r speaks Arabic is an A r a b . " 6 4 T h e mere fact that Sadiq mentions in the same context G o d , Father, Religion, and Arabism implies that he sees them as intimately, perhaps intractably interconnected, but extendable in order to assimilate others. Northern pride in the Arab-Islamic identity and its a g e n d a were best articulated by Ismail El Azhari, the leader of the National Unionist Front who had been prime minister and would later b e c o m e the first "permanent" president of the Sovereignty Commission of Five, in his address to the 1965 Round Table C o n f e r e n c e on the Problem of the South: I feel at this j u n c t u r e obliged to declare [hat we are proud of our A r a b origin, of our Arabism and of being Moslems. The Arabs came to this continent, as pioneers, to disseminate a genuine culture, and promote sound principles which have shed enlightenment and civilization t h r o u g h o u t A f r i c a at a time when Europe w a s plunged into the abyss of darkness, i g n o r a n c e and doctrinal and scholarly b a c k w a r d n e s s . It is our a n c e s t o r s w h o held the torch high and led the caravan of liberation and a d v a n c e m e n t ; and it is they w h o p r o v i d e d a superior m e l t i n g - p o t for G r e e k , Persian and Indian culture, giving them the c h a n c e to react with all that w a s noble in A r a b culture, and h a n d i n g them back to the rest of the world as a guide to those w h o wished to extend the frontiers of learning. 6 S

If national unity is postulated as an overriding goal and if the prevailing notions of identity are inherently divisive, then what alternative basis of identity will bring the Sudanese together? M u d d a t h i r Abd Al-Rahim argues that the differences between the South

61. Ibid. 62. As Yusuf Fadl Hasan explained in a conversation with the author, it does not occur to the ordinary A r a b in the tribes that he can be anything but Arab. He is not even aware that Arabs are supposed to be lighter in skin than he is. Nor is he aware of the dark skin being a characteristic of N e g r o Africanness. 63. I n t e r v i e w with M u h a m m a d El Fateh, m e m b e r of the U r a m a Party, c o n d u c t e d in W a s h i n g t o n by Khalid M u s t a f a M e d a n i , Research Assistant, Brookings Institution. 64. " T h e Southern Sudan P r o b l e m " (speech presented in Sanaa, 26 September 1988, published by the Council of Ministers, Republic of the Sudan, Khartoum, 1988), p. 17. 65. Quoted in Francis M a d i n g Deng, Dynamics of Identification: A Basis for National Integration in the Sudan ( K h a r t o u m : K h a r t o u m University Press, 1973).

358

and t h e N o r t h s h o u l d not be a f o u n d a t i o n f o r s e p a r a t i o n , but s h o u l d instead be a b a s i s f o r g i v i n g t h e S o u t h a s p e c i a l s t a t u s w i t h i n the u n i t a r y f r a m e w o r k : " T h e m o d e r n state, e s p e cially in A f r i c a , is not a n d c o u l d n o t be f o u n d e d o n r e l i g i o n , racial o r e v e n c u l t u r a l h o m o g e n e i t y . It is b a s e d , a b o v e all, o n the c o m m u n i t y of i n t e r e s t s a n d o b j e c t i v e s of p e o p l e s w h o , d i f f e r e n t t h o u g h they m a y be in c e r t a i n a s p e c t s , h a v e , in the p r e s e n t age, met a c r o s s c o n t i n e n t a l and not m e r e l y tribal or regional boundaries."66 What Muddathir Abd Al-Rahim presumably e n v i s i o n e d f o r the S o u t h w a s s o m e f o r m of a u t o n o m y , c o m p a r a b l e to w h a t w a s p r o v i d e d u n d e r the A d d i s A b a b a A g r e e m e n t . T o d a y he w o u l d p r o b a b l y c o n c e d e a f e d e r a l a r r a n g e m e n t . Yet as long as A r a b i s m and A f r i c a n i s m are e n v i s a g e d as d o m i n a n t in d e f i n i n g the n a t i o n a l f r a m e w o r k , t h e y will c o n t i n u e to e v o k e s e n t i m e n t s of d e s c e n t , ethnicity, a n d r a c e a n d t h e r e f o r e r e m a i n d i v i s i v e . T o this h a s n o w b e e n a d d e d the relig i o u s d i m e n s i o n in the f o r m of I s l a m i c r e v i v a l i s m , w h i c h in t h e S u d a n r e m a i n s c l o s e l y a s s o c i a t e d w i t h the racial and cultural n o t i o n s of A r a b i s m and w h i c h h a s so far p r o v e d e v e n m o r e d i v i s i v e . T h e r e a c t i o n of s o u t h e r n S u d a n e s e g e n e r a l l y is to a c c e p t n o r t h e r n racial a n d c u l tural s e l f - p e r c e p t i o n and to deal with t h e m as the A r a b s t h e y c l a i m to be, w h i c h s u p p o s edly distinguishes them f r o m the South. D u n s t a n W a i ' s v i e w is r e p r e s e n t a t i v e of t h e S o u t h : " W h e t h e r the N o r t h is b o t h A r a b and A f r i c a n o r e x c l u s i v e l y o n e or t h e other, is not c r u c i a l . T h e s i g n i f i c a n t point is that those w h o w i e l d political p o w e r , g e n e r a l l y the edu c a t e d elites, t h i n k t h e N o r t h is A r a b . T h u s , e v e n if b i o l o g i c a l l y t h e y a r e b o t h A r a b a n d A f r i c a n s , t h e y h a v e o p t e d in their c h o i c e of

Francis

M.

Deng

s e l f - i d e n t i f i c a t i o n f o r A r a b i s m . " 6 7 W a i ' s arg u m e n t is that w h e t h e r j u s t i f i e d or not, northern i d e n t i f i c a t i o n with A r a b i s m s h o u l d b e r e c o g n i z e d a n d S u d a n s h o u l d be f a s h i o n e d accordingly, to give the North its separate nat i o n h o o d as A r a b and t h e S o u t h its n a t i o n h o o d as an A f r i c a n c o u n t r y . T h e alternative a p p r o a c h is to q u e s t i o n the validity of t h e s e e x c l u s i v e i d e n t i t i e s and r e f a s h i o n the c o u n t r y ' s identity to r e f l e c t a m o r e uniting c o n c e p t of n a t i o n a l identity. D e s p i t e the racial o v e r t o n e s in the N o r t h - S o u t h d i c h o t o m y , n o r t h e r n and s o u t h e r n S u d a n e s e p e r s p e c t i v e s , on c l o s e e x a m i n a t i o n , reveal that the divisive identity f a c t o r s in the Sudan are a c o m b i n a t i o n of racial and c u l t u r a l f a c t o r s , with c u l t u r e as the d e t e r m i n i n g factor. T h e e x p l a n a t i o n rests in a b r o a d , i n c l u s i v e u n d e r s t a n d i n g of c u l t u r e . I n d e e d , the t e n u o u s n e s s of n o r t h e r n c l a i m s to A r a b i s m in itself u n d e r s c o r e s the role of c u l t u r e in c u l t i v a t i n g s e l f p e r c e p t i o n s , so that e v e n b i o l o g i c a l or racial c l a i m s are u l t i m a t e l y c u l t u r e - b o u n d . C u l t u r e b e c o m e s an o v e r a r c h i n g social e n g i n e e r that m o l d s p e r s p e c t i v e s on identity, e v e n on racial bases. It b e c o m e s both a m e a n s and an e n d . A c c o r d i n g to U N E S C O ' s d e f i n i t i o n , cult u r e c o m p r i s e s " t h e w h o l e c o m p l e x of d i s tinctive spiritual, material, intellectual, and e m o t i o n a l f e a t u r e s that c h a r a c t e r i z e a society or social g r o u p . It i n c l u d e s not o n l y arts a n d letters, but also m o d e s of life, the f u n d a m e n tal r i g h t s of the h u m a n b e i n g , v a l u e s y s t e m s , traditional beliefs."68 Culture has also been d e f i n e d as " a set of s h a r e d a n d e n d u r i n g m e a n i n g s , v a l u e s and b e l i e f s that c h a r a c t e r ize n a t i o n a l , e t h n i c or o t h e r g r o u p s and orient their b e h a v i o r . " 6 9 In this sense, c u l t u r e is a d e t e r m i n a n t f o r s e l f - p e r c e p t i o n and t h e d e l i n e a t i o n of the social b o u n d a r i e s in intere t h n i c c l a s s i f i c a t i o n a n d i n t e r a c t i o n . It is a

6 6 . " A r a b i s m , A f r i c a n i s m and S e l f - I d e n t i f i c a t i o n in the S u d a n , " p. 2 3 8 ; a l s o in Wai, The Southern Sudan, pp. 3 1 3 - 3 4 4 . 67. D u n s t a n Wai, " R e v o l u t i o n , Rhetoric and Reality in the Sudan," Journal of Modern African Studies 17 (March, 1979): 7 1 - 9 3 , at 74. 68. U N E S C O , I n f o r m a t i o n D o c u m e n t , "Towards D e v e l o p i n g T o o l s for D e v e l o p i n g the Cultural D i m e n s i o n into D e v e l o p m e n t Plans and Projects" (Paris, 1 9 9 2 ) , (presented to the International C o n f e r e n c e o n Culture and D e v e l o p m e n t in Africa, April 2 - 3 , 1992, T h e World Bank, Washington, D . C . ) . 6 9 . G u y O l i v i e r and J e f f r e y Z. R u b i n , ed., Culture and Negotiation: Approaches and Issues for Research (Vienna: International Institute of A p p l i e d S y s t e m s A n a l y s i s , 1992).

Sudan: The Challenge of

Nationhood

c o n c e p t o f identification with a coherent value-system and a cohesive worldview. a set o f principles to guide and evaluate behavior patterns within flexibly demarcated social, economic, and political frameworks. Given this broad perspective on culture, it is obvious that it links perceptions of the various components of identity, which make the dividing iine between racial and cultural sentiments too thin to be differentiated in popular consciousness. T h e result of these ambiguities is that misconstrued and unacknowledged racial cleavage remains unbridged and is indeed deepened by the elites on both sides. In the case of the Sudan, one group builds on a fictional notion of Arabism while the other responds with an equally fictional notion of Africanism, both overlooking the realities of the country. As Ali Mazrui put it, "Distinguished Arabic-speakers of the North, and distinguished southerners, have all been known to exaggerate the ethnic chasm which separates northerners from the peoples of the S o u t h . " 7 0 The policy orientation of those who emphasize the cultural and other objective factors may well be to implicitly undermine these subjective factors on which prejudice, discrimination, and hatred breed. This would, however, be as though one eliminates the negative racial sentiments by asserting that they do not exist, that identity is based on the less vicious cultural values and perspectives, that what ought to be is what, in fact, is. Where there are grounds for claiming a particular ethnic or racial identity, the normative argument against its negative manifestation may simply be to fight evil by preaching virtue. Yet where there is little or no evidence of the racial or ethnic ingredients to support such claims and the prejudices, the divisiveness, and the mutual hostilities that emanate from them, the argument becomes more objective than the moral prescription of what is evil or virtuous, good or bad, right or wrong. It becomes a question

359 of first acknowledging and taking seriously the subjective sentiments of identity based on assumed blood, explaining that those sentiments are based on half-truths at best, or at worst, on illusions, fictions, or myths. E x posing them should contribute to removing the foundation of the negative or discriminatory sentiments involved and reveal alternative bases for redefining and restructuring a more mutually accommodating concept of national identity. If people are divided by the objective facts of culture, language, or religion, the approach becomes more one of regulating and reconciling the differences rather than arguing that those differences have no bases. Refuting fictitious claims to ethnic or racial differences is to remove the psychological barriers instead of validating them and then attempting to reconcile the conflicting interests involved with only moral arguments of right and wrong. Even if Arabism and Africanism were defined in terms of such objective indicators as culture, language, and religion, there would still be a strong case against giving these labels more than their due because of the amount of intermingling and fusion that has taken place between the respective peoples and their cultures. This mixture pertains even to the field of religion, which, though clear-cut, has been the scene of much eclectic mutual influence. The Islam of the Sudan is a peculiar mold that has incorporated indigenous African elements. 7 1 To subject this hybrid to a monolithic and universalistic notion is not only to distort reality, but to endanger the harmony and stability of mutual accommodation, tolerance, and cross-fertilization. Southern Sudanese identification is predominately in tribal terms now extended to concepts o f nationhood that are founded on African, non-Arab identity. Tribal culture in the South, perhaps even more than that of the North, both assimilates and discriminates in the sense that outsiders who join the tribe

70. "Multiple Marginality," p. 243. 71. See, for example, Mohamed Ibrahim El Shoush, "Some Background Notes on Modem Sudanese Policy." S.N.R., 14 (1963): 21^12.

360

e i t h e r as c a p t i v e s or c l i e n t s b e c o m e a d o p t e d as m e m b e r s of t h e g r o u p a n d , w i t h c u l t u r a l a d a p t a t i o n , are f u l l y i n t e g r a t e d in d u e c o u r s e w h i l e o u t s i d e r s w h o r e t a i n t h e s y m b o l s of t h e i r i d e n t i t y a r e c o n s i d e r e d " a l i e n " a n d inferior, j u d g e d by the tribal s t a n d a r d s of p h y s ical, c u l t u r a l , and m o r a l integrity. T h e p o s i t i v e e l e m e n t in t h e s u b j e c t i v e f a c t o r is that its d y n a m i c f l e x i b i l i t y p e r m i t s the p o s s i b i l i t y of r e s h a p i n g s e l f - i d e n t i f i c a tion as a m e a n s of r e s o l v i n g or a m e l i o r a t i n g c o n f l i c t b e t w e e n identity g r o u p s . All p e o p l e , it is w i d e l y r e c o g n i z e d , h a v e m u l t i p l e identities and t h e o n e that is m o s t s a l i e n t at any m o m e n t is " v i e w e d s i t u a t i o n a l l y — i n t e r m s of t h e s o c i a l , e c o n o m i c , a n d p o l i t i c a l c o n t e x t s in w h i c h t h e v a r i o u s g r o u p s i n t e r a c t a n d a t t e m p t to a c h i e v e t h e i r c o l l e c t i v e p u r p o s e s . " 7 2 An i n d i v i d u a l ' s identity, t h e r e f o r e , will c h a n g e to reflect his or h e r political context and c a l c u l a t i o n s of interest. T h i s is particularly the c a s e in pluralistic societies w h e r e identities are m o r e likely to be s t r a t i f i e d and o p p o r t u n i t i e s exist f o r s e l f - e n h a n c e m e n t by c h a n g i n g o n e ' s o w n or o n e ' s g r o u p ' s identity inherent in the pluralism. W h i l e this might rei n f o r c e the status q u o by c h a n g i n g national priorities and i n c e n t i v e s , it is p o s s i b l e to res h a p e identities as a m a t t e r of public policy. It s h o u l d be e m p h a s i z e d that t h e r e are m o d e l s of g r o u p i d e n t i t i e s to w h i c h an individual belongs by objective, c o m m u n a l l y sanctioned criteria. The operative formula, t h e r e f o r e , is a b a l a n c e b e t w e e n f l u i d i t y a n d c o n t i n u i t y or i n d i v i d u a l m o b i l i t y w i t h p a t terns of g r o u p identity that c o u l d be m o l d e d but that is n o t m e r e l y d e p e n d e n t on i n d i v i d ual w h i m s . T h e o b j e c t i v e of r e m o l d i n g identities as a m a t t e r of p u b l i c p o l i c y w o u l d req u i r e setting s t a n d a r d s f o r the c o m m u n i t y as a whole, within which individuals would

Francis M. Deng

t h e n a d j u s t their o w n s u b j e c t i v e identities acc o r d i n g l y . T h e c u m u l a t i v e e f f e c t of i n d i v i d ual r e s p o n s e s w o u l d e v e n t u a l l y p r o d u c e the d e s i r e d c o l l e c t i v e shift in s e l f - p e r c e p t i o n . It s h o u l d be e m p h a s i z e d that f o r g i n g a national f r a m e w o r k with which everyone identifies does not necessarily m e a n fostering c u l t u r a l h o m o g e n e i t y t h a t d e p r i v e s the nation of the w e a l t h of its p l u r a l i s m or diversity. To be m a d e to f e e l that all c i t i z e n s belong to the n a t i o n w i t h o u t d i s c r i m i n a t i o n on the g r o u n d s of r a c e , e t h n i c i t y , r e l i g i o n , or c u l t u r e , w h e t h e r or not d i s t i n c t i o n s on those b a s e s are j u s t i f i e d , is not to say that the nation a n d t h e c i t i z e n s c a n n o t be e n r i c h e d by the m u l t i p l e s o u r c e s of its c u l t u r a l o r relig i o u s e l e m e n t s of c o m p o n e n t identities. W h a t is d i s p u t e d are t h o s e c l a i m s to i d e n t i t y that c o n f l i c t u a l l y d i v i d e and that, in any c a s e , are at best t e n u o u s s e l f - p e r c e p t i o n s . S e l f - p e r c e p t i o n s m a y at t i m e s c o m e into c o n f l i c t w i t h t h e w a y o n e is p e r c e i v e d by o t h e r s , p r o m p t i n g a crisis that w o u l d require b o t h s u b j e c t i v e and o b j e c t i v e r e s o l u t i o n . Northern Sudanese who view themselves p r i m a r i l y as A r a b , not o n l y c u l t u r a l l y , but also racially, have been disappointed, even s h o c k e d to f i n d t h e m s e l v e s i d e n t i f i e d d i f f e r e n t l y by t h e o u t s i d e w o r l d , i n c l u d i n g o t h e r A r a b s , a g a i n s t t h e i r w i s h e s . In the W e s t e r n w o r l d , n o r t h e r n S u d a n e s e a r e c l a s s i f i e d as A f r i c a n s , b l a c k s , or N e g r o e s a n a rarely, if e v e r , as t h e A r a b s t h e y p e r c e i v e t h e m s e l v e s to b e . E v e n w h e n S u d a n e s e s p e a k A r a b i c a b r o a d , u n l e s s it is k n o w n that the p e r s o n s p e a k i n g is a S u d a n e s e , in w h i c h c a s e m o s t i n f o r m e d A r a b s w o u l d r e c o g n i z e the a n o m aly, a c a s u a l A r a b w o u l d be s u r p r i s e d to hear that this " b l a c k A f r i c a n " c l a i m s to be A r a b . 7 3 W h a t e v e r their s u b j e c t i v e v i e w of w h a t they b e l i e v e t h e m s e l v e s to be, s u c h e x p e r i e n c e s

72. El Shoush, "Some Background Notes on Modern Sudanese Policy," pp. 119-120. 73. In a case witnessed by the author in 1961, a group of Sudanese students from Khartoum University, almost all of whom were northerners, were strolling in a Cairo park when a group of Egyptian high school students followed them chanting, "Lumumba, Lumumba," obviously thinking they were from a black African country. One of the Sudanese students turned to them and said in Arabic, "Brothers, we are Arabs like you." On hearing the Arabic, the Egyptian students opened their hands wide chanting, "Welcome, brothers from the Sudan!" In another episode in London, a group of Sudanese students stood talking in the London underground train when a man who looked European turned to his colleague and said in Arabic, "They speak Arabic."

Sudan: The Challenge of Nationhood

361

c a n n o t leave them totally unaffected, even

d i v i s i o n s within the S P L M / S P L A h a v e al-

though

their

r e a d y r e s u l t e d in f a c t i o n a l f i g h t i n g t h a t h a s

original belief and rationalize the discrepancy

c a u s e d m u c h l o s s of l i f e a n d s u f f e r i n g f o r t h e

as m e r e l y a m a t t e r of i g n o r a n c e o n t h e p a r t of

c i v i l i a n p o p u l a t i o n . Yet t h e N o r t h , t o o , is p o -

the outside w o r l d . T h i s illustrates w h a t Ali

l i t i c a l l y d i v i d e d a n d , at l e a s t in t h e

M a z r u i c a l l e d t h e m u l t i p l e m a r g i n a l i t y of t h e

Mountains

S u d a n , ambiguously poised between Arab and

d e a d l y c o n f l i c t s of a r a c i a l a n d e t h n i c n a t u r e .

they may

nevertheless

retain

and

Darfur,

has

Nuba

experienced

A f r i c a n , Muslim and Christian worlds, per-

These internal divisions, especially

c e i v i n g its A r a b i d e n t i t y a s p r e e m i n e n t o v e r

t h e S o u t h , h o w e v e r , a r e , a c c e n t u a t e d , if n o t

in

its A f r i c a n i s m , yet l o o k i n g m o r e A f r i c a n t h a n

initiated, by external m a n i p u l a t i o n .

A r a b , r e j e c t e d by m o s t A r a b s , a n d v i e w e d by

t h a n f o s t e r u n i t y w i t h i n t h e r e g i o n as a s t e p

many

A f r i c a n s as b e t r a y i n g

the c a u s e

by

toward broader national

Rather

unity, leaders

on

" p a s s i n g " as A r a b . 7 4 Yet a b o v e all, it p o s e s a

both sides f o c u s their attention on the short-

c h a l l e n g e of n a t i o n h o o d t h a t t h e

t e r m o b j e c t i v e of d i v i d i n g a n d

Sudanese

weakening

m u s t n o w a d d r e s s if t h e c o u n t r y is t o s t o p

" t h e e n e m y . " T h e f e a r that s e l f - d e t e r m i n a t i o n

b l e e d i n g a n d to a v o i d c o l l a p s e as a n a t i o n .

m i g h t l e a d to f u r t h e r d i s i n t e g r a t i o n in t h e S o u t h a n d p e r h a p s in t h e N o r t h , t o o , is, at

The Challenge

least in p a r t , a s e l f - f u l f i l l i n g p r o p h e c y . C r a w -

Self-determination raises s o m e serious ques-

ford

tions, both internally and regionally. Inter-

unanimous backing for southern movements

n a l l y , it is f e a r e d t h a t it c o u l d r e s u l t in t h e

a m o n g t h e s o u t h e r n e r s , n o t e d that

fragmentation

the

toum always had s o m e room for m a n e u v e r

S u d a n . T h i s d a n g e r is c o m p o u n d e d by t h e di-

by playing on local rivalries."76 O n e south-

v e r s i t i e s that c h a r a c t e r i z e b o t h t h e N o r t h a n d

erner has also observed.

and

disintegration

of

the S o u t h . It h a s b e e n a r g u e d that w i t h o u t the S o u t h t h e r e w o u l d b e n o N o r t h . 7 5 T h i s is e v e n m o r e t r u e of t h e S o u t h ; w i t h o u t

the

c o n f r o n t a t i o n w i t h t h e N o r t h , t h e still v i v i d h i s t o r y of r a p a c i o u s i n v a s i o n s b y slave raiders, which contemporary

northern experi-

e n c e has rekindled, and the attempts by posti n d e p e n d e n c e g o v e r n m e n t s to s u b d u e , d o m i nate, and

assimilate

the southern

people,

t h e r e w o u l d b e n o S o u t h as a v i a b l e p o l i t i c a l e n t i t y . It is f e a r e d t h a t o n c e t h e N o r t h - S o u t h c o n f r o n t a t i o n is r e m o v e d , d i v i s i o n s w i t h i n t h e

Young,

commenting

on

the

lack

of

"Khar-

The North has, indeed, s u c c e e d e d from time to time to divide Southern political opinion, to w e a k e n the South and thereby avoid answering its political demand for equality. The North, in fact, routinely questioned the right of the leaders of Southern Sudan to represent their p e o p l e . N o w , the leadership of the South is telling the North: "You have succeeded in discrediting us with our people and even with the entire world, s h o w i n g us up as a desperately divided p e o p l e . N o w , let us take the issues to the people and let us abide by what the people decide." 7 7

North and the South would proliferate and ag-

T h e r e is a l s o t h e a r g u m e n t t h a t n e i t h e r t h e

gravate internal conflicts. T h e r e would be no

S o u t h n o r t h e N o r t h is e c o n o m i c a l l y v i a b l e

e n d to t h e d e m a n d f o r s e l f - d e t e r m i n a t i o n .

a l o n e . D u r i n g t h e c o l o n i a l p e r i o d , it w a s t h e

T h i s a r g u m e n t is p a r t i c u l a r l y e m p h a s i z e d w i t h r e s p e c t to t h e S o u t h , w h e r e

internal

South that was regarded as nonviable. M o r e r e c e n t l y , h o w e v e r , w i t h t h e d i s c o v e r y of oil

74. Ali A. Mazrui, "The Multiple Marginality of the Sudan," in Yusuf Fadl Hasan, ed., Sudan in Africa (Khartoum: Khartoum University Press, 1971). Ali Mazrui d o e s not see Sudan's marginality in terms of a crisis but rather as a more positive linkage between the various e l e m e n t s of identity involved. The crisis dimension in the sentence summarizing his paper is, therefore, this author's, not Mazrui's. 75. John Obert Voll, "Northern M u s l i m Perspective," in John V. M o n t v i l l e , ed., Conflict and Peacemaking in Multiethnic Societies (Lexington, Mass./Toronto: Lexington B o o k s , 1990), p. 389. 76. "Self-determination," p. 339. 77. Bona Malwal, "Address to the Sudan Studies Association," p. 14.

362

Francis M. Deng

r e s e r v e s in c o m m e r c i a l q u a n t i t i e s , t h e m a m -

1 9 9 4 m e e t i n g of t h e S t a n d i n g C o m m i t t e e o f

m o t h J o n g l e i p r o j e c t a i m e d at r e t r i e v i n g t h e

M i n i s t e r s , b e c a m e t h e p i l l a r s of t h e p e a c e

v a s t w a t e r s of t h e S u d d r e g i o n f o r i r r i g a t i o n

p r o c e s s . T h e p a r t i e s w e r e a s k e d to s t u d y t h e

in t h e N o r t h a n d E g y p t , a n d t h e a r a b l e l a n d

D O P a n d p r e s e n t t h e i r p o s i t i o n in t h e n e x t

w i t h a d e q u a t e r a i n w a t e r , n o t to m e n t i o n t h e

m e e t i n g t o b e h e l d in N a i r o b i in J u l y . T h e

yet u n e x p l o r e d m i n e r a l r e s o u r c e s b e l i e v e d t o

D O P tried to reconcile the c o m p e t i n g per-

e x i s t , t h e S o u t h h a s e m e r g e d as a p o t e n t i a l

s p e c t i v e s in t h e c o n f l i c t . B e a r i n g in m i n d

s o u r c e of w e a l t h . T h e c o n c e r n f o r n o n v i a b i l -

that the war had d e v a s t a t e d the country for

ity h a s t h e r e f o r e s h i f t e d t o t h e N o r t h .

nearly four d e c a d e s and that the nation had

It is in t h e c o n t e x t of this n a t i o n a l p o l a r -

b e c o m e increasingly polarized, the mediators

i z a t i o n a n d g l o b a l i n e r t i a , e x a c e r b a t e d by t h e

decided that no option should be ruled out as

c h a l l e n g e s of S o m a l i a , B o s n i a - H e r z e g o v i n a ,

a m a t t e r of p r i n c i p l e . A n d s o , w i t h o u t p r e -

a n d R w a n d a , t h a t t h e c o u n t r i e s of t h e I n t e r -

j u d g i n g t h e u l t i m a t e o u t c o m e , t h e y s o u g h t to

G o v e r n m e n t a l Authority on Draught and De-

u p h o l d t h e r i g h t of s e l f - d e t e r m i n a t i o n as a n

velopment ( I G A D D ) undertook their daring

inalienable right that international law guar-

i n i t i a t i v e t h a t w e n t b e y o n d f o s t e r i n g t a l k s in

antees to any p e o p l e w h o s e particular cir-

o r d e r to a d d r e s s t h e r o o t c a u s e s of t h e c o n -

c u m s t a n c e s j u s t i f y its a p p l i c a t i o n . T h e D O P

flict a n d to c h a r t o u t t h e w a y f o r w a r d in t h e quest for a just

and

lasting peace.78

rapidly moved

on to a d v o c a t e giving

na-

The

t i o n a l u n i t y h i g h p r i o r i t y . It r e c o g n i z e d f u r -

I G A D D M e d i a t i o n C o m m i t t e e of E t h i o p i a ,

t h e r that n a t i o n a l u n i t y r e q u i r e s c r e a t i n g c o n -

E r i t r e a , K e n y a , a n d U g a n d a , c h a i r e d by P r e s -

ditions of g o v e r n a n c e that ensure a national

i d e n t D a n i e l a r a p M o i of K e n y a , c o n s i s t e d of

c o n s e n s u s based on mutual satisfaction and

t w o o r g a n s , t h e S u m m i t C o m m i t t e e of H e a d s

s u p p o r t . It w a s t h e r e f o r e c o n s i d e r e d p r u d e n t

of S t a t e a n d t h e S t a n d i n g C o m m i t t e e c o m -

to a g r e e o n a n i n t e r i m p e r i o d d u r i n g w h i c h

p o s e d of t h e i r m i n i s t e r s . T h e p r e m i s e of t h e

c o n d i t i o n s for unity w o u l d be c r e a t e d

I G A D D m e d i a t o r s w a s t h a t t h e c o n f l i c t in

tested. A m o n g these conditions would

t h e S u d a n w a s n o t m e r e l y n a t i o n a l , s i n c e it

s e p a r a t i o n of r e l i g i o n a n d t h e state ( s e c u l a r -

and be

had regional r e p e r c u s s i o n s that a f f e c t e d the

i s m ) , a s y s t e m of g o v e r n m e n t b a s e d o n m u l -

neighboring countries. The

the

tiparty democracy, respect for fundamental

mediation c o m m i t t e e also k n e w the S u d a n

rights, i n d e p e n d e n c e of the judiciary, and a

and the leaders very well. T h e y w e r e thus

l a r g e m e a s u r e of d e c e n t r a l i z a t i o n t h r o u g h a

l e a d e r s of

d e a l i n g w i t h a f a m i l i a r p r o b l e m in a f a m i l i a r

loose federation or a c o n f e d e r a c y . T h e

c o n t e x t . T h e y w e r e n o t s a t i s f i e d m e r e l y to

t e r i m p e r i o d w a s to b e l o n g e n o u g h t o a l l o w

bring the parties together, but rather sought

t i m e f o r c r e a t i n g t h o s e c o n d i t i o n s and t e s t i n g

to d i g

root

t h e m , b u t not s o long as to create c o m p l a c e n c y

c a u s e s , a n d w a y s in w h i c h it m i g h t s u b s t a n -

a n d l e t h a r g y on the part of the c o n t r o l l i n g au-

tively and procedurally be resolved.79

t h o r i t i e s . A f t e r t h e i n t e r i m p e r i o d , the p e o p l e

deeper

into

The Declaration which

the mediators

the

problem,

its

of P r i n c i p l e s developed

(DOP),

from

the

t a l k s a n d p r e s e n t e d t o t h e p a r t i e s at t h e M a y

in-

of t h e S o u t h a n d o t h e r a r e a s that f e e l e q u a l l y disadvantaged and have taken up a r m s with t h e S P L M / S P L A w o u l d b e a s k e d to d e c i d e b y

78. Because the I G A D D initiative came in the aftermath of many failed peace efforts, the reaction to it was initially negative. See, for example, Bona Malwal's editorial in the May 1994, number 48 issue of the Sudan Democratic Gazette: A Newsletter for Democratic Pluralism, under the title "Avoiding the Abujanisation of the Nairobi Peace Talks." In the same issue, Malwal pursues his skepticism in another article entitled, "The Abujanisation of the Nairobi Talks: Can It Be Avoided?" 79. Sudan Democratic Gazette's initial skepticism changed dramatically as the I G A D D initiative progressed. See Bona M a l w a l ' s article, " I G A D D S h o w s a Clear Way to Peace: How Will the S u d a n e s e Parties React?" in the June issue. See also his editorial articles in the July issue, under the titles, "Taking Ourselves in Africa a Little More Seriously for a C h a n g e , " and " I G A D D on Peace in Sudan: Will the Parties Respond Positively?"

Sudan: The Challenge of

Nationhood

r e f e r e n d u m whether to continue the unity arrangement or adopt alternative arrangements, including the right of secession. 8 0 At the July meeting, while the S P L M / S P L A factions accepted the DOP, the gove r n m e n t initially resisted it, but was eventually p e r s u a d e d by the mediators to discuss the principles and register any objections they had on specific issues. 8 1 Although multiparty d e m o c r a c y and h u m a n rights are k n o w n to be contentious for the regime, the most divisive issues turned out to be the proposed separation between religion and the slate and the right of self-determination. At first, the issue appeared to be semantic, with the g o v e r n m e n t objecting to the terms secularism and self-determination and seemingly receptive to other descriptive terms, such as the neutrality of religion on matters of state and the right of the people of the South to d e t e r m i n e their destiny through a referendum. T h e S P L M / S P L A factions, on the other hand, w a n t e d to stick to the terms, fearing that the government was seeking to divert attention f r o m the substance through a tactful use of words. Indeed, it soon became obvious that the semantic debate was merely tactical and that there was, in fact, a f u n d a m e n tal difference of substance on the issues. The meeting adjourned on the understanding that the parties would consider these main issues and return to the next session with a more definitive response. T h e next session, which was held on S e p t e m b e r 5 - 8 in Nairobi, witnessed a more d r a m a t i c affirmation of polarization, with both parties uncompromisingly holding their stated positions. T h e S P L M / S P L A factions insisted on secularism and the right of

363 self-determination. The government delegation insisted that secularism was out of the question. For them, c o m m i t m e n t to shari'a was a religious and moral obligation to an Islamic mission that colonialism had interrupted not only in the South but, indeed, in A f r i c a . They now wanted to take off from the point of colonial interruption to continue the mission, the moral dimension of which aimed at correcting the decadence of Western civilization that d o m i n a t e d the world. Second, self-determination was a ploy for partitioning the country and was therefore unacceptable as a matter of principle. The regime found the Sudan within its present geographical borders and owed it to the past and future generations of the country to preserve it and pass it on as such. Third, the government objected to the format of the negotiations and preferred shuttle diplomacy to the faceto-face sessions adopted by the mediators. And finally, the government had initiated its own internal peace process and hoped to surprise the world in the near future with news about the internal achievement of peace. 8 2 In the a f t e r m a t h of this dramatic confrontation, the chairman of the Mediation Committee, President Daniel arap Moi, convened a meeting in Nairobi on September 19 of the heads of states of the committee, together with the Sudanese president and the leaders of the S P L M / S P L A factions, in the hope of rescuing the talks. President Bashir of the Sudan r e a f f i r m e d the position of his spokesman in front of the Standing Committee, and the S P L M / S P L A leadership also restated their known position. The meeting, however, decided that the I G A D D committee will remain engaged in the search for peace

80. For a more detailed discussion of the principles, see Francis M. Deng, "Genesis of the Sudanese Conflict," in the Sudan Democratic Gazette, no. 51 (August 1994). See also Bona Malwal's article in the same issue of the Gazette, "The I G A D D Mediators Oblige Khartoum to Discuss the Taboo Topics." For an advocacy of unity, see A.H. al-Sawi, "Some Preliminary Thoughts on Unity and Division in Sudan," in the same issue. 81. See Bona Malwal, "The I G A D D Mediators Oblige Khartoum to Discuss the Taboo Topics," Sudan Democratic Gazette, no. 51 (August 1994). 82. For a detailed discussion of the September meeting, see Bona Malwal's editorial in the September issue of the Sudan Democratic Gazette, "The Tightening Options for All at the I G A D D September Round," and his article, "The I G A D D Mediated Peace Process: A Make or Break Session." See also Peter Nyot Kok, "NIF Accepts Self-determination by Definition," in the same issue of the Gazette.

364

Francis M. Dmg

All this m e a n s is that S u d a n is now at a critical junction between Islamic f u n d a m e n t a l ism or revivalism in the North and a Western concept of a secular pluralistic slate in the South. As Abdel Wahab El-Affendi, a northern scholar and m e m b e r of the NIF, recently noted, " W h a t w e are w i t n e s s i n g is the clash of t w o antagonistic cultural o u t l o o k s , both of w h i c h are experiencing a revival. T h e introduction of a Western culture as a d y n a m i c external factor, offering both a paradigm and material and cultural backing to the anti-Islamic forces is a new d e v e l o p m e n t . A l t h o u g h not c o m p l e t e l y absent f r o m earlier p h a s e s of Islamic revival . . . the Western factor is important precisely because it is working in conjunction with well-developed internal forces." 8 4

of the i n c r e a s i n g l y s e l f - a s s e r t i v e A f r i c a n i s m a m o n g the s o u t h e r n e r s , the s a m e scholar art i c u l a t e d the d i l e m m a s f o r the c o u n t r y : " T h e c l o s e a s s o c i a t i o n b e t w e e n I s l a m and N o r t h ern S u d a n e s e n a t i o n a l i s m w o u l d c e r t a i n l y r o b I s l a m of an a d v a n t a g e [as] it r e m a i n s b e s e t by p r o b l e m s s i m i l a r to t h o s e that limited the a p p e a l of the S P L A ' s A f r i c a n i s m [in t h e N o r t h ] . " 8 5 C o n v e r s e l y , " N o r t h e r n Sud a n e s e , w h o strongly identify with their A r a b h e r i t a g e , are in n o d a n g e r of b e i n g s e d u c e d by A f r i c a n i s m . F a r f r o m b e i n g inclined to sing with Cesaire "Hurrah for those who never conquered anything,' their poets have long b o a s t e d a b o u t ' o u r m a n y e x p l o i t s in S p a i n w h i c h s h o w e d the F r a n k s w h o they really w e r e . ' But, e q u a l l y , I s l a m i c i d e o l o g y is by d e f i n i t i o n u n a c c e p t a b l e to n o n - M u s l i m s . Its a s s o c i a t i o n with A r a b N o r t h e r n s e l f - a s s e r t i o n m a k e s it e v e n m o r e u n p a l a t a b l e to S o u t h e r n e r s . ' 8 6 S o p o l a r i z i n g has the conflict b e c o m e that o n e can a r g u e with a r e a s o n a b l e d e g r e e of a c c u r a c y that if the l a w s of the l a n d w e r e 9 9 . 9 p e r c e n t I s l a m i c but w e r e lab e l e d s e c u l a r , t h e y w o u l d be o b j e c t e d to by the I s l a m i s t s ; if they w e r e 9 9 . 9 p e r c e n t secular but w e r e labeled I s l a m i c , they w o u l d be o p p o s e d by the s e c u l a r i s t s . T h e issue is n o l o n g e r the s u b s t a n t i v e c o n t e n t of the laws or the policies, but the place of d e e p l y felt identities that h a v e p r o v e d i n c o m p a t i b l e as they are r e p r e s e n t e d and r e f l e c t e d by the political elites.

A d d r e s s i n g the p r o g r e s s of I s l a m a n d A r a b i s m a m o n g the n o r t h e r n e r s in the f a c e

T h i s a s s e s s m e n t , c a r r i e d to its l o g i c a l c o n c l u s i o n , m a k e s the q u e s t f o r a u n i t i n g

in the S u d a n , a l t h o u g h n o f u r t h e r m e e t i n g s were scheduled.81 A l t h o u g h the b r e a k d o w n of t h e t a l k s is clearly a s e t b a c k in the p e a c e p r o c e s s , t h e r e are also p o s i t i v e a s p e c t s to this d e v e l o p m e n t . First, the issues that d i v i d e and the p o s i t i o n s of the p a r t i e s on t h o s e i s s u e s h a v e b e e n clearly i d e n t i f i e d . S e c o n d , the will of the regional m e d i a t o r s to be e n g a g e d not as d i s i n terested third parties, but as n e i g h b o r s with a stake, h a s b e e n m a n i f e s t e d . T h i r d , w h i l e ass u m i n g a m a j o r r e s p o n s i b i l i t y f o r the p e a c e process with support from the international c o m m u n i t y , t h e y h a v e d e c l a r e d their i n t e n tion to c o l l a b o r a t e w i t h the i n t e r n a t i o n a l c o m m u n i t y in d i s c h a r g i n g this o b l i g a t i o n .

83. See Bona Malwal's editorial. "The Next Phase for IGADD: International Pressure on Khartoum," in the October Sudan Democratic Gazette, and "IGADD Stays the Course In Spite of Khartoum's Arrogance." See also the November issue of the same journal. In a statement on behalf of the National Democratic Alliance (NDA), which includes all the political parties and other groups in the opposition, General Abdelrahman Saeed, member of the High Coordination Committee, said in Cairo that the Alliance was not surprised by the failure of the IGADD initiative. "We in the NDA . . . felt vindicated when the leader of the Khartoum delegation to the last round of talks . . . Dr. Ghazi Salah Eldin, told the African mediators that their (NIF) regime had the moral responsibility to carry the sword of Islam not only to the South of Sudan but also to the rest of Africa," "Sudan: Country Report," in Civil Society: Democratic Transformation in the Arab World 3, no. 3 (October 1994), published by Ibn Khaldoum Center for Development Studies in Cairo, Egypt. 84. Abdel Wahab El-Affendi, "Discovering the South: Sudanese Dilemmas for Islam in Africa," in African Affairs (The Journal of the Royal African Society) 89, no. 358 (July 1990): 371. 85. Ibid., pp. 371, 387-388. 86. Ibid.

Sudan: The Challenge of

Nationhood

365

n a t i o n a l identity s o u n d i n c r e a s i n g l y Utopian

Separation, which was, by a g r e e m e n t , ruled

a n d u n r e a l i s t i c . T h i s is i n d e e d t h e c o n c l u s i o n

o u t in t h e A d d i s A b a b a A g r e e m e n t o f 1 9 7 2 ,

t h a t e v e n s o m e of t h e p r o - N I F s c h o l a r s , in-

but w h i c h has been less r e m o t e since

tellectuals, and politicians f r o m the North

w h e n t h e a g r e e m e n t w a s a b r o g a t e d , is as y e t

1983

h a v e r e a c h e d o n t h e b a s i s of t h e o b j e c t i v e

outside our f r a m e of r e f e r e n c e . T h a t c o u l d

e v i d e n c e . K a m a l O s m a n S a l e h of t h e I n s t i -

o n l y b e o b t a i n e d e i t h e r in t h e b a t t l e f i e l d o r

t u t e of S t r a t e g i c S t u d i e s in K h a r t o u m h a s o b -

by a violent and reactionary revolution

served that " T h e

the

Northern Sudan d e t e r m i n e d to adopt a theo-

S u d a n d u r i n g 1 9 8 5 - 1 9 8 9 s u g g e s t s t h a t it is

c r a t i c s y s t e m of g o v e r n m e n t a n d a n a l l - o u t

v i r t u a l l y i m p o s s i b l e f o r a v i a b l e s y s t e m of

A r a b nationalism m a k i n g no provision for

g o v e r n m e n t a n d a d m i n i s t r a t i o n to b e c r e a t e d ,

A f r i c a n n a t i o n a l i t y ; h o w e v e r , if t h a t s t a n c e

let a l o n e s u r v i v e , in a d e e p l y d i v i d e d

w e r e a d o p t e d in K h a r t o u m , it c o u l d w e l l spell

l a c k of p r o g r e s s in

and

h e t e r o g e n o u s n a t i o n in w h i c h p o l i t i c a l p a r ties a r e p r i m a r i l y o r g a n i z e d o n s e c t a r i a n , e t h nic, and religious lines."87 Abdel W a h a b El-

in

the e n d of a S u d a n e s e n a t i o n - s t a t e . 8 y Several

alternative

policy

approaches

r e c o m m e n d t h e m s e l v e s f r o m t h e a n a l y s i s of

A f f e n d i a r t i c u l a t e d t h e s a m e c o n c l u s i o n : "It

t h e N o r t h - S o u t h c o n f l i c t of i d e n t i t i e s . O n e

is t h u s u n l i k e l y , in t h e g i v e n c i r c u m s t a n c e s ,

a p p r o a c h a s s u m e s t h e o v e r r i d i n g g o a l of n a -

that

tional unity and then builds on those

the

conflicting

demands

of

the

two

m a j o r c a m p s could eventually be satisfied

ele-

m e n t s m o s t l i k e l y to a c h i e v e it. A m a j o r f a c

within one state. . . . A multi-state solution

t o r in t h i s a p p r o a c h is t h e a r g u m e n t t h a t t h e

m a y b e t h e o n l y w a y to p r e s e r v e w h a t is l e f t

c o m p o s i t i o n of t h e c o u n t r y d o e s n o t s u p p o r t

of that o n c e m u c h l o v e d o a s i s , a n d c o u l d b e

a n y c l a i m s t o A r a b p u r i t y , s i n c e t h e r e is a

the only substitute

s i g n i f i c a n t A f r i c a n e l e m e n t in t h e N o r t h that

to an

illusory

'united

c o u n t r y , ' l i k e t h e c o s t l y f i c t i o n of L e b a n o n and Cyprus."xx

still l i n k s t h e p o p u l a t i o n t o t h e

non-Arab

g r o u p s w i t h i n t h e N o r t h a n d t h e S o u t h . If

In a b o o k p u b l i s h e d b e f o r e t h e r i s e o f

A r a b i s m , b o t h as a r a c i a l a n d a c u l t u r a l c o n -

Abel

c c p t , is n o t r e p r e s e n t a t i v e of t h e N o r t h , it

Alier, a southern statesman who, apart f r o m

c e r t a i n l y is n o t r e p r e s e n t a t i v e of t h e c o u n t r y

President Nimeiri h i m s e l f , m a d e the

as a w h o l e . T h e m e s s a g e t h i s a r g u m e n t c o n -

Muslim

fundamentalists

to

power,

1972

Addis Ababa Agreement possible, has given

t a i n s is a b i t t e r pill t o s w a l l o w f o r

a s o b e r i n g a s s e s s m e n t of t h e c o n s t i t u t i o n a l

c o m m i t t e d to t h e A r a b i d e n t i t y : it e s s e n t i a l l y

those

o p t i o n s o p e n to t h e c o u n t r y in l i g h t of t h e

m e a n s t e l l i n g t h e N o r t h t h a t it h a s b e e n la-

d i s m a l r e c o r d of N o r t h - S o u t h r e l a t i o n s :

b o r i n g u n d e r a n o t i o n of A r a b i d e n t i t y that is f i c t i t i o u s , is n o t s u f f i c i e n t l y s u p p o r t e d b y g e -

Options which would be available within the unity frame of reference range from administrative decentralization which was tried in the northern Sudan in 1980, regional autonomy which was tried in the southern Sudan from 1972 to 1983 and federation which was partially tried in the form of regional autonomy, to confederation which has not been tried. T h e s e c o n d o p t i o n is o n e t h a t s p l i t s t h e n a tion-state into t w o or m o r e sovereign entities.

netics or history, and has divided the nation in a w a y t h a t c a n n o l o n g e r b e s u s t a i n e d . If n o r t h e r n e r s v a l u e t h e u n i t y of t h e i r n a t i o n a b o v e their s e l f - d e l u s i o n that they are A r a b s , then they must courageously scrutinize their s e l f - p e r c e p t i o n , e x p l o r e the b o n d s of c o m m o n ancestry with their n o n - A r a b compatrio t s , a n d e n d e a v o r to h e l p b u i l d a n a t i o n t h a t is g r o u n d e d o n t h e u n i t i n g f a c t o r s a n d e n r i c h e d b y its d i v e r s i t i e s . A s i m i l a r m e s s a g e

87. "The Sudan, 1985-1989: The Fading Democracy," The Journal of Modern African Studies 28, no. 2 (1990): 199-224. 88. El-Affendi, "Discovering the South," pp. 3 8 8 - 3 8 9 . 89. Abel Alier, The Southern Sudan: Too Many Agreements Dishonoured (Exeter: Ithaca Press, 1990), p. 111.

366

Francis M. Deng

to

internal front on the b a s e s o f shared values

m a k e them r e a l i z e that what d i v i d e s them

and institutionalized p r a c t i c e s . With the real-

would a l s o be targeted

to s o u t h e r n e r s

from the North is not as profound as has al-

ization that friendly and c o o p e r a t i v e rela-

ways been a s s u m e d , that a significant part o f

tions are e s s e n t i a l to r e g i o n a l security, e c o -

the northern population c o m p r i s e s the prog-

n o m i c g r o w t h , and prosperity, the two parts

eny o f their A f r i c a n ancestors who were c a p -

o f the country may eventually begin to build

as

new b r i d g e s and c o m e b a c k t o g e t h e r on the

s l a v e s , and that the c h a l l e n g e o f building a

basis o f genuine need for cooperation and re-

tured and taken a w a y

f r o m the S o u t h

united and strong nation now m a k e s it in-

gional integration without the domination o f

c u m b e n t on them to c l o s e ranks and e x p l o r e

o n e by the other. In this r e s p e c t , the experi-

their c o m m o n origins.

e n c e o f E t h i o p i a and Eritrea is instructive.

A s e c o n d a r g u m e n t r e c o g n i z e s that the

T h e s e s c e n a r i o s do not, o f c o u r s e , ad-

identities o f North and S o u t h have e v o l v e d

dress the p r o b l e m o f internal divisions in

into sharply c o n t r a s t i n g racial, cultural, and

both the North and the South and the danger

r e l i g i o u s s e l f - p e r c e p t i o n s . North and S o u t h

they pose f o r the further disintegration

are further c h a r a c t e r i z e d by d i f f e r e n t stan-

these entities. T h e danger for the South is ad-

dards o f living and v a r y i n g l e v e l s o f e c o -

mittedly g r e a t e r than f o r the North where

n o m i c , s o c i a l , and cultural d e v e l o p m e n t . In

I s l a m , the A r a b i c language, and a broad cul-

the North the s e n s e o f pride and dignity the

tural assimilation may serve as unifying fac-

Sudanese

self-

tors. Yet the c a s e o f the South has to be seen

perceived heritage would prevent them from

in the c o n t e x t o f d i v i s i v e m a n e u v e r s by the

Arabs

gain

from

their

of

their

North. If an a g r e e m e n t w e r e r e a c h e d on a

l o n g - d i s c a r d e d A f r i c a n identity. T h e south-

mutually a c c e p t a b l e a r r a n g e m e n t , this c o m -

ern S u d a n e s e , too, are proud o f their tribally

plicating factor would be significantly

rooted e t h n i c and cultural

duced, if not r e m o v e d . B o t h the North and

shedding

their A r a b skin to r e s u m e

identity—which

has survived recurrent A r a b i n v a s i o n s slaves—and contemptuous of a race

for they

re-

the South would then deal with their internal diversities

in

much

the

same

way

other

consider bent on subjugating and humiliating

A f r i c a n and A r a b c o u n t r i e s m a n a g e their in-

the b l a c k r a c e . T h e y would rather take the

ternal ethnic or tribal d i f f e r e n c e s .

northern S u d a n e s e for what they c l a i m

to

Indeed, the current p r o b l e m o f d i v i s i o n

b e — A r a b s . T h e fact that these A r a b s deny

and fragmentation in the S o u t h could be mit-

their v i s i b l e b l a c k A f r i c a n g e n e t i c o r i g i n s is

igated if s e v e r a l q u e s t i o n s w e r e addressed.

all the more reason to c o n d e m n them as rene-

T h e first q u e s t i o n is to d e t e r m i n e w h e t h e r

g a d e s . T h e only unity that can be sustained

the S o u t h has a r e c o g n i z a b l e c a u s e

on the basis o f this duality is one founded on

fighting for. T h e a n s w e r to that q u e s t i o n is

a diversified c o n f e d e r a l c o e x i s t e n c e .

bound to be a r e s o u n d i n g " Y e s . " T h e next

worth

An e x t e n s i o n o f the l o g i c in the s e c o n d

question is to look c l o s e l y at the various fac-

alternative w o u l d lead to a third c h o i c e o f

tions to determine which o f them is fighting

policy. If, indeed, the d i f f e r e n c e s

between

for that cause. A g a i n , it is o b v i o u s that while

the North and the S o u t h are so w i d e and

all the f a c t i o n s e s p o u s e o b j e c t i v e s that are

deep, there is e v e r y r e a s o n to b e l i e v e that

similar, i f not identical, they pursue these o b -

p r o b l e m s b a s e d on r a c e , e t h n i c i t y , r e l i g i o n ,

j e c t i v e s through a v a r i e t y o f w a y s ,

culture, and language, c r o w n e d with r e g i o n -

m o r e credible than others. All things c o n s i d -

a l i s m , will r e m a i n and u n d e r m i n e any f o r m

ered, it should a l s o b e r e l a t i v e l y easy to de-

o f unity. T h e i n e v i t a b l e c o n c l u s i o n is that

t e r m i n e w h i c h o f t h e m is c r e d i b l e as repre-

even a loose f r a m e w o r k o f unity may not be

sentative

mutually a c c o m m o d a t i n g e n o u g h to b e sus-

support to that f a c t i o n w o u l d s i g n i f i c a n t l y

of

the

southern

cause.

some

Giving

tainable. In that c a s e , the only r e m a i n i n g op-

strengthen it, u n d e r m i n e its o p p o n e n t s , and

tion is to partition the country. Partition may

provide an i n c e n t i v e f o r regional unity. E v e n

indeed a l l o w e a c h side to c o n s o l i d a t e

the p r o s p e c t s f o r n a t i o n a l unity w o u l d be

its

Sudan: The Challenge of

367

Nationhood

s i g n i f i c a n t l y e n h a n c e d by r e d u c i n g r e g i o n a l

s t a n d t o g e t h e r in c o l l e c t i v e p u r s u i t of t h e i r

f a c t i o n a l i s m in b o t h t h e N o r t h a n d t h e S o u t h .

common

destiny.

Only

through

mutual

U n d o u b t e d l y , u n i t y is a l a u d a b l e g o a l ,

recognition, respect, and h a r m o n i o u s inter-

b u t t h e b e s t g u a r a n t e e f o r u n i t y is f o r t h e

action a m o n g African and Arab populations

l e a d e r s h i p , e s p e c i a l l y at t h e n a t i o n a l l e v e l , t o

throughout

rise a b o v e f a c t i o n a l i s m and to o f f e r the en-

achieve and ensure a just and lasting peace

the

country

can

the

Sudan

tire nation

a

a n d live u p to its p o s t u l a t e d r o l e as a t r u e m i -

c r o s s s e c t i o n a l m a j o r i t y of t h e S u d a n e s e p e o -

c r o c o s m of A f r i c a a n d a d y n a m i c link b e -

p l e , i r r e s p e c t i v e of r a c e , e t h n i c i t y , r e g i o n , o r

tween the continent and the Middle East.

a vision

that

would

inspire

religion, to identify with the nation and to

Commentary Giandomenico

Picco

P

rofessor Deng takes the reader on a jour-

This said, Professor D e n g brilliantly ex-

n e y of l o g i c a l s t e p s , s u p p o r t e d b y h i s t o r -

p l a i n s t h a t as f a r a s e t h n i c i t y is c o n c e r n e d ,

i c a l , s o c i a l , a n d c u l t u r a l f a c t s , in o r d e r to

o n e w i l l f i n d it q u i t e d i f f i c u l t t o p r o v e that

p r o v e that t h e d i f f e r e n c e b e t w e e n N o r t h a n d

t o d a y ' s S u d a n is c o m p o s e d of t w o s e p a r a t e

S o u t h S u d a n is n o t as v a l i d as t h e l o c a l p o p -

e t h n i c g r o u p s , f r o m an a n t h r o p o l o g i c a l v i e w -

ulation, and perhaps many outsiders, would

point. Rather, the o p p o s i t e appears to be the

like to believe. His rational j o u r n e y through

case.

h i s t o r y a n d s o c i e t y in S u d a n is q u i t e c o n -

In f a c t , t h e a u t h o r m a k e s t h e p o i n t that

v i n c i n g . A s f a r as h i s t o r y is c o n c e r n e d , P r o -

the e l e m e n t s of d i v e r s i t y f i n d n o b a s i s in f a c t s

fessor D e n g sees the British indecisiveness

a n d t h a t , o b j e c t i v e l y , t h e t w o s i d e s of S u d a n ,

about determining whether the South would

apart f r o m being divided even within t h e m -

b e c o n s i d e r e d p a r t of E a s t A f r i c a o r p a r t of a

selves. would and could find a m o d u s vivendi

u n i t e d S u d a n to b e a m a j o r p o i n t of d e p a r -

in v a r i o u s f o r m s of a u t o n o m y , s e c u l a r i t y , f e d -

t u r e . I n d e e d , t h e B r i t i s h l o o k e d at t h e S o u t h

e r a t i o n , o r c o n f e d e r a t i o n if o n l y t h e reality of

as b e i n g d i f f e r e n t f r o m t h e n o r t h , a n d , a l t e r -

the s i t u a t i o n w e r e a c c e p t e d by t h e p o p u l a t i o n .

natively, the E g y p t i a n partner of the c o n d o -

I n s t e a d , t h e p r o b l e m of S u d a n is o n e of p e r -

minium

had more

interest

in t h e

Arabic-

c e p t i o n or, r a t h e r , s e l f - p e r c e p t i o n . P r o f e s s o r

elements

present

both

nize t w o apparently conflicting conclusions:

speaking North. The cultural

D e n g is t h e f i r s t p e r s o n , h o w e v e r , to r e c o g a

N o r t h t h a t is d e s i r o u s of i n t e r t w i n i n g i t s e l f w i t h t h e A r a b w o r l d a n d a S o u t h t h a t is p r o jected toward Uganda and Kenya. Socially, the South

is p r e s e n t e d

as t h e a r e a

from

w h i c h s l a v e s w e r e t a k e n , in o r d e r t o s u p p l y the entire M i d d l e East region. A n d r e l i g i o u s l y , of c o u r s e , t h e

author

One, that the South will not easily succeed in seceding and the other, that the construction of a national identity is not in the cards for the foreseeable future. In the short term, Sudan seems to have no other choice than much of the same of what is happening today.

the

D e n g e x p l a i n s that s i n c e t h e v e r y b e g i n n i n g ,

C h r i s t i a n o r a n i m i s t i c S o u t h . T h e m o r e t h e Is-

t h e c r i s i s of n a t i o n a l i d e n t i t y h a s i n d e e d b e e n

lamic North leans toward fundamentalism,

a c r i s i s of p e r c e p t i o n . T h e g a p b e t w e e n t h a t

distinguishes the M u s l i m

North from

the more the religious factor b e c o m e s a di-

w h i c h t h e g r o u p s p e r c e i v e to b e t h e i r i d e n t i t y

viding one.

a n d t h e r e a l i t y o f t h e s i t u a t i o n is q u i t e w i d e ;

368

Giandomenico

Picco

nevertheless, at the end o f the day, percep-

Egyptian establishment. T o Egypt, Sudan is

tion leads people to identify with one group

water (the Nile) and the Islam o f Turabi.

or to the other. S o c i o l o g i c a l l y , the North per-

Egypt wants and needs the water o f the Nile,

c e i v e s itself to be A r a b and the S o u t h per-

but does not want the Islam o f Turabi. Inter-

c e i v e s itself to be A f r i c a n . A c c o r d i n g l y , I

national

agree with Professor D e n g ' s main argument,

B a n k , let alone direct assistance from the

that this is the basis o f the crisis in Sudan. I

West, b a s i c a l l y do not exist. Trade credit is

should add that he also suggests that percep-

hard to c o m e by for Sudan, even in the pri-

tion could be modified with time and the

vate sector, and then, o f course, there is

loans to Sudan

from

the

World

right leadership, but that thus far S u d a n e s e

Sudan's friendship with Iran. It is speculated

leaders have accentuated the gap rather than

that the entire U N - S o m a l i a operation, initiated by the United Nations S e c r e t a r y - G e n -

helping to close it. Indeed, perceptions are at the basis o f many

political

tensions

throughout

the

world: weak leadership needs an e n e m y in order to rise up and weaker leadership needs one in the same country in order to remain in power; for it is easier to rule in a situation o f perpetual war, revolution, or threat o f war. The

question

is,

how

long

can

eral,

was,

in fact,

aimed

at preparing

a

launching base from S o m a l i a into Sudan. T h e Egyptian S e c r e t a r y - G e n e r a l o f the UN could not escape his national paranoia about Sudan. This theory may not be true, but analysts in Europe thought it plausible. M o r e recently, the rapprochement

be-

one

tween Egypt and L i b y a has caused new spec-

Today, the need for an enemy has re-

to the South. T h e visit o f President Rasfan-

placed the conceptual threat inherent in the

j a n i to Sudan two years ago and the alleged

two b l o c s o f the Cold War times ( w h i c h , in

e x i s t e n c e of six hundred Iranian revolution-

regime rule under a state o f e m e r g e n c y ?

ulations in Khartoum about Libyan support

turn, had replaced the colonial enemy). Thus,

ary guards in Sudanese territory is enough to

it is no surprise that regimes who cannot

c a u s e a few s l e e p l e s s nights in Cairo. In an

count on the support o f their population can

era o f b i o l o g i c a l weapons and imaginative

c o a l e s c e a larger group under the banner o f a

terrorists, the waters o f the Nile could be-

threat that c o m e s from the inside. If a regime

c o m e either a nightmare or an opportunity,

does not have enough to offer, then it tries to

depending on whose viewpoint is consid-

emphasize what it is not; and the e n e m y be-

ered. T h u s , it follows that the Arabism o f

c o m e s a necessity for survival. And if what a

Sudan is w e l c o m e d by s o m e people in the

regime can o f f e r is really very little, then a

A r a b world and feared by others. Sudan is

civil war c o m e s in handy because it distracts

not only searching for a national identity but

the population from the real problems.

also for an international one. Having already

T h i s being said, it s e e m s that there are

been penalized for its friendship with Iran,

other relevant e l e m e n t s in the Sudan crisis

Sudan is looking for its niche in the Arab

that have not been mentioned. O n e is the

world. T h e Sunni Turabi may discuss reli-

e c o n o m i c aspect and the other is the regional

gion with Iranian Shiites, but his e y e s look

(or

which

toward M e c c a , not toward Q o m or N a j a f .

Sudan finds itself. T h e two are intertwined

F o r this reason, the House o f Saud is playing

and, in a sense, have created a vicious circle,

gently with Khartoum, which only increases

which does not help in the search f o r c o m -

C a i r o ' s c o n c e r n . In fact, the constellation in

mon denominators or c o m m o n interests be-

the region has progressed even further. Mili-

tween the two sides.

tary tension already exists between Sudan

international)

constellation

in

S i n c e the eighties, especially since General B e s h i r ' s t a k e o v e r in K h a r t o u m , Sudan has been confronted with the Egyptian factor as much as E g y p t ' s paranoia o f Sudan has sunk deeply into the c o n s c i o u s n e s s o f the

and Eritrea, where a secular, pragmatic, and possibly less corrupt African leadership is now building a new nation. T h i s is another reason for Riyadh and Khartoum to keep close contact. Economically, Israel has b e c o m e an

Commentary e x t r e m e l y i m p o r t a n t a c t o r in A f r i c a , all the w a y to Ethiopia and Eritrea. With that m u c h i n v o l v e m e n t , U.S. trade will follow. E v e n in trade relations today, this is a p p a r e n t . F r o m this d e v e l o p m e n t alone, the S o u t h m a y b e n e f i t by j u s t l o o k i n g f a r t h e r s o u t h . T h e political c o n s t e l l a t i o n that I see e m e r g ing is o n e in w h i c h the A r a b i c - s p e a k i n g est a b l i s h m e n t in K h a r t o u m is m o r e or less surr o u n d e d : Lybia, Egypt, Eritrea, and Ethiopia will not be s y m p a t h e t i c to the S u d a n of Bashir and Turabi. A s tension b e t w e e n Khart o u m and C a i r o i n c r e a s e s , there are indicat i o n s of new m i l i t a r y s u p p o r t for G e n e r a l G a r a n g f r o m the n o n - M u s l i m states. T h e t r u c e of spring and s u m m e r 1995 m a y well c o m e to an e n d in the fall. A r e s u m p t i o n of the military c o n f r o n t a t i o n w o u l d increase the d e m a n d f o r f o r e i g n s u p p l i e r s of w e a p o n r y and cash. Here again, the role of Saudi Arabia in K h a r t o u m ' s a f f a i r s is likely to inc r e a s e . Will S u d a n b e c o m e the t h e a t e r of c o n f r o n t a t i o n b e t w e e n Israel and c e r t a i n Western quarters, on o n e side, and the M u s lim states, on the other? Will this scenario, in fact, be r e c o n c i l a b l e with a d v a n c e s in the peace process in Palestine? H o w e v e r the situation w o r k s itself out, the end result c o u l d be a kind of proxy m i n i - c o n f l i c t , slightly rem o v e d f r o m the t r a d i t i o n a l a r e n a of M i d d l e East wars of the past. T h e s e d e v e l o p m e n t s will, of c o u r s e , d o little to resolve S u d a n ' s identity crisis. Yet if the e x a m p l e Iran is u s e f u l in u n d e r s t a n d i n g h o w Islamic leaderships m o v e in the new international c o n s t e l l a t i o n , then it is p o s s i b l e

369 to i m a g i n e that G e n e r a l B a s h i r a n d Mr. Turabi w o u l d look f o r a w a y to i m p r o v e relations with W a s h i n g t o n . O n l y i m p r o v e d relations with the U n i t e d States will o p e n credit a n d other f i n a n c i a l m a r k e t s to the S u d a n — a n d the way to W a s h i n g t o n m a y well pass through R i y a d h . Would Washington require, in that case, s u c c e s s f u l n e g o t i a t i o n s b e t w e e n the N o r t h and the South as a c o n d i t i o n , or e v e n the s e v e r i n g of their c l o s e r e l a t i o n s h i p with Tehran? S o m e of these realities or p o s s i b l e scenarios d o have a b e a r i n g on h o w the S o u t h and the North of Sudan play the g a m e of national identity. Yet if anything, these international e l e m e n t s s t r e n g t h e n the c o n c l u s i o n s P r o f e s s o r D e n g arrives at in his paper. H e quotes Abdel Wahab al A f f e n d i as saying: "It is thus unlikely in the g i v e n c i r c u m s t a n c e s , that the c o n f l i c t i n g d e m a n d s of the t w o m a j o r c a m p s could e v e n t u a l l y be s a t i s f i e d with one state . . . a multistate solution m a y be the only way to p r e s e r v e w h a t is left of that o n c e much loved oasis. . . . " My greatest wish is that the r e a s o n , c o m m o n sense, and wise and visionary arguments presented in this p a p e r could be transferred f r o m the world of a c a d e m i a to the real world of politics and political leaders. Everyone would benefit. Instead, domestic and international actors s e e m to p r o m o t e the viewpoint that there are irreconcilable d i f f e r ences—politically, economically, and in terms of p e r c e p t i o n — b e t w e e n the North and the South of Sudan.

370

/. Isawa Elaigivu

Commentary J. Isawa Elaigwu

T

he t e c h n o l o g i c a l r e v o l u t i o n in the s e c -

W h a t are the parameters o f self-determi-

ond h a l f o f the twentieth century, and its

nation in the S u d a n or in any A f r i c a n coun-

attendant revolution in c o m m u n i c a t i o n , have

try? T o what e x t e n t have A f r i c a n

not only c r e a t e d g l o b a l " v i l l a g e s , " but h a v e

been able to d e l i c a t e l y b a l a n c e two types o f

leaders

i n c r e a s i n g l y e s t a b l i s h e d g l o b a l h a m l e t s . In-

self-determination—the

t e r a c t i o n a m o n g human groups has b e c o m e

maintain a supranational f r a m e w o r k o f g o v -

m o r e intense. S t a t e s are under greater stress

e r n m e n t that g u a r a n t e e s security for e v e r y -

as a result o f the i n c r e a s i n g h o m o g e n e i t y o f

o n e in the n a t i o n — s t a t e , on one hand, and

d e s i r e s , yet h e t e r o g e n e i t y

by

the s e l f - d e t e r m i n a t i o n o f c o m p o n e n t groups

groups. G r o u p identities have " e x p l o d e d " in

to retain their individual identities, on the

such great proportions that while s o m e states

o t h e r ? G i v e n the S u d a n e s e e x p e r i e n c e , is it

attempt to form regional supranational orga-

p o s s i b l e that in apparently " d y a d i c "

n i z a t i o n s to c o p e with the u n p r e d i c t a b l e vi-

frontations b e t w e e n b a s i c a l l y two identities,

cissitudes o f the global s o c i o e c o n o m i c c o m -

options that are available as solutions at one

of demands

determination

to

con-

petitive p r o c e s s , other states have c o l l a p s e d ,

point in time may b e c o m e totally u n a c c e p t -

giving birth to n e w e r and s m a l l e r states. E m -

able at another? T h u s , if a federal-type solu-

pires

intense

tion was a possible option earlier, is it still a

g l o b a l i d e o l o g i c a l v e n e e r that c a m o u f l a g e d

v i a b l e o p t i o n ? O r have the leaders thrown

imperial interests o f nations after the S e c o n d

away that opportunity? Has the self-determi-

World War s e e m s to have been dissolved by

nation train b e c o m e unstoppable?

have

disintegrated,

and the

the new, crude, a g g r e s s i v e l y c o m p e t i t i v e so-

In line with the L i e c h t e n s t e i n initiative,

c i o e c o n o m i c realities o f the terminal stage o f

w h i c h o r g a n i z a t i o n should handle this m a t -

the twentieth century.

ter? T h e U N O ? Can the matter be handled

Increasingly, the issue o f s e l f - d e t e r m i n a -

p e a c e f u l l y i f the only available option is sep-

tion o f groups and p e o p l e s has taken a n e w

aration through s e c e s s i o n ? Can the parties

s a l i e n c y in national and international poli-

resolve to go their own ways, while renounc-

tics. Herein lies the r e l e v a n c e o f the situation

ing v i o l e n c e ? W a s the Eritrean e x a m p l e re-

in the Sudan that was so s k i l l f u l l y a n a l y z e d

ally without v i o l e n c e ? T o what extent d o e s

by P r o f e s s o r D e n g . His paper r a i s e s a n u m -

" s e l f - d e t e r m i n a t i o n " b e c o m e counterproduc-

ber o f crucial issues. W h a t really constitutes

tive to the nation-state as well as the people

a n a t i o n ? H o w relevant is the issue o f iden-

i n v o l v e d ? W h a t are the implications for new

tity to the p r o c e s s o f state- and nation-build-

states e m e r g i n g out o f the S u d a n ? W i l l there

mean

be m a n y C h e c h n y a s in the Sudan and, in-

when applied to the S u d a n ? W h y d o e s s e l f -

deed, in A f r i c a ? O n the o t h e r hand, can the

d e t e r m i n a t i o n r e m a i n a r e c u r r i n g t h e m e in

Sudanese

that country, or any A f r i c a n c o u n t r y ?

winter storm o f aggressive identity, or should

ing?

What

does

self-determination

Is the c h a s m b e t w e e n the identities o f the p e o p l e in Northern and S o u t h e r n S u d a n so i m p a s s a b l e that the p r o s p e c t s o f f o r g i n g

marriage

withstand

the

current

there be a d i v o r c e ? O r are we m e r e l y f a c e d with o n l y one o p t i o n — t h a t o f the m o d a l i t y o f divorce?

e v e n a tenuous c o l l e c t i v e national identity are b l e a k ? Is the pursuit o f national identity

From Integration

d e s i r a b l e at this point in S u d a n e s e h i s t o r y ?

I f m y c o m m e n t s raise m o r e q u e s t i o n s than

to

Disintegration?

W h a t would be the b a s i s f o r such n a t i o n a l

a n s w e r s , that is b e c a u s e o f the c o m p l e x i t y o f

identity? W h o m a k e s such a p o l i c y and in

the issue under d i s c u s s i o n . A s Mr. D e n g has

w h o s e interest?

c l e a r l y s h o w n , i s s u e s o f identity can e a s i l y

Commentary be cloaked by v e r i s i m i l i t u d e — t h e longer you look, the less facts you s e e — y e t p e r c e p t i o n s of the "'self," in this context, are grossly imp o r t a n t in d e t e r m i n i n g i n t e r a c t i o n b e t w e e n groups. T h e S u d a n e s e c a s e is typically A f r i c a n , on the o n e h a n d , a n d yet s p e c i a l , o n the other. It is t y p i c a l l y A f r i c a n r e g a r d i n g the i m p a c t of the " g h o s t of B e r l i n " on A f r i c a — that is, the p a r t i t i o n of A f r i c a in 1884. Ironically, B e r l i n , until recently, was also partit i o n e d . A f r i c a ' s r e v e n g e on G e r m a n y did not h a v e as m u c h lasting i m p a c t as the Eur o p e a n c a r v i n g k n i f e h a d in B e r l i n . T h e p o i n t is really that the c r u d e n a t u r e of the " s c r a m b l e for A f r i c a " and its p a r t i t i o n took n o c o g n i z a n c e of the i d e n t i t i e s of g r o u p s a n d p e o p l e s . N o r did the c o l o n i z e r s h a v e such v a l u e s as h u m a n r i g h t s [ f o r t h o s e , w e can thank J i m m y Carter). Self-determination w a s the right of the partitioners, not the partitioned. T h u s , new state b o u n d a r i e s that e m e r g e d at i n d e p e n d e n c e cut across villages and ethnic g r o u p s and included m a n y " s t r a n g e " peoples, as c o l o n i a l a u t h o r i t i e s a t t e m p t e d new f o r m s of integration in the terminal colonial period. Nigeria has over 250 ethnic groups. T h e H a u s a s are c a u g h t b e t w e e n the N i g e r R e p u b l i c and N i g e r i a ; the Yorubas b e t w e e n the R e p u b l i c of B e n i n a n d N i g e r i a , the Som a l i s b e t w e e n K e n y a , E t h i o p i a , and S o m a lia; the M a s a i s b e t w e e n K e n y a and Tanzania; and of c o u r s e , the E w e s b e t w e e n G h a n a and Togo. S i n c e the 1960s A f r i c a has w i t n e s s e d m a n y secessionist attempts including those in Zaire, Nigeria, Ethiopia, and the Sudan. Irredentist m o v e m e n t s span the w h o l e continent. In c o g n i z a n c e of this, the O r g a n i z a t i o n of A f r i c a n U n i t y ( O A U ) C h a r t e r r e c o g n i z e d c o l o n i a l b o u n d a r i e s and d e p r e c a t e d their c h a n g e . T h e Eritrean case altered that. M a y be P r o f e s s o r D e n g is c o r r e c t to argue that A f r i c a is n o w m o r e c a p a b l e of w i t h s t a n d i n g the s h o c k s of d i s i n t e g r a t i o n . H o w far can o n e g o with the logic of s e l f - d e t e r m i n a t i o n ? B e f o r e i n d e p e n d e n c e , reactive state nationalism e x h o r t e d the p r i n c i p l e s of s e l f - d e t e r m i n a t i o n as n a t i o n a l i s t s s a n k their d i f f e r e n c e s to ask f o r i n d e p e n d e n c e . N o s o o n e r did the

371 political k i n g d o m c o m e than c o m p e t i t i v e g r o u p identities p u s h e d f o r s e l f - d e t e r m i n a tion for subnational groups. I n d e e d , as long as a p e o p l e or a g r o u p p e r c e i v e t h e m s e l v e s to be at the r e c e i v i n g end of " m a r g i n a l i z a t i o n " and/or " d i s c r i m i n a t i o n " in the distribution of scarce but allocatable r e s o u r c e s and v a l u e s , the goal of selfd e t e r m i n a t i o n will be r e l e v a n t . S e n s i t i v e , c o r r e c t i v e , and p u r p o s e f u l l e a d e r s h i p is n e e d e d in o r d e r to avert v i o l e n c e and disint e g r a t i o n . and to strike a r e l e v a n t c o m p r o mise. In N i g e r i a , c o m p r o m i s e s a m o n g leaders h a v e kept the c o u n t r y together, e v e n a m i d s t its tortuous j o u r n e y to n a t i o n h o o d . In the S u d a n , the various groups seem unable to reach even a tentative c o m p r o m i s e , a n d . instead, their positions seem to have h a r d e n e d over the years. As long as the central g o v e r n m e n t insists on the creation of an Arabic and Islamic national identity f o r the S u d a n , the p a r a m e ters of c o m p r o m i s e s are very narrow. N o r can the South insist on a truly secular state— or the s e p a r a t i o n of the state f r o m religion. As P r o f e s s o r D e n g o b s e r v e d , ". . . even a loose f r a m e w o r k of unity m a y not be m u t u ally a c c o m m o d a t i n g e n o u g h to be sustainable. In that case, the only r e m a i n i n g option is to partition the c o u n t r y . " In the S u d a n , we t h e r e f o r e h a v e a case of colonial integration that is likely to end in the d i s i n t e g r a t i o n of the state. Are there still any options left? Toward a Solution G i v e n the level of m u t u a l distrust a m o n g c o m p o n e n t s u b n a t i o n a l g r o u p s in the S u d a n and the a g g r e s s i v e n e s s of c e n t r i f u g a l f o r c e s at w o r k , the p r o b a b i l i t y of a c h i e v i n g any s e m b l a n c e of " u n i t y " s e e m s bleak. A s D e n g s u g g e s t e d , " T h e issue is n o l o n g e r the subs t a n t i v e c o n t e x t of the l a w s or the policies, but the p l a c e of d e e p l y felt identities that h a v e p r o v e d i n c o m p a t i b l e as they are presented and reflected by the political elites." A s h a p p e n s in m a n y s i m i l a r c a s e s , the political elites are the core problem of the S u d a n — a s they are in Nigeria. T h e e d u c a t e d elites are the o n e s w h o c o m p e t e f o r s c a r c e but a l l o c a t a b l e r e s o u r c e s a n d v a l u e s . T h e y

372 are the ones who mobilize their fellow geoethnic, religious and/or racial compatriots to battle when they fail to achieve their objectives. Unfortunately, issues of primordial identity are highly emotive in content and susceptible to manipulation. Among these educated elite, the political class is most relevant to nation-building or nation-destruction. It is our suggestion that a number of options are available to the Sudan, some tenable and others probably untenable; viz. 1. The South should accept assimilation or incorporation into the A r a b fold, that is, the northern policies of arabization and islamization, and forget its own identity: this option seems untenable as of now; 2. The two regions. North and South, are incompatible and thus should disengage. The South has a right to secession and should pull away from the Sudanese state. This has implications for southern unity, as fragile as it already is. Would it lead to numerous ministates emerging f r o m the South'? Would victory in self-determination be a pyrrhic victory in which the South wins self-determination but loses its objective of collective autonomy and identity? 3. A structural reorganization of the Sudan such that the federalist option is adopted, recognizing the differences between North and South and effecting compromises in the system. The Liechtenstein initiative would be useful here because administrative autonomy could be provided for smaller units within the f r a m e w o r k of a larger Sudan. The most endearing quality of a federal-type solution is that it provides a framework within which two types of self-determination can coexist: the determination to maintain a supranational f r a m e w o r k of government, which guarantees security for all in the nation-state, on the one hand, and the self-determination of the component groups to retain their individual identities, on the other; 4. The North should accept an ecumenical polity in which many religions can coexist. T h e North could have shari'a law and the South canon and customary laws, and

/. Isawa Elaigwu K h a r t o u m could be m a d e an ecumenical center. In Nigeria, when religious groups quarrelled over the issue of secularism or state religion, the c o m p r o m i s e solution adopted was to state in the constitution that "there shall be no State Religion." This provision does not prevent government f r o m taking interest in religion, and yet it prevents the imposition of any single religion on the nation. Another typical Nigerian c o m p r o m i s e was over the issue of S h a r i ' a Court of Appeal. The Muslims had argued that they wanted a Federal Shari'a Court of Appeal to deal with Islamic personal law and laws of inheritance. The controversy over this issue nearly cracked the nation. However, the political elites at the Constituent Assemblies reached a compromise: (i) that each subnational state that so desired could have a S h a r i ' a Court; (ii) that any subnational state that so desired could have a Customary Court; and (iii) that at the Federal Court of Appeal, expert judges in S h a r i ' a and Customary Courts would serve on the bench to hear cases. Perhaps these c o m p r o m i s e s saved Nigeria. It was possible because of the federal structure. Thus, in the Sudan, shari'a could still govern the way of life in the North, while customary or other laws could operate in the South, as long as Khartoum is recognized as an ecumenical center. The process, admittedly, is not as simple, but it may set the stage for further compromises; 5. A new Sudanese state in which the elites respect the feelings of each other and in which elites sit down with seriousness of purpose and without pretenses about their geopolitical considerations in order to discuss collective interests; and finally, 6. In spite of all the above, we suggest that the Sudanese parties have no option but to adopt or develop a spirit of tolerance, accommodation, fairness, and justice. These are h u m a n values, emanating f r o m deep human concern for fellow human beings, and they cannot be constitutionally decreed. Finally, federal-type systems are complex and frequently difficult and expensive

373

Commentary to operate. Often, federalism is a paradoxical

uous settings in A f r i c a , the signposts at the

e l i x i r to be purchased in any market. T h e

federal door often read: "Very Fragile: Han-

self-determination

dle with utmost care or risk death." Yet uni-

and

compromises

that

may keep the nation together could also sow the very seeds o f disintegration. In many ten-

tary systems have not worked any better.

CHAPTER 15

Avoiding the Iron Cage of Legislated Identity John Waterbury

General Considerations H o w m a n y p e o p l e h a v e e v e r h e a r d of Ihe S z e k e l s of T r a n s y l v a n i a ? Yet t h e r e a r e o v e r 8 0 0 , 0 0 0 of t h e m , all e n t i t l e d to a p l a c e in t h e sun a n d all c a p a b l e of m a k i n g t r o u b l e if it is d e n i e d to t h e m . —Walter Lippmann, The Slakes of Diplomacy. 1915, as c i t e d in D.P. M o y n i h a n . Pandaemonium. 1993: 100 But of all t h e i n d i v i d u a l s l i v i n g in P e y r a n e d u r i n g the t h i r t e e n - y e a r p e r i o d f r o m 1 9 4 6 t o 1959, h o w m a n y lived there for thirteen y e a r s ? O n l y 2 7 5 ! A n d of t h e s e . 137 w e r e not b o r n in P e y r a n e ! At t h i s p o i n t I b e g i n to w o n d e r w h a t 1 m e a n w h e n I r e f e r to " t h e p e o p l e of P e y r a n e . " — L a w r e n c e Wylie, A Village in the Vaucluse, 1961: 3 5 2

We would not talk of self-determination, as opposed to democratization or the protection of human rights, if there was not a presumption that certain groups should or could legitimately seek some degree of self-rule. While accepting that broad premise, this essay argues that we have very weak guides as to what constitutes such groups and that in trying to protect them we may endow certain of them with a factitious reality that is neither historically nor dynamically grounded. Indeed, there are no natural, legal units in the international nor in most national systems. T h e famous hexagon etoile, had, until a century and a half ago, a population the majority of which did not speak French as its first language. Even islands do not make natural units, as Ireland and Britain vividly

demonstrate. W h e n one thinks of the contemporary cases of self-definition and selfdetermination e m b o d i e d in, say, Georgia, Québec, Lithuania, or Kurdistan, gratifying the urge for self-rule of one group complicates if, not denies, similar gratification for groups living in their midst. The issue is, above all, one of consent. Political systems must allow groups, if they choose to act as groups, to seek representation and to consent to participate in a larger unit. Rather than stimulating the formation and legal participation of groups qua groups, legislation should be neutral, permissive, but not encouraging. It may be advisable in certain circumstances to institutionalize what Lijphart (1987) has called a "minority veto," that is, a negative or blocking right, but legislation should not enshrine the rights and entitlements of any particular minority or group. It is equally important that political systems allow individuals to assert their identities as they see fit and to place no legal impediments or disincentives to the individual's ability to redefine her or himself constantly. Whatever its contours, the nation-state is no better and no worse as a context for the playing out of the process by which individuals c o m e together, cooperate, m o v e apart, and conflict. Self-determination implies some set of protean group interests, historically d i s e m b o d i e d and immutable, whereas reality, like Wylie's village, is far more malleable and inconstant. To take an e x a m p l e that will be developed further below, Turkey

375

376 is today a flawed democracy. Its constitution denies participation to groups that espouse ethnic or sectarian causes. Turkey's Kurdish (and, to a lesser extent, Islamic) problem is not one of self-determination but rather one of improving its democratic system. Gottlieb has posited that "autonomy in a state without d e m o c r a c y has scant practical m e a n i n g " (1993: 79; see also C S C E Geneva Report of the Meeting of Experts on National Minorities, as cited in Halperin. et al., 1992: 58). I would go a step further and argue that in a state in which the mechanisms of representation and the instruments of accountability work well, the issue of autonomy may lose its relevance (see Kohli on India in this volume). Identity There may be instances in which the objective characteristics of a group are so salient that, if they are in a minority or in some other way vulnerable as a group, it is reasonable and imperative to treat them as a group and to provide them explicit legal safeguards. G r o u p s defined by race and skin color best fit these criteria, for the option of dissimulating or assimilating to some other racial group is most often denied their m e m bers. Perhaps ironically, given the terrible history and legacy of apartheid, whites and " c o l o u r e d s " are in that position in South Africa today. They can neither hide from nor assimilate to the majority racial groups. Yet such objective situations are relatively rare. More c o m m o n are situations in which it is at least possible for individuals to m o v e f r o m group to group. Movement from one religion or sect to another is possible, as is the a b a n d o n m e n t of faith altogether. Ethnic identity may be so a m b i g u o u s and blurred around the edges that no one can be sure w h o is who. T h e R w a n d a n Tutsi adopted the Hutu language and, although they i m p o s e d a caste system that subordinated the Hutu, there was m o v e m e n t among casted groups in all directions, and m a n y R w a n d a n s could not be distinguished physically one f r o m another (Sir J a m e s Murray, 1994). Tribal scarring and religious tatooing are symbolic of e f f o r t s to lock people into

john Waterbury identities that they are perfectly capable of abandoning. The quest for self determination should not lead to the legal equivalent of scarring and tattooing. It is, of course, true that one cannot change one's origins, and few people want to do so, but one can deemphasize origins as a component of one's identity, and certain political and institutional settings may be more conducive to such deemphasis than others. There is a fundamental divide in the academics' and politicians' understanding of the d y n a m i c s of identity and how best to cope with those d y n a m i c s politically. There are those, including myself, who stress the plasticity of identity and who therefore advocate political rules that encourage identity change (see, inter alia. Nelson Kasfir). For example, Tawfic Farah (1987: 1 - 1 8 ) analyzed surveys that showed that between the late 1970s and the late 1980s the number of " A r a b " respondents identifying themselves as Arabs declined sharply in favor of those identifying themselves as Muslims. Of a differing view are those such as Walker Connor and Arend Lijphart, who take an essentialist view of identity, one that stresses its protean and prior qualities. For them, the best way to cope is to recognize and, to some extent, legally bless what is and what cannot be c h a n g e d . I will explore this question further with respect to Lebanon, which constitutionally recognized the fundamental confessional nature of Lebanese society. Yet there are many other examples—successful ones such as India (despite the conflicts in Kashmir and the Punjab) and less successful ones such as Nigeria—where this principle has been applied. The draft constitution for Ethiopia establishes nine regions, in eight of which a single ethnic group predominates. Each region is granted the right to secede. An Ethiopian minister remarked, "Our ethnic experiment has never been tried b e f o r e in Africa. . . . We have grabbed the bull by the horns. Instead of pretending that ethnicity d o e s n ' t exist, we are prepared to face it" {The Economist [9/10/94]: 48). T h e Ethiopian constitution offers positive incentives to politicians and voters to act

Avoiding

the Iron Cage of Legislated

Identiti/

and think ethnically. Once patronage and budget outlays begin to reinforce the ethnic territorial divisions, then the system will probably "lock in"; as the Belgians oblige Hutu and Tutsi to be so named on their ID cards, so the Ethiopian solution may create legal straitjackets that ignore shifting, situational identities. If the recognition of minority claims is founded on numerical concentrations in specific territories, as is the case in Ethiopia, then the f r e e m o v e m e n t of citizens, as well as that of labor and capital, may be impeded, thereby adding e c o n o m i c suboptimality to political expediency. I do not in the least belittle the enorm o u s challenges multiethnic, multisectarian states such as Ethiopia face in trying to avoid civil war and political collapse, but there is a d i f f e r e n c e between legal e n c o u r a g e m e n t and legal permission of the assertion of ethnic or sectarian identity. Legal encouragement, by naming ethnic or sectarian names, runs the risk that such arrangements may transform what can be a personal or group resource into an immutable fact and even a stigma. A Sikh may take pride in his topknot and turban, but a Polish or G e r m a n Jew surely did not in his yellow badge with the Star of David. Community Like individual and group identity, c o m m u nities are in a constant process of dissolution and redefinition. The range of legal remedies open to them are laws protecting minority rights, rights to lingual and cultural expression, autonomy and self-rule, and, ultimately, statehood. Halperin and his coauthors argue that a people or community is determined by the degree to which its m e m b e r s share ethnic, linguistic, religious, and cultural bonds

377 and a perception on the part of its m e m b e r s of " g r o u p n e s s " (1992: 47). The danger here is that even if one can satisfy these criteria at a moment in time, one may proceed to lock them in. It seems to me that the Bosnian Muslims tried to avoid just such a lockingin—not that, at this point in time, they are not Muslim and Bosnian, but that to remain so juridically would deny them the chance to be something else, something less easily targeted by their adversaries. Communities hold the seeds of considerable good and considerable evil. Nations, which are communities that have dominated international politics for the last century or so, contain these same seeds. The analysis of communities and nations produces images of benevolent and malevolent natures. The dividing line seems to be the degree of voluntarism and consent involved in m e m b e r s h i p (Urbinati. 1992).1 Communitarians, like Amitai Etzioni, see as the enemy a dehumanizing individualism that leads to the abnegation of individual and group responsibility to o n e ' s immediate fellows, and the abdication of duties and rights to an invasive g o v e r n m e n t . The image one takes away from Etzioni and others is that of porous groups, constantly emptying and filling, without precise criteria for m e m b e r s h i p , rules of exclusion, mechanisms to sanction and monitor, and a clear resource base. The good c o m m u n i t y does, however, have goals such as the protection of the family, dispute resolution, self-help, and the inculcation of benign values, but it is resolutely voluntarist. It is governed by "the gentle prodding of kin, friends, neighbors, and c o m m u n i t y m e m b e r s , " and the government should have a role only if there is a kind of market failure in the community provision of mutual support (Etzioni, 1993: 15).

1. Urbinati contrasts nations joined and held together by political consent as opposed to those with the following four characteristics: (1) the individual cannot be understood except in terms of the group to which s/he belongs, (2) the community is an organic whole, (3) traditions and beliefs are good because they are "ours," (4) the nation, like an organism, has needs that must be satisfied. This latter understanding, Jonathan Eyal argues (1994) is still dominant in Europe. Guhenno regards as trompeuses (1993: 21) all those putative nations that have not traversed the hundreds of years of bloodshed and savagery that yielded the real McCoy in Europe.

378

M i c h a e l T a y l o r e c h o e s this v i e w a n d g o e s f u r t h e r to s u g g e s t ( b a s e d b o t h on i t e r a t i v e g a m e t h e o r y and e m p i r i c a l o b s e r v a t i o n ) that t h e a l t r u i s m f o s t e r e d in c o m m u n i t y i n t e r a c tion e n g e n d e r s yet m o r e a l t r u i s m , as it b e c o m e s a n o r m d e f i n i n g l e g i t i m a c y within t h e g r o u p (Taylor, 1987: 1 6 6 - 1 7 9 ) . Etzioni h i m s e l f r e c o g n i z e s the t w o f a c e s of c o m m u n i t y (as does Daniel M o y n i h a n ) , but implicitly sees t w o distinct g e n a rather t h a n an e v o l u t i o n a r y p r o c e s s by w h i c h the g o o d can b e c o m e the bad and vice versa. 2 In his Foreign Policy article against the evils of selfd e t e r m i n a t i o n , he w o r r i e s a b o u t the i n h e r e n t i n t o l e r a n c e that c h a r a c t e r i z e s m o s t of t h o s e c o m m u n i t i e s seeking to rule t h e m s e l v e s — s e e his c o m m e n t below. Intolerance, he rightly arg u e s , c a n n o t be a c c o m m o d a t e d with v o l u n tarism and c o n s e n t . H o w e v e r , it s e e m s to m e unlikely that the '"nested" c o m m u n i t i e s of family, n e i g h b o r h o o d , t o w n s , and nation that Etzioni e s p o u s e s ( 1 9 9 3 : 32) w o u l d not, o v e r time, risk f a l l i n g into the s a m e trap of perc e i v i n g hostile or i n f e r i o r o u t g r o u p s and attributing to t h e m c h a r a c t e r i s t i c s w o r t h y of c o n d e m n a t i o n , if not o p e n e n m i t y . A l t r u i s m and other voluntarily held n o r m s m a y not be effective substitutes for self-righteousness, c o n t e m p t , and c o n f l i c t in m a i n t a i n i n g g r o u p c o h e s i o n . E t z i o n i ' s nesting i m a g e implies territoriality and c o n t i g u i t y , f a c t o r s that o f t e n m i l i t a t e f o r i n t o l e r a n c e of " o u t s i d e r s " ( f o r a s i m i l a r a r g u m e n t , see Y o u n g , 1990: 12; and Gellner, as cited in H a n n u m , 1990: 4 5 5 ) . It is p o s s i b l e to c o n c e i v e of c o m m u n i t i e s h e l d t o g e t h e r by s h a r e d ( b e n i g n ) n o r m s , social c a u s e s ( Y o u n g , 1990), p o l i c y i s s u e s , or s h a r e d k n o w l e d g e . Yet such c o m m u n i t i e s , to the extent they exist, appear inherently e p i s o d i c and e p h e m e r a l . C o m m u n i t i e s that e n d u r e typically m a n a g e r e s o u r c e s and territory. W h e t h e r a tribe, a p r o f e s s i o n a l a s s o c i a tion, or an a g r i c u l t u r a l c o o p e r a t i v e , t h e r e are r u l e s of m e m b e r s h i p a n d o f e x c l u s i o n , a n d t h e y are p e r c e i v e d b y t h e i r m e m b e r s to be e n d u r i n g . If t h i s l a t t e r p e r c e p t i o n is not w i d e s p r e a d , t h e n m e m b e r s will lack t h e

John

Waterbury

i n c e n t i v e s to h o n o r g r o u p n o r m s ( O s t r o m , 1990). R a t h e r than the v o l u n t a r i s m and consent e v o k e d by E t z i o n i , we h a v e in this pers p e c t i v e the i m p l i c i t c o e r c i o n of o s t r a c i s m and loss of s t a t u s c o u p l e d with a c c e s s to, or e x c l u s i o n f r o m , v a l u e d r e s o u r c e s . T h i s kind of c o m m u n i t y e v e r t e e t e r s on the b r i n k of x e n o p h o b i a and c o n t e m p t f o r any o t h e r g r o u p that m i g h t e n c r o a c h on its territory. Minorities Within Minorities Solving one minority problem may exacerb a t e t w o o t h e r s . H a l p e r i n , et al. ( 1 9 9 2 : 19) a r g u e that t h e p o s t - W o r l d W a r I territorial s e t t l e m e n t s w e r e d o o m e d b e c a u s e , in the e f fort to c r e a t e s t r a t e g i c n a t i o n a l b u f f e r s against G e r m a n y , the new entities c o n t a i n e d large, u n h a p p y m i n o r i t i e s that o f t e n spilled a c r o s s b o r d e r s . C a r e f u l territorial design, it is i m p l i e d , c o u l d o b v i a t e such p r o b l e m s , but such d e s i g n m a y lead to the r e d u c t i o ad abs u r d u m of the V a n c e - O w e n plan f o r the division of B o s n i a . W h o could m a k e political or territorial sense of A b k h a z i a , of w h o s e p o p u lation the A b k h a z c o n s t i t u t e o n l y 17 p e r c e n t w h i l e G e o r g i a n s a c c o u n t f o r 4 6 p e r c e n t , Arm e n i a n s 14.6 p e r c e n t , and v a r i o u s S l a v i c p e o p l e s f o r 17 p e r c e n t ? E v e n the A b k h a z t h e m s e l v e s are d i v i d e d a m o n g M u s l i m s and O r t h o d o x ( H e n z e , 1992). In the S u d a n . Iraq, and in c o l o n i a l L e b a n o n , as w e shall see b e l o w , one m i n o r ity's oppressor becomes another minority's p r o t e c t o r or liberator. T u r c o m a n and A r a b Christians living a m o n g the majority K u r d s of n o r t h e r n Iraq look to A n k a r a o r B a g h d a d f o r protection. T h e Equatorial tribes of the S o u t h ern S u d a n h a v e l o o k e d to K h a r t o u m f o r p r o tection against the r e g i o n ' s d o m i n a n t D i n k a tribe. For this very reason, clearly r e c o g n i z e d by the p l a y e r s on t h e g r o u n d , the t e m p t a t i o n of ethnic c l e a n s i n g b e c o m e s strong. T h e w a y to deal with minorities within minorities is to expel or r e g r o u p t h e m , rather than a c c o m m o date t h e m . T h e sorry history of the n a t i o n state is liable to be replayed in the m i c r o - e n t i ties n o w seeking self-rule.

2. S e e also Guilain D e n o e u x ( 1 9 9 3 ) , w h o demonstrates the " t w o - e d g e d " nature of political and s o c i a l networks in major urban centers o f the M i d d l e East (Beirut, Cairo, and Teheran).

Avoiding the Iron Cage of Legislated Identity Thus, the issue today within existing nation-states and in international politics is to avoid o f f e r i n g material and other incentives to would-be mini-nations. Politicians are all too ready to milk such incentive structures for the political and material support that will allow them to hold a following and to consolidate their power. This is not to gainsay the legitimacy of some such m o v e ments, but that is a f a r cry f r o m C o n o r Cruise O ' B r i e n ' s assertion (as cited in Hannum, 1990: 4 7 3 ) that most m o v e m e n t s for self-determination have been driven to that position out of desperation. T h e Québécois, the Bosnian Serbs, the K u r d s of Eastern Anatolia, the Punjabi Sikhs, the Kashmiris, the Catalonians, the Scots, the Biafrans, and so on, have been politically disadvantaged and culturally confined, but until or unless they resorted to violence, they were not threatened with physical harm as a community. What should be put in place are legal instruments that are neutral in the face of such demands. National law should allow for the near total f r e e d o m to organize nonviolently along whatever lines any subset of its citizens sees fit but without granting specific groups specific rights. So, too, the international community and international organizations should urge the same norms upon their constituent parts, supplemented with monitoring and disclosure. This recommendation is premised on the existence of states that can draft and implement laws; that is, states that, more or less, effectively govern. If violence is so widespread and deep-seated that central authority has collapsed, and if the units in contention are defined by ethnicity or sect, then explicit guarantees of group rights and the naming of group names may be the unavoidable price of establishing some s e m b l a n c e of order. That would appear to be the case in Rwanda and Bosnia, but not in Tadjikistan, Somalia, or Liberia, where warlords and clans are the contending units.

Cases The cases I will examine in order to illustrate the points argued earlier are drawn from the Middle East. There has been an important

379 opening up of the debate over minority rights, including self-determination, in the region in recent years. This is a hopeful sign, but even though the heretofore unchallenged orthodoxy of the unitary, Jacobin state, f o u n d e d on one s u p r e m e national identity rather than political consent, has been subjected to criticism (see Ghaliyun, 1990, and Ibrahim, 1992), the old guard is, in most places, still in power. Thus, when S a ' a d Elddin Ibrahim's Ibn Khaldoun Center in Cairo tried to organize a c o n f e r e n c e on the UN Declaration on the Rights of Minorities and Peoples of the Arab World and Middle East, the criticism was so vociferous that the venue had to be shifted to Cyprus. In particular, chauvinist Islamists such as 'Adil Hussein, and old Nasserists, such as M o h a m m e d Hassanein Heikal. trotted out the threadbare accusations that Ibrahim and his colleagues were playing directly into the hands of those forces bent on subverting the unity and security of the Arab world. Even some of E g y p t ' s most prominent Coptic (Christian) leaders denounced the reference to E g y p t ' s Christians as a minority as opposed to Egyptian citizens who happen to be of Christian faith (see Civil Society [5/14/94]). In Turkey over the last decade it has bec o m e possible to read the writings and speeches of prominent Kurdish leaders and intellectuals, including Abdullah Ocalan, leader of the Marxist-Leninist PKK (Kurdish Workers Party). W h i l e the Turkish government maintains emergency law in the southeast of the country and savagely deals with what I think is justifiably called PKK terrorism, the rest of the country has become well aware of the c o u n t r y ' s " K u r d i s h " problem. There may be little sympathy for the Kurdish cause among the bulk of the Turkish population, but the cause itself, in all of its expressions from cultural assertion to separatism, is well-known and well-publicized (see, for example, Sever, 1992). T h e populist, unitary states that dominated the region over the last forty years are under assault, with Islamist m o v e m e n t s wielding the greatest numbers and mass appeal. However, if such m o v e m e n t s c o m e to

380 p o w e r , it s e e m s r e a s o n a b l e to e x p e c t that they may d o little to u n d e r m i n e the juridical and political c h a r a c t e r of the states and b o u n d e d territories that they inherit. A l m o s t certainly, they will m a k e n o c o n c e s s i o n s to minority rights as the e x a m p l e s of Iran since 1979 and the S u d a n since 1989 a m p l y demonstrate. T h e o t h e r s o u r c e of assault c o m e s f r o m s m a l l , liberalist, g e n e r a l l y s e c u l a r m o v e m e n t s that, t h r o u g h h u m a n rights o r g a n i z a tions, think tanks, and o c c a s i o n a l l y political parties, p r o m o t e d e m o c r a t i z a t i o n and the recognition of minority p r o b l e m s and denied rights. In T u r k e y , it s h o u l d be n o t e d , a substantial part of the large, secularist intellig e n t s i a is as " r e l i g i o u s l y " c o m m i t t e d to the unity of a T u r k i s h nation as it is o p p o s e d to the Islamic trend in Turkey. T h e Turkish and o t h e r s e c u l a r i n t e l l i g e n t s i a are not liberal, and they are, for the most part, not s y m p a thetic to the K u r d i s h or o t h e r sectarian and ethnic causes. The Southern Sudan In 1972 the Sudan launched an experiment in regional self-rule that was u n p r e c e d e n t e d for A f r i c a and the M i d d l e East. A radical, populist state, d e v o t e d to the c a u s e of A r a b nat i o n a l i s m and A r a b unity, led by a military authoritarian, G a ' a f a r Nimeiry, negotiated an a g r e e m e n t on r e g i o n a l a u t o n o m y with the c o m m a n d e r s of the g u e r r i l l a f i g h t e r s of S o u t h e r n Sudan. The three s o u t h e r n m o s t p r o v i n c e s of the S u d a n , containing about a third of the c o u n t r y ' s p o p u l a t i o n , had a l w a y s been racially (black A f r i c a n Nilotic), lingually, and religiously distinct f r o m the Northern, Arabized, M u s l i m p o p u l a t i o n s . T h e r e is n o n e e d to g o into the details of this c a s e , w h i c h are reas o n a b l y w e l l - k n o w n (see D e n g , in this volu m e ) . Rather, I want to highlight certain aspects that speak to points raised earlier. S i n c e the o u t b r e a k of civil w a r in the S o u t h in 1955, on the e v e of S u d a n ' s independence, southern grievances have been d r i v e n by t w o interrelated f a c t o r s . T h e first is the f e a r that a n u m e r i c a l l y superior North, in control of the c o u n t r y ' s i n f r a s t r u c t u r e ,

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military, and b e s t - t r a i n e d h u m a n r e s o u r c e s , w o u l d totally s u b o r d i n a t e the S o u t h in its project for national construction. S e c o n d , the S o u t h f e a r e d that the A r a b M u s l i m North w o u l d seek union with A r a b M u s l i m neighb o r s , t h e r e b y d i m i n i s h i n g still f u r t h e r the weight and leverage of the South in the new state. P r o s p e c t s of u n i o n with Nasserist E g y p t f o l l o w i n g i n d e p e n d e n c e in 1956 triggered the m u t i n i e s of s o u t h e r n g a r r i s o n s in 1955. Again in 1969. N i m e i r y led the Sudan into the F e d e r a t i o n of A r a b R e p u b l i c s with E g y p t and L i b y a ( B e c h t o l d , 1973). In the late 1970s E g y p t and the S u d a n o n c e again pursued integration, and since the late 1980s, with a militantly Islamic military dictatorship in place, the fear has been that the South will be lost in an Islamic sea. T h e e x t r a o r d i n a r y aspect of w h a t transpired in 1972 is that Nimeiry stepped out of c h a r a c t e r — o u t of his o w n . as well as out of the general c h a r a c t e r of A r a b p o p u l i s t military leaders. A l r e a d y in 1971 he had susp e n d e d S u d a n ' s m e m b e r s h i p in the F e d e r a tion of A r a b R e p u b l i c s , and then in A d d i s A b a b a , he signed the act granting the southern p r o v i n c e s regional s e l f - g o v e r n m e n t . T h e act r e c o g n i z e d the three s o u t h e r n p r o v i n c e s as constituting a single region, with English as its principal l a n g u a g e . T h e f e d e r a l g o v e r n m e n t retained control over d e f e n s e , external a f f a i r s , c u r r e n c y and c o i n a g e , interregional transport, c o m m u n i c a t i o n s , c u s t o m s , and foreign trade. A High E x e c u t i v e Council ( H E C ) was a m b i g u o u s l y r e s p o n s i b l e to both the p r e s i d e n t of the R e p u b l i c and to the elected P e o p l e s Regional A s s e m b l y . T h e latter w o u l d p r o p o s e to the President of the Rep u b l i c the n a m e or n a m e s of c a n d i d a t e s f o r the Presidency of the High Executive Council. T h e s o u t h e r n n e g o t i a t o r s s u c c e e d e d in e n t r e n c h i n g the entire a g r e e m e n t in the n e w n a t i o n a l c o n s t i t u t i o n a d o p t e d the f o l l o w i n g y e a r and stipulating that any a m e n d m e n t s to the act must accord with its basic p r o v i s i o n s . T h a t u n d e r s t a n d i n g w a s to be v i o l a t e d a d e c a d e later. Finally, Articles 9 and 16 of the new c o n s t i t u t i o n restricted the e x t e n t to w h i c h I s l a m i c law c o u l d s h a p e r e g i o n a l legislation.

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Perhaps all of this was d o o m e d to failure: the South was too poor to rely on its own resources to p r o m o t e d e v e l o p m e n t and had constantly to turn to the North for support; the President of the Republic's powers to appoint and dismiss were so broad that no local leader could have a secure power base. Probably more important, however, was that when the locus of some decisionmaking and allocation of scarce public goods shifted from Khartoum to Juba, the nature of political rivalries and alliances shifted with them. It became clear that the Dinka tribe, the single largest in the South, would dominate the regional g o v e r n m e n t . In that rapport de forces smaller tribes, such as the Nuer and Shilluk. but especially the Equatorial tribes in the southern highlands, could now look to their erstwhile e n e m i e s in Khartoum as potential protectors. When headed by the Dinka Abel Alier, it was nonetheless the case that the cabinet and other top positions were filled with careful attention to a m y r i a d of tribal groups. Abel Alier, at least, was fully conscious of the perceived threat of the Dinka and sought to allay the fears of other tribes by distributing political rewards on a tribal basis. Ultimately, this strategy did not save him, the Dinka, or southern autonomy, but it did reinforce a system of incentives that rendered tribes the meaningful units in political competition. Nimeiry was not long in seizing the opportunities offered him after 1972 to begin to broker the internal politics of the new region. He may have suspected, even in signing the regional autonomy act, that such opportunities would present themselves. One of those w h o began to c o o p e r a t e with him in an implicit anti-Dinka alliance was the f o r m e r guerrilla c o m m a n d e r and Equatorian, Joseph Lagu. W h e n he was president of the H E C , 1 9 7 8 - 1 9 8 0 , he m a d e c o m m o n cause with Khartoum in an effort to set up six provinces in the South, deeply eroding thereby the authority of the H E C in Juba and simultaneously opening up m a n y new patronage opportunities in the provincial governments (Deng, 1981). An indirect ally in these

efforts was Hassan al-Turabi, at the time attorney-general and the leader of the Muslim Brethren, and someone who wanted ultimately to see the Addis Ababa A g r e e m e n t scuttled altogether. Southern Sudan, like many areas in which ethnic or sectarian resistance is met fiercely by central authorities, has strategic value. The sources of the White Nile flow through it so that both Northern Sudan and Egypt look to the South as a potential source of disruption, as well as a source of augmented flow, of the White Nile. In the middle 1970s Egypt and the Sudan agreed to excavate a jointly f u n d e d canal to drain a portion of the Sudd swamps of the South in order to reduce surface evaporation in the swamps and deliver more water downstream. Southerners saw the canal scheme as part of a strategy to open the South to northern commercial and military penetration, and. one day, to Egyptian peasants who would be brought in to farm new irrigated areas adjacent to the canal and to dilute the local Nilotic populations with Arab Muslim stock. To c o m p o u n d matters, in 1979 significant a m o u n t s of petroleum were discovered in a zone straddling the line demarcating the southern provinces f r o m the northern, and K h a r t o u m immediately asserted its right to develop the field and to refine the oil outside the southern region. In October 1981, Nimeiry dissolved the National Regional Assembly and appointed an interim regional government. T h e culmination of this process came in the summer of 1983 when Nimeiri officially divided the southern region into three separate provinces. A year later the Sudan signed an integration charter with Egypt, and southern fears that Egyptian peasants would flood into the region were rekindled. T h e n , for the southerners, the coup de grace ou de trop came in the f o r m of N i m e i r y ' s decree making the Islamic shari'a the law of the land everywhere in the country. The civil war that had ended in 1972 started up once again and is still being waged today. in

Although Nimeiry himself was deposed 1985, his military successor, General

382 Siwar al-Dhahab, while rescinding the redivision of the South, did not rescind the application of shari'a ( H a n n u m , 1990: 315; Special C o r r e s p o n d e n t , 1985). For his part, General John Garang, w h o formed the Southern Peoples Liberation Army in 1983, d e m a n d e d that the shari'a be the law n o w h e r e in the Sudan and proclaimed his m o v e m e n t ' s goal to be the liberation of the entire Sudan from reactionary Islamism and dictatorship. He did not then espouse, and until recently has not espoused, secession. In 1991 the SPLA split apart, nominally over the issue of whether or not to fight for secession. Two Nuer military leaders in the S P L A , Riak Machar and Lam Akol, broke f r o m the S P L A and remained passive in the face of a subsequent o f f e n s i v e of northern troops against G a r a n g ' s forces. It is reasonably clear that what is at play here is the resentment of the Nuer and other tribes of the domination of the SPLA by the Dinka. A f t e r repeated and failed rounds of negotiations with the government in K h a r t o u m , G a r a n g himself has moved toward endorsement of a self-determination referendum with the possibility of a confederal solution between two independent states ('Awda, 1/24/94). In this situation, there is no s o l u t i o n — other than continued slaughter—but one anchored in tribalism, language, and race. The killing has gone on between northerners and southerners since 1955, with an eleven-year hiatus. There is not the remotest chance that the benign, voluntarist communitarianism espoused by Etzioni and others can take root here. These c o m m u n i t i e s , although nested, have been made compulsory through killing. T h e killing, of course, has been carried out by " b r o t h e r " against " b r o t h e r " in order to hold the c o m m u n i t y together, and it has taken place a m o n g groups sharing the same n e s t — D i n k a against Nuer against Equatoria n s — a s much as against the Arab Muslim North. If the South asserts its autonomy, it may c o m e internally to resemble L e b a n o n with tribal cantons, elite deals across tribes, periodic slaughter, and ethnic cleansing. If it remains within the Sudan, the price of its remaining will surely be to institutionalize

John Waterbury ethnic, religious, and racial proportional representation. An end to the killing may be worth this iron cage, but it will be an inheritance with a high price tag. Lebanon For a couple of decades f o l l o w i n g the Second World War, Lebanon became one of the darlings of modernization studies, a pluralist, free-market polity and economy, led by civilians, and openly embracing its sectarianism. In place of the stultifying corporatist and nationalist populism of its A r a b neighbors, it maintained a freewheeling cosmopolitanism often secretly admired and experienced by its most severe Arab critics. In the boom years of the 1960s, the brief civil war of 1958 was looked back upon more as a growing pain than a signal of things to come. As early as 1926, under French colonial auspices, Lebanon had begun to devise a system of legalized confessional representation and government. A census in 1934, the last to be officially taken, showed the Christians of Lebanon to o u t n u m b e r the Muslims at a ratio of 6:5. That ratio, until 1989, was constitutionally graven in stone (Suleiman, 19: 50). Through the National Pact, negotiated on the eve of i n d e p e n d e n c e after the Second World War, and by which the Christians of Lebanon foreswore any attempts to seek succor f r o m their traditional Western (Christian) supporters, and the Muslims foreswore any attempt to bring Lebanon into a larger A r a b (Muslim) entity, the ratio became the guiding principle for allocating seats in the parliament and in the distribution of all significant posts in the government and civil service. Article 95 of the Constitution states "Provisionally . . . and in order to promote harmony and justice, the c o m m u n i t i e s will be equitably represented in government e m p l o y m e n t and in the composition of the ministry without j e o p a r d i z i n g the good of the State." "Equitably," Pierre Rondot observes, in fact means proportionally to the numerical size of each c o m m u n i t y (Rondot, 1996: 129). T h e foundation of the system was confessional equilibrium, but subsidiary rules of

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representation tried to p r o m o t e c r o s s - c o n fessional alliances. Electoral districts were m u l t i c o n f e s s i o n a l , and p o w e r f u l political chieftains (the f a m o u s or notorious zu'ama), always p r o m i n e n t leaders of a particular sect, constructed m u l t i c o n f e s s i o n a l lists of candidates in order to win a majority in their districts. Note, however, that even as such alliances were f o r g e d , and although they may f o r a time have p r o m o t e d m o d e r a t i o n a m o n g sects, the only m e a n i n g f u l political p a y o f f s were to sectarian representation as opposed to parties, ideologies, programs, or e c o n o m i c interests, per se ( H u d s o n , 1968: 217). "Since tradition, fortified by the 1943 national p a c t . " Michael Suleiman posits (1967: 51) "allocates the high state o f f i c e s each to one of the m a j o r sects, the prominent m e m b e r s in each sect e n g a g e in fights to d e t e r m i n e which " c l a n " is to capture the prize: the presidency for the Maronites, the premiership for the Sunnis, the speakership for the S h i ' a . . . " Competition and conflict were thus as much, or more, intrasectarian over quotas, so to speak, than they were intersectarian. Even in the r u n - u p to the 1958 civil war, Maronites were divided over the legitimacy and legality of President Camille C h a m o u n ' s effort to c h a n g e the constitution so that he could succeed himself. As Donald Horowitz observed in his c o m m e n t on Lijphart's notion of the "grand coalition" in consociational democracy, it " d e p e n d e d upon and exacerbated preexisting subethnic (sic) cleavages, based on family, clan and region . . . Lebanese subgroups were tailor-made for this system, and they rose to its opportunities" (Horowitz, 1985: 654). Arend Lijphart lays out a set of principles for power-sharing (1987: 503) that may be summarized in five points: (1) there must be participation of "all significant groups"; (2) there must be a high degree of autonomy among all significant groups; (3) there must be proportionality in representation a m o n g the groups; (4) minorities must retain a right of veto over vital affairs affecting their fate; and (5) it is best that the majority be underrepresented.

383 These principles are fine insofar as they suggest solutions within a democratic framework and within existing units. T h e m a j o r concession made to self-determination lies in the a u t o n o m y of groups and the minority veto. Lijphart is at pains to allow for groups to change, for some to redefine t h e m s e l v e s or disappear altogether. Yet could this possibly happen in political practice? First, w h o d e f i n e s or decides what are the "significant g r o u p s , " and, once having been so defined, will they not be named and given legal blessing? Specific groups granted autonomy because, at a moment in time, they are j u d g e d to be " s i g n i f i c a n t " will perpetuate that moment for as long as possible. Lijphart's invocation of flexible identity is analytically comforting but in practice unrealistic unless no "significant groups" are legally identified as such in the first place. The curious, if not poignant, aspect of Lebanon's confessional system is that it was always underlain by a note of guilt or at least sheepishness. Article 95 of the constitution saw confessional representation as temporary and expedient. So, loo, when thirteen years of civil war came to an end in 1989, confessionalism was once again instituted " t e m porarily." The Taif Accords, negotiated by the warring sects, and including the Palestinians, in Taif, Saudi Arabia, in 1989, set forth the principle of the abolition of sectarianism in representation, in the civil service, and on identity cards ( F B I S - N E S - 8 9 - 2 0 4 , 10/24/89). The accords state that "until the parliament has laid d o w n an electoral bill which is f r e e f r o m sectarian restraints, the parliamentary seats will be distributed along the f o l l o w i n g lines: (a) equal numbers f o r Christians and Muslims; (b) proportionally a m o n g the sects of the t w o groups; and (c) proportionally among the regions" (ibid.). Sectarianism is thus provisionally alive and well, except that the 6:5 ratio has been a b a n d o n e d f o r 5:5 (Norton, 1991). The old political incentive system has been reinvented. In the s u m m e r of 1993, seventy high-level civil servants were appointed, and it was o b v i o u s that new sectarian zu'ama, President Elias Hrawi (Maronite), Prime

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M i n i s t e r R a f i k Hariri ( S u n n i ) , a n d S p e a k e r N a b i h Berri ( S h i ' a ) , had d i v v i e d u p the p o s t s on a strictly s e c t a r i a n b a s i s ( S a u d i Gazette 15/1/94]). F u r t h e r , t h e Taif A c c o r d s g r e a t l y d i m i n i s h the p o w e r s of the p r e s i d e n t and c r e ate a b a l a n c e d c o n f e s s i o n a l t r o i k a c o m b i n e d with a d e c i s i o n m a k i n g p r o c e s s b a s e d on m a j o r i t y v o t e s in t h e c o u n c i l of m i n i s t e r s ! G h a s s a n S a l a m s u m m e d u p the c h a n g e s t h u s ( S a l a m , 1994: 104): The institutional d i f f u s i o n of the former [Maronite] h e g e m o n ' s p o w e r is s u c h that the c o n c e p t of representation w i l l h e n c e f o r t h prevail, in a m o s t d e b i l i t a t i n g manner, o v e r the n e c e s s i t y for g o v e r n m e n t . T h e l o g i c o f acceptable representation of the c o n f e s s i o n a l g r o u p s , not to m e n t i o n the different t e n d e n cies within each of these groups, brings with it a l m o s t c o m p l e t e p a r a l y s i s o f the state apparatus.

W i t h p r o t e s t a t i o n s to the c o n t r a r y , t h e L e b a n e s e , abetted by the S y r i a n s and S a u d i s , have reinvented a confessional cage. The Kurds T h e K u r d i s h c a s e is s t r e w n with m o r e c o m plex i s s u e s than are m a n i f e s t in e i t h e r the S u d a n or in L e b a n o n . T h e s t a r t i n g p o i n t s e e m s c l e a r and c o m p e l l i n g . T h e K u r d s are a p e o p l e w h o , m e a s u r e d by p r e c e d e n c e of residency, h a v e b e e n , t h r o u g h o u t r e c o r d e d history, in the m o u n t a i n o u s area that t o d a y j o i n s Iraq, T u r k e y , a n d Iran. T h e y p r e d a t e A r a b s , Mongols, and Turks. They have a p o w e r f u l h i s t o r i c a l c l a i m to p e o p l e h o o d . M o r e o v e r , that c l a i m w a s r e c o g n i z e d in W i l s o n ' s f o u r teen p o i n t s and in the 1920 T r e a t y of S è v r e s . S o u t h e r n S u d a n w a s n e v e r a c c o r d e d s u c h int e r n a t i o n a l r e c o g n i t i o n until 1972, a n d Lebanon was Kurdistan's inverse, a nation c r e a t e d or c o b b l e d t o g e t h e r b y i m p e r i a l f i a t . 3 K u r d i s t a n w a s e v e n t u a l l y b r o k e n a s u n d e r by i m p e r i a l fiat. The Kurds today may number upwards of t w e n t y m i l l i o n , s u r e l y well b e y o n d w h a t -

Waterbury

e v e r i m p l i c i t m e a s u r e of n a t i o n h o o d the int e r n a t i o n a l c o m m u n i t y r e t a i n s . In Iraq t h e y c o m p r i s e about 3 0 p e r c e n t of the total population ( A h m e d , 1994: 7). Finally, albeit ineff e c t i v e l y , they h a v e p e r i o d i c a l l y f o u g h t f o r their a u t o n o m y and i n d e p e n d e n c e . S u c h violent s t r u g g l e s , h o w e v e r , h a v e n e v e r b e e n w a g e d as a p e o p l e but r a t h e r as c l a n s , ideological c u r r e n t s , and e v e n r e l i g i o u s b r o t h e r h o o d s . T h e story of the K u r d s today, w h i c h I shall m a k e n o a t t e m p t to r e l a t e , is o n e of s e v e r a l p e o p l e s , at the v e r y least the K u r d s of Iraq, Turkey, and Iran. T h e K u r d s are e t h n i c a l l y d i s t i n c t f r o m the p o p u l a t i o n s a m o n g w h i c h t h e y live, except f o r the I r a n i a n s with w h o m t h e y share " I n d o - E u r o p e a n " o r i g i n s . T h e y s p e a k their o w n l a n g u a g e ( s ) , and all a r e M u s l i m s , p r e d o m i n a n t l y S u n n i with s o m e S h i ' a . T h e y are t h u s " o b j e c t i v e l y " m o r e c o h e s i v e than the s o u t h e r n S u d a n e s e but not m o r e so than the L e b a n e s e (except in the historical sense). Yet that c o h e s i v e n e s s is m o r e a p p a r e n t than real. T h e three m a j o r K u r d i s h d i a l e c t s . Z a z a . K u r m a n j i , and S o r a n i , are as m u c h alike as E n g l i s h a n d G e r m a n ( K r e y e n b r o e k , 1992: 71). Conflicts a m o n g Kurdish c l a n s — h i g h landers versus lowlanders, valley versus v a l l e y — h a v e b e e n as d e e p - s e a t e d as t h o s e b e t w e e n K u r d s and n o n - K u r d s . In t h e c o n t e m p o r a r y era, K u r d i s h f a c t i o n s in o n e c o u n try h a v e b e e n r o u t i n e l y u s e d by a n o t h e r c o u n t r y to c o n t a i n its o w n K u r d s . M u l l a M u s t a f a Barzani lent h i m s e l f to these e n d s in a l l i a n c e s with t h e I r a n i a n s , a n d , m o r e rec e n t l y , b o t h Jalal T a l a b a n i a n d M a s ' u d B a r z a n i h a v e cooperated with the Turkish military in s u p p r e s s i n g the P K K (the K u r d i s h Workers Party) (inter alia, see Farij, 1993). K u r d s , like L e b a n o n ' s M a r o n i t e s , h a v e b e e n t o o r e a d y to seek t h e b a c k i n g of reg i o n a l or g r e a t - p o w e r n e i g h b o r s : In the early 1970s M u l l a M u s t a f a B a r z a n i cast in his lot w i t h t h e U n i t e d S t a t e s a n d I s r a e l , a n d in 1975, w h e n the N i x o n a d m i n i s t r a t i o n , a n d

3. I am not of the s c h o o l that argues that all c o l o n i a l creations are artificial. A s a North A m e r i c a n , I d o not b e l i e v e it takes centuries, m u c h less m i l l e n n i a , for a national or other identity to form. It may be o n l y a matter o f a g e n e r a t i o n or t w o , and the identity is n o n e t h e l e s s real d e s p i t e its a d o l e s c e n c e ( G u h e n n o , notwithstanding). L e b a n o n w a s F r a n c e ' s brainchild; it is today very m u c h its o w n .

Avoiding the Iron Cage of Legislated

Identity

e s p e c i a l l y S e c r e t a r y of S t a t e H e n r y K i s s i n ger, n o l o n g e r h a d any s t r a t e g i c use f o r the K u r d s , they w e r e t h r o w n to their f a t e and c r u s h e d by S a d d a m H u s s e i n . T h e K u r d i s h r e g i o n , s t r a d d l i n g at least three international borders, is interlaced with substantial non-Kurdish minorities. Except f o r a f e w f a m i l i e s , m o s t J e w s of K u r d i s t a n have departed, but there is still a large Christian A r a b p o p u l a t i o n , e s p e c i a l l y in Erbil, M o s u l , and K i r k u k . In 1932, the British m o v e d A s s y r i a n C h r i s t i a n s f r o m Turkey into N o r t h e r n Iraq, e s p e c i a l l y into the territory inhabited by the Barzani clans. They were, to say the least, not w e l c o m e . T h e T u r c o m a n p o p u l a t i o n , n u m b e r i n g p e r h a p s t w o hundred t h o u s a n d , o n c e d o m i n a t e d K i r k u k , until the A r a b head of state. A b d a l - K a r i m Q a s s i m , b e g a n to m o v e t h e m out in f a v o r of the K u r d s . T h e B a ' a t h r e g i m e in the 1970s b e g a n to m o v e A r a b s into the K u r d i s h areas a n d S u n n i K u r d s into the S h i ' a areas of the south. T h e fact that m a n y of these m o v e m e n t s w e r e f o r c e d d o e s not d i m i n i s h the d i l e m m a the Kurdish region f a c e s today. Aut o n o m y or i n d e p e n d e n c e w o u l d inevitably raise the level of risk to the minorities remaining in the region. T h e temptation on the part of these non-Kurdish minorities to reach out to B a g h d a d , w h e t h e r to S a d d a m or to his successor(s), would be natural and irresistible. T h e region in which K u r d s p r e d o m i n a t e is of great strategic i m p o r t a n c e . T h e discovery of oil at K i r k u k , in p r e s e n t - d a y Iraq, p r o b a b l y d e t e r m i n e d that the f o r m e r Ott o m a n p r o v i n c e of M o s u l w a s , in 1926, form a l l y a w a r d e d to the B r i t i s h - m a n d a t e d K i n g d o m of Iraq and not to Turkey. Today the K i r k u k r e g i o n h o l d s a b o u t o n e - t h i r d of Iraq's proven oil reserves. Were Kurdish Iraq to f o r m its o w n state, as G r a h a m Fuller ( 1 9 9 3 : vi) sees as a distinct possibility, the issue f o r the rest of Iraq w o u l d not be o n e primarily of the loss of oil revenues, for twothirds of the r e s e r v e s w o u l d r e m a i n in the south of the c o u n t r y , but rather o n e of the e c o n o m i c viability that an independent Iraqi K u r d i s t a n , c o n t a i n i n g K i r k u k , w o u l d derive f r o m the r e m a i n i n g third. In addition, Kurdistan, writ large, e n c o m p a s s e s the h e a d w a t e r s

385 of b o t h the T i g r i s and E u p h r a t e s rivers, the l i f e b l o o d of a g r i c u l t u r e in n o r t h e a s t Syria and l o w e r Iraq. S e l f - d e t e r m i n a t i o n , in this c o n t e x t , f a c e s f o r m i d a b l e o d d s , and n o a p p e a l s to j u s t i c e or e q u i t y can alter that fact. In T u r k e y , m o r e than in Iraq, a n d perhaps m o r e than in Iran, K u r d s h a v e b e c o m e mestizo Turks. Former Turkish president, T u r g u t Ô z a l , stated p u b l i c l y that his m o t h e r was K u r d i s h . His f o r e i g n m i n i s t e r , H i k m e t Ç e t i n , is f u l l y K u r d i s h . O v e r the c e n t u r i e s intermarriage b e t w e e n K u r d s and Turks must h a v e been very c o m m o n , to the extent that m a n y " T u r k s " have K u r d i s h blood. A survey of T u r k i s h b u s i n e s s m e n (Torunlu, 1993) revealed one h u n d r e d of the most p r o m i n e n t to be of K u r d i s h o r i g i n . F o r s o m e , their only link to their K u r d i s h roots was t h r o u g h m u s i c and f o o d . It is said that even the notorious leader of the P K K , A b d u l l a h " A p o " O c a l a n , has a very p o o r c o m m a n d of K u r dish and is m u c h m o r e c o m f o r t a b l e in Turkish. T h i s is not to extol the virtues of perhaps forced assimilation, but rather to note that it is a fact that cannot today be ignored. T h u s , there is not m u c h s t r a i g h t f o r w a r d about the K u r d i s h cause, but there is e n o u g h that w e m u s t n o t e the historical m a r k e r s of the denial of n a t i o n h o o d . O n the strength of the 1923 L a u s a n n e Treaty, the p r o m i s e s of S è v r e s w e r e first o v e r t u r n e d and then rev e r s e d in the T u r k i s h - I r a q i a c c o r d of 1926. S u c c e s s i v e K u r d i s h u p r i s i n g s in Turkey, in 1925 and 1932, c u l m i n a t e d in that of D e r s i m in 1938. A f t e r its brutal s u p p r e s s i o n , the w o r d K u r d and the p u b l i c s p e a k i n g of K u r dish w e r e f o r b i d d e n by law. D e r s i m itself w a s r a z e d a n d rebuilt u n d e r the n a m e Tunceli (Entessar, 1992). Curiously, a f t e r the m i l i t a r y c o u p in T u r k e y of 1960, the "libe r a l " c o n s t i t u t i o n of 1961 g r a n t e d s o m e r e c o g n i t i o n of the right to be K u r d i s h , but that c o n s t i t u t i o n itself w a s r e v e r s e d by the one of 1983. O n l y t o w a r d the e n d of the d e c a d e , p r o d d e d in his last days by President Ôzal, w a s there a b e g r u d g i n g recognition of the K u r d i s h situation in southeast Anatolia. T h a t fact had been implicitly r e c o g n i z e d years earlier as Turkey marshalled staggering

386

John

national resources to undertake the Southeast Anatolian Project (or GAP, by its Turkish acronym) that would, when completed in the early twenty-first century, use the headwaters of the Euphrates and the Tigris to generate hydroelectric power and irrigate some 1.6 million hectares of land in areas partially inhabited by Kurds. 4 Along with the carrot has come the stick, applied more judiciously by President Ozal than by his successor Suleiman Demirel. Ocalan's P K K stepped up guerrilla activities in southeast Anatolia (with Syrian backing) with the restoration of civilian government and law in 1983. S i n c e 1991 the fighting, the terrorist activities of Kurds against Kurds, and the repression of the Turkish government against the Kurds, has become vicious. Emergency law has prevailed in the southeast for over a decade, and Turkish military and police have free reign to pursue whomever they suspect of complicity with the P K K . Thus, while Turkey has in general successfully restored democracy since 1983, and even allowed the election of Kurdish deputies in coalition with a recognized political party, there is virtually no democracy or protection of human rights in southeast Anatolia. The solution to Turkey's Kurdish problem, it seems to me, is neither continued military repression nor regional autonomy, let alone independence, but rather the lifting of emergency law and the extension of real democratic freedoms to the regions in which Kurds predominate. Ocalan, for his part, has at least rhetorically abandoned the quest for independence and accepted that for "at least forty years" the Kurds would need to be part of Turkey (remarks to Hiiriyet in April 1990, cited by 'Uthman, 1993: 56).

Waterbury

In Iraq there has always been an implicit, and sometimes explicit recognition of the Kurdish situation. The Iraqi state has never put the word " A r a b " into its official title, either under the monarchy or since the establishment of the republic in 1958. After 1958, and above all in 1963, Kurdish factions united in opposition to Iraq's inclusion in the United Arab Republic, first formed by Syria and Egypt. A certain number of Kurds were generally co-opted into the Iraqi ministerial cabinet, so that there was power-sharing of a sort. The B a ' a t h regime in 1970 went so far as to declare Iraq a bi-national state, and in 1974 President Ahmad Hassan al-Bakr announced a regional autonomy plan for the Kurdish region of Iraq (not including Kirkuk). B y this time, the Barzani clans had been recruited by Israeli and U.S. intelligence to try to destabilize the pro-Soviet Ba'alhi regime and did not seek to take advantage of the autonomy plan. In March 1975, the Shah of Iran and Saddam Hussein agreed in Algiers to cosovereignty of the waters of the Shatt al-'Arab, in exchange for which the Shah stopped all support to the Barzani faction. Iraqi government forces then crushed the Kurdish peshmergu. Today, in the aftermath of Desert Storm, portions of Iraqi Kurdistan, lying north of the 32d parallel, are under U . S . - U N protection. That region now lives in de facto independence, albeit in horrendous economic circumstances. Its three immediate n e i g h b o r s — Syria, Iran, and Turkey—whatever else may divide them, have repeatedly gone on record to warn against any effort to make that autonomy de jure. 5 In most respects, Iraq's Kurds can generate the most bargaining leverage by remaining within Iraq, although they must utilize

4 . It is m o o t h o w m a n y K u r d s will e v e r b e n e f i t f r o m this p r o j e c t , as the p r i m e areas f o r i r r i g a t i o n fall o u t s i d e o f r e g i o n s in w h i c h the K u r d s p r e d o m i n a t e . Yet the c o m b i n a t i o n o f industry u t i l i z i n g h y d r o p o w e r and f a r m s d e m a n d i n g l a b o r are l i k e l y to g e n e r a t e e m p l o y m e n t l o r K u r d i s h p o p u l a t i o n s . T h e y m a y , h o w e v e r , c o m e m o r e to r e s e m b l e t h e P a l e s t i n i a n s w o r k i n g in Israel than direct c i t i z e n b e n e f i c i a ries o f a s t a t e - f i n a n c e d r e g i o n a l b o o m . 5 . In 1 9 3 7 S y r i a , T u r k e y , and Iran s i g n e d a j o i n t d e f e n s e a g r e e m e n t k n o w n as the S a a d a b a d P a c t . Its real m o t i v e w a s to c o n t a i n any c o n c e r t e d K u r d i s h m o v e m e n t for a u t o n o m y . T h a t pact h a s b e e n r e v i v e d informally since

1991.

Avoiding

the Iron Cage of Legislated

[dentiti/

the threat to leave. Were they to break away, they would leave a Sunni Arab minority to face a S h i ' a A r a b majority in what remains of Iraq. Because the bulk of Iraqi Kurds are Sunni, they represent an element of security for the Sunni Arabs. Jalal Talabani, leader of the Patriotic Union of Kurdistan (representing the so-called detribalized, urban Kurdish elements) has periodically gone on record as saying that if the Kurds cannot find a modus vivendi within Iraq, they should probably bec o m e a Turkish protectorate (Fuller, 1993: 12-13).

Conclusion I have argued that no matter how compelling on historical and human rights grounds a case for self-determination may be, caution is the better part of wisdom in honoring such claims. In some cases, ethnic or racial identity is not sufficiently plastic to avoid erecting legal safeguards based on the designation of specific groups. Southern Sudan, were it to remain within the Republic of Sudan, would require such safeguards, but then, if it were to leave, such safeguards would have to be extended to minority populations living within the south. However, in most instances the legal naming of names should be avoided. The law should allow groups to organize along ethnic or sectarian lines if they see fit, and if they obey the laws of the land, but it should also allow them to disappear if their political raison d ' ê t r e disappears. For example, it may become politically irrelevant for mestizo populations to sort out their origins. At times sectarian identities may take on greater importance than ethnic and vice versa. The law

387 should be neutral and permissive but should not provide incentives to organize political participation along ethnic or sectarian lines. Lebanon provided and still provides such incentives, all the while bemoaning that fact. O n e cannot fly in the face of ethnic and sectarian realities. No one was more cognizant of that fact than Jawarharlal Nehru of India, w h o is alleged to have remarked that one can throw money at class differences but not at religious and lingual ones. India's federal constitution has given official recognition to the c o u n t r y ' s ethnic and lingual differences (but not, for the most part, to its religious differences). West Bengal, P u n j a b , Tamil Nadu, Gujarat, and other states are testimony to this. Yet, at the same time, to win power nationally parties must construct broad cross-ethnic and cross-lingual coalitions. The Congress party, even before independence, learned how to do this. While such coalitions will, as in Lebanon, take on the character of a piebald assemblage of ascriptive units, successful parties have had to find programmatic messages that go beyond crude appeals to blood, language, and religion. The same logic has not worked well in Nigeria and, in Lebanon, gave way to civil war, but it is one, I argue, that must be followed with all the ingenuity that its authors and practitioners can muster. Why play this game within the confines of India, or Lebanon, or Iraq? Because none of these entities are any more artificial than their constituent parts. The crucial element is democratic practice, not autonomy or independence, for such practice is a better guarantee of renewable consent than are units erected on claims of historical injustice and group righteousness.

388

José Ayala-Lciìso

Commentary José Ayala-Lasso

A

g r o w i n g t e n d e n c y to deal with a given p r o b l e m in o n e specific way s o m e t i m e s g i v e s rise to an intellectual r e f l e c t i o n : Is what we are d o i n g correct at all? Are we m i s t a k e n while f o l l o w i n g what is d o m i n a n t ? Should we not verify our a p p r o a c h by e x a m ining o n c e again the c o m m o n l y a c c e p t e d point of d e p a r t u r e ? Without putting f o r w a r d q u e s t i o n s of this k i n d , there can be no truly a c a d e m i c r e s e a r c h , there can be n o rational action, there is, finally, no p r o g r e s s possible. An expert p i c k i n g up the g l o v e in such a c a s e d e s e r v e s r e s p e c t f r o m his c o l l e a g u e s and the gratitude of those involved in practical activities. W h i l e reading the contribution by P r o f e s s o r John Waterbury, " A v o i d i n g the Iron C a g e of L e g i s l a t e d I d e n t i t y " f r o m the latter position, I would like to sincerely congratulate him on a n o n c o n f o r m i s t and highly stimulating approach. The adopted methodology, w h e r e the intellectual s p e c u l a t i o n is put against the b a c k g r o u n d of i n t e r e s t i n g case studies, o f f e r s to the reader both the opportunity to get a c q u a i n t e d with the v i e w s of the a u t h o r c o n c e r n i n g the p r o t e c t i o n of g r o u p s or minorities and the access to information about certain specific practical situations. F r o m my v i e w p o i n t as the high c o m m i s s i o n e r f o r h u m a n rights, I w o u l d like to p r e s e n t , within the c o n t e x t of the U N e x p e r i e n c e in the field of the p r o t e c t i o n of minorities, some c o m m e n t s c o n c e r n i n g the conc e p t u a l o b s e r v a t i o n s m a d e by P r o f e s s o r Waterbury. 1. Professor Waterbury writes: "We have very weak guides as to what constitutes such g r o u p s and [. . .] in trying to protect t h e m we m a y e n d o w certain of them with a factitious reality that is neither historically nor d y n a m ically g r o u n d e d . " Comment: I n d e e d , there is no legal d e f i nition of a minority group. O n e of the last att e m p t s to d e f i n e this n o t i o n in a U N d o c u ment w a s m a d e d u r i n g the preparatory work

to the D e c l a r a t i o n on the R i g h t s of Persons B e l o n g i n g to N a t i o n a l or E t h n i c , R e l i g i o u s and L i n g u i s t i c M i n o r i t i e s a d o p t e d in 1992, but it f a i l e d . In the m e a n t i m e , h o w e v e r , the C a p o t o r t i d e f i n i t i o n has b e c o m e a c o m m o n point of r e f e r e n c e and e f f e c t i v e l y guides the w o r k of international fora. I can share Professor W a t e r b u r y ' s a p p r e h e n s i o n concerning " a r t i f i c i a l c r e a t i o n of g r o u p s u n d e r special p r o t e c t i o n . " Yet I w o u l d be e q u a l l y anxious to be c o n f r o n t e d with a situation in which a g r o u p that d e s e r v e s proper p r o t e c t i o n is deprived of it b e c a u s e of c o n t r o v e r s i e s related to the definition of minorities. Certainly, this is not the intention of P r o f e s s o r Waterbury, w h o rightly stresses in the c o n c l u s i o n : " T h e law s h o u l d allow g r o u p s to o r g a n i z e along ethnic or sectarian lines if they see fit, and if they obey the laws of the land, but it should also allow them to disappear if their political raison d ' ê t r e d i s a p p e a r s . " T h e v i e w that I wish to stress is the f o l l o w i n g : Let us try to go along with the reference to the definition of Capotorti at the international level as long as w e c a n n o t r e p l a c e it by a c o m m o n l y accepted legal definition. This m e a n s , too, that all studies in this regard are w e l c o m e and s h o u l d be e n c o u r a g e d . I am r e f e r r i n g here, f o r e x a m p l e , to the studies by P r o f e s s o r Eide, the expert on the S u b - C o m m i s s i o n on P r e v e n t i o n of Discrimination and Protection of Minorities. In this context, I w o u l d also be g r a t e f u l to P r o f e s s o r Waterbury for analyzing the recent G e n e r a l C o m m e n t c o n c e r n i n g Article 27 of the International C o v e n a n t on Civil and Political R i g h t s by the H u m a n R i g h t s C o m m i t t e e ( 1 9 9 4 ) , which a d o p t e d a m o r e open a p p r o a c h to the definition of minorities than C a p o t o r t i . N a m e l y , the C o m m i t t e e d r o p p e d the criterion of c i t i z e n s h i p of the state of sojourn, which, in view of Capotorti, c o d e t e r m i n e s the affiliation of a p e r s o n to a m i n o r i t y . H o w could this i n t e r p r e t a t i o n be evaluated f r o m the theoretical point of view.

Commentari/

a n d w h i c h p r a c t i c a l c o n s e q u e n c e s m i g h t it have? Finally, as I u n d e r s t a n d P r o f e s s o r Waterb u r y , h e is c o n c e r n e d a b o u t e x c e s s i v e e n t h u s i a s m in s o r t i n g out m i n o r i t i e s . It is true that an e a s y s p l i t t i n g of s o c i e t i e s into g r o u p s m i g h t c r e a t e p r o b l e m s . I c a n also a g r e e that the c r e a t i o n of m i c r o s t a t e s t h r o u g h the d i s i n t e g r a t i o n of l a r g e r m u l t i e t h n i c s t a t e s w o u l d s e e m to c r e a t e m o r e p r o b l e m s t h a n it w o u l d s o l v e . O n e S p a n i s h c o m m e n t a t o r h a s rec e n t l y e x p r e s s e d this f e a r by d r a w i n g the foll o w i n g v i s i o n : If the l a n g u a g e s h o u l d s u b s t a n t i a t e t h e c l a i m of l i n g u i s t i c g r o u p s f o r their o w n states, the w o r l d w o u l d be d i v i d e d into m o r e than five t h o u s a n d states. A p p r e c i ating this s p e c t a c u l a r a r g u m e n t and b e i n g in f a v o r of a r a t i o n a l and b a l a n c e d a p p r o a c h , I a m e q u a l l y s u r e that the p r o t e c t i o n of m i norities is the right a n s w e r to o n e of the m o s t s e r i o u s c h a l l e n g e s in the d e c a d e s a h e a d . 2. Professor Waterbury writes: " A political s y s t e m m u s t allow g r o u p s , if they choose to act as groups, to s e e k r e p r e s e n t a t i o n a n d to c o n s e n t to p a r t i c i p a t e in a larger unit. Rather than stimulating the formation and legal p a r t i c i p a t i o n of g r o u p s q u a g r o u p s , legi s l a t i o n s h o u l d be n e u t r a l , p e r m i s s i v e , but not e n c o u r a g i n g . It m a y be a d v i s a b l e in certain c i r c u m s t a n c e s to i n s t i t u t i o n a l i z e w h a t L i j p h a r t ( 1 9 8 7 ) has called a ' m i n o r i t y v e t o , ' that is, a n e g a t i v e or b l o c k i n g right, but legislation should not e n s h r i n e the rights and entit l e m e n t s of any particular m i n o r i t y or g r o u p " Comment: M y f e e l i n g is a c o m b i n a t i o n of a g r e e m e n t w i t h d o u b t s . In o t h e r w o r d s — the v i e w of P r o f e s s o r W a t e r b u r y is a p e r f e c t intellectual provocation. I certainly agree that a m i n o r i t y g r o u p s h o u l d be a l l o w e d to s e e k r e p r e s e n t a t i o n v i s - à - v i s the state ( c e n tral) p o l i t i c a l s t r u c t u r e s a n d to o r g a n i z e itself. H o w e v e r , I h a v e d o u b t s a b o u t e x a c t l y what Professor Waterbury means when he s a y s that t h e l e g i s l a t i o n s h o u l d r a t h e r n o t s t i m u l a t e t h e f o r m a t i o n a n d legal p a r t i c i p a tion of g r o u p s q u a g r o u p s a n d that l e g i s l a tion s h o u l d be n e u t r a l , p e r m i s s i v e , b u t not e n c o u r a g i n g . T h i s i d e a p e r m e a t e s the w h o l e paper.

389 U n d o u b t e d l y , t h e p r o t e c t i o n of m i n o r i ties m u s t , first and f o r e m o s t , be b a s e d on the p r i n c i p l e of f r e e d o m of p e r s o n s b e l o n g i n g to a m i n o r i t y , as it is laid d o w n in the 1992 dec l a r a t i o n , " t o e n j o y their o w n c u l t u r e , to prof e s s a n d p r a c t i s e their o w n r e l i g i o n , a n d to u s e t h e i r o w n l a n g u a g e , in p r i v a t e a n d in p u b l i c , f r e e l y and w i t h o u t i n t e r f e r e n c e or any f o r m of d i s c r i m i n a t i o n " ( A r t i c l e 2 § 1). Pers o n s b e l o n g i n g to m i n o r i t i e s s h o u l d a l s o " h a v e the r i g h t to p a r t i c i p a t e e f f e c t i v e l y in d e c i s i o n s on the n a t i o n a l a n d , w h e r e a p p r o priate, regional level c o n c e r n i n g the m i n o r i t y to w h i c h they b e l o n g or the r e g i o n in w h i c h t h e y live, in a m a n n e r not i n c o m p a t i b l e with n a t i o n a l l e g i s l a t i o n " ( A r t i c l e 2 § 3). H o w e v e r , s h o u l d t h e p r o t e c t i o n of m i n o r i t i e s be r e s t r a i n e d to w a r r a n t i n g f u n d a m e n t a l f r e e d o m s , i n c l u d i n g the right to s e l f - o r g a n i z a t i o n ? S h o u l d the p r o t e c t i o n be limited to the c l a s s i c a l f o r m u l a of the right to be let a l o n e ? I think that the a n s w e r is p r o v i d e d by the res p o n s e to a n o t h e r q u e s t i o n . W h y are w e s p e a k i n g a b o u t m i n o r i t i e s ? W h y is the p r o tection of m i n o r i t i e s a m a t t e r of international and n a t i o n a l c o n c e r n ? A m o n g v a r i o u s possible answers ( p r o b l e m s involving minorities h a v e b e e n t h e s o u r c e of n u m e r o u s c o n f l i c t s t h r o u g h o u t h i s t o r y ; p e r s o n s b e l o n g i n g to minorities should benefit from fundamental r i g h t s and f r e e d o m s also with r e g a r d to their s p e c i f i c n e e d s as m e m b e r s of a m i n o r i t y , e t c . ) , o n e is e s p e c i a l l y r e l e v a n t in this c o n t e x t . W e are s p e a k i n g a b o u t m i n o r i t i e s b e c a u s e t h e y are v u l n e r a b l e as m i n o r i t i e s , they a r e , as a rule, d i s a d v a n t a g e d in c o m p a r i s o n w i t h the m a j o r i t y . If so a n d in the c a s e w h e n t h e g i v e n m i n o r i t y is n o t in t h e p o s i t i o n to h e l p itself, steps s h o u l d be t a k e n to equal its s i t u a t i o n with that of the m a j o r i t y . S o - c a l l e d a f f i r m a t i v e a c t i o n by the state a n d a d e q u a t e s t r u c t u r e s of the state ( a u t o n o m y , f e d e r a t i o n , special organs, o m b u d s m a n for minority etc.) h a v e b e e n r e c o g n i z e d as d e s i r a b l e m e a s u r e s in this r e s p e c t . A r t i c l e s 4 t o 7 of t h e 1 9 9 2 D e c l a r a t i o n a r e d i r e c t l y or i n d i r e c t l y related to a f f i r m a t i v e action. T h e D e c l a r a t i o n s t i p u l a t e s in A r t i c l e 8 § 3: " M e a s u r e s t a k e n by states to e n s u r e the e f f e c t i v e e n j o y m e n t of the r i g h t s set f o r t h in the p r e s e n t D e c l a r a t i o n

390 shall not p r i m a facie be c o n s i d e r e d contrary to the principle of e q u a l i t y c o n t a i n e d in the U n i v e r s a l D e c l a r a t i o n of H u m a n R i g h t s . " T h e h u m a n rights treaty bodies, the G e n e r a l A s s e m b l y , the C o m m i s s i o n on H u m a n Rights, and the S u b - C o m m i s s i o n pay a lot of attention to a f f i r m a t i v e action. T h e a c a d e m i c discussion c o n c e r n i n g the f e a s i b l e structural solutions is going on. I am recalling all these w e l l - k n o w n f a c t s to say that both the affirmative action and the creation of adequate structures of the state might stimulate persons belonging to minorities to preserve and develop their own identity. W h i l e sharing the view of P r o f e s s o r Waterbury that our action should respond to real and not to artificial needs, it w o u l d be. h o w ever, d i f f i c u l t f o r m e to a s s o c i a t e myself with the revision of the attitude to a f f i r m a tive action as a c o m p o n e n t of the protection of minorities. 3. Professor Waterbury writes: "1 would g o a step f u r t h e r and argue that in a state in w h i c h the m e c h a n i s m of r e p r e s e n t a t i o n and the i n s t r u m e n t of a c c o u n t a b i l i t y work well, the issue of a u t o n o m y m a y lose its relev a n c e . " (p. 378) Comment: By and large, I can agree with the a b o v e s t a t e m e n t . A s u s u a l , w h e n things are going well, it is d a n g e r o u s indeed to try to improve t h e m . Yet in o r d e r for repr e s e n t a t i o n and the i n s t r u m e n t of a c c o u n t ability to work well, o n e must o f f e r to vario u s g r o u p s in society the o p p o r t u n i t y to articulate and e f f e c t i v e l y p u r s u e their interests. Is it not so that m i n o r i t i e s , to be p r o p erly r e p r e s e n t e d , need a s s i s t a n c e in s o m e f o r m , be it a u t o n o m y , or be it special regulation of electoral law? In such a case, perhaps special d e m o c r a t i c structures established for minorities should be built into the c o n c e p t of p r o p e r representation. O n the other hand, we are l o o k i n g f o r a d e q u a t e p r o t e c t i o n f o r minorities b e c a u s e existing structures and their actions are not perfect.

Jose Ayala-Lasso 4. P r o f e s s o r W a t e r b u r y a n a l y z e s p r o b lems related to the p e r c e p t i o n of identity, c o m m u n i t y and m i n o r i t i e s within minorities. Comment: Professor Waterbury places strong e m p h a s i s on the d y n a m i c s of the phen o m e n a he is s p e a k i n g about. It is an important point. T h e c o n s i d e r a t i o n s k e e p the r e a d e r in s u s p e n s e . T h e r e is a l w a y s t e n s i o n b e t w e e n the d y n a m i c s of life and the virtue of legal r e g u l a t i o n s , that is, their stability. A n d it s e e m s to m e that P r o f e s s o r Waterb u r y ' s d i s t a n c e to " s t i m u l a t i n g l e g i s l a t i o n " with regard to m i n o r i t i e s originates, at least partially, f r o m the o b s e r v a t i o n of this tension. We all k n o w that the cure for this phen o m e n o n is usually looked for in procedural s o l u t i o n s and in the j u r i s p r u d e n c e . It w o u l d be e x t r e m e l y i n t e r e s t i n g and h e l p f u l if Professor Waterbury could d e v e l o p his o b s e r v a tions in the p e r s p e c t i v e of the activities of international b o d i e s a n d international standard-setting, including areas beyond the postulate that "National law should allow for the near total f r e e d o m to organize non-violently a l o n g w h a t e v e r lines any subset of its citizens sees fit but w i t h o u t g r a n t i n g s p e c i f i c g r o u p s s p e c i f i c rights. Equally, the i n t e r n a tional c o m m u n i t y and international organizations should urge the s a m e n o r m s upon their c o n s t i t u e n t parts, s u p p l e m e n t e d with m o n i toring and d i s c l o s u r e . " 5. Conclusion: I am grateful to P r o f e s s o r Waterbury, indeed, f o r giving m e the o p p o r tunity to c o m m e n t on his very i n t e r e s t i n g c o n t r i b u t i o n . It h a s s t i m u l a t e d m e in a most positive way to reflect again on the relevant issue of the p r o t e c t i o n of m i n o r i t i e s . My contribution, to be presented during the c o n f e r e n c e , provides additional context to these c o m m e n t s . I h o p e very m u c h that this e x c h a n g e of v i e w s and c o o p e r a t i o n will be c o n t i n u e d in the f u t u r e .

Commentary

391

Commentary Amitai

Etzioni6

T

he self-determination of people, a major historical force for more than two hundred years, has largely exhausted its legitimacy. While it long served to d i s m e m b e r e m p i r e s and bring government within the reach of those governed, thus enhancing the d e m o c r a t i c potential, it now (with rare exc e p t i o n s — T i b e t , for e x a m p l e ) u n d e r m i n e s the potential for democratic development in n o n d e m o c r a t i c countries and threatens the foundations of democracy in those countries in which it is established. We should therefore withdraw moral approval of most new claims for self-determination, and from now on see them for what they mainly are: destructive forces. Ethnic identities can be expressed within many of the existing national entities if the dominant cultures will allow for those considerable a d j u s t m e n t s that can be m a d e without threatening national unity, and if all parties will develop more tolerance for people of different backgrounds and cultures. If intergroup tolerance is not heightened, the breakup of many nations from here on will lead to more interethnic strife, further breakups, with little gain and often actual loss of opportunities for people to truly govern themselves. We should therefore focus our moral approbations and diplomatic efforts in support of forces that enhance democratic determination and those that work to curb fragmentation and tribalism—the forces of community-building.

Dangers of Additional Fragmentation It is no longer possible to sustain the notion that once every ethnic group finds its expression in a full-blown nation-state, flies its flag at the United Nations, and has its ambassadors accredited by other nation-states, the process of ethnic expression and that of dis-

mantling existing states will be exhausted. T h e basic reason is that most nations in the world have numerous ethnic enclaves within them, within which further ethnic splinters exist. For e x a m p l e , in the failed breakaway state of Biafra in Nigeria, the population was composed of several ethnic groups, most notably the Ibibio, Efik, and Ijaw. Moreover, more and more new ethnic " s e l v e s " can be generated quite readily, drawing on fraction lines now barely noticeable. Subtle d i f f e r e n c e s in geography, religions, culture, and loyalties can be fanned into separatist sentiments, seeking their own s y m b o l s and " p o w e r s " of statehood. Few thought of Iraq as potentially three countries until it nearly broke into a Shiite southern state, a northern Kurdish state and a central Iraq Sunni state at the end of the 1991 Gulf War. In the United Kingdom, Scots and Welsh are asserting themselves again. Yugoslavia, already riddled by division, may fracture further still; Albanians, Yugoslavia's third-largest national group, recently boycotted elections in Serbia and are beginning to stir for a republic to call their own. And so it goes throughout the world. In most places, centrifugal forces are forever present. As Dov Ronen notes in his Quest for Self-Determination: B e c a u s e the n e w "us" often b e c o m e s just another f r a m e w o r k that appears to limit the f r e e d o m o f the individual, o f the real "self," the perception of a n e w "them" is prompted, and h e n c e the f o r m a t i o n of a n e w "us," for the further pursuit o f the aspired-to "freed o m " and "good life." A n d s o a n e w quest for self-determination e v o l v e s , with another n e w "us"; and then another, p o s s i b l y ad infinitum.

T h e phrase reductio ad absurdum never had a more meaningful application. Indeed, as most drives to break away f r o m existing states are advanced, new

6. Research assistance by S t e v e n Heiland and Barry Kreiswirth.

392

Amitai

g r o u p s l i n e u p w o r k i n g to t e a r a p a r t i n t o y e t

W h a t can w e do? First and

Etzioni

foremost,

smaller s e g m e n t s the n e w l y f o r m e d entities.

j u s t as t h e c a l l f o r s e l f - d e t e r m i n a t i o n u s e d t o

This often takes place long before they ac-

elicit almost reflexive moral support, espe-

cord the n e w entity even a limited opportu-

c i a l l y in p r o g r e s s i v e c i r c l e s , n o w o n e s h o u l d

democratic

withhold moral support unless one faces one

g o v e r n m e n t and b e f o r e one has a c h a n c e to

of t h e e x c e p t i o n a l s i t u a t i o n s in w h i c h f r a g -

d e t e r m i n e w h e t h e r or not the new

nity to d e v e l o p

a responsive,

govern-

mentation e n h a n c e s d e m o c r a c y rather than

m e n t will a t t e n d to t h e l e g i t i m a t e n e e d s a n d

r e t a r d s it. E s p e c i a l l y p e o p l e w h o s e e t h e m -

c l a i m s of t h e v a r i o u s s u b g r o u p s .

s e l v e s as o p p r e s s e d p u t g r e a t v a l u e s at g a i n the

ing moral support f r o m other people. As a

c l a i m s of t h e S o r b i a n s in E a s t e r n G e r m a n y

r u l e , w e s h o u l d t e n d to e n c o u r a g e t h e m to

T h u s , one may not take seriously

w h o w a n t t o e s t a b l i s h t h e s t a t e of L u s a t i a ,

w o r k o u t d i f f e r e n c e s w i t h i n t h e i r e x i s t i n g na-

e v e n if A l f r e d S y m a n k , a S o r b a n d t h e c h i e f

tional c o m m u n i t i e s rather than break

lobbyist

way.

Au-

Second, w e should point out the e c o n o m i c

t o n o m o u s L u s a t i a , a r g u e s that t h e y " a r e a le-

d i s a d v a n t a g e of s e p a r a t i s m ( d i s c u s s e d n e x t ) .

g i t i m a t e n a t i o n " a n d " w a n t t h e w o r l d to r e c -

A n d finally we should urge on the govern-

o g n i z e t h a t G e r m a n y i s n ' t j u s t m a d e u p of

m e n t s t h a t f a c e e t h n i c c h a l l e n g e s , s u c h as

G e r m a n s . T h e S o r b s are here, t o o ! " S y m a n k

Canada,

s p e a k s of t h e o p p r e s s i o n of t h e S o r b s at t h e

m o r e d e m o c r a t i c f e d e r a l i s m , to a v o i d f r a g -

hands

mentation. ( H o w far one can dilute the cen-

for Sorbian

of t h e

Nationality

Prussians,

for

Sachsens.

Nazis.

to p r o v i d e

more

authority,

C o m m u n i s t s , and n o w unified G e r m a n y and

tral g o v e r n m e n t

w o n d e r s , " I f L i t h u a n i a s u c c e e d s , if S l o v e n i a

a r c h i n g c o m m u n i t y is a s u b j e c t to w h i c h w e

s u c c e e d s , w h y c a n ' t w e ? " (The

turn after the e c o n o m i c points are m a d e . )

Journal

[August

28,

Wall

Street

1 9 9 1 ] : A I). A l l

b e f o r e t h e ink h a d e v e n d r i e d o n

this

German

unification.

without

local

losing

the

over-

A r e t h e r e e x c e p t i o n s to t h e r u l e s ? W i l l , for instance, the Israeli Palestinians, have full citizens' rights and are

who

strongly

Yet o n e c a n n o t t a k e l i g h t l y t h e d e m a n d s

r e p r e s e n t e d in t h e I s r a e l i K n e s s e t , b e m o r e

of v a r i o u s g r o u p s w i t h i n t h e S o v i e t U n i o n ' s

" s e l f d e t e r m i n e d " if t h e y w o u l d j o i n a P a l e s -

r e p u b l i c s , s u c h as t h e O s s e t i a n s w h o a r e in

t i n i a n s t a t e ? A c a s e c a n b e m a d e that a f t e r

violent battle with the m a j o r i t y G e o r g i a n s ,

m o r e t h a n f i f t y y e a r s of h a t r e d a n d w a r s b o t h

and the Turkic-speaking G a g a u z , w h o have

s i d e s w o u l d b e b e t t e r o f f if a

already proclaimed independence f r o m the

state w o u l d be created and a v o l u n t a r y pop-

Palestinian

they

u l a t i o n e x c h a n g e w o u l d o c c u r ; b u t this is an

claim d i s c r i m i n a t e s against the G a g a u z . A n d

a r g u m e n t in f a v o r of n o t w a i t i n g f o r g e n e r a -

o n e m u s t c o n s i d e r h o w m i n o r i t y S e r b i a n s in

t i o n s of m u t u a l v i o l e n c e t o s e p a r a t e p e o p l e

a n i n d e p e n d e n t C r o a t i a w o u l d be t r e a t e d a n d

to an e x t e n t that r e c o n c i l i a t i o n a n d l i v i n g to-

would react.

gether might

Moldavian-speaking

majority, which

E v e n t h e r o m a n t i c s of s e l f - d e t e r m i n a t i o n

become

impractical. On

the

other h a n d , a strong case can be m a d e that

will h a v e to p a u s e b e f o r e the p r o s p e c t of a

e v e r y y o u n g b o d y in t h e r e g i o n w o u l d

U n i t e d N a t i o n s w i t h t h o u s a n d s of m e m b e r s .

b e t t e r o f f if P a l e s t i n i a n s w o u l d j o i n a n e x -

be

T h e w o r l d m a y w e l l s u r v i v e t h e c r e a t i o n of

panded Jordan rather than f o r m one

ever m o r e toy states, smaller than L i e c h t e n -

t i n y s p l i n t e r - s t a t e , a s l o n g as J o r d a n w o u l d

more

stein and less p o p u l a t e d than Nauru ( a p p r o x -

s u b s t a n t i a l l y d e m o c r a t i z e in t h e p r o c e s s . In

imate population: eight thousand); but what

comparison,

meaning does self-determination have when

w h i c h m a y w e l l d o w o n d e r s f o r its c i t i z e n s '

t h e s e m i n u s c u l e s t a t e s a r e at t h e e c o n o m i c

p r i d e , is l i k e l y to b e e c o n o m i c a l l y f o o l i s h , a

a separate

Palestinian

state,

a n d m i l i t a r y m e r c y , i n d e e d w h i m , of o t h e r s

s o u r c e of a d d i t i o n a l w a r s , a n d n o t m o r e d e -

— i n whose government they have no repre-

mocratic

states.

Why

s e n t a t i o n at all, a n d t o w a r d w h i c h t h e y h a v e

should the international c o m m u n i t y

favor

no particular moral claims for responsiveness?

such a development?

than

other

Arabic

Commentary

The Poor Economics of Separatism W h e n f r a g m e n t a t i o n is objectively assessed, t h e e c o n o m i c disadvantages stand out. C o u n t r i e s that f r a g m e n t into s m a l l e r e c o n o m i e s will pay h e a v y e c o n o m i c penalties. Take one e x a m p l e . S l o v a k i a is a s o u r c e of m a n y raw m a t e r i a l s ; the C z e c h r e p u b l i c a p l a c e w e r e t h e raw m a t e r i a l s are o f t e n turned into fini s h e d p r o d u c t s . T h e p i p e l i n e s that carry oil f r o m the f o r m e r U S S R to the C z e c h s r u n s thorough Slovakia. Czech officials have a l r e a d y tried to get a n o t h e r line t h r o u g h G e r m a n y but h a v e run into r e s i s t a n c e f r o m e n v i r o n m e n t a l i s t s . Slovakia is the s o u r c e of m o s t p e t r o c h e m i c a l s for both parts; C z e c h s supply m u c h of the electricity, and so it goes. O n e reason Q u e b e c ' s ardor for s e p a r a t i o n s e e m s to have s o m e w h a t c o o l e d recently is that its b u s i n e s s leaders have r e a l i z e d the great e c o n o m i c losses i n d e p e n d e n c e w o u l d entail. The mere possibility that Q u e b e c m a y o n e day s e c e d e is already r e f l e c t e d in the c o s t s of its credits; when it issued b o n d s in 1990, it had to pay higher interest in order to attract i n v e s t m e n t s than it paid in p r e v i o u s p e r i o d s and that was paid at the s a m e time by other Canadian provinces (The Wall Street Journal [April 13, 19901). Theoretically, in a world of real f r e e trade, it would not matter where national borders are drawn. However, under existing conditions, national borders have considerable e c o n o m i c significance, ranging f r o m tendencies to buy f r o m people of your own country (even when legally there are no restrictions on imports), to capital made available by the national g o v e r n m e n t for d e v e l o p m e n t of new businesses, for R & D , training of workers, and so forth, allotted mainly to enterprises within a given national state. Moreover, m a n y environmental issues cannot be dealt with in fragments of countries; the acid rain produced in one, rains on the other; the pollution d u m p e d into a river upstream by one country appears in the drinking water of a country downstream. (Environmental degradation is, of course, also a problem for long-established countries, but it points toward the need for more cross-nation community-building and the difficulties posed by additional fragmentation.)

393 It might be argued that the C r o a t i a n s and S l o v e n i a n s (and other such g r o u p s ) will first find their nationalist self-expression and then f o r m c o m m o n m a r k e t s . H o w e v e r , this argum e n t is akin to s u g g e s t i n g that a m a r r i e d c o u p l e r u n n i n g a m o m and p o p store will, a f t e r divorce, be m o r e able to w o r k t o g e t h e r on behalf of their j o i n t b u s i n e s s than d u r i n g m a r r i a g e ; it rarely h a p p e n s this way. I n d e e d , the A f r i c a n e x p e r i e n c e has s h o w n to o n e and all the great difficulties, indeed near impossibilities, in f o r m i n g new u n i o n s o n c e v a r i o u s territories h a v e b e c o m e i n d e p e n d e n t states, a l t h o u g h these states w e r e o n c e c o n s i d e r e d but a t r a n s i t i o n a l stage b e t w e e n W e s t e r n colonialism and A f r i c a n unity. F u r t h e r m o r e , e c o n o m i e s of scale are becoming increasingly important. Economists h a v e long s t r e s s e d the e f f i c i e n c y of largescale d i v i s i o n of labor and e x c h a n g e . H o w ever, it is only in the last d e c a d e s that we have d e v e l o p e d the t e c h n o l o g i e s of c o m m u nication and m a n a g e m e n t that allow us to run very l a r g e - s c a l e e n t e r p r i s e s on a truly continental, even c r o s s - c o n t i n e n t a l , scale. In recent y e a r s , e v e n m a n y of the s t r o n g e r e c o n o m i e s , such as those of Western E u r o p e , f o u n d it to their a d v a n t a g e to j o i n together. For e x a m p l e , to m a i n t a i n a viable steel airf r a m e or c o m p u t e r industry, several E u r o pean c o u n t r i e s f o u n d they had to c o m b i n e their e f f o r t s . A n d the U n i t e d States h a s res p o n d e d to e c o n o m i c c o m p e t i t i o n by f o r m ing a free-trade area with C a n a d a and is n o w c o n s i d e r i n g adding M e x i c o . T h e e c o n o m i e s of scale are not the only factor. S o m e small countries, such as S i n g a p o r e , are d o i n g relatively well, w h i l e m u c h larger o n e s , such as Brazil, are d o i n g q u i t e poorly for now. Yet h o l d i n g all o t h e r f a c t o r s c o n s t a n t , f e w w o u l d c o n t e n d that larger countries, say Brazil, w o u l d b e n e f i t — i n d e e d , not be s e r i o u s l y d a m a g e d — i f b r o k e n into parts. O r that s m a l l e r c o u n t r i e s w o u l d not b e n e f i t f r o m e c o n o m i c m e r g e r s . T h i s is a reason so m a n y have f o r m e d , or are trying to form, economic unions (for example, Arg e n t i n a , B r a z i l , P a r a g u a y , and U r u g u a y are h o p i n g to f o r m a u n i o n by 1994.) In short, f r o m a sheer e c o n o m i c viewpoint, the w a y to

394

Amitai

the

democratization

of

Etzioni

w e l l - b e i n g , which all these people seek, is

against

not fragmentation but its opposite: c o m m u -

seeking to establish d e m o c r a t i c government

countries

nity-building.

and threatens d e m o c r a c y in countries that questionable

have already attained it. T h e main reasons

whether groups o f a u t o n o m o u s nations can

are two: one structural and one sociopsycho-

Moreover,

it

is

highly

economies,

logical. The first one c o n c e r n s pluralism; the

which entails much more than shared mar-

second, tolerance. B y n e c e s s i t y we explore

successfully

form

common

kets and trade zones. A m a j o r reason the Eu-

those one at a time although there is a deep

ropean C o m m u n i t y is now considering add-

connection between the two.

ing varying degrees o f political unification to its e c o n o m i c efforts is the difficulty, if not

The Merits of

impossibility, o f forming an e c o n o m i c union

The structural foundations o f democracy entail

without a political one. T h e crucial point is

much more than regular elections. Elections

that forming e c o n o m i c policy requires draw-

were conducted frequently by both authori-

Pluralism

ing on political c o n s e n s u s and specification

tarian countries such as Egypt and tyrannical

of shared goals.

ones, such as c o m m u n i s t U S S R . An institu-

Governments routinely seek to affect the

tionalized, nonviolent c h a n g e o f those in

rate o f inflation, u n e m p l o y m e n t , and e c o -

power in response to c h a n g e s in the prefer-

nomic growth, and so on, as Germany did in

ences o f the populace is essential for demo-

July 1 9 9 2 . when it c h o s e to increase interest

cratic structure. Such changes ensure that the

rates because its people fear inflation more

government can be responsive to the chang-

than unemployment and low growth. If these

ing needs and desires o f the people, and that

d e c i s i o n s were to be undertaken by institu-

if the government b e c o m e s unresponsive, it

tions not subject to elected

will be changed without undue difficulties.

governments,

they would lack c o n s e n s u s and legitimacy. Hence, without a European parliament and

T o ensure

that

the

variety

of

needs

within the population will find e f f e c t i v e po-

government, and the attendant building up o f

litical expression, d e m o c r a c i e s require that

legitimation, a European e c o n o m i c unifica-

the government in place not " h o m o g e n i z e "

tion without political unification may well be

the population in some artificial manner (for

impractical (and if achieved, will have some

e x a m p l e , imposing one state-approved reli-

o f the alienating flavor o f an empire because

gion; Q u e b e c prohibiting outdoor signs in

it would be undemocratically imposed). It would be the ultimate irony o f history

English). For it is the plurality o f social, cultural, and e c o n o m i c loyalties and power cen-

for countries to d i s m e m b e r existing c o m m u -

ters within society that makes it possible, at

nities o f a nation, say break up India, only to

each point in time, for a new need, group, or

find out that they must reunite politically in

subculture to break into the political s c e n e ,

order to provide their citizens with the bless-

find allies, build c o a l i t i o n s , and have its ef-

ings o f modern e c o n o m i e s that their citizens

fect. ( F o r e x a m p l e , the Great S o c i e t y

keenly desire. Such irony may satisfy the ob-

forms in the early sixties in the United States

server and provide a fascinating experiment

were, politically speaking, the result o f rising

for social scientists, but it imposes large-

black groups forming a coalition with white

scale and pervasive human suffering on the

liberals and labor unions.)

people o f the countries involved.

re-

Aside from keeping the government and its closest allies in the population in c h e c k ,

Threat to Democracy: Unitary Structures and Intolerance

the pluralistic array o f groups also keeps other groups at bay. In contrast, when histor-

E c o n o m i c penalties for those who fragment,

ical processes or deliberate government poli-

as prohibitive as they might be, are the lesser

c i e s weaken all other groups and leave only

o f two evils. T h e main d r a w b a c k o f e x c e s -

its supporters within the s o c i e t y organized,

sive

as the Nazis did in post-World War I Germany,

self-determination

is

that

it

works

Commentary t h e f o u n d a t i o n s of d e m o c r a c y are underm i n e d . In short, social pluralism is a major sociological factor that supports democratic government. While there are several bases along which social pluralism can be sustained, the best are those that cut across other existing lines of division, d a m p e n i n g the p o w e r of e a c h and allowing for a large number of possible combinations of social bases to build political power. Thus, a society rigidly divided into two or three e c o n o m i c classes (say, landed gentry, bourgeois, and working class) may have a structure that is somewhat m o r e conducive to d e m o c r a t i c g o v e r n m e n t than a society with only one class. However, the potential f o r d e m o c r a c y is much enhanced when there are other groups that d r a w on m e m b e r s f r o m various classes, so that loyalty to these groups cuts across class lines. Historically, ethnic groups have "cut a c r o s s " s o c i o e c o n o m i c s levels within the United States, thus dampening both class and ethnic divisions. Thus, U.S. Jews may be largely middle class, but there are many in the middle class who are not Jewish and there are Jews in the other classes. WASPs (White A n g l o - S a x o n Protestants) may be " o v e r r e p r e s e n t e d " in the upper classes but are also found in large n u m b e r s in all other classes, and so on. The fact that both classes and ethnic loyalties cut across regional and other geographical lines and loyalties further helps cement the f o u n d a t i o n s of pluralism and hence democracy. In contrast, the net effect of breakaway states that are based on ethnic groups is to fashion c o m m u n i t i e s that are sociologically much more monolithic than the states they break away f r o m . T h u s , Quebec obviously would be m u c h more " F r e n c h " and the remaining Canada " E n g l i s h " than the existing composite. This polarization is heightened by the great intolerance breakaway states tend to have for minority ethnic groups composed of people who were in the majority or in power in the country they broke away from. In short, ethnic-based breakaway states tend to see more ethnic homogeneity, and

395 less pluralism, and this is one reason they often lack the deeper sociological f o u n d a tions of democracy. The Role of Tolerance Tolerance of people of a different background, subculture, religion, or language is a crucial psychological trait that democracy requires; the same trait is needed in order for new communities to solidify. Democracy requires tolerance (which, in turn, is based on impulse control and ego distance) because it is the psychological basis for playing by the rules; for being willing to accept the outcome of elections—even if they favor a party or coalition of groups one is strongly opposed to; and for being willing to accept compromises. Community requires the same basic psychological trait—the capacity to bind people of different b a c k g r o u n d s and traditions; the ability to work out d i f f e r e n c e s with people whose religions, histories, and habits one does not share. W h e n those are absent, the predisposition to fragmentation is high. To put it differently, tolerance is a psychological trait that is essential both for interethnic peace within one country and for democratic government. People who beat to death members of other ethnic groups within their turf, burn their houses to the ground, or otherwise engage in massive v i o l e n c e — b e cause of some alleged or real indignities or injustices—are most unlikely to be able to sit d o w n with other groups they disagree with and work out the kind of c o m p r o m i s e s or c o m m u n i t y - w i d e consensus the daily working of d e m o c r a c y requires. Violence is, of course, only the most extreme and highly visible sign of intolerance. Widespread prejudice and discrimination suffice to prevent a community and a democracy f r o m functioning properly. H e n c e , since the ultimate p u r p o s e of self-determination is not self-determination per se but a government responsive to those governed, d e v e l o p i n g tolerance might be what m a n y of the people of the s u b c o m m u nities involved need first and foremost. At least, before they take a wrecking ball to

396 t h e i r n a t i o n s , it s e e m s r e a s o n a b l e to e x p e c t t h e m to try to w o r k out their d i f f e r e n c e s by i n s i s t i n g o n r e f o r m s in t h e e x i s t i n g g o v e r n m e n t , to r e n d e r t h e m m o r e r e s p o n s i v e , c h a n g e the g o v e r n m e n t s t r u c t u r e s ( f o r e x a m ple, m a k i n g t h e m less unitary and m o r e f e d e r a l ) , and o t h e r w i s e e x p r e s s e t h n i c n e e d s w i t h i n the e x i s t i n g c o m m u n i t y . O n l y if these g o v e r n m e n t s are u n r e s p o n s i v e to such legitim a t e d e m a n d s d o e s t h e r e s e e m to be j u s t i f i c a t i o n f o r an e t h n i c g r o u p to b r e a k a w a y . A n d w h e n this l a s t - r e s o r t c o u r s e is e m b r a c e d , w e s h o u l d e x p e c t the n e w l y f o r m e d c o m m u n i t i e s to take special p a i n s to d e v e l o p t o l e r a n c e , lest they will, to reiterate, be e v e n less d e m o c r a t i c a n d u n r e s p o n s i v e to m a j o r g r o u p s of their c i t i z e n s than the n a t i o n s f r o m w h i c h they are s e c e d i n g . Anti-Peace Force In earlier historical p e r i o d s the f o r c e s that favored self-determination were often "intern a t i o n a l i s t . " A s long as the a d v o c a t e s of various national m o v e m e n t s w e r e largely poets, philosophers, and intellectuals rallying against d o m i n a n t e m p i r e s , they t e n d e d to be r a t h e r s u p p o r t i v e of i n t e r n a t i o n a l s o l i d a r i t y and worldwide peace. H o w e v e r , as n a t i o n a l i s m , e s p e c i a l l y m i n i - n a t i o n a l i s m a n d that of u n d e m o c r a t i c states, has been spreading, hostility toward p e o p l e of d i f f e r e n t b a c k g r o u n d s l e f t in the n e w states and w a r f a r e a m o n g t h e m is all too c o m m o n . H e n c e , f a r f r o m l e a d i n g to p e a c e ful resolutions, ethnic fragmentation often o p e n s t h e d o o r to n e w m a s s i v e v i o l e n c e . T h u s , in M o l d a v i a life has b e c o m e r a t h e r unp l e a s a n t , if not o u t r i g h t d a n g e r o u s , f o r the Russian minority and the Turkish G a g a u z people. The same holds for the Turkish min o r i t y in B u l g a r i a , R o m a n i a n s in H u n g a r y , a n d f o r H u n g a r i a n s in R o m a n i a . C i v i l w a r s a m o n g e t h n i c entities w i t h i n the n e w l y independent African states are c o m m o n p l a c e . A n d in I n d i a , w h i l e t h e S i k h s h a v e n o t yet obtained independence for Punjab, subgroups are a l r e a d y at e a c h o t h e r s ' t h r o a t s . It f o l l o w s that o n e o u g h t not treat s e l f d e t e r m i n a t i o n as a k i n d of a b s o l u t e v a l u e that t r u m p s all o t h e r s . S e l f - d e t e r m i n a t i o n is

Amitai

Etzioni

b a s i c a l l y m e a n t to be a step to e n h a n c e j u s tice in the w o r l d t h r o u g h s e l f - g o v e r n m e n t . H o w e v e r , w h a t e v e r its p o s i t i v e role w a s in p r e v i o u s p e r i o d s , it is n o w o f t e n a p r e c u r s o r to m a s s v i o l e n c e a n d d e s t r u c t i o n , to war, w h i c h greatly u n d e r c u t s its l e g i t i m a c y . Pluralism Within Unity To m a i n t a i n c o m m u n i t y , e t h n i c g r o u p s and o t h e r s u b g r o u p s should not be s u p p r e s s e d or d i s s o l v e d . I d o not hold that the only or best antidote to the w o r l d w i d e e t h n i c c r u m b l e and the attendant t e n d e n c i e s to f r a g m e n t a t i o n and v i o l e n c e is to b l e n d the v a r i o u s e t h n i c g r o u p s out of e x i s t e n c e ( w h a t A r t h u r S c h l e s inger, Jr.. in his r e c e n t b o o k The Disuniting of America, r e f e r s to as the g r e a t " s o l v e n t , " that of total a s s i m i l a t i o n ) . E t h n i c g r o u p s s h o u l d c o n t i n u e not o n l y to e x i s t , but to t h r i v e and e n r i c h the c u l t u r a l m o s a i c — i n d e e d , as we h a v e seen t h e m c o n t r i b u t e to the f o u n d a t i o n of d e m o c r a t i c p l u r a l i s m — a s long as their s o c i o l o g i c a l s c o p e is not e x p a n d e d to the point w h e r e it cuts into the c o m m u n i t y ' s (or n a t i o n ' s ) s u s t a i n i n g b o n d s . E t h n i c e x p r e s s i o n s can e n c o m p a s s num e r o u s a r e a s , i n c l u d i n g m a i n t a i n i n g their o w n c u i s i n e s , religious rituals, m u t u a l aid associations, music, dance, and much more. They must only accept those values e m b e d ded in the s h a r e d c o n s t i t u t i o n ( f o r e x a m p l e , r e s p e c t f o r i n d i v i d u a l and m i n o r i t y rights), a limited set of u l t i m a t e v a l u e s ( s u c h as t h o s e e n t a i l e d in d e f e n s e of o n e ' s c o u n t r y ) a n d , in most countries, a shared language. Mutual t o l e r a n c e , f o r r e a s o n s a l r e a d y d i s c u s s e d , is a n o t h e r key v a l u e that c a n n o t be d e n i e d . In s h o r t , a s s i m i l a t i o n — a n d t h r o u g h it, the e l i m i n a t i o n of e t h n i c g r o u p s — i s not n e e d e d to p r e s e r v e c o m m u n i t y or d e m o c racy. H o w e v e r , it is e s s e n t i a l t o put s o m e limits on e t h n i c e x p r e s s i o n s in t e r m s of t h e a r e a s into w h i c h they p e n e t r a t e a n d the w a y s their identity is e x p r e s s e d . Language The Role of T h o s e w h o seek to build or m a i n t a i n n a t i o n a l unity o f t e n a r g u e f o r the i m p o s i t i o n of o n e l a n g u a g e . O n the o t h e r h a n d , t h o s e w h o s e e k to m a i n t a i n e t h n i c c u l t u r e s t r o n g l y o p p o s e

397

Commentary

than

W e h a v e n o w r e a c h e d a s i t u a t i o n in m o s t

t h e i r o w n a n d see, in e f f o r t s to d o so, a m a j o r

s t a t e s of t h e w o r l d w h e r e a d d i t i o n a l f r a g -

a t t a c k o n t h e i r s e p a r a t e i d e n t i t y . Still o t h e r s

m e n t a t i o n is l i k e l y t o d i m i n i s h , n o t e n h a n c e ,

t h e i n t r o d u c t i o n of a l a n g u a g e o t h e r

p o i n t o u t that t h e e x p e r i e n c e of B e l g i u m a n d

the d e m o c r a t i c potential or reality and en-

S w i t z e r l a n d s h o w s that a country can sustain

danger

r e s p o n s i v e n e s s a n d u n i t y e v e n in f a c e of s e p -

b e i n g , as w e l l a s d o m e s t i c a n d i n t e r n a t i o n a l

arate languages.

peace. Hence, only when secessionist move-

A g a i n , t h e p r i n c i p l e of p l u r a l i s m w i t h i n

economic

development

m e n t s s e e k to b r e a k o u t of

and

well-

empires—and

unity provides a guideline for our considera-

t h o s e t h a t r e f u s e to d e m o c r a t i z e — d o e s s e l f -

t i o n . C o u n t r i e s t h a t e n c o u r a g e all t h e i r c i t i -

determination deserve our support.

z e n s to acquire one c o m m o n l a n g u a g e will

wise, democratic g o v e r n m e n t and

b e m o r e a b l e to m a i n t a i n c o n s e n s u s - b u i l d i n g

n i t y - b u i l d i n g , not f r a g m e n t a t i o n , s h o u l d be

a n d other c o m m u n i t y - b u i l d i n g forces. At the

a c c o r d e d the highest standing.

Othercommu-

s a m e t i m e , t h e r e is n o r e a s o n t o o p p o s e o r d i s c o u r a g e subgroups f r o m maintaining their

Bibliography

l a n g u a g e s . T h u s , it is f i n e f o r Q u e b e c to e n -

Ahmed, Mohammed M.A. 1994. " D e m o g r a p h i c Changes in Kurdistan-Iraq. 1 9 5 7 - 1 9 8 8 . " Namah. 2 no. 1: 7 - 8 . ' Awda. "Abd al-Malek. 1994. "Self-Determination in the S u d a n . " al-Ahram al-Iqtisadi. (Jan. 24): 90 (in Arabic). Bechtold, Peter. 1973. " N e w Attempts at Arab Cooperation: The Federation of Arab Republics," Middle East Journal 27. no. 2: 152-172. Connor. Walker. 1987. " E t h n o c e n t r i s m . " In Understanding Political Development, edited by Myron Werner and Samuel Huntington. Boston: Little Brown, 103-159. Democratic Republic of the Sudan. 1972. The Southern Provinces Regional Self Government. Ministry of Culture and Information. Deng, Andrew. 1981. "Political Power and Decentralization in the S u d a n . " Decentralization & Development Review, no. 1 (spring): 6-7. Denoeux, Guilain. 1993. Urban Unrest in the Middle East: A Comparative Study of Informal Networks in Egypt, Iran, and Lebanon. Albany: State University of New York Press. Entessar, Nader. 1992. Kurdish Ethnonationalism. Boulder: Lynne Rienner Press. Etzioni, Amitai. 1 9 9 2 - 1 9 9 3 . "The Evils of SelfDetermination." Foreign Policy, no. 89 (Winter): 2 1 - 3 5 . Etzioni, Amitai. 1993. The Spirit of Community. New York: Crown Publishers. Farij, Hanna Yusif. 1993. "The Kurdish National Question in Iraq and Foreign Intervention in the Region." Political Readings (Tampa, Fla.): 2, 9 - 4 2 (in Arabic). Eyal, Jonathan. 1994. "Liberating Europe from Nationalism Will Not Be Easy." Internationa! Herald Tribune (May 24). Falk, Richard. 1994. "Problems and Prospects for the Kurdish Struggle for Self-Determination after the End of the Gulf and Cold Wars."

courage

its

citizens

to

learn

and

speak

F r e n c h b u t n o t to t a b o o t h e u s e of E n g l i s h , e v e n a s a s e c o n d l a n g u a g e , o n its s h o p a n d restaurant signs. T h e Soviet g o v e r n m e n t opp r e s s e d J e w s not b y e x p e c t i n g t h e m to l e a r n R u s s i a n b u t by p r o h i b i t i n g t h e t e a c h i n g of Y i d d i s h and H e b r e w and so on. ( F r o m the viewpoint advanced here, the term bilingual is m i s l e a d i n g b e c a u s e it s o m e t i m e s is u s e d to r e f e r to p r o g r a m s t h a t a l l o w n e w i m m i g r a n t s t o l e a r n t o u g h s u b j e c t s , s u c h as s c i e n c e , in their o w n language while they are learning the

prevailing

language,

while,

in

other

c a s e s , it is u s e d to r e f e r to p r o g r a m s that e n c o u r a g e in e f f e c t b i c u l t u r a l i s m , in w h i c h n e w i m m i g r a n t s are e n c o u r a g e d not to buy into t h e m a i n c u l t u r e a n d i n s t e a d to k e e p s p e a k ing a n d l e a r n i n g in t h e i r s e p a r a t e

tongue.

T h e f i r s t f o r m of b i l i n g u a l i s m is p r o - c o m m u nity: the second one subverts community.)

In Conclusion A r e e x a m i n a t i o n of t h e m o r a l s u p p o r t m a n y of us h i s t o r i c a l l y g r a n t t o m o v e m e n t s of s e l f d e t e r m i n a t i o n r e v e a l s t h a t it w a s b a s e d n o t s o m u c h in s u p p o r t of f r a g m e n t a t i o n a l o n g e t h n i c lines per se, but on the b e l i e f — t h a t h i s t o r i c a l l y w a s o f t e n c o r r e c t — t h a t t h o s e in e m p i r e s will not b e a b l e to gain a g o v e r n m e n t t h a t is r e s p o n s i v e t o t h e i r n e e d s a n d legitimate claims, a democratic

government,

w i t h o u t b r e a k i n g a w a y . T h e e s s e n c e of t h e claim was, however, to ensure n o t s e p a r a t i s m f o r its o w n s a k e .

democracy,

398

Amitai

Michigan Journal of International Law 15. no. 2: 5 9 1 - 6 0 3 . F a r a h , T a w f i c , e d . 1 9 8 7 . Pan-Arabism and Arab Nationalism: The Continuing Debate. Boulder: Westview Press. F u l l e r , G r a h a m . 1 9 9 3 . Iraq in the Next Decade: Will Iraq Survive until 2002? A R a n d N o t e N - 3 5 9 1 - D A G . Santa Monica: Rand. G h a l i y u n , B u r h a n . 1 9 9 0 . The Sectarian Order: From the State to the Tribe. B e i r u t : T h e A r a b C u l t u r a l C e n t e r (in A r a b i c ) . G o t t l i e b , G i d o n . 1993. Nation Against State: New Approach to Ethnic Conflicts and the Decline of Sovereignty. N e w York: C o u n c i l on Foreign Relations. G u b e k . A n t h o n y B.Y. 1 9 9 4 . " I d e o l o g y and Political S y s t e m : Past a n d P r e s e n t . " Civil Society (August). G u b e k , A n t h o n y B.Y. 1994. " S u d a n : R e b e l D i s a r ray D e l a y s P e a c e . " Civil Society ( J u n e 15): 14-16. G u h e n n o , J e a n - M a r i e . 1993. La Fin de la Democratic. P a r i s : F l a m m a r i o n . H a l p e r i n , M o r t o n . S c h c f f e r . D a v i d and S m a l l , P a t r i c i a . 1992. Self-Determination in the New World Order. C a r n e g i e E n d o w m e n t f o r International Peace. H a n n u m . H u r s t . 1 9 9 0 . Autonomy. Sovereignty, and Self-Determination: The Accommodation of Conflicting Rights. Philadelphia: University of P e n n s y l v a n i a P r e s s . H e n z e , P a u l . 1 9 9 2 . " C a u c a s i a n M a d n e s s . " The Turkish Times ( N o v e m b e r 15). H o r o w i t z , D o n a l d . 1 9 8 5 . Ethnic Groups in Conflict. B e r k e l e y : U n i v e r s i t y of C a l i f o r n i a P r e s s . H u d s o n , M i c h a e l . 1968. The Precarious Republic: Political Modernization in Lebanon. New York: R a n d o m H o u s e . I b r a h i m , S a ' a d E l d d i n . 1 9 9 2 . Considerations on the Question of Minorities. Kuwait, Cairo, D a r S u ' a d a l - S a b a h (in A r a b i c ) . J o n e s , L y n n e . 1 9 9 2 - 1 9 9 3 . " N a t i o n a l i s m and t h e News 6, n o . 2: S e l f . " Peace and Democracy 20-27. K a s f i r . N e l s o n . 1979. " E x p l a i n i n g E t h n i c P o l i t i c a l P a r t i c i p a t i o n . " World Politics 3 1 , no. 3: 3 6 5 388. K r e y e n b r o e k , Philip G. 1992. " O n the K u r d i s h L a n g u a g e . In The Kurds: a ContemporaryOverview, edited by Philip K r e y e n b r o e k and Stefan Sperl. London: Routledge, 6 8 - 8 3 . Lijphart, Arend. r a c y . " World Lijphart, Arend. p r o a c h . " In

1969. " C o n s o c i a t i o n a l D e m o c Politics 21 no. 2: 2 0 7 - 2 2 5 . 1987. " T h e P o w e r - S h a r i n g ApConflict and Peacemaking in

Etzioni

Multiethnic Societies, e d i t e d by J o s e p h Montville. Lexington: Lexington Books: 491-509. M o y n i h a n , D a n i e l P. 1993. Pandaemonium: Ethnicity in International Politics. Oxford, New York: O x f o r d U n i v e r s i t y P r e s s . N o r t o n , R i c h a r d A. 1991. " L e b a n o n A f t e r T a ' i f : Is t h e C i v i l W a r O v e r ? Middle East Journal 45, n o . 3: 4 5 7 - 4 7 3 . O s t r o m , E l i n o r . 1990. Governing the Commons: The Evolution of Institutions for Collective Action. N e w York: C a m b r i d g e U n i v e r s i t y Press. R o n d o t , P i e r r e . 1966. " T h e P o l i t i c a l I n s t i t u t i o n s of L e b a n e s e D e m o c r a c y " In Politics in Lebanon, edited by L e o n a r d Binder. N e w York: J o h n W i l e y & S o n s : 1 2 7 - 1 4 2 . S a l a r n . G h a s s a n . 1994. " S m a l l Is P l u r a l i s t i c : D e m o c r a c y as an I n s t r u m e n t of C i v i l P e a c e . " In Democracy Without Democrats? edited by G h a s s a n S a l a m . L o n d o n : I.B. T a u r i s . S e v e r , M e t i n . 1992. Kurt Sonant: Aydinlarimi: ne Diiiinuyor (The Kurdish Question: What Our Intellectuals Think). Istanbul: C e m Yayinevi. (in T u r k i s h ) . S p e c i a l C o r r e s p o n d e n t . 1985. " K h a r t o u m ' s G r e a t est C h a l l e n g e . " Merip Reports (September): 11-18.

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Appendix 1: List of Abbreviations

ARGE

Arbeitsgemeinschaft—Working Community

DMK

Dravida Munnetra Kazhagam (Tamil Nationalist Party)

BSEC

Black Sea Economic Cooperation

DoD

Department of D e f e n s e

DOP

Declaration of Principles

BSTDB

Black Sea Trade and Development Bank

EBRD

CE

Central Europe

European Bank of Reconstruction and Development

CEE

CentraUEasteurope(an)

EC

European C o m m u n i t i e s

CEFTA

Central European Free Trade Agreement

ECE

East-Central-Europe

EEC

CEI

Central European Initiative

European Economic Communities

CFSP

C o m m o n Foreign and Security Policy

EFTA

European Free Trade Association

CID

Citizenship and Immigration Department (Latvia)

EIB

European Investment Bank

EU

CIS

C o m m o n w e a l t h of Independent States and Center of International Studies, Princeton University

European Union (EC after 1992)

FBIS

Foreign Broadcast Information Service

FBIS-WEU

FBIS-Western Europe

FBIS-NES

FBIS-Middle East

CMEA

C o m m i t t e e on Mutual E c o n o m i c Assistance

COPAZ

C o m m i s s i o n on the Peace in El Salvador

FLN

National Liberation Front (Algeria)

COR

Committee of the Regions (EU)

FRG

Federal Republic of Germany

CSR

Czech-Slovak Republic

FSU

Former Soviet Union

CSFR

Czechoslovak Federal Republic

GA

General Assembly (UN)

CSSR

Czechoslovak Socialist Republic

GARes

General Assembly Resolution

GAOR

CSCE

C o n f e r e n c e for Security and Cooperation in Europe

General Assembly Official Record

399

400

Appendix

1

GATT

G e n e r a l A g r e e m e n t on Tariff and Trade

OSCE

O r g a n i z a t i o n for Security and C o o p e r a t i o n in E u r o p e

GDP

Gross Domestic Product

OeVP

GDR

German Democratic Republic (Eastern Germany)

Oesterreichische Volkspartei— A u s t r i a n P e o p l e s Party

OeZA

Oesterreichische Zeitschrift fuer Aussenpolitik

PG

Program Group

PKK

K u r d i s h Workers Party

PLO

O r g a n i z a t i o n for the Liberation of Palestine

HEC

High Executive Council

ICCPR

International C o v e n a n t on Civil and Political Rights

ICESCR

International C o v e n a n t on E c o n o m i c , Social, and Cultural Rights

PRC

P e o p l e s R e p u b l i c of C h i n a

ICJ

International Court of Justice (The Hague)

PRONEBI

P r o g r a m a Nacional de E d u c a c i ó n Biligiie

ICORC

International C o m m i t t e e on the R e c o n s t r u c t i o n of C a m b o d i a

P 5

IEBL

Inter-ethnic B o u n d a r y L i n e (in B o s n i a )

IFOR

I n t e r m e d i a r y Force (Allied F o r c e s in Bosnia)

5 P e r m a n e n t M e m b e r s of the U n i t e d Nations Security Council; China, France, R u s s i a . United K i n g d o m , United States

RIIA

Inter-governmental Authority on D r o u g h t and D e v e l o p m e n t

R o y a l Institute of International Affairs, London

RISO

Regional Institutes for Community Development (Belgium)

SC

Security C o u n c i l ( U N )

SCOR

Security C o u n c i l O f f i c i a l Record

SEA

Single E u r o p e a n Act

SEE

Southeast Europe(an)

IGADD

IGC

Intergovernmental Conference of the E U

UN

Instituto Indigenista N a c i o n a l

IPA

International Peace A c a d e m y (UN)

ISI

Industrialization through I m p o r t Substitution

JCS

Joint C h i e f s of Staff

SEM

Single E u r o p e a n M a r k e t

JKLF

J a m m u and K a s h m i r L i b e r a t i o n Front

SNC

S u p r e m e National C o u n c i l of Cambodia

NAFTA

N o r t h A m e r i c a n Free Trade Agreement

SPOe

NATO

N o r t h Atlantic Treaty Organization

S o z i a l d e m o k r a t i s c h e Partei Oesterreichs—Austrian S o c i a l d e m o c r a t i c Party

SPLA

Sudan People's Liberation Army

SPLM

Sudan P e o p l e ' s L i b e r a t i o n Movement

SSLM

Southern Sudan Liberation Movement

SVP

S ü d t i r o l e r Volkspartei ( S o u t h Tyrolian P e o p l e s P a r t y - c o n s . )

NIF

N a t i o n a l Investment F u n d

NZZ

Neue Zuercher Zeitung

OAS

O r g a n i s a t i o n A r m e e Secrete

OAU

O r g a n i z a t i o n of A f r i c a n States

ONUSAL

U n i t e d Nation P e a c e k e e p i n g O p e r a t i o n in El S a l v a d o r

Appendix

1

TC

Technical Cooperation

U.K.

United K i n g d o m

UN

United Nations

UNITA

National Union for the Total Liberation of Angola

UNOSOM I

United Nations Operation in Somalia (prior 1992)

U N O S O M II

United Nations Operation in Somalia (after 1992)

UNPRFOR

United Nations Protection Force for the Former Yugoslavia

UNSC

United Nations Security Council

UNSG

United Nations Secretary General

U.S.

United States of A m e r i c a

USSR

Union of Soviet Socialist Republics

WEU

Western European Union

WG

Working G r o u p

Appendix 2: The Liechtenstein Initiative at the United Nations

Excerpts from the Statement by His Serene Highness Prince Hans Adam II von und zu Liechtenstein, Head of State of the Principality of Liechtenstein, Forty-Sixth Session of the General Assembly of the United Nations N e w York, 26 September 1991 (UNDocA/46/PV.10) Unfortunately we all know that even if we succeed in preventing all aggressions, peace and happiness will not come easily to the world. Some of the most cruel wars in the past decades have been civil wars. Politicians and historians can give us many reasons why civil wars happen, different cultures, languages or religions having difficulties to coexist in a single State, oppressed minorities, or simply political differences which cannot be solved peacefully. 6. A solution for some of these p r o b l e m s can be f o u n d internally if a State respects human rights and f u n d a m e n t a l f r e e d o m s and has democratic institutions that work. But history shows us that even then civil wars can break out. H u m a n rights can also be violated in countries with a democratic tradition. D e m o c ratic institutions can break down. There are situations w h e r e p e a c e f u l coexistence between different g r o u p s inside a single State does not seem to be p o s s i b l e — w h a t e v e r the reasons. Should we in those cases not endeavor to find other solutions in accordance with the principle of self-determination, rather than risking cruel and destructive civil wars? 7. I am aware that the United Nations has been for good reasons very prudent concerning the principle of self-determination. To encourage exercising the right to self-determination might lead to even more civil wars and to the disintegration of m e m b e r States. Non-interference in

the internal affairs of M e m b e r States has certainly been a wise policy to follow. Nevertheless, we have to accept the fact that the borders of nearly all M e m b e r States, including my own country, have not been drawn according to the principle of s e l f - d e t e r m i n a t i o n . They are usually the product of colonial expansion, international treaties or war, and very seldom have people been asked where they want to belong to. But even if they had been asked, a new generation might have another opinion; circumstances can c h a n g e and expectations can remain unfulfilled. 8. A m a j o r i t y of M e m b e r States certainly supports self-determination in theory. How this principle is to be applied in practice has however, in my opinion, not been studied e n o u g h . Usually the discussion starts over a specific case when strong e m o t i o n s are already involved. Would it not be better to at least try to find a m i n i m u m c o n s e n s u s b e t w e e n M e m b e r States on some guiding principles, when efforts are being m a d e to i m p l e m e n t the principles of s e l f - d e t e r m i n a t i o n ? To be acceptable to the largest possible n u m b e r of M e m b e r States, such guidelines or rules of conduct should foresee a careful evolution, which could start f r o m a low level to higher levels of autonomy before c o m p l e t e i n d e p e n d e n c e can be attained. Independence is, however, not always the best solution: It can be a c o m p l i c a t e d and s o m e t i m e s traumatic process.

403

404

Appendix

2

9. I w i s h lo i n f o r m you of m y i n t e n t i o n to

14. T h e n e x t s t e p c o u l d i n v o l v e s o m e au-

i n s t r u c t e x p e r t s to p r e p a r e a p r e l i m i n a r y s t u d y

t o n o m y in t a x a t i o n . D i r e c t t a x e s w o u l d p r o b a -

o n t h i s q u e s t i o n , t h e o u t c o m e of w h i c h w o u l d

bly b e t t e r b e r a i s e d by the r e g i o n s w h e r e a s in-

b e s u b m i t t e d in d u e c o u r s e to t h e G e n e r a l A s -

direct t a x a t i o n , i m p o r t d u t i e s and the like c o u l d

s e m b l y if t h i s is c o n s i d e r e d d e s i r a b l e . A c o n -

remain with the central g o v e r n m e n t . A finan-

v e n t i o n m o d e l e d a f t e r the E u r o p e a n

cial

Conven-

compensation

plan

would

have

to

be

tion on H u m a n R i g h t s c o u l d e v e n t u a l l y b e t h e

w o r k e d o u t at t h i s s t a g e , t a k i n g into a c c o u n t

p r o d u c t of t h e s e e f f o r t s . I w o u l d like to raise a

the i n c o m e a n d the a d m i n i s t r a t i v e f u n c t i o n s of

f e w p o i n t s a n d d r a w a f e w l i n e s in o r d e r to

the r e g i o n t h a t m a y , for i n s t a n c e , a l r e a d y in-

g i v e you an o v e r a l l idea of the p o s s i b l e o u t l i n e

c l u d e the p o l i c e a n d the l o w e r c o u r t s .

of s u c h an i n s t r u m e n t .

15. T h e third d e g r e e of a u t o n o m y c o u l d in-

10. A c e n t r a l q u e s t i o n will be t o d e f i n e

v o l v e s o m e l e g i s l a t i v e p o w e r . E x a m p l e s c a n al-

w h a t entity c a n be the b e n e f i c i a r y of the right to

r e a d y b e s t u d i e d in s o m e of the d e c e n t r a l i z e d

self-determination. Several methods have been

S t a t e s . At this s t a g e of a u t o n o m y m o s t a d m i n -

d i s c u s s e d in t h e p a s t . It m i g h t b e s u f f i c i e n t to

istrative f u n c t i o n s of t h e c e n t r a l State c o u l d b e

e s t a b l i s h a m i n i m u m size of the area a n d p o p u -

t u r n e d o v e r to the r e g i o n w i t h the e x c e p t i o n of

lation i n v o l v e d . S e t t i n g this m i n i m u m size v e r y

d e f e n s e and f o r e i g n a f f a i r s . E v e n r e g i o n a l mil-

low w o u l d h a v e t w o i m p o r t a n t a d v a n t a g e s :

itary u n i t s c o u l d b e set u p as l o n g as they are i n t e g r a t e d into the o v e r a l l d e f e n s e p l a n . 16. T h e n e x t s t e p of this p r o c e s s — i n the

1. M i n o r i t i e s w h o ask f o r s e l f - d e t e r m i n a tion w o u l d c o n s e q u e n t l y h a v e to g r a n t

c a s e it is d e s i r e d — w o u l d be full i n d e p e n d e n c e

the s a m e rights to their o w n m i n o r i t i e s .

17. T h o s e S t a t e s w h i c h a c c e p t t h e g e n e r a l

E x p e r i e n c e s h o w s that they are at t i m e s

t e r m s of a p o s s i b l e c o n v e n t i o n on s e l f - d e t e r m i -

u n w i l l i n g to d o so w h i c h c a n be t h e

n a t i o n c o u l d e n v i s a g e s e t t i n g up an

cause for new problems.

t i o n a l c o m m i s s i o n or c o u r t c o m p a r a b l e to t h e

2. A low m i n i m u m size w o u l d in m y opin-

interna-

European C o m m i s s i o n and Court for H u m a n

ion lead to a decentralization rather than

R i g h t s to w h i c h all p a r t i e s c o n c e r n e d c o u l d ap-

to a b r e a k - u p of the present States, be-

peal in c a s e of c o n f l i c t s . S u c h an

cause for small groups and areas indepen-

would

dence will not always be the best solution.

these g e n e r a l g u i d e l i n e s w o r k in reality and to

o f f e r the p o s s i b i l i t y

approach

to o b s e r v e

how

a d j u s t t h e m if n e c e s s a r y . O t h e r S t a t e s m i g h t 11. F o r a m o d e r n S t a t e

decentralization

then be w i l l i n g to sign the c o n v e n t i o n too, and

has political and economical advantages. De-

perhaps

c e n t r a l i z a t i o n is c e r t a i n l y o n e of the k e y e l e -

determination could become generally accepted

one

day

those

guidelines

on

m e n t s for the prosperity and political stability

i n t e r n a t i o n a l law, as o t h e r c o n v e n t i o n s

of S w i t z e r l a n d , a c o u n t r y w i t h o u t n a t u r a l re-

become.

sources and a population with four languages, d i f f e r e n t r e l i g i o n s a n d m a n y political p a r t i e s .

selfhave

18. If w e l o o k at h u m a n h i s t o r y it s e e m s that h u m a n i t y d o e s not h a v e m a n y a l t e r n a t i v e s .

self-determination

In the p a s t a n d in t h e f u t u r e n e w S t a t e s h a v e

c o u l d f o r e s e e s e v e r a l d e g r e e s of a u t o n o m y b e -

b e e n , a n d will be, b o r n , they d i s a p p e a r or their

f o r e i n d e p e n d e n c e w e r e g r a n t e d to a c e r t a i n re-

b o r d e r s c h a n g e . If w e look at l o n g e r p e r i o d s of

g i o n , t h u s g i v i n g t h e c e n t r a l S t a t e a n d the re-

t i m e w e see that S t a t e s h a v e life c y c l e s s i m i l a r

12. A c o n v e n t i o n on

g i o n t h e t i m e to a d a p t to the n e w s i t u a t i o n w i t h

to the h u m a n b e i n g s w h o c r e a t e d t h e m . T h e life

t h e likely o u t c o m e that the p e o p l e will in m o s t

c y c l e of a S t a t e m i g h t last f o r m a n y g e n e r a -

instances prefer a u t o n o m y to

tions

independence.

T h r e e d e g r e e s of a u t o n o m y c a n b e e n v i s a g e d :

but hardly

any

member

State

of

the

U n i t e d N a t i o n s h a s e x i s t e d in its p r e s e n t b o r -

13. T h e first d e g r e e c o u l d i n v o l v e the elec-

d e r s f o r l o n g e r t h a n ten g e n e r a t i o n s . It c o u l d be

tion of r e p r e s e n t a t i v e s f o r the n e w a u t o n o m o u s

d a n g e r o u s if o n e tried to put a h o l d o n t h e s e

r e g i o n a n d c o n s e q u e n t l y t h e a d m i n i s t r a t i o n by

cycles, which have been present

those

h u m a n history. To freeze h u m a n evolution has

elected

representatives

of

the

funds

throughout

w h i c h are a l l o c a t e d by the c e n t r a l g o v e r n m e n t .

in the p a s t o f t e n b e e n a f u t i l e u n d e r t a k i n g a n d

S o m e a d d i t i o n a l r i g h t s c o u l d b e g i v e n in t h e

h a s p r o b a b l y b r o u g h t m o r e v i o l e n c e t h a n if

f i e l d s of c u l t u r e a n d e d u c a t i o n .

such a process was controlled peacefully.

Appendix

2

405

Excerpts from the Statement by His Excellency Mr. Hans Brunhart, Head of Government and Minister of Foreign Affairs of the Principality of Liechtenstein, Forty-Seventh Session of the General Assembly of the United Nations New York, 23 September 1992 (UNDocA/47/PV.9) 5. Liechtenstein is aware of the consideration already given within the United N a t i o n s — and indeed within other b o d i e s — t o the principle of self-determination. We a c k n o w l e d g e the great international e f f o r t devoted to this question in the past. 6. T h e right to s e l f - d e t e r m i n a t i o n as a principle is now universally accepted. I would recall not only that self-determination is one of the f o u n d a t i o n s of the Charter, but also that most States represented in this A s s e m b l y are already under certain specific legal obligations in this area by virtue of Article 1 of each of the great human rights Covenants of 1966. There it is formally and with legally binding e f f e c t ack n o w l e d g e d t h a t — a n d here I quote the t e x t — "All peoples have the right of s e l f - d e t e r m i n a tion. By virtue of that right they freely determine their political status and freely pursue their e c o n o m i c , social and cultural develo p m e n t " (end of quotation). 7. Despite all this, and with some notable exceptions, the practical and peaceful application of that principle has often been lacking. Tensions between distinctive c o m m u n i t i e s within States, or b e t w e e n such c o m m u n i t i e s and the State itself, persist in many parts of the world. Regrettably, they have in a n u m b e r of instances led to outbreaks of serious violence. Apart f r o m the human suffering which results, such tensions and violence often affect neighboring States, and may have a more widespread impact on the m a i n t e n a n c e of international peace generally. Much can be done to try to limit the s u f f e r i n g once the violence has started; but how much better it would be to go to the root of the p r o b l e m — w h i c h is o f t e n to be found in the frustrations of distinctive c o m munities w h e n they are denied the legitimate expression of their c o m m u n a l identities and aspirations. 8. I am glad to say that His S e r e n e Highness's speech last year attracted the interest of a n u m b e r of delegations. During the past year we have undertaken extensive consultations, and we have benefited greatly f r o m c o n s t r u c tive s u g g e s t i o n s which d e l e g a t i o n s have been

kind e n o u g h to make. We are most grateful to all those G o v e r n m e n t s for the interest they have shown. We have also sought, and taken into account, some independent expert views. 9. It is against this background that Liechtenstein believes that the international c o m m u nity, through this Assembly, should take steps to m a k e the right of s e l f - d e t e r m i n a t i o n more e f f e c t i v e , and by doing so contribute to the a v o i d a n c e of some f u t u r e conflicts. It is our conviction that the time has now c o m e for the international c o m m u n i t y , through the United Nations, to offer a realistic way forward, by establishing a practical framework through which c o m m u n i t i e s can give expression to their distinctive qualities. 10. Such a practical f r a m e w o r k would need to satisfy four main requirements: •

First, there should be flexible and graduated f o r m s of self-determination involving d i f f e r e n t levels of autonomy, taking account of the differing needs of different communities and the States of which they f o r m part; a subdivided c o m m u n i t y which allows its various parts to pursue the c o m m o n goal in their own way can on occasion be a very good expression of the principle of self-determination;

•

S e c o n d , c o m m u n i t i e s invoking the principle of s e l f - d e t e r m i n a t i o n should renounce resort to violence and commit themselves to pursue their aims through peaceful m e a n s only;

•

Third, assistance in the e f f e c t i v e realization of the principle of self-determination should be available, through independent procedures;

•

Fourth, a proper balance must be maintained b e t w e e n s e l f - d e t e r m i n a t i o n and the territorial integrity of States.

11. Subject a l w a y s to those r e q u i r e m e n t s being met, w e believe that the international c o m m u n i t y should recognize that self-determination is an inherent and inalienable attribute

Appendix

406

2

of all c o m m u n i t i e s w h i c h p o s s e s s a d i s t i n c t i v e

d o w n detailed mandatory requirements for the

social a n d territorial identity. T h i s i n v o l v e s t h e

s e l f - d e t e r m i n a t i o n of c o m m u n i t i e s w i t h a vast

f r e e c h o i c e by e a c h c o m m u n i t y of its p o l i t i c a l ,

range

s o c i a l , e c o n o m i c a n d c u l t u r a l d e s t i n y in a c c o r -

w i t h i n S t a t e s w h o s e o w n h i s t o r i e s a r e so di-

d a n c e w i t h the best i n t e r e s t s of its m e m b e r s .

of

distinctive

characteristics,

settled

v e r s e . A n y t h i n g b e y o n d the sort of b a s i c level

12. S e l f - d e t e r m i n a t i o n , it m u s t be s t r e s s e d ,

of a u t o n o m y to w h i c h I h a v e r e f e r r e d is p r o b a -

is not n e c e s s a r i l y — o r e v e n p r i m a r i l y — a m a t t e r

bly b e s t left to b e d e v e l o p e d o n an o p t i o n a l

of m o v i n g t o w a r d s i n d e p e n d e n t s t a t e h o o d . In-

b a s i s , a n d c a s e by c a s e — t h e c i r c u m s t a n c e s are

d i s c r i m i n a t e i n d e p e n d e n c e w o u l d l e a d to t h e

so d i v e r s e that e a c h is best left to be treated on

f r a g m e n t a t i o n of t h e i n t e r n a t i o n a l c o m m u n i t y ,

its o w n m e r i t s .

a n d w o u l d i n s u f f i c i e n t l y r e s p e c t the t e r r i t o r i a l

15. Nevertheless there would, in our view, be

i n t e g r i t y of S t a t e s . In reality, h o w e v e r , full in-

s o m e a d v a n t a g e in the United Nations indicating

d e p e n d e n c e is, if o n l y f o r p u r e l y p r a c t i c a l r e a -

the k i n d s of f u r t h e r e l e m e n t s w h i c h m i g h t f i n d

s o n s , the least likely o u t c o m e in m o s t c a s e s .

a p l a c e in t h e m o r e a d v a n c e d l e v e l s of a u t o n -

R e s p e c t f o r d i v e r s i t y c a n b e a d e q u a t e l y re-

omy.

These

further elements

of

autonomy

f l e c t e d in o t h e r w a y s . S e l f - d e t e r m i n a t i o n c a n

w o u l d p r o g r e s s i v e l y add to the d e g r e e to w h i c h

t a k e v a r i o u s f o r m s , as m a y b e best s u i t e d t o

the c o m m u n i t y c o n d u c t s its o w n a f f a i r s , but

each c o m m u n i t y ' s and each State's particular

w o u l d o n l y be a v a i l a b l e to a c o m m u n i t y w i t h s a t i s f a c t o r y e x p e r i e n c e — a n d e v e n t h e n , o n l y if

circumstances. 13. It is i m p o r t a n t to r e t a i n t h e e s s e n t i a l f l e x i b i l i t y of the c o n c e p t .

But

in all

cases

t h e S t a t e c o n c e r n e d is ready to a c c e p t the c o m m u n i t y ' s m o r e a d v a n c e d level of a u t o n o m y .

w h e r e there exists a c o m m u n i t y with a suffi-

16. In this c o m p l e x area w e c a n n o t a s s u m e

c i e n t d e g r e e of d i s t i n c t i v e identity, it w o u l d

that a n y g e n e r a l p r i n c i p l e or p r o c e d u r e s w h i c h

s e e m right that a c e r t a i n b a s i c level of a u t o n -

m i g h t be a g r e e d on i n t e r n a t i o n a l l y will be a p -

o m y s h o u l d h a v e to be a c k n o w l e d g e d . I am r e -

p l i e d w i t h o u t d i f f i c u l t y in p a r t i c u l a r c a s e s . W e

f e r r i n g to s u c h v e r y e l e m e n t a r y

s h o u l d t h e r e f o r e a l s o e n v i s a g e that s o m e p r o c e -

matters

as

n o n d i s c r i m i n a t i o n a g a i n s t the c o m m u n i t y or its

d u r e s s h o u l d be a v a i l a b l e to assist if any d i f f i -

m e m b e r s , t h e i r f r e e d o m to p r a c t i c e a n d e n j o y

c u l t i e s a r i s e in the a p p l i c a t i o n of the p r i n c i p l e

their d i s t i n c t i v e c o m m u n i t y c h a r a c t e r i s t i c s , a n d

of s e l f - d e t e r m i n a t i o n , a n d to a s s i s t w i t h t h e

their p a r t i c i p a t i o n in a p p r o p r i a t e w a y s in p u b l i c

p e a c e f u l r e s o l u t i o n of a n y d i f f e r e n c e s t h e r e

a f f a i r s , p a r t i c u l a r l y in m a t t e r s d i r e c t l y a f f e c t i n g

m i g h t be.

the c o m m u n i t y ' s interests. A c o m m i t m e n t

to

17. A n u m b e r of d e l e g a t i o n s w i t h w h i c h

a c k n o w l e d g e s u c h a m o d e s t d e g r e e of a u t o n -

w e h a v e d i s c u s s e d o u r i d e a s in g e n e r a l t e r m s

o m y f o r all c o m m u n i t i e s t h a t m e r i t it s h o u l d

s u g g e s t e d that it w o u l d b e a d v a n t a g e o u s f o r t h e

not, w e b e l i e v e , c a u s e s e r i o u s p r o b l e m s f o r a n y

m a t t e r — w h i c h , as w e l l as b e i n g of great p o l i t -

m e m b e r of the U n i t e d N a t i o n s . 14. M o r e a d v a n c e d

l e v e l s of

ical i m p o r t a n c e , is a l s o of c o n s i d e r a b l e t e c h n i autonomy

cal c o m p l e x i t y — t o b e the s u b j e c t of f u r t h e r e x -

will be a p p r o p r i a t e f o r c o m m u n i t i e s w h o s e p a r -

amination

ticular circumstances demonstrate their fitness

f a c i l i t a t e the p r o g r e s s w h i c h m a y e v e n t u a l l y b e

to e n j o y t h e m . B u t w e d o not think it w o u l d b e

m a d e in this A s s e m b l y .

r e a l i s t i c f o r t h e U n i t e d N a t i o n s to s e e k to lay

b y a g r o u p of e x p e r t s , so as

to

Appendix 2

407

Agenda Item 108 b Excerpts from the Statement by His Serene Highness Prince Hans Adam II von und zu Liechtenstein, Head of State of the Principality of Liechtenstein, III Committee, United Nations, New York, 25 October 1993 (UNDocA/48//PV.36) We see all around us that civil strife within States often involves great suffering; and even though such strife might h a v e its root causes within a State, there is always a danger that its impact will soon spread o u t s i d e its borders, thus threatening the security of a whole region or even international security more widely. None of us can sit back and accept all that with equanimity. We can also, h o w e v e r , notice that civil strife is often caused by the social tensions which build up when distinctive g r o u p s within States are not allowed adequate m e a n s through which to express their distinctive identity. If only we could find m e a n s whereby such self-expression could be encouraged, the occasion for civil strife, with all its attendant dangers and suffering, could be much reduced and perhaps in some cases avoided altogether. And how much better it would be to put in place some suitable arrangements before tensions explode into conflict, rather than waiting until that has already happened and then try to pick up the pieces. T h e Secretary-General has reminded us all of the e x t r e m e importance of preventive diplomacy, as distinct f r o m the more usual reactive diplomacy. As we see it, the principle of self-determination, as enshrined in the Charter of the United Nations and other important international legal instruments, still has unexplored potential which offers the possibility that progress m i g h t be m a d e in the directions we seek; and a u t o n o m y offers a particularly helpful practical device which could be developed within the broad scope of that principle. This all led us to suggest that the international c o m m u n i t y should explore the possibility of c o m m u n i t i e s having a degree of autonomy. This concept is very flexible, and can be used constructively so as to cover different aspects of self-determination, and thereby to tailor the degree of self-expression e n j o y e d by communities to whatever is appropriate in their particular c i r c u m s t a n c e s . We e n v i s a g e s o m e minimal m e c h a n i s m s and p r o c e d u r e s being made available to help States and communities

in their search for suitable models of autonomy which they m i g h t find appropriate to their needs. That, Mr. President, is the essence of our ideas and of the reasoning behind them. Since they were first put b e f o r e the A s s e m b l y in 1991, we have had the opportunity to listen to the very constructive c o m m e n t s of a number of interested States; and in particular we have had the benefit of the views expressed at the informal Meeting of Experts which Liechtenstein had the great pleasure and privilege of hosting in Liechtenstein last March. T h o s e c o m m e n t s and views, and our own further reflections, have enabled us to r e f i n e our thinking a little further. N o w that we c o m e to a discussion of our ideas in the context of A g e n d a Item 108b), it is fitting that I should elaborate on them further. I should like to begin by drawing attention to four points which are basic to our suggestions. First, the initial impetus of the principle of self-determination has been in the field of decolonization. While that process is not yet completed, by far the greatest part of it has been achieved, and this Assembly can look with satisfaction at the role it played. But self-determination is a principle of continuing value. Without in any way d i m i n i s h i n g its relevance to situations of c o l o n i a l i s m or alien d o m i n a t i o n which may still exist, our proposals look in a d i f f e r e n t direction, and seek to put r e n e w e d emphasis on that principle as a valuable factor in a new context. Second, self-determination is a very broad principle, allowing for many forms of development, including i n d e p e n d e n c e : indeed, in the context of d e c o l o n i z a t i o n , i n d e p e n d e n c e was usually the p r i m a r y goal. In our perspective, h o w e v e r , i n d e p e n d e n c e is not the primary objective: it would be wrong to exclude it in principle, but we believe that the objective of finding w a y s of d e f u s i n g d a n g e r o u s tensions, which I am sure is widely shared, is for prefere n c e to be a c h i e v e d through the concept of autonomy. T h i s too is a flexible concept, but

408 essentially concerned with what may be called 'internal self-determination.' It allows for a degree of self-expression which can be sufficient to reflect a c o m m u n i t y ' s sense of identity; it also allows account to be taken of the particular and diverse c i r c u m s t a n c e s which exist within many States; and it allows for development over time, as the circumstances may warrant. And most important of all, it does not threaten the fragmentation of States or the creation of n u m e r o u s tiny i n d e p e n d e n t entities. T h e value of autonomy as a concept which may prove helpful will be evident to us all from recent d e v e l o p m e n t s , particularly in the M i d d l e East. Third, our e m p h a s i s on a u t o n o m y as the concept which offers the most hopeful way forward underlies also our belief that our concern should be with the position of distinctive communities within States. It is the frustrations of such c o m m u n i t i e s which so o f t e n lead to the kind of tensions, and then conflicts, which we wish to avoid. Fourth is our belief that it is not enough just to express the. right sentiments: we must add suitable provisions which will serve to m a k e the outcome one which will prove effective in practice. By this we d o not mean the construction of any elaborate and costly organizational structure; but we do envisage the introduction of simple m e c h a n i s m s to ensure that w h a t e v e r proposals are eventually agreed will be likely to work effectively in practice. Mr. President, let m e now look a little m o r e closely at s o m e of the m a i n e l e m e n t s in our thinking. It will be apparent f r o m what I have already said that our concerns are with the tensions which arise b e t w e e n c o m m u n i t i e s . " C o m m u n i t y " is. h o w e v e r , a term which I believe we all generally u n d e r s t a n d , but which can s o m e t i m e s be difficult to pin d o w n with legal precision. The classic f o r m u l a often used by the United Nations in s o m e other contexts r e f e r s to groups having a linguistic, religious, cultural or ethnic basis f o r their distinctive identities; while we do not necessarily suggest that that formula should be adopted in the present context, it does help to identify the sort of lines along which it may be helpful to think. I would, however, here wish to emphasize that our concept of ' c o m m u n i t y ' is not the same as a 'minority.' Much valuable work has,

Appendix 2

of course, been done on the position of minorities, both within the United N a t i o n s — a n d I refer particularly to the D e c l a r a t i o n adopted last y e a r — a s well as in other b o d i e s — s u c h as the C S C E , and most recently in the Council of E u r o p e at its S u m m i t m e e t i n g in Vienna. But although there may be some o v e r l a p between the ideas of " c o m m u n i t y " and "minority," they are essentially different. The main thrust of our concerns is with the political and cultural aspirations of c o m m u n i t i e s which p o s s e s s — i n a way that many minorities do n o t — a degree of territorial and social cohesion. We believe that, within the broad principle of self-determination, such communities should be recognized as having legitimate aspirations to an appropriate degree of autonomy, which must be respected and secured They should be enabled, by the exercise of their own free choice, to give appropriate expression to their own political, e c o n o m i c and cultural aspirations in a c c o r d a n c e with the best interests of their members. T h e s e aims must, we believe, be pursued with c o n s i d e r a b l e flexibility. T h e circumstances of each c o m m u n i t y and of each State d i f f e r greatly. Their diversity must be taken into account. As we see it, the way forward can best be f o u n d through a c k n o w l e d g i n g varying degrees of autonomy to be e n j o y e d by c o m m u nities. T h e f o r m s of a u t o n o m y allow f o r very great flexibility; its many elements can be combined in a multitude of d i f f e r e n t ways. But viewed overall, it is possible to see several broad levels of autonomy, each of which progressively adds to the degree to which the community conducts its own affairs. But at the same time, out of respect for the territorial integrity of States, we d o not consider it appropriate to suggest that these successive levels of autonomy should follow each other by some automatic or mandatory process. Rather, they should be dependent upon the request of the community concerned and the consent of the State in question, so that progress t o w a r d s greater a u t o n o m y would, in effect, be by way of some kind of optional process. T h e first and very basic level of autonomy should however, in our view, be acknowledged f o r all c o m m u n i t i e s having a sufficient degree of distinctive identity. This w o u l d cover only some very modest and basic requirements, such

Appendix 2

409

as non-discrimination,

and freedom for the

could also be accorded certain rights with re-

community to practice and enjoy its distinctive

gard to the administration o f State functions

community characteristics. In certain areas o f

within the c o m m u n i t y ' s a r e a — b u t , o f course,

public

excluding matters o f foreign affairs or defense.

administration,

community

members

should be guaranteed a proper role, for e x a m ple by participating in public affairs through voting at elections and standing for public office; there should be, at the local or national level, organs o f public administration

con-

cerned with matters affecting the community's interests; and the community should be involved in appropriate ways in the taking o f governmental decisions affecting its interests. T h e particular circumstances

might,

of

course, indicate that something beyond those basic entitlements would be appropriate. This might be particularly likely with the passage of time as a community grows in experience and demonstrates its fitness to move on to autonomy

in further areas. T h e s e

developments

would happen on a c a s e - b y - c a s e basis, and involve a progressive degree o f decentralization. But let me repeat—the acknowledgment o f any further degree o f autonomy beyond the

Ultimately, and in our view relatively infrequently, independence might be appropriate in certain cases, where it was agreed by the State concerned. It would be for the State and the community to negotiate and agree on the details whereby an orderly transition to independence might be achieved. It might nevertheless be appropriate—indeed, it might be positively helpful to the parties concerned—to draw attention to certain considerations which would be relevant in this context, for example, that the community's system o f government should include safeguards for the proper observance of democracy, and that the community should subscribe to international human rights commitments. But independence is not the primary objective o f our initiative: we are looking much more at the forms of what may be styled 'internal self-determination' than at processes designed to lead to the attainment of independence.

very basic initial level would, in our view, be a

As I have said, Mr. President, these suc-

matter for specific acceptance by the State con-

cessive stages o f a u t o n o m y — a f t e r the f i r s t —

cerned. Indeed, we envisage that at all levels o f

would be optional. In addition, it may prove

autonomy detailed implementing arrangements

desirable to include certain further safeguards

would need to be worked out between the State

for the position o f States. 1 have in mind such

and the community concerned.

requirements as that any progress by a commu-

We do not suggest that there should be any

nity from one level o f autonomy to the next

elements

should be dependent upon it having satisfac-

which would comprise successive levels o f au-

tory experience o f conducting its affairs at the

hard and fast prescription

o f the

tonomy. As I have said, it is o f the essence that

preceding level; and that the rights to be en-

the arrangements should be flexible, and so ca-

j o y e d by a community at the various levels o f

pable o f helping in the infinitely variable cir-

autonomy would have to be exercised within

cumstances which are likely to arise. But by

the Constitution and laws o f the State.

way o f illustration let me say that at a rela-

S o m e modest and basic forms o f assis-

tively early stage the community might be en-

tance should be available, through independent

abled, through its elected representatives, to

procedures, to ensure the effective operation in

administer funds allocated for its benefit. The

practice o f this pattern o f flexible and gradu-

community could make its own direct contribu-

ated degrees o f autonomy. This might involve

tion to the preservation o f order and adminis-

three components.

tration o f j u s t i c e within the State. There could even be provision for the community to administer schools in the c o m m u n i t y ' s area, for use

•

by members o f the community.

lying policy is effectively implemented. It could also, if necessary, be responsi-

At more advanced levels o f autonomy a community

could

have

various

ble for regulating any financial aspects

additional

o f its work.

rights, such as the right to establish a local representative

legislature

with

First, there should be a body with responsibility for ensuring that the under-

certain

limited

powers over the community. T h e community

•

S e c o n d , there would need to be some authority charged with an active and

Appendix 2

410 positive role in the practical operation of a r r a n g e m e n t s for the e f f e c t i v e realization of the various levels of autonomy. This authority could o f f e r assistance if there were any difficulties; and could, f o r example, offer assistance by way of good offices or mediation. Perhaps associated with that authority's f u n c t i o n s there could be an international Research and Advice Center. •

T h i r d , a r r a n g e m e n t s would be n e e d e d to provide for the peaceful resolution of any differences which might arise.

Mr. President, it is our firm conviction that something along the lines which I have outlined would advance, in a very practical way, the f u n d a m e n t a l principle of self-determination.

D e v e l o p i n g the specific concept of autonomy would open up a further area in which the right of self-determination could be m a d e more effective in practice, without prejudice to all that has already been achieved and still remains to be achieved in more traditional areas. It would also, we believe, contribute to the avoidance of further conflicts which have their root causes in the tensions between c o m m u n i t i e s within States. Recent events have, tragically, shown us all that this is a matter of urgency. In my first statement to the General Assembly, at its forty-sixth session, I said that s o m e such scheme as I have outlined could eventually be embodied in a convention. I realize that this is an a m b i t i o u s goal, but we believe that it is a possible way in which, in due course, progress could be made.

Excerpts from the Statement by Her Excellency Ms Andrea Willi, Minister of Foreign Affairs of the Principality of Liechtenstein, to the Forty-Ninth Session of the United Nations General Assembly, N e w York, 30 September 1994 (UNDocA/49/PV.22) In one of our first contributions to the general debates after Liechtenstein became a M e m b e r of the United Nations, H.S.H. Prince HansA d a m II, Ruling Prince and Head of State of Liechtenstein, introduced at the forty-sixth session of the Assembly an initiative on certain aspects of s e l f - d e t e r m i n a t i o n : and he has elaborated on it at later sessions, including the f o r t y - e i g h t h . Self-determination has been of very great i m p o r t a n c e in the history of the United Nations and is, of course, enshrined as a principle in the Charter of the United Nations. As outlined by representatives of Liechtenstein on several o c c a s i o n s , our initiative seeks to open up f o r discussion by the international c o m m u n i t y certain aspects of the right of selfd e t e r m i n a t i o n , and to encourage a m o r e flexible and practical implementation of this right. Last year, at the request of the delegation of Liechtenstein, a new sub-item was included in the agenda of the General Assembly, entitled " E f f e c t i v e realization of the right to self-determination through autonomy." We had a very interesting debate in the Third Committee, at the close of which M e m b e r States, while agreeing

to consider the matter f u r t h e r at a later stage, preferred not to do so during this present, forty-ninth, session of the General Assembly. Reactions and c o m m e n t s made during, and also outside, the debate by a large number of countries, as well as d e v e l o p m e n t s on the international scene, have confirmed our view that this initiative is timely and potentially valuable for the international community. We will therefore be pursuing it as constructively as possible. It seems to us that at this stage it will be most appropriate, and most likely to lead to fruitful results, for this subject to be developed further within an academic, rather than a political, f r a m e w o r k . H.S.H. Prince H a n s - A d a m II has therefore, as one element of Liechtenstein's contribution to the commemoration of the Fiftieth Anniversary, given a grant to Princeton University's Woodrow Wilson School of Public and International Affairs to establish a research program on self-determination, to be conducted under the auspices of the W o o d r o w Wilson S c h o o l ' s C e n t e r of International Studies. Two c o n f e r e n c e s are to be organized in M a r c h and J u n e 1995 within the f r a m e w o r k of this

Appendix

411

2

r e s e a r c h p r o g r a m . T h e y will be o p e n for partic-

S t a t e s to c o n t i n u e w o r k i n g t o g e t h e r with us in

ipation to all M e m b e r S t a t e s o f the U n i t e d N a -

order to m a k e further p r o g r e s s on this c r u c i a l l y

t i o n s , and I w i s h to e x t e n d an i n v i t a t i o n to all

important question.

Agenda Item 104, Right of Peoples to Self-determination Excerpts from the Statement by Her Excellency Ambassador Claudia Fritsche, Permanent Representative of the Principality of Liechtenstein to the United Nations New York, 11 October 1995

As you k n o w , L i e c h t e n s t e i n has taken a partic-

e s t e d h e l p might be u s e f u l , t h e r e s h o u l d b e

ular interest in c e r t a i n a s p e c t s o f the q u e s t i o n

some modest procedural

o f s e l f - d e t e r m i n a t i o n . O u r H e a d o f S t a t e , His

w h i c h the p r o v i s i o n s to be a d o p t e d c o u l d be

S e r e n e H i g h n e s s P r i n c e H a n s - A d a m II, intro-

g i v e n practical e f f e c t .

duced an i n i t i a t i v e on this s u b j e c t in his state-

framework

through

W e see our p r o p o s a l s as a m o d e s t step to-

m e n t to the G e n e r a l A s s e m b l y at its 4 6 t h s e s -

wards a c h i e v i n g a i m s

s i o n . Y o u w i l l r e c a l l , Mr. C h a i r m a n , that our

Members

ideas in this a r e a w e r e the s u b j e c t o f a v e r y

n a m e l y , doing what we can to a v o i d situations

s u b s t a n t i v e d e b a t e in this C o m m i t t e e at the

arising in w h i c h c o n f l i c t is l i k e l y to b r e a k out.

4 8 t h s e s s i o n . W h a t I should now like to do is to

Many conflicts occur because people seeking

of

the

w h i c h we b e l i e v e

United

Nations

all

share—

take this o p p o r t u n i t y to i n f o r m the C o m m i t t e e

w a y s o f asserting their d i s t i n c t i v e identity find

o f s o m e o f the d e v e l o p m e n t s w h i c h h a v e taken

that t h e y h a v e no a c c e p t e d c h a n n e l

p l a c e o v e r the past t w e l v e m o n t h s in relation to

w h i c h their r e a s o n a b l e a s p i r a t i o n s m a y be rea-

the L i e c h t e n s t e i n initiative.

s o n a b l y e x p r e s s e d : the L i e c h t e n s t e i n p r o p o s a l s

In p r e v i o u s years w e h a v e set out our ideas

through

a i m to provide such a c h a n n e l .

in s o m e detail; on this o c c a s i o n let m e j u s t very

W e are aware, Mr. C h a i r m a n , that our pro-

b r i e f l y r e m i n d the C o m m i t t e e what our initia-

posals raise c o m p l i c a t e d i s s u e s — a n d that e v e n ,

tive is a b o u t . E s s e n t i a l l y , we are s e e k i n g to

in s o m e quarters, our ideas s e e m threatening. It

p r o v i d e a m e a n s , short o f full

independence,

m a y be that our ideas h a v e not b e e n fully un-

w h e r e b y the r e a s o n a b l e a s p i r a t i o n s o f d i s t i n c -

d e r s t o o d , o r it m a y be that w e h a v e not e x -

tive c o m m u n i t i e s within S t a t e s m a y f i n d rea-

p l a i n e d t h e m as c a r e f u l l y as perhaps we s h o u l d

s o n a b l e e x p r e s s i o n . W e e n v i s a g e this

being

h a v e d o n e . It is c e r t a i n l y d i f f i c u l t for us to see

having

h o w s e r i o u s p r o b l e m s c a n b e c r e a t e d f o r any

v a r i a b l e and p r o g r e s s i v e p a t t e r n s o f s e l f - a d -

S t a t e by the e l a b o r a t i o n o f an o p t i o n a l m e c h a -

ministration:

would

n i s m f a c i l i t a t i n g , f o r t h o s e w h o w i s h to m a k e

r a n g e — a c c o r d i n g to the c i r c u m s t a n c e s o f e a c h

u s e o f it, the a p p l i c a t i o n o f p r i n c i p l e s o f s e l f -

c a s e — f r o m v e r y limited and b a s i c e l e m e n t s o f

a d m i n i s t r a t i o n w h i c h h a v e in p r a c t i c e in r e c e n t

achieved

through this

such

communities

self-administration

s e l f - a d m i n i s t r a t i o n , through to s o m e t h i n g c l o s e

y e a r s b e e n a d o p t e d o r p r o p o s e d in p a r t i c u l a r

to internal s e l f - g o v e r n m e n t . W e see this not as

situations b y several S t a t e s as a way o f s o l v i n g

s o m e t h i n g to b e i m p o s e d on S t a t e s , or g r o u p s

p r o b l e m s in this area.

within t h e m , b u t as b e i n g e s s e n t i a l l y a m a t t e r f o r a g r e e m e n t b e t w e e n t h e m , if t h e y b e l i e v e that it w i l l h e l p t h e m : the c h o i c e is t h e i r s , in the light o f t h e i r o w n p a r t i c u l a r c i r c u m s t a n c e s . A n d as a f i n a l e l e m e n t in our t h i n k i n g , w e b e l i e v e that, w h e r e s o m e o u t s i d e and d i s i n t e r -

B u t b e that as it m a y , w e c o n c l u d e d that w e should s u b j e c t our ideas to a m o r e c o m p r e h e n s i v e s c r u t i n y , b o t h to e x a m i n e their f u n d a m e n t a l s o u n d n e s s , and to s e e h o w they m i g h t b e s t b e d i r e c t e d to the a t t a i n m e n t o f the a i m s w h i c h , as I say, I b e l i e v e w e all share.

412

Appendix

2

A g e n d a Item 109, Right of P e o p l e s to S e l f - d e t e r m i n a t i o n Excerpts from the statement by Her Excellency A m b a s s a d o r Claudia Fritsche, Permanent Representative of the Principality of Liechtenstein to the United Nations N e w York, 7 N o v e m b e r 1996

A c c e p t a n c e of the right of peoples to selfdetermination has been one of the great a c h i e v e m e n t s of the United Nations during its first half-century. In looking back at the development of ideas of s e l f - d e t e r m i n a t i o n by the United Nations, Liechtenstein, of course, can only look at what was achieved by others: by the time we b e c a m e a M e m b e r of the United Nations six years ago. the first phase of the evolving idea of self-determination had already been largely completed. The importance of the attainment of independence, under the impetus of the principle of self-determination, by those many peoples who were at one time under some form of foreign and/or colonial d o m i n a tion cannot be underestimated: probably above all else, it has been responsible for shaping the international community as we see it today. Yet we all now realize that the potential of the right of s e l f - d e t e r m i n a t i o n remains to a certain extent unexplored. If we look at develo p m e n t s in d i f f e r e n t parts of the world, we can see how influential the right of self-determination still is. But s e l f - d e t e r m i n a t i o n is not just a matter of the a t t a i n m e n t of i n d e p e n d e n c e by peoples seeing that as their freely c h o s e n d e s t i n y : it a f f e c t s also t h o s e w h o are w i t h i n , and are content to stay w i t h i n , their States. It underlies many aspects of the international c o m m u n i t y ' s g r o w i n g c o n c e r n with the position of m i n o r i t i e s , and of i n d i g e n o u s peoples. And since self-determination requires that population g r o u p s must have at their disposal m e a n s for e x p r e s s i n g their free and voluntary c h o i c e s about their o w n social, economic, cultural and political structures, it goes hand in hand with e s s e n t i a l p r i n c i p l e s of democracy. T h e value of this potent principle extends also into an area which these days is very much in all our m i n d s — t h e peace and stability of our planet, and the a v o i d a n c e and prevention of armed and other violent conflicts. It is here that Liechtenstein, in the short time that we have been a M e m b e r of the United Nations, has be-

come very aware of the constructive part which the right of self-determination can play. Many conflicts occur because people seeking ways of asserting their distinctive identity find that they have no accepted channel within their States through which to express their aspirations: in c o n s e q u e n c e , they see independ e n c e as their only option, even though it is one which the parent State is likely to resist— by force of arms, if necessary. The tensions which result, even extending to armed conflict, are often the source of the conflicts which the United Nations is n o w a d a y s most frequently called upon to deal with—internal conflicts within States, rather than, as formerly, international conflicts between States. But even internal conflicts have the capacity to spread beyond the borders of the State in question, with consequent dangers for international peace and security. Yet to a significant degree all this f l o w s f r o m the frequent absence within States of accepted channels through which c o m m u n i ties with a distinctive identity can express their reasonable aspirations. It is the aim of the Liechtenstein initiative to provide such channels, so that those tensions and conflicts may be m i n i m i z e d , and perhaps even avoided altogether. T h e Secretary-General. in his " A g e n d a for Peace." rightly e m p h a sized the importance of preventive diplomacy: we believe, M a d a m e Chairperson, that our initiative would contribute to efforts currently being undertaken in the area of preventive diplomacy. In essence, we envisage variable and progressive patterns of self-administration being available to distinctive c o m m u n i t i e s within States. This self-administration would r a n g e — according to the circumstances of each c a s e — f r o m very limited and basic elements of selfadministration, through to something close to internal self-government. We see this as something that is essentially a matter for agreement between States and c o m m u n i t i e s living within those States, if they believe it will help them:

413

Appendix 2 Ihe c h o i c e is t h e i r s , in the light o f t h e i r o w n

their c a u s e s in the f r u s t r a t i o n s o f d i s t i n c t i v e

p a r t i c u l a r c i r c u m s t a n c e s . I f s o m e o u t s i d e and

c o m m u n i t i e s within S t a t e s , and that a d e g r e e o f

d i s i n t e r e s t e d h e l p w o u l d be useful in e n s u r i n g

s e l f - a d m i n i s t r a t i o n m a y d i m i n i s h t h o s e frustra-

that the a r r a n g e m e n t s w o u l d be e f f e c t i v e in

tions and thus l e s s e n or e v e n do a w a y with the

p r a c t i c e — a s we b e l i e v e it might well b e — t h e n

risk o f c o n f l i c t .

our p r o p o s a l s e n v i s a g e a m o d e s t

procedural

f r a m e w o r k for that purpose.

A n d if, M a d a m e C h a i r p e r s o n , there are, as we b e l i e v e , m a n y S t a t e s w h i c h would find our

In this way we s e e k to p r o v i d e a m e a n s ,

p r o p o s e d m e c h a n i s m s h e l p f u l , we h o p e that the

short o f full i n d e p e n d e n c e , w h e r e b y the rea-

i n t e r n a t i o n a l c o m m u n i t y w i l l do all it c a n to

sonable aspirations o f distinctive communities

m a k e that help a v a i l a b l e to t h e m . W h a t m y del-

might find reasonable expression. We believe

e g a t i o n f i n d s v e r y s t r i k i n g is h o w o f t e n in re-

that this is w h o l l y in line with the f u r t h e r de-

c e n t y e a r s S t a t e s , in d e a l i n g with d i s t i n c t i v e

v e l o p m e n t o f the right o f s e l f - d e t e r m i n a t i o n . It

communities

would a l s o , we are c o n v i n c e d , be a useful step

adopted or proposed degrees o f self-adminis-

towards

tration

the

avoidance

of

situations

which

which

within would

their

territories,

readily

fit

within

have the

might o t h e r w i s e result in c o n f l i c t — ' p r e v e n t i v e

f r a m e w o r k o f the ideas w h i c h we are putting

d i p l o m a c y ' in a very real and practical s e n s e .

forward. W e strongly b e l i e v e that such m e c h a -

Our e s s e n t i a l ideas, M a d a m e C h a i r p e r s o n , are s i m p l e — n a m e l y , that s o m e c o n f l i c t s h a v e

n i s m s s h o u l d be m a d e a v a i l a b l e to all S t a t e s which might find t h e m h e l p f u l .

Appendix 3: Summary of International Conferences on Self-Determination by the Liechtenstein Research Program on Self-Determination First International Conference on Self-Determination and Self-Administration Organized by the Liechtenstein Research Program on Self-Determination, Woodrow Wilson School, Princeton University, March 17,18,1995* Sir John Thomson

ally m a t t e r s w i t h r e g a r d t o t h e l i n k s b e t w e e n

In t e r m s of m y c o m m e n t s on J e f f r e y H e r b s t ' s

size, military and political questions are the

p a p e r o n Global

particular circumstances which define each

Existing

Change

Nati on-Stutes,

and

the Future

of

I a m v e r y m u c h in

i n d i v i d u a l s t a t e . O n e of t h e m o s t

specific

a g r e e m e n t w i t h t h e p a p e r , as f a r as it w e n t .

p a r t i c u l a r i t i e s t h a t m u s t b e c o n s i d e r e d is t h e

T h e t o p i c , h o w e v e r , is e x t r e m e l y

l o c a t i o n of t h e s t a t e .

complex

and multidimensional. T h e paper dealt with

Regarding the second point

mentioned

t w o m a i n t h e m e s : f i r s t , w h a t is t h e v i a b l e

at t h e o u t s e t , H e r b s t m a k e s t h e

s i z e of a s t a t e ; a n d s e c o n d , g i v e n a n a n s w e r

observation

to t h e f i r s t , w h a t o t h e r f o r m s of s t a t e h o o d

s t a t e h o o d m u s t b e l i n k e d to t h e c e n t r a l p r o b -

that

alternatives

important

to

existing

c o u l d w e c o n c e i v e of as a l t e r n a t i v e s to t h o s e

l e m a t i c of o u r p r o j e c t , n a m e l y t h e d r a f t c o n -

which we are already familiar?

vention on self-determination. T h e key point

R e g a r d i n g the first point, Herbst m a k e s

is that t h e r e a r e d a n g e r s in t h e i s s u e of s e l f -

t h e o b s e r v a t i o n that it is n o w m u c h e a s i e r to

determination

e n v i s a g e s m a l l e r s t a t e s t h a n it w a s in t h e

M o r e o v e r , the d r a f t c o n v e n t i o n should

be

p a s t . T h e p o i n t is n o t t h a t t h e r e h a v e n e v e r

c l e a r l y b a s e d o n t h e p r e m i s e that w h a t

is

existed

has

m o s t d e s i r a b l e is a s i t u a t i o n w h i c h a l l o w s o r

changed are the various e c o n o m i c considera-

e n a b l e s a c o m m u n i t y to exercise self-deter-

t i o n s that m a k e it p o s s i b l e t o r e s p o n d to ( a n d

mination without breaking up the existing

to m o v e b e y o n d ) t h e s t a n d a r d a r g u m e n t t h a t

s t a t e s t r u c t u r e . T h e D r a f t C o n v e n t i o n in a

small size p r e v e n t s viable a u t o n o m y or inde-

s e n s e e x p r e s s e s t h e p o i n t t h a t , y e s , it is p o s -

small

states,

but

that

what

which

must

be

addressed.

p e n d e n c e f o r a s t a t e . In s h o r t , H e r b s t d o e s a n

s i b l e t o i m a g i n e a l t e r n a t i v e f o r m s of s t a t e -

e x c e l l e n t j o b of a d d r e s s i n g

hood and c o m m u n a l identities than the m o d -

the

economic

ern nation state.

constraints related to state size. H o w e v e r , H e r b s t hardly touches on the

F r o m m y p e r s p e c t i v e , w e n e e d to d r a w

military and political issues related to state

l e s s o n s f r o m w h a t is a c t u a l l y o c c u r r i n g t o d a y .

s i z e . I t h i n k it is i m p o r t a n t to m a k e t h e p o i n t

F o r e x a m p l e , t h e E u r o p e a n U n i o n is a c a s e in

issues

w h i c h s t a t e s a r e g i v i n g u p p a r t s of t h e i r s o v -

c e r t a i n l y a r e r e l e v a n t f o r s t a t e s i z e , w h a t re-

e r e i g n t y , b u t t h e r e s u l t is an e n t i t y w h i c h is

that, although military and political

* Compiled by Helene Holm-Pederson. a doctoral condidate at the Woodrow Wilson School, Princeton University, and Elizabeth Prodomou, who teaches at the Woodrow Wilson School.

415

416

Appendix

larger in size than the original units. In this re-

3

enter the World Trade Organisation ( W T O )

spect, the European Union provides a model

illustrates the increasing constitutionalisation

for our work. In addition, there is a large lit-

o f international e c o n o m i c relations as well.

erature about the kinds o f self-determination

T h e W T O may be technically a voluntary or-

(e.g., external versus internal) that we may

ganization but in practical reality it is not so:

want to consider. However, the complexities

States find it difficult to prosper outside it

make me a bit nervous because I am not sure

T h e driving e l e m e n t in the

paradigm

if we can find universal criteria useful for

shift at the current historical c o n j u n c t u r e is

drafting the convention on

self-determina-

e c o n o m i c s . In modernity, federalist princi-

tion—for defining self-determination in a way

ples were justified by states with reference to

that does not invite further state break-ups. I

security. This is less so today than before, al-

suppose what I am saying is that 1 favor clos-

though the primacy o f e c o n o m i c motivations

ing off, or narrowing as it were, rather than

for j o i n i n g

broadening, the definition o f self-determina-

ments

tion and, thus, the possibilities for appealing

states perceiving themselves to be relatively

to it as legitimation o f secession. T h e real

secure.

question is whether or not we need an inter-

federalist

is contingent

governing upon

the

arrangefederating

Autonomy, self-administration, self-de-

national convention on self-determination.

termination, and s e l f - g o v e r n m e n t are issues

Daniel Elazar

think that the convention on self-determina-

which enter into the above discussion. I

I begin by remarking that I agree with J e f -

tion is a good idea, since it allows for fram-

frey Herbst that a paradigm shift is underway

ing ambiguities and tensions, and thereby

in how we c o n c e i v e o f governance and poli-

legitimizes them by framing them in a man-

tics, from the dominant (statist) model to a

ageable form marked by consensus. Overall,

model which I b e l i e v e will not replace the

the result is that problems will be dealt with

state system but will add another layer to it.

in a constitutional framework. Perhaps self-

P e r c e p t i o n s are c h a n g i n g in line with the

government might be a more apt term than

new structural realities that mark the present

self-determination, though, to put in the title

world system; with a new political reality o f

o f the Convention?

increasingly c o m p l e x and multi-layered governance arrangements. T h e paradigm

Finally, just as statism led to more statism, federalism is leading to more federal-

in the

ism. An example o f this point is the fact that

changing governing arrangements which are

shift is evident

the U . S . is a federation o f fifty states, which

being constitutionalized at a global level. For

then developed a relationship o f c o m m o n -

e x a m p l e , the European Union is basically a

wealths, and this has led to the gradual be-

confederation, or a constitutionalized associ-

ginning o f the extension o f autonomy to In-

ation o f states, which disproves our earlier

dian tribes.

view

that

only

federations

were

viable

arrangements. We are c o m i n g into a phase where federations and c o n f e d e r a t i o n s

are

both and simultaneously possible. T h e c o e x istence o f these two types o f arrangements is likely to continue and to increase. T h e U . S . is

a

very

reluctant

participant

in

these

c h a n g e s , as e v i d e n c e d by the r e t i c e n c e to allow individual states to deal autonomously with trade issues regarding E u r o p e . However, the changes in trading regulations led overall to the U . S . getting into institutional trade relations. T h e case o f C h i n a wanting to

Jeffrey Herbst As S i r John T h o m s o n noted, I am concerned with whether or not small states are b e c o m ing more viable. S i m p l y , can small states exist in the international system? T h e literature on the breakup o f the S o v i e t

Union

never mentioned how changes in the international environment contributed to the m a j o r political event o f our time, the breakup o f the U S S R and the c o m m u n i s t b l o c . T h i s lacuna is somewhat understandable in view o f the f o c u s on the d o m e s t i c d e v e l o p m e n t o f

Summary

of International

Conferences

on

Self-Determination

these societies. However, at the global level, there are trends occurring which match what occurred in the f o r m e r U S S R , and these trends relate to the question of smallness. There is a perception by many policy elites that size should not be constrained by economic issues alone and, again, we may look to the breakup of the USSR for some ideas about state size and economic constraints. In terms of the second aspect of my paper, I was dealing with the nature of the nation state. I am sensitive to the fact that as late as the 1870s there were small polities in Africa; what the Europeans did was to impose a grid of nation-states on this network of small polities in Africa. I am looking at the pre-1870 period—when polities were not firmly based on territoriality and when there were mixed forms of sovereignty. I am trying to look at what held these groups together in pre-colonial Africa, in the hope that we may find whether or not this earlier model suggests alternatives to the existing strict demarcation of the globe according to nation-state units.

Fred Riggs The difference between the national state and the state is more than a semantic difference, and we must clear up our terminology. Perhaps it would clarify things if we distinguish between "national states" and other states. For example, every state is (and therefore effectively b e c o m e s ) a nation state if it is a member of the UN. However, what about the status of national states which created a nation through state creation? I refer here to the case of France. T h e real question concerns whether or not a state can d e f e n d itself. Small states are, for the most part, protected by the international system, so they give up a degree of their sovereignty in military terms in return for international protection.

Daniel Elazar We have to be realistic. Small states can only give up their armies if they are already members of a security community. We need to be realistic about the paths to limits on sovereignty.

417

Ian Lustick I d o n ' t have any problems with the term "nation state." It is not so m u c h descriptive as an indication of on what basis the state seeks legitimacy. Take the example of the "Islamic state." There are many new f o r m u l a s for legitimacy. Also, I think that the adoption of general language allows f o r far more flexibility about the specific issue of self-determination. I think that a more important question of distinctions for the Herbst paper concerns whether self-determination or selfgovernment is achieved in a state-shattering or a state-contracting way. Which of these distinctive routes is taken is worth noting, since otherwise you end up lumping together both orderly and conflict contractions to smallness. Consider the examples of Somalia and Slovakia.

Henry Bienen Ian's point is a good one. The way that the state shatters or contracts will have direct implications on its prospects for viability. The process of self-determination and the m e m o r i e s that linger f r o m it matter in this regard. In the process of ethnic cleansing, we see attempts at h o m o g e n i z a t i o n . Yet on the Asian continent, we see population m o v e ments without complete homogenization. These are alternative routes to homogenization which have a direct effect on what form of state and nation c o m e after the process of homogenization is completed.

Wolfgang Danspeckgruber We need to be careful about referring to those states that are small within the European context as examples for the viability of small states in a global setting In fact, small states in Europe must be contextualized within the f r a m e w o r k of Maastricht's caretaking agreements; these offer all sorts of protection f o r new members, regardless of size. We also need to consider the motivations of small states which seek to join regiona, international or supranational arrangements; we need to consider issues of sovereignty and other political objectives.

Appendix 3

418

Georgiy Mirsky T h e R u s s i a n F e d e r a t i o n p r e s e n t s an interesting e x a m p l e w i t h r e g a r d to t h e d i s c u s s i o n t h u s far. T h e U S S R w a s n o t a n a t i o n - s t a t e b e c a u s e it w a s n e v e r a n a t i o n . T h e R u s s i a n F e d e r a t i o n is m a r k e d b y lots of n a t i o n s a n d lots of a u t o n o m y . T h e W e s t d o e s not a t t e n d tot he fact that R u s s k e v e r s u s R u s s i s k e h a v e very d i f f e r e n t m e a n i n g s , with o n e m a r k e d by parochial nationalism and the other m a r k e d by u n i v e r s a l i s m . Yeltsin r e p e a t e d l y m a k e s this sort of d i s t i n c t i o n , a n d s u g g e s t s that the R u s s i a n F e d e r a t i o n is not a n a r r o w l y n a t i o n alist entity. H o w e v e r , h o w c a n w e e x p l a i n the fact that the R u s s i a n F e d e r a t i o n is a f e d e r a t i o n of e q u a l s , t h e T a t a r s h a v e to call t h e m s e l v e s R u s s i a n ? A f t e r all, the T u r k m e n s h a v e t h e i r o w n state. In s h o r t , the f o r m e r U n i o n r e p u b l i c s , w h i c h h a d the t h e o r e t i c a l right to s e c e d e , are n o w i n d e p e n d e n t states, w h e r e a s t h e o t h e r r e p u b l i c s w h i c h are n o w s u r r o u n d e d by the R u s s i a n R e p u b l i c s can not s e c e d e d e s p i t e the fact that p o s t - s e c e s s i o n survival m a y be a viable o p t i o n f o r t h e m . In t e r m s of C h e c h n y a , the c o n f l i c t is o n e of t w o p r i n c i p l e s : s e l f - d e t e r m i n a t i o n v e r s u s the inviolability of b o r d e r s . If w e work f r o m the p r i n c i p l e of s e l f - d e t e r m i n a t i o n and t h e idea that e v e r y g r o u p , n o m a t t e r h o w s m a l l , h a s t h e r i g h t to s e l f - d e t e r m i n a t i o n , t h e n w e will see a total B a l k a n i z a t i o n of the R u s s i a n Federation.

b o t h f u n c t i o n a l a n d s y m b o l i c / e m o t i v e asp e c t s to t h e p r o b l e m a t i c of s e l f - d e t e r m i n a t i o n . It is f o r this r e a s o n that it will not b e p o s s i b l e to " c l o s e o f f ' the o p p o r t u n i t y f o r n e w s t a t e s to a c h i e v e s e l f - d e t e r m i n a t i o n . Had self-determination been a purely functional q u e s t , o n e m i g h t be a b l e to say that it had its h e y d a y d u r i n g the d e c o l o n i z a t i o n period a n d that it is n o w a c l o s e d c h a p t e r of h i s t o r y . But p e o p l e s a n d c o m m u n i t i e s w h o seek s e l f - d e t e r m i n a t i o n are not s i m p l y looking f o r a l t e r n a t i v e g o v e r n a n c e a r r a n g e m e n t s . T h e y seek to e x p r e s s t h e i r g r o u p identity as well. In t e r m s of t h e o v e r a l l a p p e a l of the L i e c h t e n s t e i n P r o j e c t , I think that the appeal lies e x a c t l y in that it s e e k s to c o m b i n e the f u n c t i o n a l and s y m b o l i c a s p e c t s of s e l f - d e t e r m i n a t i o n . T h i s is a g o o d t h i n g , s i n c e any s u g g e s t i o n that s e l f - d e t e r m i n a t i o n is, at least s y m b o l i c a l l y , not a v a i l a b l e to a n y p e o p l e n o w that its p o s i t i o n as a c o l l e c t i v e h u m a n right has b e e n e n c o d e d in i n t e r n a t i o n a l lang u a g e , w o u l d a m o u n t to r e l e g a t i n g s o m e nat i o n s a n d c o m m u n i t i e s to s e c o n d - c l a s s status. T h e r e f o r e , w i d e n i n g the s c o p e of s e l f - d e t e r m i n a t i o n at least s a t i s f i e s the s y m bolic a s p i r a t i o n s of p e o p l e s , a l t h o u g h it m a y not be p o s s i b l e to s a t i s f y the f u n c t i o n a l side. I n d e e d , the t e n s i o n e m e r g e s p r e c i s e l y bet w e e n the s y m b o l i c and f u n c t i o n a l a s p e c t s of self-determination.

Stephen Marks Richard Falk I w o u l d like to r e t u r n to Ian L u s t i c k ' s d i s t i n c t i o n b e t w e e n s t a t e s h a t t e r i n g a n d state contraction. This distinction offers a useful w a y of a r t i c u l a t i n g o u r t h e m e of s e l f - d e t e r m i n a t i o n . H o w e v e r , it m a y also be h e l p f u l to t h i n k a b o u t the s p e c t r u m of o u t c o m e s f r o m v o l u n t a r y to c o e r c i v e , i n s t e a d of a s h a r p d i c h o t o m y b e t w e e n state s h a t t e r i n g and s t a t e c o n t r a c t i v e f o r m s of s e l f - d e t e r m i n a t i o n . F o r e x a m p l e , P a l e s t i n e w o u l d be a m i x e d case, as w o u l d the B a l t i c R e p u b l i c s . If o n e t h i n k s in t e r m s of h i s k i n d of s p e c t r u m , t h e n w e m a y get a better u n d e r s t a n d i n g of the d i f f e r e n t aspects of t h e p r o c e s s of state e m e r g e n c e . I a l s o w a n t to p o i n t o u t that t h e r e a r e

I a g r e e w i t h the g e n e r a l a r g u m e n t s of F a l k . W h e n we discuss federalism, state-shattering, state c o n t r a c t i o n , and o t h e r such issues, w e are s p e a k i n g of w h a t are b e c o m i n g typical p o s t - C o l d War p h e n o m e n a . W h a t we are f a c i n g , t h e r e f o r e , is a lag b e t w e e n the lang u a g e and ideas, on the o n e h a n d , a n d the reality of d y n a m i c s w o r k i n g t h e m s e l v e s o u t , on the other. We are e n g a g e d in an a t t e m p t to r e f o r m u l a t e the i n t e r n a t i o n a l r e l a t i o n s s y s tem, using wherever possible the ideational and f u n c t i o n a l relics of the p r e v i o u s s y s t e m . T h e U N S e c u r i t y C o u n c i l w a n t s to f o c u s o n an u p g r a d i n g in t h e t e r r i t o r i a l i n t e g r i t y a n d s o v e r e i g n t y of b o r d e r s , at the e x p e n s e of the s y m b o l i c a s p i r a t i o n s of p e o p l e s f o r the right

Summary of

of International

Conferences

self-determination.

This

on

Self-Determination

419

philosophical

believes fails to adequately stress the need o f

c h o i c e is what we are seeing in B o s n i a and

the U N for such means in order to carry out

the U N response to B o s n i a . Our project, it

p e a c e - m a k i n g s u c c e s s f u l l y . He agrees with

s e e m s to me, should focus on what we can

the S e c r e t a r y G e n e r a l , though, that problem

r e c o m m e n d in terms o f norms that will influ-

o f the UN being unable to control indepen-

e n c e politics that determine political realities.

dent f o r c e s lent to it (i.e., their availability and c o m m a n d structure) is serious and must

Jeffrey Herbst

be dealt with immediately. What is necessary

I don't think that the world has really moved

is a fully functional military staff living up to

o f f the mark o f the nation-state. Not even the

the expectations o f the international c o m m u -

E u r o p e a n Union ( E U ) is making inroads on

nity,

the three principles o f nation-states (that is,

1 0 , 0 0 0 men. T h i s sort o f staff would not

citizen-making,

maybe

an

international

brigade

of

money-

transform the U N into a war m a c h i n e , but

m a k i n g ) — a l t h o u g h the E U has created its

would provide it with all the means n e c e s -

own citizens by virtue o f the c o m m o n pass-

sary (including military c a p a b i l i t i e s ) n e c e s -

port and, to a lesser extent, by virtue o f vot-

sary to fulfill its mission.

war-making,

and

ing in the European Parliament. W h a t we are really seeing is a d i f f e r e n c e or disprop o r t i o n a l i t y in the response o f the world c o m m u n i t y to different kinds o f questions o v e r territorial integrity. T h e d i f f e r e n c e s in the T i e n a n m e n and C h e c h n y a crises reflect alternative

forms

of

response

to

human

rights violations which, in turn, reflect varying interpretations o f the importance o f territorial integrity when it c l a s h e s with problems o f governance.

[Wolfgang

Danspeckgruber

comments

on the papers o f J e a n Cot and Danilo Turk.] I want to point out that both papers refer to the problem o f trying to apply terms from e a r l i e r international realities to the present s y s t e m . F o r e x a m p l e , what do we mean by p e a c e k e e p i n g in t o d a y ' s international environment, particularly with respect to the military capabilities and rights o f peacekeepers? Turk ultimately agrees with D o y l e ' s position that e f f e c t i v e U N military interventions can o c c u r (e.g,. Iraq) without an unambiguous

[Presentation o f a paper by Michael Doyle on

interpretation o f the rights o f sovereignty. In-

" P e a c e k e e p i n g , the UN, and Sovereignty"]

deed, he argues that sovereignty is being in-

Wolfgang Danspeckgruber L e t ' s m o v e to the question o f sovereignty

c r e a s i n g l y c i r c u m s c r i b e d in a way that requires caution on the part o f the international bodies doing the circumscription.

and the role o f the U N , that is, to a discussion o f the commentaries offered by General J . Cot and A m b a s s a d o r D. Turk in response to M i c h a e l D o y l e ' s paper. [Neither G e n e r a l Cot nor A m b a s s a d o r Turk were present in person. T h e i r c o m m e n t a r i e s were, therefore, presented

by W o l f g a n g

Danspeckgruber],

J e a n Cot agrees with M i c h a e l Doyle that the enlargement o f possibilities for UN intervention under Article V I I o f the UN Charter is a positive development. T h i s position, however, presupposes that we have the appropriate military or other m e a n s to carry out c o e r c i v e UN operations. T h u s General Cot is disappointed with Secretary-General Boutros B o u t r o s - G h a l i ' s Agenda for Peace, which he

T h e main reason for the UN failure in B o s n i a was the failure to c l a s s i f y the problem f o r what it was: an act o f aggression against UN m e m b e r states. Only the first generation o f UN forces to B o s n i a can really be c a l l e d p e a c e k e e p e r s . T h e second generation has involved c o m p l e x f o r m s o f p e a c e keeping which go beyond the initial interpretation o f the word. T h e third and present UN f o r c e s stationed there are starting to take sides, thus moving away from peace-keeping in the c o n v e n t i o n a l m e a n i n g o f that term. T h e overall argument o f T u r k , to sum up, is that

the

meaning

of

UN

peacekeeping

c h a n g e s over time, according to the specific dynamics and demands o f the conflict.

420

Appendix

3

Michael Doyle

so, by n e g o t a t i n g w i t h t h e a r m y to " p r o t e c t

I w a n t to a d d r e s s t h e f o l l o w i n g t w o i s s u e s :

the elections" by p u s h i n g back the

f i r s t , T i i r k ' s p o i n t a b o u t t h e i s s u e of d o c t r i n e ;

R o u g e f r o m the election stations. T h u s , while

a n d s e c o n d , C o t ' s p o i n t a b o u t t h e u s e of U N

s t r a t e g i c d i s t i n c t i o n s m a y n e e d to b e d r a w n

f o r c e . In t e r m s of t h e f i r s t i s s u e , A m b a s s a d o r

between Chapter VI and Chapter VII action,

Tiirk r e c o m m e n d s t h a t w e s h o u l d d r a w a line

in reality t h i n g s a r e o f t e n m o r e b l u r r e d .

b e t w e e n c o n s e n t a n d e n f o r c e m e n t in p e a c e k e e p i n g b u t b a s i c a l l y t r e a t t h e m b o t h as le-

In t e r m s o f t h e s e c o n d i s s u e ,

Khmer

General

Cot has criticized the Secretary G e n e r a l for

g i t i m a t e U N r e s p o n s e s to v i o l e n t c o n f l i c t al-

b e i n g u n w i l l i n g to u s e f o r c e . I d i s a g r e e with

beit

C o t ' s u r g i n g of t h e u s e o f a U N

in d i f f e r e n t c o n t e x t s .

a b o u t t h e l a t t e r f o r m of

I am

sceptical

military

"peace-keeping."

f o r c e , f o r t h e f o l l o w i n g r e a s o n s . F i r s t , this

T h e r e a r e s e r i o u s p r o b l e m s r e l a t e d to t h e e n -

sort of e x e r c i s e w o u l d b e e n o r m o u s l y e x p e n -

forcement-style U N peacekeeping, including

s i v e ( p a r t i c u l a r l y in t o d a y ' s s e v e r e f u n d i n g

t h o s e of c o m m a n d a n d c o n t r o l a n d t h a t of

climate)—some

t h e w i l l i n g n e s s of m e m b e r s t a t e s to b e a r c a -

w o u l d c o s t at l e a s t $1 b i l l i o n p e r y e a r to

sualties. I am m o r e f a v o r a b l e to the

m a i n t a i n a f o r c e of 1 0 , 0 0 0 m e n . S e c o n d , this

UN

estimates

suggest

that

it

s e e k i n g to n e g o t i a t e a n d m a n a g e a p e a c e a n d

k i n d of f o r c e w o u l d r a i s e t h e q u e s t i o n

to establish the c o n d i t i o n s u n d e r w h i c h

a

h o w to m a k e m o s t e f f i c i e n t u s e of w h a t ' s at

the

o u r d i s p o s a l ; t h a t is, o f f i c e r s in s u c h a p e r -

peace

can

forms

of

hold

up—i.e.,

peace-keeping

sticking where

it

to has

of

a

m a n e n t U N m i l i t a r y f o r c e w o u l d q u i c k l y be-

p r o v e n s u c c e s s r e c o r d . S t i l l , I a m c r i t i c a l of

c o m e battle shocked and exhausted. T h e UN

d r a w i n g too sharp a line b e t w e e n

consent

m i s s i o n in B o s n i a - H e r z e g o v i n a a l o n e n u m -

a n d e n f o r c e m e n t o p e r a t i o n s . J u s t as p o l i t i c s

b e r s 3 0 , 0 0 0 m e n . T h i r d , to d a t e , t h e r e is n o

d o not stop when the fighting starts, simi-

country which has seriously endorsed

larly, C h a p t e r V I a c t i o n c a n c o n t i n u e e v e n in

f o r m a t i o n and use of such a p e r m a n e n t U N

a typical C h a p t e r VII situation. We can not

m i l i t a r y f o r c e — d e s p i t e t h e s u g g e s t i o n s by

a l w a y s separate out consent and then wait for

C a n a d a , the N e t h e r l a n d s , and F r a n c e

t h e U N to c o m e in t o d e a l w i t h t h e p r o b l e m .

they would support such a f o r c e — a n d m a n y

T h e p a r t i e s in a civil w a r a l m o s t n e v e r c o m e

a r e o u t r i g h t o p p o s e d . O t h e r a l t e r n a t i v e s will,

to full agreement, so the U N or s o m e Great

t h e r e f o r e , h a v e to b e c o n s i d e r e d .

the

that

P o w e r g r o u p i n g a l w a y s n e e d s to e x e r t p r e s s u r e in s u c h c a s e s . W e c a n u s e c a r r o t s a n d

Wolfgang Danspeckgruber

s t i c k s in c o m b i n a t i o n t o g e t t h e c o n f l i c t i n g

T h e r e is a l o n g s t a n d i n g F r e n c h t r a d i t i o n of

p a r t i e s to t h e n e g o t i a t i o n t a b l e . T h e s e m e c h a -

m a i n t a i n i n g t h e k i n d of r a p i d

n i s m s n e e d to b e u s e d in t a n d e m w i t h n e g o t i -

f o r c e w i t h g l o b a l r a n g e , as d i s c u s s e d h e r e f o r

a t i o n s . A l s o , t h e m a n a g e m e n t of t h e p e a c e

the United Nations. Perhaps one could draw

p r o c e s s is c o m p l e x . E v e n w h e n p a r t i e s s i g n a

on the French e x p e r i e n c e . I feel that such a

p e a c e a c c o r d , w e n e e d to t h i n k a b o u t w h e t h e r

f o r c e m a y b e m o r e a t t u n e to t h e E u r o p e a n

t h e y a r e r e a l l y w i l l i n g to a b i d e b y t h e treaty.

t r a d i t i o n s t h a n t h e U . S . o n e , e s p e c i a l l y if it

In t h i s c a s e , m a n a g e m e n t b e c o m e s k e y . T h e

w e r e to b e u n d e r m u l t i n a t i o n a l c o m m a n d —

U N m u s t p l a y a n a c t i v e r o l e in t h e p o l i t i c a l ,

thus

a n d in c e r t a i n c a s e s , in t h e m i l i t a r y p r o c e s s of

s u c h a j o i n t e n d e a v o r w i t h i n t h e W E U . It

p e a c e m a n a g e m e n t . I n d e e d , if w e l o o k at t h e

s e e m s p l a u s i b l e t h a t t h e m e r e e x i s t e n c e of

UN's

greatest

successes

in

the

increasing

discussions

deployment

regarding

peacekeeping,

s u c h a f o r c e m a y f u n c t i o n as a d e t e r r e n t to

these have n e v e r d r a w n a bright line a r o u n d

possible future conflicts, and may therefore

political versus military involvement, one ex-

c o n t r i b u t e to stability, a n d i n d e e d s a v i n g s f o r

ample being the Namibian operation where

the international c o m m u n i t y .

S o u t h A f r i c a w a s c a l l e d in t o e n f o r c e t h e p e a c e . E v e n in C a m b o d i a t h e r e w a s s o m e u s e of f o r c e , n o t b y t h e U N d i r e c t l y b u t i n d i r e c t l y

Jeffrey Herbst I h a v e o f t e n t h o u g h t a b o u t h o w it is t h a t

Summary

peace

of International

enforcement

Conferences on

has

a bad

421

Self-Determination

name

and

already occurring. A final point: Inevitably,

peacekeeping has a good name. I don't think

w e all t a l k a b o u t t h e U N , b u t w e m u s t re-

that either T u r k or Cot understand w h a t hap-

m i n d o u r s e l v e s t h a t t h e U N is o n l y a s h o r t -

p e n e d in S o m a l i a , w h i c h w a s a u n i q u e e x p e -

h a n d f o r a t t i t u d e s t a k e n b y all t h e m e m b e r s

r i e n c e in c o e r c i v e U N p e a c e - k e e p i n g

and

of t h e U N M y e x p e r i e n c e is t h a t w h e n t h e

w h i c h s a v e d a lot of l i v e s . A r g u a b l y , in g e n -

U N t a k e s a c t i o n , t h i s is t h e r e s u l t of n e g o t i -

e r a l , t h e U N d o e s n o t s a v e lots of l i v e s . S t i l l ,

a t i o n s by a s m a l l g r o u p of m e m b e r s . S o w e

in c o n t r a s t to w h a t T u r k a n d C o t m a i n t a i n , I

a r e t a l k i n g a b o u t a p r o c e s s of c o n s t a n t n e g o -

t h i n k t h a t t h e U N c a n b e p e r c e i v e d as i m p a r -

tiation

t i a l . F i n a l l y , i t ' s n o t a q u e s t i o n of w h e t h e r

Doyle's

the U N has the forces, but a question of the

g l o b a l s o v e r e i g n t y is n o t v i a b l e .

in

a floating

argument

game.

about

a

I think UN

that

claim

to

will to d e p l o y t h e m . It is a q u e s t i o n of p o l i t ical w i l l , n o t of m i l i t a r y c o n s t r a i n t s . W e c a n

Hurst Hannum

d o a t r e m e n d o u s a m o u n t w i t h v e r y little in

T h e q u e s t i o n of U N m i l i t a r y f o r c e a n d t h e

t e r m s of military

with

s o v e r e i g n t y of t h e U N is c l e a r l y o n e of t h e

M i c h a e l D o y l e , h o w e v e r , that u n f o r t u n a t e l y

m o s t i m p o r t a n t i s s u e s t o b e d i s c u s s e d in t h e

resources. I agree

w e l i v e in a w o r l d w h e r e t h e p o l i t i c a l will is

w o r l d t o d a y , b u t I t h i n k t h a t t h i s is n o t c e n -

not a v a i l a b l e . O n e n e e d o n l y l o o k to R w a n d a

tral t o t h e i s s u e o f s e l f - d e t e r m i n a t i o n . T h e

to realize this. S t o p p i n g the g e n o c i d e w o u l d

U N is g e n e r a l l y n o t c o n c e r n e d w i t h i n t e r v e n -

not h a v e been that d i f f i c u l t a military task,

ing t o s u p p o r t

had the c h a l l e n g e only taken up seriously.

p r a c t i c e d o e s not s h o w a n y t h i n g n e w on this

Sir John Thomson

e r e i g n t y of its m e m b e r s t a t e s . T h e U N

T h e r e are t w o c o n c e p t u a l points that 1 want

d o i n g e x a c t l y w h a t its f o u n d i n g f a t h e r s in-

to t r e a t . F i r s t , in t e r m s of F a l k ' s j u s t i f i e d

t e n d e d it to d o : u p h o l d i n g e x t a n t s t a t e s o v e r -

c o m m e n t , I w a n t to s u g g e s t t h a t

eignties even w h e n they clash with the prin-

self-determination.

Recent

f r o n t . T h e U N still s e e k s to s u s t a i n t h e s o v -

symbolic

a n d f u n c t i o n a l a s p e c t s of s e l f - d e t e r m i n a t i o n

ciple

o f t e n d o mix. M o r e o v e r , this m i x i n g raises

p r a c t i c e s h o w s is t h a t state s o v e r e i g n t y is n o t

t h e q u e s t i o n of i n c o n s i s t e n c y — o r , r a t h e r , t h e

d i m i n i s h i n g b u t , r a t h e r , is a c t u a l l y s t r e n g t h -

importance

e n i n g . In p l a c e s w h e r e t h e U N

of

inconsistency

in

any

of

self-determination.

What

is

recent

intervenes,

legal/conventional approach to self-determi-

t h e U N is p r e s e n t b e c a u s e t h e s t a t e s w a n t t h e

n a t i o n . If w e try t o b e t o t a l l y c o n s i s t e n t , w e

U N t h e r e to r e i n f o r c e t h e i r s o v e r e i g n t y .

will b e t o t a l l y h a m s t r u n g . If w e try to d o B b e c a u s e in a s i m i l a r c a s e w e d i d A , w e will

Jeffrey Herbst

p e r h a p s f a i l at b o t h . W e m u s t h a v e t h e m o r a l

T h e r e w a s n o g o v e r n m e n t in S o m a l i a at t h e

a n d i n t e l l e c t u a l s t r e n g t h to s t a n d b e h i n d t h e

t i m e of t h e U N i n t e r v e n t i o n . T h e

p r i n c i p l e of i n c o n s i s t e n c y . S e c o n d , r e g a r d i n g

state w a s a l e g a l f i c t i o n .

Somali

t h e e m e n d a t i o n of t h e r u l e s by w h i c h t h e international community

p l a y s , I t h i n k it is

Hurst Hannum

s a f e t o say t h a t t h e U N c h a r t e r is a n i n f l e x i -

That's

ble d o c u m e n t w h i c h can be flexibly inter-

fiction.

the

point.

The

state

was

a

legal

p r e t e d . H o w e v e r , t h e r e a r e l i m i t s to t h e n a ture and d e g r e e of interpretation w h i c h can

Michael Doyle

t a k e p l a c e in a n y s h o r t p e r i o d of t i m e . W e

I agree with Sir J o h n T h o m s o n ' s point that

a r e in t h e p r o c e s s of i m p o r t a n t t r a n s i t i o n s in

w e s h o u l d r e c a l l t h a t t h e U N is a c o l l e c t i v i t y

the international relations system, with one

of s t a t e s , a n d w i t h H u r s t H a n n u m t h a t t h e

of t h e m o s t i m p o r t a n t t r a n s i t i o n s c o n c e r n i n g

O r g a n i z a t i o n ' s f o r e m o s t p u r p o s e is to p r o t e c t

the justification for U N intervention. I would

and p r o m o t e state sovereignty. Nevertheless,

not,

in r e c e n t t i m e s , t h e U N h a s t a k e n s o m e o f its

personally,

want

to

see

much

more

c h a n g e in this r e g a r d , h o w e v e r , t h a n w h a t is

international

human

rights

commitments

422

m o r e s e r i o u s l y a n d u s e d t h e m to i m p l i c i t l y q u e s t i o n state s o v e r e i g n t y . E x a m p l e s i n c l u d e t h e r e c o g n i t i o n of S l o v e n i a a n d C r o a t i a . A f t e r S o m a l i a , the p e n d u l u m m a y be s w i n g ing b a c k , t h o u g h .

Sir Arthur Watts I w a n t to r a i s e s o m e p o i n t s a b o u t m y o w n p a p e r . T h e p a p e r is not m e a n t to add to the D r a f t C o n v e n t i o n . I n d e e d , I w a n t to e x p l a i n t h e raison d'etre f o r the D r a f t C o n v e n t i o n . S u c h a c o n v e n t i o n , m o d e l l e d on the E u r o p e a n C o n v e n t i o n on H u m a n R i g h t s , is a c o n v e n i e n t v e h i c l e f o r w o r k i n g out i d e a s in a m e a n i n g f u l , f u n c t i o n a l w a y . M o r e o v e r , an a c t u a l d r a f t m e a n s that w e c a n not s i m p l y g l o s s o v e r the legal p r o b l e m s a n d i n c o n s i s t e n c i e s b e t w e e n i d e a s a n d p r a c t i c e . Finally, p r e p a r a t i o n of a d r a f t o f f e r s a v e r y f o r c e f u l r e m i n d e r that the L i e c h t e n s t e i n I n i t i a t i v e is c o n c e r n e d with political and d i p l o m a t i c reali t i e s — i n o t h e r w o r d s , the d o c u m e n t m u s t be d r a f t e d k e e p i n g in m i n d what states are actually l i k e l y to v o t e for, and t h e r e f o r e m u s t move beyond abstractions. Let m e h i g h l i g h t the m a i n p o i n t s in the Draft Convention: First, as a D r a f t C o n v e n t i o n it is not int e n d e d to be a c o m p r e h e n s i v e t r e a t m e n t of the w h o l e s u b j e c t of s e l f - d e t e r m i n a t i o n . Seco n d , it r e f l e c t s the r e a l i t y that s e l f - d e t e r m i n a t i o n h a s not b e e n a c c e p t e d yet by t h e int e r n a t i o n a l c o m m u n i t y as c o t e r m i n o u s w i t h i n d e p e n d e n c e . T h i r d , the t e r m s e l f - d e t e r m i n a t i o n is u s e d in t h e D r a f t C o n v e n t i o n in a w i d e r s e n s e than that w h i c h it h a s t y p i c a l l y e n j o y e d in the p o s t c o l o n i a l era. S e l f - a d m i n i s t r a t i o n w i t h i n the e x i s t i n g s y s t e m of territorial integrity, f o r e x a m p l e , is s e e n as a possible expression of self-determination. I n d e e d , t h e D r a f t C o n v e n t i o n is i n s p i r e d b y t h e h o p e that c o m m u n i t i e s in p u r s u i t of s e l f d e t e r m i n a t i o n will f i n d s u f f i c i e n t s a t i s f a c t i o n of t h e i r r e q u i r e m e n t s t h r o u g h s e l f - a d m i n i s tration, without needing independence (indep e n d e n c e o f t e n e n t a i l i n g t h e risk of w a r and l i m i t e d p r o s p e c t s f o r l o n g - t e r m sustainability anyway). Two recent developments lending h o p e to this idea is the r e s i g n a t i o n of t h e T a m i l s in Sri L a n k a of t h e i r d e m a n d f o r ind e p e n d e n c e and the f o r m of s e l f - g o v e r n a n c e

Appendix

3

that h a s b e e n w o r k e d o u t f o r T a t a r s t a n . Finally, o n e of the m o s t i m p o r t a n t s u b s t a n t i v e p o i n t s r a i s e d by t h e D r a f t C o n v e n t i o n is the term " c o m m u n i t y . " We use this t e r m b e c a u s e o t h e r w i d e l y used g r o u p t e r m s such as " p e o p l e s " and " m i n o r i t i e s " arc l a d e n with political and s y m b o l i c b a g g a g e and h a v e not been clearly d e f i n e d by the UN a n y w a y . W h e n we use the t e r m c o m m u n i t y , w e r e f e r to a distinct g r o u p w h i c h i n h a b i t s a d e l i n e a t e d area w i t h i n a state and h a s a s u f f i c i e n t d e g r e e of o r g a n i z a t i o n to v i a b l y s e e k s e l f - d e t e r m i n a tion. We are not s a y i n g that g r o u p s that d o n ' t m e e t o u r d e f i n i t i o n are e x c l u d e d f r o m a c c e s s to s e l f - d e t e r m i n a t i o n , h o w e v e r . We a n t i c i p a t e that o n e p r o b l e m a r e a of the D r a f t C o n v e n t i o n will be the p a r a g r a p h on the n e e d to p r o t e c t the territorial integrity of states. O n the o n e h a n d , t h e r e m a y be n o n e e d to r e f e r to the territorial i n t e g r i t y of states b e c a u s e the initiative is talking of selfa d m i n i s t r a t i o n w i t h i n e x i s t i n g states. On the o t h e r h a n d , we t h o u g h t it m i g h t be a d v i s a b l e to i n c l u d e a r e f e r e n c e in the D r a f t C o n v e n t i o n . in o r d e r to m a k e it c l e a r b e y o n d any d o u b t that w e are not t a l k i n g a b o u t the b r e a k i n g u p of s t a t e s but a b o u t the s e l f - a d m i n i s t r a t i o n of s m a l l g r o u p s w i t h i n e x t a n t state s t r u c t u r e s . We a r e a l s o w e l l a w a r e of the n e e d to spell out the c o n c e p t of s e l f - a d m i n i s t r a t i o n , and w e e n v i s i o n p r o g r e s s i v e s t a g e s in t h e i m p l e m e n t a t i o n of s e l f - a d m i n i s t r a t i o n ( A r t i c l e s 4 - 6 ) . We will try to i d e n t i f y the s t a g e s that w e t h i n k a r e best f o r states a n d t h e i r c o m m u n i t i e s to f o l l o w , but w e w o r k f r o m the a s s u m p t i o n t h a t , in the f i n a l a n a l y s i s , t h e c h o i c e is t h e i r s . O n l y A r t i c l e 4 ( w h i c h d o e s n o t g o b e y o n d e x i s t i n g U N C o v e n a n t s ) is mandatory for Convention signatories to a b i d e by; A r t i c l e s 5 and 6 are v o l u n t a r y , o u t lining p o s s i b l e r o u t e s f o r states and c o m m u n i t i e s to r e c o n c i l e t h e i r c o n c e r n s r e g a r d i n g g o v e r n a n c e . O f c o u r s e , this p h i l o s o p h i c a l a p proach raises the question W h y bother to h a m m e r out s p e c i f i c s if e v e r y t h i n g is so flexible? T h e point is that w e w a n t to be e x p l i c i t in letting p o t e n t i a l s i g n a t o r i e s k n o w w h a t w e are t h i n k i n g , a n d w e also w a n t to m a k e c l e a r that o u r t h i n k i n g t a k e s into a c c o u n t s u c c e s s e s a n d f a i l u r e s of past e x p e r i m e n t s in

Summary

of International

Conferences

on

423

Self-Determination

self-determination and self-administration. It

worth considering. First, on S i r John T h o m -

b e a r s mentioning that while our f o c u s is on

s o n ' s point about not taking on the whole

self-administration within states, we can not

universe o f s e l f - d e t e r m i n a t i o n in the Draft

and do not exclude the possibility that inde-

C o n v e n t i o n — t h a t problem might actually be

pendence

may

be

the

of

resolved in the title o f the Draft Convention,

p r o c e s s e s o f self-administration and self-de-

final

outcome

for e x a m p l e by referring to something like

termination.

about self-determination or self-administra-

A f t e r dealing with the content o f self-

tion for " s m a l l or limited c o m m u n i t i e s " ? It is

as

important to signal your goal in some adjust-

c o n c e p t s , the Liechtenstein Initiative turns to

ment to the title. S e c o n d , you need to think

determination

and

self-administration

the institutional structure that we e n v i s a g e

about which audience you are addressing in

f o r implementing these c o n c e p t s . Our view

terms o f the distinctions regarding the appro-

is that the institutional structure is critical

priateness o f self-administration. You really

b e c a u s e , while past discussions o f self-deter-

have two (or, at least two) c o n s t i t u e n c i e s :

most

states and indepedence movements. Does the

e f f o r t s have fallen short at the level o f ma-

term " s e l f - a d m i n i s t r a t i o n " sound sufficiently

mination have been quite e x t e n s i v e ,

chinery developed to ensure that self-admin-

grand to meet the s y m b o l i c aspirations o f in-

istration and self-determination occurred in

dependence m o v e m e n t s , or do we need to

an orderly way. T h e institutional structures

find a new word with more " b i t e , "

are outlined in the attached paper.

"self-government"?

In sum, we envision the L i e c h t e n s t e i n Initiative and the Draft Convention not as an ideal nor c o m p r e h e n s i v e solution, but as an e x e r c i s e in practical diplomacy. T h e entire undertaking, while certainly a response to existing problems, is meant more to function as a proactive endeavor that will allow states to turn to an existing structure in planning

Also,

you

don't

e.g., say

enough on how to draw unrepresented nations and other such communities into the dialogue. You need to think more about how to satisfy the self-determination and self-administration aspirations o f non-state actors in general. Finally, you need to think about synergistic efforts that could facilitate the goals and intentions o f the Liechtenstein Initiative.

for unfolding self-administration and self-determination problems. R a t h e r than "spitting out a n s w e r s . " the C o n v e n t i o n

provides a

framework for seeking them.

John Waterbury M y point may not be treated in the Draft Convention itself but is a practical issue that is likely to arise, and therefore deserves con-

Ruth Lapidoth

s i d e r a t i o n — p e r h a p s by the S e c r e t a r y or the

T h i s is a difficult subject which requires a

Foundation proposed in the Draft C o n v e n -

good deal o f chutzpah to tackle. I think it is

tion. I refer to the point that self-administra-

advisable to have a treaty, with the fall-back

tion almost a l w a y s (or, at least, very fre-

position being that, in the absence o f a treaty,

quently) has a territorial aspect. If this is the

a set o f working rules will be available. I be-

case, along with territorial integrity, there is

lieve the Secretary's role as a "third party" in

usually a principle o f free m o v e m e n t o f citi-

self-administration

be

zens that must be considered as well. In

very helpful. Also, I want to point to the case

short, wouldn't a group seeking self-admin-

negotiations

could

o f Greenland as an indication o f the feasibil-

istration tend to restrict free m o v e m e n t in

ity o f self-administration as a practical solu-

and out o f their area? Any practical r e c o m -

tion to the s e l f - g o v e r n a n c e aspirations

mendations to honor both the principle o f

of

certain communities.

self-determination and self-determination is likely to have to consider the question o f free

Richard Falk

movement o f peoples.

There are elements o f the issue o f self-determination having to do more with political

Ruth Lapidoth

language than with substance that may be

T h i s question o f the free m o v e m e n t o f peo-

424

Appendix

3

pies needs to address the intention o f those

ple, self-determination usually refers to peo-

citizens seeking free m o v e m e n t . F o r e x a m -

ples, and yet, a community is a sub-group o f

ple, are they m o v e i n g f o r c i t i z e n s h i p pur-

a people. M o r e o v e r , the Draft C o n v e n t i o n

poses or are they m o v i n g for e m p l o y m e n t

doesn't cover members o f a self-administrat-

purposes?

ing c o m m u n i t y who want to opt out. Nor does it deal with the rights o f m e m b e r s o f

Fred Riggs

the community who live outside the limits o f

Another point worth m e n t i o n i n g is the dif-

the existing territorial delimitation. A l s o , we

ference in the British versus the A m e r i c a n

h a v e n ' t discussed the incentives that would

conceptions o f self-administration. T h e term

m a k e governments sign on to this sort o f

" a d m i n i s t r a t i o n " may need to be better de-

document. Finally, a couple o f points specif-

fined. We need to think about m a n a g e m e n t

ically relating to the text. First, it might be

versus public policy d i f f e r e n c e s . A l s o , with

helpful to spell out the distinction between

regard to the territoriality

the kind o f self-administration referred to in

issue, we may

want to think about whether it is possible to

A r t i c l e 5, and the more

have personal sovereignty without territorial

oriented content o f Article 6. Second, Article

self-governance-

sovereignty. T h e c a s e o f the gypsies drives

7 may be weaker than what is practically-

home this issue o f how to deal with interna-

necessary to reassure s t a t e s — w h y not make

tional minorities. T h e y have no territorial

it mandatory

base, nor are they c o n c e n t r a t e d within one

" v a l u e " o f referenda on self-administration

for states to r e c o g n i z e

the

country. Finally, the precedent set in Estonia

issues? Third, on the role o f the Secretary as

in the interwar years may be worthy o f con-

outlined in Article 15: have you drawn on

sideration by the Secretary. Estonia was of-

the experience o f the High Commissioner for

fered sovereignty without territory.

National M i n o r i t i e s [of the O . S . C . E . ,

for-

merly the C . S . C . E j . e.g., in early warning?

Henry Bienen T h e r e is a long tradition o f debate in the

Jeffrey Herbst

United States on all o f the points raised thus

T h e point o f the Draft Convention is to fore-

far. However, we still have not addressed the

stall c o n f l i c t s that might arise over s e l f - d e -

definitional

termination. T h e document is proactive in

question

of

community.

You

seem to be defining an ethnoreligious group

this sense. However, on the flip side

in ascriptive terms, whereas in the U . S . , this

things, the most problematic piece o f the

sort o f definition has been functional. I think

document is the fact that national c o m m u n i -

that it will be tough to proceed with a discus-

ties are not created through these sorts o f be-

sion o f self-government without getting into

nign procedures. Nations are often created

a discussion about what kinds o f functions

by forced assimilation o f local communities.

are at stake. Different communities have dif-

You may actually therefore institutionalize

of

ferent priorities and c o n c e r n s with regard to

weak national identities by locking in the

the different functional aspects (e.g., taxation,

power o f the peripheries. F e w nations have

education, natural resources) o f self-adminis-

been created where peoples voluntarily gave

tration. Further, organizations and communi-

up their extant identities.

ties are interactive, so that neither communities nor organizations should be understood as static or as linearly related. T h e heart o f the political difficulty lies in the very definition o f community and organizations.

Ian Lustick S e l f - a d m i n i s t r a t i o n could also be catering only to community elites, giving the majority o f the people the "raw e n d " o f the deal.

Stephen Marks

Sir Arthur Watts

I agree that the Draft Convention as it stands

L e t me respond briefly to each o f

contains problems o f definition. F o r e x a m -

points. In terms o f the title, we are somewhat

these

Summary

of International

Conferences on

Self-Determination

c o n s t r a i n e d by t h e U N a g e n d a i t e m u n d e r w h i c h w e are o p e r a t i n g . I a g r e e that t h e r e is a n e e d to l o o k at t h e title a g a i n , h o w e v e r . S e c o n d , as to t h e s t a t e v e r s u s c o m m u n i t y c o n s t i t u e n c i e s of t h e D r a f t C o n v e n t i o n , this is c e r t a i n l y a s a l i e n t d i s t i n c t i o n b u t o u r prim a r y a u d i e n c e m u s t b e t h e states w h o m w e a r e t r y i n g to c o n v i n c e to a c c e p t this sort of d o c u m e n t . T h i r d , r e g a r d i n g n o n - s t a t e actors, t h e r e is a p r o v i s i o n f o r t h e A d v i s o r y C o u n c i l of t h e I n i t i a t i v e to i n c l u d e n o n - s t a t e p a r t i e s in d i s c u s s i o n s . F o u r t h , r e g a r d i n g the territorial b a s i s of c o m m u n i t i e s , w e d o not w i s h to e x c l u d e those c o m m u n i t i e s that straddle state t e r r i t o r i a l b o u n d a r i e s , b u t this sort of c a s e r a i s e s a set of q u e s t i o n s w h i c h m a y be best a d d r e s s e d at a later s t a g e in the p r o c e s s . F i f t h , w e c e r t a i n l y r e c o g n i z e that t h e r e are v a r i o u s uses of the w o r d a d m i n i s t r a t i o n , and we are e x p e c t i n g to a d d r e s s t h e s e v a r i o u s u s e s , p o s s i b l y in a f o o t n o t e . S i x t h , w e are l o o k i n g at nation/state m i n o r i t i e s , as o p p o s e d to international m i n o r i t i e s . I agree that this is a p r o b l e m , but the C o n v e n t i o n simply cannot c o v e r all p o s s i b l e c a s e s . S e v e n t h , o u r aim is to be as f l e x i b l e as p o s s i b l e in t e r m s of the f u n c t i o n s g i v e n to c o m m u n i t i e s , and o u r f o c u s is on o r g a n i z a t i o n a l capabilities. E i g h t h , with r e g a r d to m a k i n g Article 7 m o r e m a n d a t o r y , w e h a v e d e c i d e d that, s i n c e t h e L i e c h t e n s t e i n I n i t i a t i v e is a b o u t a c h i e v i n g s e l f - a d m i n i s t r a t i o n in a w a y w h i c h staves off and m a k e s i r r e l e v a n t t h e goal of i n d e p e n d e n c e , the C o n v e n t i o n s h o u l d not e m p h a s i z e the i n d e p e n d e n c e q u e s t i o n t o o m u c h , a n d that i n c l u d e s the u s e of r e f e r e n d a t o w a r d s this e n d . Finally, I t h a n k P r o f e s s o r M a r k s f o r his s u g g e s t i o n that t h e H i g h C o m m i s s i o n e r f o r N a t i o n a l M i n o r i t i e s s h o u l d be c o n s u l t e d as p a r t of the L i e c h t e n s t e i n I n i t i a t i v e . I b e lieve that the H i g h C o m m i s s i o n e r will be invited to the next C o n f e r e n c e in this series.

[ P r e s e n t a t i o n by R i c h a r d F a l k o n " S e l f - D e termination and International Law"]

Ruth Lapidoth I h a v e the rather p r o v o c a t i v e task of s u m m a r i z i n g F a l k ' s y e t - t o - b e - w r i t t e n paper. A s f a r as I u n d e r s t a n d f r o m h i s r e m a r k s and the

425

p a p e r s u m m a r y , i m p o r t a n t p o i n t s to m e n t i o n i n c l u d e the f a c t that t h e r e are three historical p e r i o d s of t h e i n t e r n a t i o n a l c o m m u n i t y ' s c o n c e p t u a l i z a t i o n of s e l f - d e t e r m i n a t i o n : first, in t h e p o s t - W W I p e r i o d , s e l f - d e t e r m i n a t i o n w a s an idea; s e c o n d , in t h e p o s t - W W I I period, self-determination was a legally binding r i g h t b u t w a s r e s t r i c t e d to c o l o n i e s a n d did n o t a p p l y to c a s e s of s e c e s s i o n ; third, in the p o s t - C o l d W a r p e r i o d , s e l f - d e t e r m i n a t i o n is i n c r e a s i n g l y s e e n to j u s t i f y s t a t e - s h a t t e r ing. A d d i t i o n a l l y , w e n e e d to f o c u s o n t h e i s s u e of c u s t o m a r y i n t e r n a t i o n a l law a n d ind i g e n o u s p o p u l a t i o n s , as w e l l as on t h e fact that e a c h c a s e m u s t be s t u d i e d with r e g a r d to the particular c i r c u m s t a n c e s which obtain. Finally, F a l k r e c o g n i z e s that s e l f - d e t e r m i n a tion is an e x t r e m e l y f l u i d idea and reality. I a l s o w a n t to e m p h a s i z e that the literature r e f l e c t s a w i d e r a n g e of o p i n i o n s o n the q u e s t i o n of s e l f - d e t e r m i n a t i o n , and I t h i n k that e a c h of t h e s e o p i n i o n s m u s t be c o n s i d e r e d with r e g a r d to F a l k ' s v i e w s . F o r e x a m p l e , s o m e l a w y e r s see s e l f - d e t e r m i n a t i o n as so v a g u e that it is a c o n c e p t that can n e v e r be legally b i n d i n g . O t h e r s a r g u e that s e l f - d e t e r m i n a t i o n is not o n l y a b i n d i n g p r i n c i p l e but that n o o t h e r rule of i n t e r n a t i o n a l law s h o u l d be a l l o w e d to c o n t r a d i c t the principle. O t h e r s f o c u s on the distinctions between external and internal self-determination, although F a l k c o r r e c t l y o b s e r v e s that b o t h t y p e s of s e l f - d e t e r m i n a t i o n exist today. Finally, o t h e r s m a i n t a i n that s e l f - d e t e r m i n a t i o n is so c r u c i a l a right that a g r o u p m a y e v e n be j u s t i f i e d in u s i n g f o r c e to e n s u r e its a p p l i c a t i o n and preservation. T h e p r o b l e m I see w i t h F a l k ' s i n t e r p r e t a t i o n is that h e s e e s t h e i n t e r n a t i o n a l c o m m u n i t y ' s r e s p o n s e to the p r e s e n t p r o l i f e r a t i o n of s t a t e - s h a t t e r i n g f o r m s of s e l f - d e t e r m i n a tion as c u s t o m a r y r u l e f o r m a t i o n . Yet m o s t states r e s e n t this d e v e l o p m e n t .

Richard Falk T h e r e is n o q u e s t i o n that the m i x of m o r a l , legal, and political e l e m e n t s e m b e d d e d in the current historical c i r c u m s t a n c e will m a k e the q u e s t i o n of s e l f - d e t e r m i n a t i o n a v a r y i n g l y and variably understood concept. W h a t I

Appendix

426

3

h a v e s o u g h t is to r e c o n c i l e e v o l v i n g d o c t r i n e

Hurst Hannum

on self-determination with the shifting pat-

The distinction between who does and who

t e r n s of p r a c t i c e r e g a r d i n g s e l f - d e t e r m i n a t i o n .

d o e s n o t h a v e a r i g h t to s e l f - d e t e r m i n a t i o n is

I t a k e a less p o s i t i v i s t v i e w t h a n s o m e o t h e r s

a t e r r i t o r i a l o n e : d e c o l o n i z a t i o n , to b e legiti-

of h o w c u s t o m a r y l a w is f o r m e d . F o r e x a m -

mate, must

p l e , Y u g o s l a v i a a n d R u s s i a a r e p r e c e d e n t s in

r u l e of a t e r r i t o r i a l l y n o n - c o n t i g u o u s p o w e r .

that t h e y a r e realities, w h i c h r e g a r d l e s s of e x -

Domination

t a n t p r o n o u n c e m e n t s on s e l f - d e t e r m i n a t i o n ,

s e e n as q u a l i t a t i v e l y d i f f e r e n t — a s a m o r e

c o n t r i b u t e to c u s t o m a r y i n t e r n a t i o n a l n o r m s .

traditional

T h e p o s t - 1 9 8 9 e x p e r i e n c e s of s t a t e s h a t t e r i n g

colonization.

imply by form

independence from neighboring of

conquest

powers rather

the is than

h a v e a l t e r e d w h a t is p l a u s i b l e a s m e a n s f o r g e t t i n g to s e l f - d e t e r m i n a t i o n ; t h e s e c h a n g i n g

Daniel Elazar

v i e w s and realities have been r e i n f o r c e d by

W e s h o u l d n ' t f a l l i n t o t h e t r a p of c l a i m i n g

developments

human

t h a t m i g h t m a k e s r i g h t . T h i s is a h i g h l y u n -

rights, particularly with regard to the success

s a t i s f a c t o r y f o r m u l a t i o n that p u s h e s us into

of i n d i g e n o u s p e o p l e s in g e t t i n g g o v e r n m e n t s

merely c o m i n g up with rationalizations for

to r e c o g n i z e t h e i r r i g h t s of s e l f - d e t e r m i n a -

p o w e r a r r a n g e m e n t s . Tibet c o u l d easily be

tion. Their success m a y well be linked

s e e n as t e r r i t o r i a l l y d i s t i n c t , f o r e x a m p l e , but

in t h e b r o a d a r e a of

to

state n e r v o u s n e s s a b o u t t h e n e w " s t a t e s h a t tering

option"

in

international

that h a s n o t h e l p e d its c a s e .

relations.

W h i l e w e m a y e m p h a s i z e that s e l f - d e t e r m i -

Hurst Hannum

n a t i o n is n o t e q u a l to i n d e p e n d e n c e , w e m u s t

The distinction between decolonization and

also r e c o g n i z e that the a f o r e m e n t i o n e d ex-

secession

p e r i e n c e s c a n not b u t b e u n d e r s t o o d as p o i n t -

m a k e s right." T h e m i s t a k e that the U N m a d e

i n g t o a m o r e f l u i d u n d e r s t a n d i n g of s e l f -

w a s to s p e a k in t h e l a n g u a g e of s e l f - d e t e r m i -

determination. of

my

a c a s e of

"might

nation w h e n their real intention w a s simply

H a v i n g said all of t h e a b o v e , the m a i n point

is n o t s i m p l y

paper

was

straightforward:

I

w a n t e d to try to e x p l o r e h o w w e m i g h t f i n d

to d i s m e m b e r t h e E u r o p e a n c o l o n i a l e m p i r e s .

Gidon Gottlieb

u s e f u l l a n g u a g e f o r r e c o n c i l i n g the s y m b o l i c

I h a v e g r e a t d o u b t s that it s e r v e s a n y p u r p o s e

and the functional aspects of self-determination.

to drive the a r g u m e n t on s e l f - d e t e r m i n a t i o n a c c o r d i n g to j u r i d i c a l f o r m u l a t i o n s . T h e r e is

Gidon Gottlieb

n o opirtis

It is i m p o r t a n t t o p o i n t o u t t h a t t h e d i s t i n c -

t i o n of t h e d e f i n i t i o n of t h e c o n c e p t of p e o -

tion b e t w e e n d e c o l o n i z a t i o n versus

seces-

p l e is i n s t r u c t i v e . S t a t e s w i l l c o n t i n u e to re-

s i o n a s m e a n s t o s t a t e f o r m a t i o n is a s p u r i -

strict a n y s u c h d e f i n i t i o n s . I a g r e e w i t h w h a t

ous o n e with regard to s e l f - d e t e r m i n a t i o n .

y o u a r e d o i n g — I t h i n k w e n e e d to f o c u s less

T h e c h a l l e n g e is h o w t o i n t e g r a t e t h e s e t o

on juridical and conceptual definitions, and

theoretical c o n c e p t s and practical realities.

iuris

on this. T h e s y s t e m a t i c r e j e c -

i n s t e a d , to c o n c e n t r a t e o n b u i l d i n g t h e instit u t i o n a l m e c h a n i s m s f o r b r i n g i n g a b o u t a solution.

Hurst Hannum In m y v i e w , t h e r e is a c l e a r d i s t i n c t i o n b e tween decolonization and secession.

John Waterbury I t h i n k t h a t t h e U N h a s m a d e a m i s t a k e in

Ian Lustick

not d e f i n i n g clearly the term people.

T h e point about this d i s t i n c t i o n — t h a t coloniization

is O K

whereas

secession

exis

Georgiy Mirsky

n o t — b e g s t h e i s s u e of w h e t h e r p e o p l e s " c o l -

Is t h e n o n c o n t i g u i t y p r i n c i p l e r e a l l y v a l i d ? Is

onized"

that t h e s o l e d e f i n i n g c o n c e p t o f c o l o n i a l e m -

or

dominated

by

non-Europeans

have no right to self-determination.

p i r e s a n d , t h u s , of t h e r i g h t t o s e l f - d e t e r m i -

Summary

of International

Conferences

on

Self-Determination

427

nation? What does that m a k e the Soviet Union?

tion of the Convention in practice.

Gidon Gottlieb

I want to raise five questions and to consider their relevance f o r the Draft Convention. First, what is a colony? This is not relevant since the post-1970 discussions have focused as much on foreign and domestic as on colonial domination. Second, what is a "people"? Third, what are the rights to self-determination of minorities within minorities (e.g. the case of the Majot in the Comorres Islands)? Fourth, what is the relevance of international law to this discussion? We should neither under- nor overestimate the power of law. Finally, how do we cope with open definitions? We still are not clear on what we mean by a people. And there are other open definitional and practical questions as well. We haven't reached a consensus on whether or not a minority has the right to self-determination, nor have we settled what is the critical time frame that allows a person residing in a nation-state and in a community to participate in voting. Third, what is the relevance of the law in our discussion? Law in general is only one of the tools of politics or diplomacy, and we should not over-emphasize its importance at the expense of other such tools.

Ruth Lapidoth The U N realized it c o u l d n ' t reach a d e f i n i tion that would be viable, so they decided to focus on the practical issues at hand and look at individual human rights. By the way, it is significant that the question of self-determination has re-emerged in the three f o r m e r multinational empires of Europe—the Czarist, the Ottoman and the Austro-Hungarian.

Fred Riggs I agree with Daniel Elazar on power politics underlying the noncontiguity principle. T h e UN General A s s e m b l y ' s sympathy for indigenous peoples has been due to a generalized hostility toward the European and American Empires, a factor that hasn't played out in the Soviet case. What the issue comes d o w n to is p o w e r politics. Also, 1 think it's worth mentioning that we should not rectify c o m m u n i t i e s and peoples. There are many internal splits within groups that we may d e f i n e as a people or a community, and the links between such splits and self-determination also relate to the question of power politics. For example, we may want to think about whether the majority of Slovaks wanted to split f r o m the Czechs, or whether the o u t c o m e was more the o u t c o m e of elite power politics.

Henry Bienen The point of this Draft C o n v e n t i o n , as with any other, is to restructure p e o p l e ' s behaviors. Will this work?

Daniel Elazar The point of the Draft C o n v e n t i o n is not to determine who is qualified for self-determination and self-administration, but to get the UN to recognize that the Draft Convention offers another option available for problems over s e l f - d e t e r m i n a t i o n . T h e utility of the Draft C o n v e n t i o n and the gradual f o r m u l a tion of some sort of criteria for self-determination will c o m e through the actual applica-

H.S.H. Prince Hans Adam We are well aware of the complex problem of minorities inside of minorities, which is the reason why we chose to use the term community rather than "people." Community seemed to us like the least c o m m o n denominator term to deal with the multiple and at times overlapping terms of people and minority. My recommendation is going down to the lowest unit of a group aspiring to selfgovernance of some sort, and then defining a f o r m of self-adminstration that corresponds the most with the " f u n c t i o n s " this group can ably perform. Hopefully, this type of formula for self-administration will be able to restrain the independence drives of minorities too. [The discussion m o v e s on to consider Henry Bienen's paper on the case of the former Soviet Union]

428

Appendix

Georgiy Mirsky

3

empires.

I want to point out that many would dispute

It is worth c o n s i d e r i n g , by the way, the

that the Soviet Union was a traditional em-

c a s e o f Tatarstan, since this presents an in-

pire, but for those who lived within

teresting learning e x p e r i e n c e or model on

that

structure, there was no question that the S o -

which

viet Union was a traditional empire. T h e key

draw. A quick summary o f the Tatarstan case

the

Liechtenstein learned

and

now acquired e n o r m o u s s i g n i f i c a n c e in the

Tatarstan,

aftermath o f the S o v i e t U n i o n ' s dissolution.

miles east o f M o s c o w and has a population

T h e reason for this is that all

o f a few million, was an integral part o f the

which

lies

goes

as

might

point, however, is that ethnic problems have

alternative

lessons

Initiative

follows.

approximately

formation

500

bases for identity have virtually disappeared,

Russian political

so the only firm bases for identity are either

teenth century. Under the S o v i e t s , Tatarstan

since the fif-

ethnicity or religion. What is left after the

was a key part o f the c o u n t r y ' s military-in-

c o l l a p s e o f the Union is ugly and fraught

dustrial c o m p l e x and it p o s s e s s e s important

with insecurity o f income and, for many, per-

oil resources. W h e n the R u s s i a n Federation

sonal insecurity. Regarding religion, this is too

declared its sovereignty in 1 9 9 0 , Tatarstan

superficial a basis for identity because religion

saw the writing on the wall and declared its

as a spiritual phenomenon was crushed under

own sovereignty in August o f the same year.

the Soviets. What remains, therefore, is eth-

No reaction came from M o s c o w at first, but

nicity as a sanctuary o f belonging. However,

then negotiations were started in order to de-

we also need to think o f ethnicity in terms o f

termine the s p e c i f i c i t i e s o f Tatarstan's rela-

the "doll within a d o l l " syndrome. In other

tionship with Moscow. In 1992. an e c o n o m i c

words, there is the endless potential for in-

agreement was signed between Tatarstan and

creasingly smaller subgroups to demand self-

M o s c o w , and in February o f 1 9 9 4 . a more

determination,

so

that

self-determination

c o m e s to mean a kind o f endless fragmentation, and the driving force for this fragmentation has c o m e to be, unfortunately, violence. T h i s being said, it should still be noted

general

agreement

was

signed

granting

Tatarstan wide self-governing powers. What

is important to note about

the

agreements and about Tatarstan's approach to self-government is that it n e v e r declared

that the resurgence o f nationalism in the for-

independence, but only s o v e r e i g n t y and the

mer Soviet Union is not as dramatic as most

right to be considered as a subject o f interna-

political scholars feared only a couple

of

tional law. T h e s e were the two issues that

years ago. The time o f nationalist euphoria is

were voted on in Tatarstan's referendum o f 1 9 9 0 . Not that many o f the leaders nor the

past—it cannot live in Russia. Finally, I b e l i e v e very strongly that the

voters clearly understood what these two

existing ethnic conflicts in the e x - U S S R can

c o n c e p t s meant; what mattered was

only be solved with Russian assistance.

s y m b o l i s m . What the Tatar leadership has

their

been clear about, however, is that they do not

Hurst Hannum

want to make Tatarstan an ethnic state, since

Regarding B i e n e n ' s paper, I want to discuss

there are many ethnic R u s s i a n s residing in

the importance o f ethnic identification. B i -

Tatarstan who would o b j e c t to such a ten-

enen o v e r e m p h a s i z e s the fluidity o f ethnic-

dency. T h e Constitution o f 1 9 9 2 r e c o g n i z e s

ity, even though I agree with B i e n e n that eth-

all the constituent nations o f Tatarstan, des-

nicity is not immutable. W h a t changes more

ignates both Russian and Tatar as o f f i c i a l

easily than ethnicity itself is the way in

languages o f the country, and d e c l a r e s the

which ethnicity is used f o r political

supremacy o f Tatar law over R u s s i a n

pur-

poses. Parenthetically, I also disagree with

law

where the two conflict. Significantly, it does

his point that the U S S R was the last great

not negate the validity o f Russian law alto-

multinational empire, since India, China, and

gether. The focus o f subsequent negotiations

Nigeria represent e x a m p l e s o f multinational

between

the

Russian

Federation

and

Summary

of International

Conferences on

Self-Determination

T a t a r s t a n h a s b e e n h o w to s h a r e p o w e r s a n d administration. T h e q u e s t i o n to c o n s i d e r is w h e t h e r or n o t T a t a r s t a n is an e x a m p l e of s e l f - d e t e r m i n a t i o n . T h e a n s w e r is u n c e r t a i n . W h a t is certain is that this c a s e s h o w s the e x t r a o r d i n a r y w i l l i n g n e s s of states to put off big and d i f f i cult c h a n g e s in s o v e r e i g n t y status until political u n c e r t a i n t i e s are c l e a r e d up. O n e m u s t a l s o c o n s i d e r w h y the Tatar c a s e has not deg e n e r a t e d into v i o l e n t m o v e s t o w a r d i n d e p e n d e n c e . T h r e e f a c t o r s are i m p o r t a n t : the c e n t e r - p e r i p h e r y r e l a t i o n s h i p , the i n t e r m a r r i a g e rate in T a t a r s t a n b e t w e e n T a t a r s a n d e t h n i c R u s s i a n s , and h i s t o r y . S o m e of t h e s e f a c t o r s m a y be r e l e v a n t to g e n e r a l i z a t i o n s about s e l f - d e t e r m i n a t i o n and to the m a c h i n e r y that we can d e v e l o p to facilitate p e a c e f u l realization of s e l f - d e t e r m i n a t i o n and to p r e v e n t violent e t h n i c c o n f l i c t . A f i n a l i m p o r t a n t l e s s o n to take a w a y f r o m Tatarstan is the i m p o r t a n t role of N G O s in f a c i l i t a t i n g d i f f i c u l t n e g o t i a t i o n s o v e r selfd e t e r m i n a t i o n . I n t e r n a t i o n a l Alert, m o s t n o tably, p l a y e d a key role in T a t a r s t a n in p r o m o t i n g c o n f l i c t r e s o l u t i o n and c o n c i l i a t o r y communication. Also nongovernmental l a w y e r s ' g r o u p s h e l p e d p r o d u c e key parts of the agreements between Russia and T a t a r s t a n , e x c e l l i n g in d e l i b e r a t e v a g u e n e s s w h e r e c l a r i t y c o u l d not h a v e b e e n a c h i e v e d e x c e p t at the c o s t s of c o n f l i c t and a p o s s i b l e stalling of t h e n e g o t i a t i o n p r o c e s s .

Henry Bienen D i f f e r e n t w a y s of m a k i n g m e a n i n g are ref l e c t e d in t h e c o m p l e x i t i e s of the t e r m i n o l o g y that c o m m u n i t i e s u s e to d e f i n e t h e m selves. Moreover, the various terminologies d e m o n s t r a t e t h e f l u i d i t y of identity in g e n eral. I a m c o n v i n c e d that, despite the persist e n c e of s o m e e t h n i c g r o u p i d e n t i t i e s o v e r time, ethnic identities are primarily politically c o n s t r u c t e d . R e g a r d i n g this p o i n t , it is critical to c o n s i d e r t h e i m p o r t a n c e of l e a d e r s h i p in c o n s t r u c t i n g i d e n t i t i e s w h i c h a r e eit h e r f l e x i b l e o r i n f l e x i b l e . In the C h e c h n y a c o n f l i c t , n e i t h e r t h e l e a d e r s h i p in M o s c o w n o r that in C h e c h n y a h a s b e e n w i l l i n g to f r a m e i d e n t i t y i s s u e s in f l e x i b l e t e r m s that

429

m i g h t f a c i l i t a t e a r e s o l u t i o n of t h e c o n f l i c t . T h e r e is a s i m i l a r i t y h e r e w i t h the Y u g o s l a v case. A n o t h e r p o i n t w o r t h r a i s i n g is the f a c t that, w h i l e s o m e c o m m u n i t i e s clearly w o u l d d o b e t t e r o u t s i d e t h e c o n f i n e s of a f a i l i n g state, the p r o b l e m is h o w to get out of t h e s e states. I a g r e e w i t h H a n n u m that t h e T a t a r s t a n c a s e o f f e r s an i n t e r e s t i n g l e a r n i n g c a s e f o r the L i e c h t e n s t e i n I n i t i a t i v e a n d , in f a c t , ref l e c t s w h a t the p r o j e c t l e a d e r s h i p h a d in m i n d f r o m the o u t s e t in d r a f t i n g the c o n v e n tion: flexibility, and e v e n v a g u e n e s s at times, in o r d e r to l e a v e s p a c e f o r d e a l i n g w i t h sticky issues w h e n the time b e c o m e s more appropriate. In t e r m s of h u m a n rights and d e m o c r a c y , I think it is p o s s i b l e to g u a r a n t e e c o m m u n a l rights through participatory democratic feat u r e s r a t h e r t h a n t h r o u g h t r y i n g to b u i l d c o m m u n a l r i g h t s into the p o l i t i c a l s y s t e m . H o w e v e r , the states on w h i c h w e ' v e been f o c u s i n g are u n l i k e l y to b e c o m e t h r i v i n g p a r t i c i p a t o r y d e m o c r a c i e s in the n e a r f u t u r e , so w e n e e d to think a b o u t h o w s e l f - a d m i n i s t r a tion of c o m m u n i t i e s c a n p r o t e c t the n a s c e n t d e m o c r a t i c r i g h t s of the c o m m u n i t i e s qua communities.

Georgiy Mirsky P a r t of t h e r e a s o n w h y t h e T a t a r s t a n c a s e t u r n e d out s u c c e s s f u l l y is that t h e r e are n o m a j o r c i v i l i z a t i o n a l d i f f e r e n c e s b e t w e e n the t w o and that n o n e of t h e m h a v e any i n f e r i o r ity or s u p e r i o r i t y " c o m p l e x e s " v i s - a - v i s the o t h e r . T h e p r u d e n c e of t h e T a t a r l e a d e r s h i p in a v o i d i n g a n y talk of i n d e p e n d e n c e h a s b e e n i m p o r t a n t as w e l l . F u r t h e r m o r e , t h e r e a r e t w o c r u c i a l s p h e r e s in w h i c h R u s s i a n Tatarstan interdependence has helped cultiv a t e g o o d r e l a t i o n s , a n d t h e y are t h e e c o n o m y and the environment. Cooperative r e l a t i o n s in t h e s e t w o a r e a s h a v e m a d e a big d i f f e r e n c e in t h e t e n o r of t h e o v e r a l l r e l a tionship. H o w e v e r , the area where the Tatarstan leadership has d e m o n s t r a t e d the least f l e x i b i l i t y is in i n t e r n a l m a t t e r s — s p e c i f i c a l l y , in t e r m s of i n t e l l i g e n c e a n d sec u r i t y . I n d e e d , t h e r e h a s b e e n an i n c r e a s i n g

430

Appendix

3

Tatarization o f the intelligence and security

c o m m u n i t y identities, then the validity o f

f o r c e s , and this trend is dangerous. W h e n -

state contraction b e c o m e s highly question-

ever an ethnic Russian is replaced by an eth-

able. It is by no means obvious that people on

nic Tatar, people begin to say that the ulti-

the periphery fighting against the center are

mate objective o f the Tatarstan leadership is

always moral heroes. It is only when the sub-

full independence.

j u g a t i o n o f community rights and identity and the abuse of human rights occur that state

[A discussion o f Ian L u s t i c k ' s paper

fol-

contraction is rendered most meaningful as

lowed next.)

an option. The question for moral philosophy

Fred Riggs

cisionmaking? Has there ever been a case for

is what is the role o f morality in political deM y c o m m e n t s on the Ian L u s t i c k paper can

state contraction on the basis o f claims for

be summed up in the point that issues o f

self-determination that we would consider il-

democracy are absolutely central to the ques-

legitimate? On the other hand, the legitimacy

tion o f self-determination. In terms o f the

o f self-determination is rarely an all-or-noth-

center-periphery relationship raised by the

ing issue. My point is that the crucial moral

Lustick paper, I think that decolonization is

feature on which the legitimacy o f claims for

correctly understood as the earliest form o f

self-determination should depend is that o f

state contraction. We must also make a dis-

the oppression, estrangement, or subjugation

tinction between traditional and modern em-

o f peoples.

pires. T h e Austro-Hungarian, O t t o m a n , and Czarist

Empires

were

traditional

because

With regard to L u s t i c k ' s paper, I am certainly willing to consider that candidates for

they were created by monarchs, whereas the

self-determination

British and American E m p i r e s were modern

along the kind o f continuum proposed by

because they were created for e c o n o m i c rea-

Lustick. However, why don't we consider an

sons; when no longer e c o n o m i c a l l y viable,

analogous continuum o f options designed to

decolonization was a relatively easy process

stave o f f state contraction while also privi-

occurring from the top down. T h e other form

leging self-determination?

may

locate

themselves

o f state contraction, secession, is one that is never put on the agenda o f extant states. Per-

Ian Lustick

haps it might be useful to develop a concept

W a l z e r ' s alternative continuum is interest-

that captures those c a s e s that lie somewhere

ing, but it is p r o b l e m a t i c insofar as the dis-

in between either d e c o l o n i z a t i o n or s e c e s -

aggregation o f patterns o f state contraction

sion; I refer here to retrenchment. E x a m p l e s

may

of

Lustick's

whereas, in my understanding, we are trying

paper, are Israel, F r a n c e , and England. F i -

to focus less on theory and more on practice.

retrenchment,

according

to

result

in an e x p a n s i o n

of

theory—

nally, another key point that e m e r g e s from

M y paper has focused primarily on the cen-

L u s t i c k ' s work is that migration

ter, or on the problems likely to be faced by

(whether

through forcible relocation or through volun-

the r e g i m e . One o f the interesting

tary resettlement) is a key factor in the self-

about why deals have now been o f f e r e d to

determination process.

M u s l i m s in Algeria, C a t h o l i c s in Northern

Michael Walzer

this p r o b l e m o f the c e n t e r r e g i m e . S e t t l e r s

points

Ireland, and Palestinians in Israel relates to I want to focus more on the normative as-

from the c e n t e r to the periphery drove the

pects o f the relationship between self-deter-

problem over the m a n a g e m e n t threshold for

mination and state contraction. It is important

the regime.

to recognize that the idea o f contraction is not

B y the way, I agree with F a l k that we

simply symmetrical with self-determination.

should c o n c e i v e o f different f o r m s o f self-

M y point is that, if the state can be democra-

dertermination along a spectrum, or, a c o n -

tic in a way that allows for the expression o f

tinuum from state shattering to state c o n -

Summary

of International

Conferences

on

Self-Determination

tracting. However, I disagree on the point about negotiation versus coercion. In other words, I d o n ' t think we should f r a m e the continuum by equating contraction and shattering with negotiation and coercion, respectively. T h e d i f f e r e n c e s between contraction and shattering with regard to the role of negotiation versus coercion depend, in my view, on what is being changed. What is always being changed, I think, is the center, so that even a negotiated change means a form of shattering for the center, and this shattering could culminate in complete collapse. On the Draft Convention, I still think it should widen the concept of self-determination to admit nonterritorial options, since so many minorities are either intermingled or dispersed. Finally, on the question of morality of different self-determination processes raised by Michael Walzer, I consider it to be in the eyes of the beholder. Personally, I prefer a more descriptive approach to the whole issue.

431

colonialism obstructs the f r e e allocation of capital and thus limits p r o d u c t i v e investment; in short, it wastes capital. There may also be a strong " H o b s b a w m i a n " a r g u m e n t f o r voluntary state contraction: e n g a g i n g in acts of repression abroad tends to f o s t e r bur e a u c r a t i z a t i o n and a " h a r d e n i n g " of the state at h o m e — d e v e l o p m e n t s that are scarcely d e s i r a b l e . As far as morality and culture go, there may be arguments on these f r o n t s as well f o r why states should be interested in shedding certain territories, i.e., those with c o m p r o m i s e d h u m a n rights records or u n d e s i r a b l e populistic rhetoric. Finally, there may be r a c i a l / e t h n o c u l t u r a l reasons why state contraction is desirable to the center. A c o n t e m p o r a r y e x a m p l e of this form of reasoning at work in the Israeli ambition to shed certain A r a b lands. In short, the interests and rhetoric of the center could be a very good ally of c o m m u n i t i e s seeking s e l f - d e t e r m i n a t i o n , if only the center could be brought to see the gains from allowing at least s e l f - a d m i n i s t r a t i o n and possibly even self-determination.

Michael Walzer The real task is to generate a theoretical apparatus that can be used by all contending parties without morally prejudicing the discourse on either side. We need to capture the lumpiness of institutional change.

Hurst Hannum What's wrong with expulsion and/or contraction if it leads to ethnic homogeneity? This is a question with p o w e r f u l intuitive appeal, and we have yet to address it.

Michael Doyle

Gidon Gottlieb

We need to ask ourselves whether there is a logic within the center which would see any virtue or interest—either political or moral, or b o t h — i n d e v o l u t i o n of p o w e r s , or contraction. Can we c o m e up with p e r s u a s i v e a r g u m e n t s to this e f f e c t ? T h e r e could be strategic r e a s o n s why d e v o l u t i o n is desirable, e.g., the " d r o p p i n g " of strategically inconvenient (or i n d e f e n s i b l e ) territories. We may want to refer to the classic example of the R o m a n elites to write off Britain, in this respect, based on the logic that preservation of the center required hiving off the periphery. T h e r e m a y also be e c o n o m i c and cultural a r g u m e n t s w h y certain states might want to c o n s i d e r c o n t r a c t i o n . T h e " A d a m S m i t h i a n " a r g u m e n t to this e f f e c t is that

We also need to recognize that contraction implies breaking f r o m something. We must include in the list of things that groups are contracting from, domestic ideology.

Ian Lustick The European Union is an empirical experiment with regard to contraction. T h e E U is basically an experiment in whether the state can be hived off (with the dissolution of borders) while also maintaining a metaphysical core in each member-state.

Jeffrey Herbst Indeed, a lot of states are contracting today despite the fact that their borders remain fixed. This process of discrete contraction

432

Appendix 3

many

is the result o f the c o n s t r u c t i v e work o f the

c a s e s by virtue o f central s t a t e s ' d e c i s i o n s

through resignation

is occurring in

private sector in trying to build a world

not to do much in the periphery in e c o n o m i c

e c o n o m y without borders, whereas the latter

or political terms. T h i s is a far more c o m m o n

is the result o f national chauvinists intent on

phenomenon

grabbing as much e c o n o m i c power as possi-

than

voluntary

contraction.

Zaire is an interesting case in point.

ble

against

that

of

competing

national

economies. T h e authors point to the fact that,

David Riggs

paradoxically, the globalization o f the econ-

What Herbst is referring to is functional con-

omy is leading to the erosion o f the state.

traction, where there is no change in the ter-

This erosion is okay if it leads to the forma-

ritorial delimitation o f the state. However,

tion o f a global civil society, but the alterna-

the flip side o f this process is the reconstitu-

tive is degeneration into increasing use o f

tion o f the state. L e b a n o n is an interesting

military force. T h e paper also wrestles with

case o f the reconstitution o f the state, or the

the problem o f d e m o c r a c y and nationalism,

expansion as it were, through redrafting the

and concludes that the right o f self-determi-

constitution and thereby reformulating the

nation should be limited to its internal mean-

functional responsibilities and boundary o f

ing; their logic is that, by addressing ques-

the state.

tions o f d e m o c r a c y and human rights, the problematic o f self-determination is solved and rendered irrelevant.

Daniel Elazar T h e r e s e e m s to be an assumption in all our discussions that sovereignty rests with the

Gidon Gottlieb

state. W h a t about the sovereignty

resting

T h e Cardenas-Canas paper reflects the fact

with the people? Could one replace the dis-

that the authors are horrified by the real

cussion on state contraction with a new dis-

prospect o f fragmentation that comes with

course on arrangements and distribution o f

claims

power and functions within a given territory?

" m o n s t e r " o f hundreds o f millions o f people

to

self-determination.

They

see

a

seeking self-determination in the near future [At this point, the Charmain intervened and

if nothing is done to stop them. Cardenas' and

pushed the discussion into its final session:

C a n a s ' response is traditionally statist, calling

comments on the Cardenas-Canas paper.]

for a restricted notion o f self-determination.

Stephen Marks

traditional solutions—and potentially new re-

However, they are recognizing that there are T h e C a r d e n a s - C a n a s paper has two parts.:

s p o n s e s — o f how to channel political

one that deals with the limits o f self-determi-

mands

nation in the present world order, and one

avoid conflict and violence. Their argument is

that deals more s p e c i f i c a l l y with the Draft

the classic statist stance, but they don't do a

Convention.

good

My

first c o m m e n t

on the

Cardenas-

through

institutional

enough j o b

channels

in explaining

why

dethat

the

Liechtenstein Initiative automatically might

Canas paper is that the authors have basi-

raise

cally announced the twilight o f the principle

which would thereby produce fragmentation

expectations

for

self-determination

o f self-determination. T h e l e i t m o t i f o f the

and state disintegration. T h e problem with the

paper is that the territorial sovereignty o f the

logic o f their argumentation is their strict in-

nation-state must be protected and should

terpretation o f territoriality, in a way that links

not

community to territorial self-determination.

be

sacrificed

for

self-determination.

T h e y focus on the indeterminacy o f both the norm and the moral dimensions o f the problem o f s e l f - d e t e r m i n a t i o n . T h e y also draw out the simultaneous yet conflicting trends o f globalization and fragmentation. T h e former

T h e C a r d e n a s - C a n a s paper, in order to substantiate its statist c l a i m s against the validity o f the Liechtenstein Draft Convention, must also consider the possibility that we may be able to deconstruct boundaries in a

Summary of International Conferences on

Self-Determination

433

w a y that a l l o w s us to h a v e d i f f e r e n t b o u n d aries f o r d i f f e r e n t p u r p o s e s . T h i s o p t i o n w o u l d p r o v i d e for a m u c h m o r e flexible conc e p t i o n of territoriality, such that b r e a k i n g u p s p a c e s a n d c r e a t i n g f l u i d i t y m i g h t reassure states and c o m m u n i t i e s in w a y s that ult i m a t e l y p r e s e r v e the state and s i m u l t a n e ously satisfy d e m a n d s for self-determination.

pects of s e l f - d e t e r m i n a t i o n and s e l f - a d m i n i s tration. A m b i g u i t y ' s r e l e v a n c e to s e l f - d e t e r m i n a t i o n m a y stem f r o m the b a s i c f a c t that t h e r e is a great variation in the c o n t e x t s of d e m a n d s f o r s e l f - d e t e r m i n a t i o n as well as in the aspirations of the parties involved.

I also want to raise the point that the ins t r u m e n t s of identity are n u m e r o u s . Distinctions b e t w e e n nationality and citizenship are instructive in this regard. M o r e o v e r , the diff e r e n c e s in i n s t r u m e n t s of identity, w h e r e g o v e r n m e n t s h a v e been q u i t e brilliant in c r a f t i n g different types of citizenship and nationality, are directly related to q u e s t i o n s of status that u n d e r l i e the s e l f - d e t e r m i n a t i o n issue. T h e status aspects of identity and selfd e t e r m i n a t i o n are r e f l e c t e d in the E U ' s attempts to transcend the territoriality issue by f o c u s i n g on the status question.

I return to m y o p e n i n g p o i n t , w h i c h is that the only t h i n g w e s e e m to a g r e e on is that s e l f - d e t e r m i n a t i o n is u n a m b i g u o u s l y u s e f u l in c a s e s of s e v e r e r e p r e s s i o n . I d o n ' t think that w e s h o u l d a b o l i s h s e l f - d e t e r m i n a t i o n , but t o d a y ' s d i s c u s s i o n has left m e t h i n k i n g that is unclear h o w u s e f u l s e l f - d e t e r m i n a t i o n m a y be as a m e a n s f o r p r o m o t i n g c o n s t r u c tive and n o n - v i o l e n t i n t e r c o m m u n a l relations. Additionally, a f t e r t o d a y ' s d i s c u s s i o n , w e are still u n c l e a r about h o w to d e f i n e a c o m m u n i t y . Finally, if we are m e a n t to s p e a k i n g about s e l f - d e t e r m i n a t i o n as s o m e t h i n g w h i c h is u n i v e r s a l , then I think we w o u l d d o well not to place too m u c h e m p h a sis on the E u r o p e a n e x p e r i e n c e . We m a y want to c o n s i d e r in m o r e detail, for e x a m p l e , the Indian case. This o f f e r s an interesting exa m p l e of v a r y i n g roles for multiple c o m m u nities w i t h i n a large u m b r e l l a political framework.

Richard Falk 1 think it is worth n o t i n g that one of the unexpected yet recurrent t h e m e s in t o d a y ' s discussion has been the r e l e v a n c e of ambiguity, w h i c h is not usually c o n s i d e r e d a virtue. H o w e v e r , we are f i n d i n g that ambiguity can be an important virtue in the attempt to deal with both the theoretical and practical as-

Sir John Thomson

Second International Conference on Self-Determination and Self-Administration Oranized by the Liechtenstein Research Program on Self-Determination, Woodrow Wilson School, Princeton University, June 9,10,1995 Prince Hans Adam II I w o u l d like to give you a sense of our c o m m i t m e n t to this p r o j e c t . We think that selfd e t e r m i n a t i o n is a m a j o r issue w h i c h , if unaddressed in terms of contemporary i n t e r n a t i o n a l political d e v e l o p m e n t s , could lead to state s h a t t e r i n g or to civil war. T h e m a j o r i t y of parties i n v o l v e d f r o m the outset in this p r o j e c t , indeed, v i e w s e l f - d e t e r m i n a tion as a f u n d a m e n t a l h u m a n right which, if ignored, could become a time bomb. Our t h i n k i n g has b e e n that this t i m e b o m b m u s t be d e f u s e d , so that the right to self-determination is m a n a g e d f o r all in a p e a c e f u l m a n ner. T h i s w a s a l s o the m a i n c o n s e n s u s to

e m e r g e f r o m the p r e v i o u s s e m i n a r ( M a r c h 1 7 - 1 8 , 1995) held here at Princeton. In fact, w e are e s p e c i a l l y p l e a s e d that P r i n c e t o n is h o s t i n g this p r o j e c t , given the s y m b o l i c and p r a c t i c a l s u p p o r t f o r issues of s e l f - d e t e r m i n a t i o n f r o m the u n i v e r s i t y ' s past p r e s i d e n t , Woodrow Wilson.

Wolfgang Danspeckgruber B u i l d i n g on the p r e v i o u s s e m i n a r on selfd e t e r m i n a t i o n , this c u r r e n t s e m i n a r will f o c u s m o r e on r e g i o n a l issues of s e l f - d e t e r m i n a t i o n . B o t h s e m i n a r s , of c o u r s e , use as their point of d e p a r t u r e the L i e c h t e n s t e i n D r a f t C o n v e n t i o n on S e l f - D e t e r m i n a t i o n and

434

Appendix

S e l f - A d m i n i s t r a t i o n . I a l s o w a n t to

stress

3

been shared a m o n g ourselves. We share the

that t h e s e s e m i n a r s a r e n e i t h e r p u r e l y d i p l o -

i d e a s h e r e in o r d e r to p u t t h e D r a f t C o n v e n -

matic nor purely academic. They are m e a n t

tion t h r o u g h yet o n e m o r e

to b e a c o m b i n a t i o n of a n d a b r i d g e b e t w e e n

process.

developmental

A s t o t h e i n t e l l e c t u a l s t a t e of t h e D r a f t

t h e t w o w o r l d s of d i p l o m a c y a n d a c a d e m e .

C o n v e n t i o n , it is m e a n t to p r o v i d e t h e f o c u s

John Waterbury

for political and diplomatic realities related

I w a n t to i n t r o d u c e t o d a y ' s s e m i n a r by s t r e s s -

to t h e g e n e r a l q u e s t i o n of s e l f - d e t e r m i n a t i o n

ing that t h e L i e c h t e n s t e i n P r o j e c t on S e l f - D e -

and self-administration. W e are well a w a r e

t e r m i n a t i o n is p a r t of P r i n c e t o n U n i v e r s i t y ' s

that t h e f i n a l r e s u l t of t h e C o n v e n t i o n m u s t

intellectual a g e n d a . R e g a r d i n g the specifics

be a c h i e v a b l e w i t h i n t h e r e a l w o r l d of i n t e r -

of t o d a y ' s a n d t o m o r r o w ' s s e s s i o n s , w e a r e

national d i p l o m a c y , so we are not trying to

building on our March meeting, when w e dis-

set out a t h e o r e t i c a l , i n t e l l e c t u a l a g e n d a . W e

cussed primarily issues c o n c e r n i n g the inter-

a r e t r y i n g to d e v e l o p o u r i d e a s as p a r t of a

n a t i o n a l l e g a l a s p e c t s of s e l f - a d m i n i s t r a t i o n

coherent intellectual f r a m e w o r k which can

and self-determination. Today and tomorrow,

t h e n be s o l d , as it w e r e , t o t h e U n i t e d N a -

o u r a i m is t o e x a m i n e a d i f f e r e n t set of is-

tions

s u e s . S p e c i f i c a l l y , w h a t is a c o m m u n i t y a n d

s t a t e s and d i p l o m a t i c r e p r e s e n t a t i v e s , as a v i -

a p e o p l e ? W h a t a r e t h e d y n a m i c s by w h i c h

able agenda for political c h a n g e .

peoples define themselves and assert

and

its c o n s t i t u e n t

member

nation-

their

Let m e point out the key p o i n t s regard-

r i g h t s ? A f t e r all, s e l f - d e t e r m i n a t i o n as a p o -

ing t h e D r a f t C o n v e n t i o n w h i c h , by t h e w a y ,

l i t i c a l a g e n d a n e e d s g u i d e l i n e s in o r d e r t o

is an e x t r e m e l y t e c h n i c a l d o c u m e n t . T h e k e y

determine

points are the f o l l o w i n g . First, the

the

legitimacy

of

a

people's

claims for self-determination. We want

to

Draft

C o n v e n t i o n is not i n t e n d e d as a c o m p r e h e n -

u n d e r s t a n d b e t t e r t h e i s s u e s of c o m m u n i t y

s i v e t r e a t m e n t of the s u b j e c t of s e l f - d e t e r m i -

formation, m a i n t e n a n c e , and dissolution. We

n a t i o n a n d s e l f - a d m i n i s t r a t i o n . It is m e r e l y

will think a b o u t these q u e s t i o n s within the

m e a n t as a m o d e s t contribution to the gen-

c o n t e x t of t h e D r a f t C o n v e n t i o n o n S e l f - D e -

eral p r o b l e m a t i c . S e c o n d , w e a r e t a l k i n g n o t

termination and Self-Administration accord-

so m u c h a b o u t s e l f - d e t e r m i n a t i o n as a b o u t

ing to t h e f r a m e w o r k of l e g a l i d e a s a n d c o n -

s e l f - a d m i n i s t r a t i o n . S e l f - a d m i n i s t r a t i o n is a

cepts outlined by Sir Arthur Watts.

c o n c e p t w h i c h is c o n s i s t e n t w i t h s e l f - d e t e r minalion, and which can be viewed

within

Sir Arthur Watts

t h e f r a m e w o r k of t h e o v e r r i d i n g p r i n c i p l e of

Let m e say a f e w w o r d s on the D r a f t C o n -

self-determination. N o n e t h e l e s s , we see self-

v e n t i o n on S e l f - D e t e r m i n a t i o n t h r o u g h S e l f -

administration

A d m i n i s t r a t i o n . T h i s is a f a i r l y c o m p l e x d o c -

less than

u m e n t , so I will h i g h l i g h t o n l y the

w h i c h m a y b e e n o u g h to s a t i s f y t h e a s p i r a -

main

as s o m e t h i n g

independence

but

considerably as

something

p o i n t s of t h e f r a m e w o r k . I w a n t t o f o c u s in

t i o n s of c o m m u n i t i e s w i t h i n s t a t e s . I n d e p e n -

p a r t i c u l a r o n a c o u p l e of p o i n t s a b o u t t h e p o -

d e n c e m a y b e n o n v i a b l e in t h o s e c a s e s w h e r e

l i t i c a l a n d i n t e l l e c t u a l s t a t u s of t h e

Draft

c o m m u n i t i e s are very small g r o u p s , as well

the

as d u e t o t h e f a c t that s t a t e s m a y s e e s e l f - d e -

self-determination

termination defined as i n d e p e n d e n c e , as a

have been articulated by Prince Hans A d a m

t h r e a t t o t h e e x t a n t i n t e g r i t y of t h e n a t i o n -

and other representatives from Liechtenstein.

state.

Convention. Liechtenstein

At

the

ideas

United on

Nations,

To ensure that our ideas had s o m e consistency and coherence, w e w o r k e d out a Draft C o n v e n t i o n that w o u l d help as well to supp o r t t h e p r a c t i c a l v i a b i l i t y of o u r i d e a s . U n t i l now, however, the Draft Convention has not b e e n t a b l e d at t h e U n i t e d N a t i o n s , b u t h a s

T h e r e a r e t h r e e s p e c i f i c e l e m e n t s of t h e D r a f t C o n v e n t i o n w h i c h b e a r m e n t i o n as t h e introduction f o r this seminar. First, w e e m p h a s i z e t h e c o n c e p t of a c o m m u n i t y . T h i s involves three e l e m e n t s — a distinct group, a group inhabiting

a limited

area within

a

Summary

of International

Conferences

on

Self-Determination

435

state; and a group that has a sufficient degree

certain things should be borne in mind; we

o f organization to manage the administrative

try to address these things in Article 7.

functions which we will outline further on in

In addition to the a b o v e basic

points

this presentation. In short, those cases which

which give you a sense o f how the Draft

would fall within the framework o f this Draft

C o n v e n t i o n is constructed, it bears pointing

C o n v e n t i o n (particularly with regard to its

out what has b e c o m e c l e a r e r and c l e a r e r

procedural dimensions) are limited to a c o m -

since P r i n c e Hans A d a m ' s initial presenta-

munity as we define it. In the long run and in

tion o f the initiative to the UN in 1991. That

light o f other UN initiatives, we may not

is, while there are many UN

have to define community. However, at this

which speak o f the right o f self-determina-

point, we see this definitional criterion as

tion, few provide the actual

necessary.

whereby the right can be realized. We are in-

S e c o n d , Article 3 o f the Draft C o n v e n tion refers to territorial integrity. We m a k e it clear that it is not our intention to undermine statehood or to prejudice the territorial integrity o f states. Self-administration is an internal c o n c e p t , so that no questions o f territorial integrity arise. However, the realities o f the UN make it worthwhile to clarify that we are not seeking to threaten the territorial

resolutions mechanisms

terested as much in the effective processes as in the principle itself. We therefore provide in the later Articles o f the Draft Convention a series o f modest institutional

provisions

that might assist in processes o f self-determination

and

self-administration.

However,

these provisions are not meant to create a new bureaucracy or a new international organization.

integrity o f stales, given that there is a very

T h e provisions on p r o c e s s are found in

real tension between territorial integrity and

Article 9 and onwards. T h e types o f institu-

self-determination.

tions e n v i s i o n e d include: a foundation (an

Third, the notion o f self-administration

impersonal fund with legal personality, with

is outlined in Articles 4 , 5, and 6 o f the Draft

contributions

C o n v e n t i o n . T h i s series o f A r t i c l e s reflects

s o u r c e s — t h e legal status o f the fund remains

from

states

and

private

progressive levels o f self-administration. Ar-

unclear at this juncture); a Board, to manage

ticle 4 is the basic level, and probably exists

the whole operation o f the fund; an Advisory

in virtually all states already, but it is manda-

C o u n c i l , open also to other interests than

tory for all signatories to the C o n v e n t i o n .

only those represented on the B o a r d ; a S e c -

T h e other two levels are optional, given the

retary, who will be a crucial figure; an Inter-

e n o r m o u s variety extant within all sorts o f

national R e s e a r c h and A d v i s o r y Center; a

states as to the kinds o f communities and the

Court, for the resolution o f disputes

appropriateness o f types o f self-administra-

might arise (this is for the sake o f complete-

tion. S o , flexibility

ness and not because we think that the Court

is the watchword

for

that

identifying the kinds o f self-administration

will be central to the function o f the fund).

best suited to the conditions o f each state.

Regarding the Secretary, the Convention un-

However, despite flexibility, there is a need

derplays our aims. O f c o u r s e , the S e c r e t a r y

for s o m e guidelines, which is why we bother

will have a normal daily m a n a g e m e n t f u n c -

to set them out in the various A r t i c l e s ; in

tion but, more importantly, will be responsi-

other words, the Articles give the signatories

ble for the International R e s e a r c h and Advi-

an indication o f concrete avenues and m e c h -

sory Center and will have a key function in

anisms that might be pursued. Fourth and fi-

the area o f p r o b l e m - s o l v i n g with regard to

nally, one can not ignore the possibility that

implementation o f the Convention.

independence may lie at the end o f the road for s o m e c o m m u n i t i e s . A r t i c l e 7 speaks o f this possibility, but does not cast independence as a preferred option. I f independence is the demand o f the c o m m u n i t y , however,

Kay Warren M y paper is on the L a n g u a g e and Politics o f Self-Expression:

Mayan

Revitalization

in

Guatemala. I will do a five-minute introduc-

436

3

Appendix

tion

by

way

of

summarizing

the

paper.

the p e r s p e c t i v e

o f my r e s e a r c h

A m o n g the most d y n a m i c i n d i g e n o u s rights

street g a n g s . E q u a l i t y b e t w e e n

m o v e m e n t s in Latin A m e r i c a n is the M a y a n

cultures

revitalization

Guatemala

in G u a t e m a l a .

Through

search centers, local committees,

re-

and

peoples

and there

on

urban

languages,

doesn't

exist

is no q u e s t i o n

in that

schools,

M a y a n studies should be promoted. It s e e m s

and public e d u c a t i o n , this new s o c i a l m o v e -

to me that p a n - M a y a n i s m today is the prop-

ment is trying to c o n f r o n t the c o u n t r y ' s en-

erty o f a small group o f intellectuals and stu-

d e m i c r a c i s m and fluid i d e n t i t i e s . T h e pan-

dents. T h e r e is no m a s s m o v e m e n t nor has

M a y a n i s t s f o c u s on l a n g u a g e p o l i c i e s , and

there e v e r , h i s t o r i c a l l y , b e e n a p h e n o m e n o n

are f o c u s e d on spatial r e g i o n a l i z a t i o n

and

o f p a n - M a y a n i s m with m a s s support. In the

d e m o g r a p h i c s . I n d i g e n o u s l a n g u a g e s would

twentieth century, l o c a l identities have been

be o f f i c i a l i z e d a l o n g s i d e S p a n i s h .

the p r e d o m i n a n t p h e n o m e n o n , so while cul-

Ninety-

two percent o f the national p o p u l a t i o n

is

over the age o f fifteen and d o e s not c o m p l e t e

tural s c h o l a r s m i g h t

identify

someone

as

M a y a n , the s e l f - i d e n t i f i c a t i o n o f that s a m e

primary s c h o o l , and the illiteracy rate ( e s p e -

individual is likely to o c c u r at the local level.

c i a l l y in the i n d i g e n o u s h i g h l a n d s ) is m o r e

P a n - M a y a n i s m d e s t r o y s the l o c a l

than s e v e n t y - f i v e p e r c e n t . T h e national c u l -

Moreover, self-identification always has been

ture has b e e n until r e c e n t l y c o n s t r u c t e d in

m u l t i p l e — f o r e x a m p l e , the poor, the people,

hegemonic

the rural, the worker. T h e s e multiple identities

Mayan

Spanish

terms.

intellectuals

strategic

equilibrium

In

began

the

to

1980s,

argue

amongst

for

stand at odds with a singular ethnic identity.

indigenous

and local languages. T h e i r aim was to create a new s c h o o l c u r r i c u l u m . G u a t e m a l a n b u s i ness elites are now b e g i n n i n g to get involved in this m o v e m e n t .

milieux.

T h e r e has b e e n a great deal o f a g e n c y and o f e n v i s i o n i n g o n e s e l f as a historical protagonist, and this p h e n o m e n o n has not rev o l v e d around M a y a n

ethnic

identity.

In-

deed, during the 1 9 8 0 s , C a t h o l i c Action and

H o w e v e r , the tactical c o n v e r g e n c e o f al-

the t h e o l o g y o f l i b e r a t i o n , as o p p o s e d to a

ternate groups around the p r o j e c t o f d e c e n -

particularly M a y a n d i s c o u r s e , was the key

tralized education hides c o m p e t i n g develop-

factor

ment

self-esteem

m o v e m e n t s t h e r e f o r e included both M a y a n s

versus c o l l e c t i v e rights o f the M a y a n s . In

and C a m p e s i n o s . I d o n ' t think that this de-

short,

move

v e l o p m e n t was f a l s e c o n s c i o u s n e s s on the

c l o s e r to s e l f - a d m i n i s t r a t i o n in s c h o o l i n g at

part o f M a y a n s , but was a r e f l e c t i o n o f the

strategies: the

individual

pan-Mayanists

want

to

in

social

mobilization.

Grassroots

p r e c i s e l y the point in t i m e w h e r e the R i g h t

real interaction o f the t h e o l o g y o f liberation,

wants

c l a s s i s s u e s , and g r a y i s h areas o f identity.

to

undercut

ethnic

mobilization.

W h i c h m o d e l will win is unclear, e s p e c i a l l y

The

in the rural areas. T h i s c a s e raises important

M a y a n h i s t o r y and G u a t e m a l a n history in

questions about w h o the s e l f is in self-deter-

highly rigid and polarized terms which mask

m i n a t i o n and s e l f - a d m i n i s t r a t i o n . W e must

the transcultural and transaesthetical m i x i n g

e x a m i n e the politics o f the p r o c e s s o f c r e a t -

that has o c c u r r e d .

ing such a m o v e m e n t o f p a n - n a t i o n a l i s m . W e must also question the c o n v e n t i o n a l distinction b e t w e e n s y m b o l i c and substantive goals of self-determination

and

self-administra-

tion. T h e p r o d u c t i o n o f k n o w l e d g e f o r national representation and the p o l i t i c a l struggle surrounding these cultural issues is at the heart o f the L i e c h t e n s t e i n P r o j e c t .

culturalists,

in

my

view,

represent

T h e r e is no point in a c o m p e t i t i v e ranking o f the poor, w h e t h e r they are M a y a n or L a d i n o . T h i s i m a g e o f separate ethnic statuses m a s k s the c l a s s differentiation amongst L a d i n o s . It is a m i s t a k e to think that there is a h o m o g e n e o u s L a d i n o identity. T h e paradigm o f a s s i m i l a t i o n versus that o f cultural authenticity/purity needs to be replaced by a p a r a d i g m o f m u l t i c u l t u r a l i s m and m u l t i p l e

Deborah Levenson I will c o m m e n t on K a y W a r r e n ' s paper from

identities. The meaning

o f self-determination

is

Summary

of International

Conferences

on

Self-Determination

very complicated in the Mayan case, and should address the question of w h o d e f i n e s the self. Educational programs must account for the fact that most children of Mayan descent born in rural areas will end up as workers in the formal and, especially, in the informal sector in G u a t e m a l a City. The P a n - M a y a n M o v e m e n t has not spoken to these people yet. Kay Warren mentions that Mayan culturalists a r e n ' t political activists. This may be so, but the political action flowing thus far f r o m the internal world of culturalist intellectuals is, I ' m afraid, separatist, and d o e s n ' t meet the everyday needs of the people, nor does the meeting recognize how the Mayans may chose to be transcultural.

Miguel A. Centeno Warren has presented some wonderfully rich data on those persons that Gellner and other scholars have identified as key in the process of identity building—that is, petty intellectuals. She proposes and critiques how national identity and local identity construction can be merged, and addresses the principle of self-determination. Moreover, the panMayan M o v e m e n t , by questioning Guatemalan national identity, raises key points about other groups in the region—for example, the Chiapas. In other words, the question that emerges from Warren's study is whether or not a pan-ethnic program like that of panMayanism may be applicable in other nationstate contexts. It is also interesting to note that much of the discussion in the literature on nationalism over the past twenty y e a r s — f o r example, the debates on Austria-Hungary in the nineteenth century—sound like those discussions in the late twentieth century in Guatemala with regard to p a n - M a y a n i s m . There are clear political consequences, then, associated with these apparently academic issues. What was s o m e w h a t frustrating about Warren's paper were the questions not asked. These questions not asked, in fact, are key for the Liechtenstein Project. First, what is the causal relationship between language and nation? It is too easy to identify language and nation without determining the causality

437

between these types of identity manifestation. Second, why in the post-1989 period are we so willing to take ethnic claims at face value without questioning motives? Why are people developing a pan-Mayan identity, and what are the practical gains and political implications of this identity? We should recognize that nationalism is not merely a construct but is also an instrumental issue. Additionally, we should consider whether or not calls to pan-Mayanism are seen by nonMayans as a new form of cultural imperialism. I also want to express my disagreement with Sir Arthur Watts' decision to leave open issues of identity definition. If we are moving f r o m localized to globalized identities, where do we draw the line? Warren's project offers us the possibility of problematizing. However, we have not addressed the key question of nationalism. The issue is whether or not the culturalists are creating or defending a nation. In other words, to what extent are nations born versus to what extent are nations made? These are more than academic issues.

Paul Sigmund There should be some reference to the fact that there are links between pan-Mayanism and past political struggles in Guatemala, particularly with regard to differences between the 1960s and the 1980s guerrilla movements. The latter has been marked by increasing indigenous participation and has created shock waves for the Ladinos. Also, the 1980s guerilla movement is distinct precisely because of its ethnic dimensions overall.

Kay Warren This is a good point. The extent to which the 1978 to late 1980s state terrorism was formative in mobilizing ethnicity should be acknowledged. In particular, indigenous cultures involved in processes of transculturation were viewed by the state as dangerous, on account of their ethnic differences. This helps to explain the rise of pan-Mayanism as an indigenous m o v e m e n t and as a response to state genocidal violence. Also, cross-com-

438

Appendix

3

munity youth b e g a n to d i s c u s s what is meant

Stephen Marks

to be indigenous in a n o n - e t h n i c way. Finally

Could

we should think about w h e r e p o l i t i c a l c o n -

might help to draw out any links between the

s c i o u s n e s s f o r i n d i g e n o u s populations at the

pan-Mayanist culturalist m o v e m e n t and inter-

rural level originates. T h e origins o f this po-

national organizations? Also, could you speak

litical c o n s c i o u s n e s s c h a n g e o v e r t i m e . Its

about the role o f the Guatemalan government

m a n i f e s t a t i o n s and e x p r e s s i o n s a l s o c h a n g e

in terms o f its relations with multinational in-

o v e r time. F o r e x a m p l e , m a n y o f t h o s e in-

stitutions and international organizations?

you

make

some

comments

which

d i g e n o u s p e o p l e s i n v o l v e d in C a t h o l i c A c tion and the t h e o l o g y o f liberation now have

Susanne Rudolph

grandchildren

pan-

Warren has b e e n stressing the s y m b o l i c na-

M a y a n culturalism. We must look at particu-

ture o f l a n g u a g e and its role as a m a r k e r o f

lar f a m i l y s o c i o l o g i e s in order to find the

dignity and g e n i u s . A s a student o f Indian

ideological roots o f political a c t i o n .

n a t i o n a l i s m , I e n c o u n t e r the l a n g u a g e ques-

who

are

involved

in

tion

Deborah Levenson-Estrada

in

the

Indian

context

in

terms

of

G a n d h i ' s m o v e m e n t to e m b e d the nationalist

I d i s a g r e e that the L a d i n o s were

shocked

movement

in

regional

languages

(versus

by the M a y a n i n v o l v e m e n t in the g u e r i l l a

E n g l i s h ) . How is the shift to the M a y a n lan-

m o v e m e n t . T h e L a d i n o s were in the guerrilla

guage a strategy to expand the Mayan political

movement

di-

c o m m u n i t y , when we think about it in c o n -

c h o t o m i z e in terms o f insurgent M a y a n s ver-

trast to the Indian c a s e ? M y q u e s t i o n c o n -

sus status quo L a d i n o s .

c e r n s w h e t h e r or not language is a unifying

too.

We

can

not

simply

or a f r a g m e n t i n g f o r c e in the p a n - M a y a n i s t

Kay Warren

Movement.

L a n g u a g e b e c o m e s the m a r k e r o f a historical p r o c e s s o f racist c o e r c i o n to a s s i m i l a t e . T h e Mayanists

their

resistance

Kay Warren

in

lan-

E t h n i c i t y as an idiom in Latin A m e r i c a is a

captures

the

key f a c t o r in the politics o f the region today.

G u a t e m a l a n L e f t ' s c r i t i q u e o f the M a y a n i s t

T h e r e is o b v i o u s l y a trans-state interest in

guage.

locate

Levenson-Estrada

culturalist m o v e m e n t , s o her o b j e c t i o n s are

ethnicity. A n interesting c a s e with regard to

important to consider. T h e polar oppositions

e t h n i c i t y c o n c e r n s the A f r o - L a t i n A m e r i c a n

o f L a d i n o v e r s u s M a y a n are b e i n g c r e a t e d

struggle in B r a z i l and the ways in which the

and perpetuated by the culturalists. T h e cul-

Brazilian

turalists

as r e s i s t e r s o f a

Latin m o v e m e n t s o f ethnicity. With regard to

r a c i s m w h i c h is already e x t a n t , but w h i c h ,

international o r g a n i z a t i o n s , G u a t e m a l a is a

see t h e m s e l v e s

state t a c t i c a l l y

tamed the A f r o -

p a r a d o x i c a l l y , is b e i n g perpetuated by the

strange c a s e b e c a u s e there has not b e e n a

very d i c h o t o m o u s c a t e g o r i e s w h i c h the c u l -

d i s m a n t l i n g o f the military apparatus in the

turalists use.

country. T h e r e f o r e , the international organi-

Atul Kohli

e q u a t i o n and h a v e to a c c o u n t f o r the inter-

T h e r e are large a r e a s o f C e n t r a l and S o u t h

nalization

A m e r i c a which are par o f a word where eth-

w h e t h e r or not U N E S C O k n o w s that their

n i c c o n f l i c t is not p r e v a l e n t . It is intriguing

m o n i e s , within the e d u c a t i o n a l d o m a i n , are

to c o n s i d e r the near s i l e n c e o f ethnicity as a

b e i n g used for culturalist r e v i v a l i s m as well

political idiom in those c a s e s . C o u l d you e x -

as f o r the R i g h t i s t

pand on this p o i n t with regard to the e m e r -

building, then the a n s w e r is likely to be y e s .

g e n c e o f e t h n i c i t y in the M a y a n c a s e ? In

Finally,

o t h e r words, what m a k e s e t h n i c i t y a d o m i -

g u a g e as part o f a s t r a t e g i c effort to e x t e n d

nant idiom o f e x p r e s s i o n in s o m e

Central

the p o l i t i c a l c o m m u n i t y , this is an u n q u e s -

and South A m e r i c a n c a s e s and not in o t h e r s ?

t i o n a b l e point. H o w e v e r , I think that the real

zations h a v e to b r i n g the military into the of

violence.

regarding

If

you're

model of

asking

nation-state

the i m p o r t a n c e

of

lan-

Summary

of International

Conferences

on

Self-Determination

c o n u n d r u m or an ethnic or an indigenous c o m m u n i t y is when or when not to m a k e claims of political community.

Miguel Centeno What is fascinating about Latin A m e r i c a is the absence of political, as opposed to soc i o e c o n o m i c , c o n f l i c t — i n other words, the overall peace in the region. There is a striking absence of ethnic conflict in the region, a phenomenon which can be explained in part by the culture of opposition of intellectuals. Intellectuals in Latin A m e r i c a have by and large been educated on the Left, so that they tend to see things in terms of class rather than in terms of ethnicity.

Kay Warren C e n t e n o ' s point helps to explain why the p a n - M a y a n i s t s want Mayan Studies in the university curriculum. T h e pan-Mayanists feel that, unless they speak the language of class rather than ethnicity, they will be excluded f r o m all social and political debates; inclusion in the university curriculum mitigates this possibility.

Bernard Reverdin Could the panelists suggest to what extent language ethnicity, class, and race are all interrelated in the case of Latin America? Further, to what extent is it possible to isolate language f r o m class and race as factors in collective mobilization of an ethnic group? Finally, although you all have remarked on the absence of ethnic conflict in Latin America, does this equate with an absence of ethnic identity? I also am interested in the image of federalism that might apply to the case y o u ' v e been discussing, as well as in how federalism might provide for self-determination and self-administration rather than contribute to the obliteration of identity.

Kay Warren The relationship between language, ethnicity and class has been, historically, very fluid in the Latin A m e r i c a n case. Many argue that the language-ethnicity nexus is a modern p h e n o m e n o n associated with the nationstate. With regard to federalism, I think that

439

the p a n - M a y a n leaders indeed are preoccupied with how broader claims for political representation according to a larger political agenda might unintentionally be undermined by the emphasis on local identities. [Presentation by Martin U h o m o i b h i "Self-Determination in Africa"]

on

Martin Uhomoibhi I will summarize the highlights of our paper. Our discussion, although focused on the p o s t - C o l d War era, can be generalized. In the Introduction to our paper, we tried to define the scope of self-determination as "the will of a community to relate independently to other c o m m u n i t i e s . " We recognize that self-determination, in this definition, exists for a long time. However, modern African states have been both the beneficiaries as well as the victims of self-determination. Self-determination b e c a m e an albatross for the newly independent A f r i c a n states in the 1960s, because these states had to cope with all range of tribes and c o m m u n i t i e s within the context of the nation-state. Self-determination in the African context needs reconsideration. The circumstances relevant to self-determination vary from one nation-state to the next in Africa. We need an historical perspective in fostering approaches to self-determination in Africa, but even so, the list of historical factors relevant to self-determination is endless. Most importantly, therefore, we need to marry external and internal factors in our attempts to arrive at an understanding of how self-determination might best function in the A f r i c a n context. Furthermore, the A f r i c a n case shows that self-determination must account f o r e c o n o m i c , cultural, and political factors, although most discussions of the problematic tend to overlook the e c o n o m i c issues. The Organization of A f r i c a n Unity and the United Nations f a c e a d i l e m m a with regard to the practical application of self-determination in Africa. T h e Cold War f r a m e work provided a convenient f r a m e w o r k for dichotomous ("yes-no") behavior on self-determination issues in Africa. With the end of

440 the Cold War, space has been created for conflicts (rather than schematic "yes-no" responses) over self-determination. Moreover, the declining p o w e r of centralized governments, the rise of democratic regimes in Eastern Europe, and the U.S. as the only sup e r p o w e r are all factors which are likely to complicate questions of self-determination in the African context. The question is not whether self-determination is a principle that should go away or remain, but rather how to conceptualize and then to implement self-determination in an A f r i c a n reality that is vastly changed by virtue of the changes in the global system. We consider several options that focus on how to manage self-determination against the above backdrop. For example, the paper considers territorial compromise, federalism, democracy, and democratization and powersharing as options for self-determination. We take, in summary, a broad view of the concept and application of self-determination in the African context, and we understand the nation-building process as ongoing in Africa. However, we see the need to reverse Africa's e c o n o m i c decline as the most relevant constraint for issues of self-determination on the continent. In conclusion, we see self-determination as a problem whose possible solutions will c o m e f r o m politicians rather than f r o m diplomats, although the latter might play some role.

Lionel Hurst History will reward Liechtenstein for its role in bringing this matter of self-determination and self-administration to the UN and to Princeton. The Caribbean is overwhelmingly African in its heritage, and the region has had a leading part in the global anti-colonial struggle as well as being a region of romantic revolution and superpower rivalry. Self-determination in the Caribbean, this most western part of Africa, was primarily of the external t y p e — t h a t is, A f r i c a n s were shedding European domination in order to achieve self-determination and independence. In my paper, I d o n ' t attempt making an external versus internal model, but instead

Appendix

3

take a broad look at trends of self-determination in the Caribbean in the post-1960 period. It is worth clarifying, however, what I mean by internal self-determination: this is when loyalties preceding the nation-state remain stronger than any larger commitment to an overall citizenry once nation-statehood has been established. The perpetuation of these pre-nation-state loyalties in the nationstate period gives rise to demands for selfdetermination for communities within states. In terms of a quick historical overview of self-determination in the Caribbean, the highlights are as follows. In 1958, the British devised a federation consisting of their twelve Caribbean possessions; this federation was a single entity but was not independent. In 1962, the aforementioned experiment ended when two Caribbean m e m b e r s moved for independence and gained such recognition by the UN. The question arises as to whether the aforementioned move was self-determination of an internal sort or of an external sort. T h e urge to maintain the integrity of an independent state seems to be stronger when the state is part of a continent and not an island. The real question seems to be whether or not the costs are worth the effort of preserving states even when there are d y n a m i c and sometimes violent demands for self-determination that would fracture states. I disagree that the costs of preserving the extant state structure are always worth it, particularly if you c o m p a r e the monies spent on p e a c e k e e p i n g versus those monies spent on development. I am supportive of peacekeeping in cases necessary to stop or to prevent bloodshed. However, it seems to me that it is immoral to endorse the invigoration of any kind of politics which presupposes, perpetuates, or leads to, the exclusion of others. Ultimately, self-determination is a moral issue, and the free states at the UN must choose to do good. This is my view.

Movindri Reddy T h e basic problematics which run throughout this paper concern the ideological reasons for the lack of clarity demonstrated by

Summary of International Conferences on

Self-Determination

the U N with regard to s e l f - d e t e r m i n a t i o n in the A f r i c a n c o n t e x t , as well as the r e a s o n s f o r the f a c t that the priority of s e l f - d e t e r m i n a t i o n is o u t w e i g h e d by the priority given to state m a i n t e n a n c e . T h e t h e m e s w h i c h e m e r g e in this p a p e r are as f o l l o w s . First, a p a n o r a m i c analysis of s e l f - d e t e r m i n a t i o n loses the s u b t l e t i e s inv o l v e d in the issue. T h e p a p e r g i v e s lots of a t t e n t i o n to the i n t e r n a t i o n a l p r i n c i p l e s and behaviors regarding self-determination. H o w e v e r , as i m p o r t a n t as the i n t e r n a t i o n a l f a c t o r s are the local factors; in particular, the c o n s t r u c t i o n and i m p l e m e n t a t i o n of ethnically d e f i n e d a g e n d a s m u s t be c o n s i d e r e d with regard to s e l f - d e t e r m i n a t i o n . A f r i c a n history, particularly the colonial e x p e r i e n c e , is key to u n d e r s t a n d i n g h o w s e l f - d e t e r m i n a tion has p l a y e d out to the p r e s e n t time in A f r i c a . T h e b o r d e r s of n a t i o n - s t a t e s in cont e m p o r a r y A f r i c a reflect the colonial logic of capitalist e x p a n s i o n , such that basic categories of ethnicity in A f r i c a were constructed a c c o r d i n g to this a f o r e m e n t i o n e d historical experience. S e c o n d , it is critical to c o n s i d e r the actual p r o c e s s e s by w h i c h i n d e p e n d e n c e o c c u r r e d . T h e s m o o t h t r a n s i t i o n of p o w e r to local elites w h o w e r e clients of imperialists v e r s u s the violent transition of p o w e r to local elites w h o led the r e s i s t a n c e to colon i a l i s m — t h e s e are the t w o basic c o u r s e s w h i c h led to i n d e p e n d e n c e in the A f r i c a n context. T h i r d , the s i g n i f i c a n c e of the end of the Cold War can not be o v e r l o o k e d with regard to n e w p a t t e r n s of s e l f - d e t e r m i n a t i o n that m i g h t e m e r g e in A f r i c a . A g a i n , the b a l a n c e between universal versus particular factors e m e r g e s as critical in this c a s e . T h e d e f i n i tive i m p a c t of the e n d of the C o l d War h a s been in t e r m s of the reconstitution of the discourse on security in the international arena, a process that has f o r c e d the inclusion of ethnicity a n d s e l f - d e t e r m i n a t i o n as part of the larger d i s c u s s i o n . In this r e s p e c t , the e n d of the C o l d W a r h a s m e a n t a r e a l i g n m e n t bet w e e n the d i s c u r s i v e a n d p r a c t i c a l realities a l r e a d y e x t a n t in A f r i c a p r i o r to the end of the C o l d War.

441

F o u r t h , the i m p a c t of A f r i c a n political l e a d e r s a n d i n t e l l e c t u a l s on the a r t i c u l a t i o n of d e m a n d s f o r s e l f - d e t e r m i n a t i o n m u s t be c o n s i d e r e d . T h e p a p e r s u g g e s t s that p r i m o r d i a l i s m , as o p p o s e d to universalist f o r m s of n a t i o n a l i s m , h a d to be the o u t c o m e in the A f r i c a n c o n t e x t . H o w e v e r , m o s t politicians and i n t e l l e c t u a l s t e n d to o v e r l o o k , b o t h in practice and in theory, the role of civil society as a key f a c t o r in d e f i n i n g ethnic c l a i m s in A f r i c a . O n c e v i o l e n c e m a k e s ethnic identities less fluid, the role of a m b i t i o u s organic leaders with their o w n political a g e n d a s bec o m e s critical in s h a p i n g the n a t u r e and the o u t c o m e of ethnic d e m a n d s for self-determination. It is imperative to c o n s i d e r the fit between what the leadership p r o p o s e s and what m e m b e r s of society want. A f i n a l w o r d is in o r d e r r e g a r d i n g the i m p a c t of the i n t e r n a t i o n a l c o m m u n i t y (the U N ) in A f r i c a n s e l f - d e t e r m i n a t i o n . In s o m e cases, the U N h a s h e l p e d to f o r m u l a t e the s e l f - d e t e r m i n a t i o n p r o b l e m a t i c t h r o u g h actual initial r e s p o n s e s of the U N . H o w e v e r , the U N usually has failed to f o l l o w t h r o u g h o v e r the m e d i u m and the long term. T h i s lack of f o l l o w - t h r o u g h is critical in countries w h e r e e c o n o m i c and security issues are so c o m p l e x and t u r b u l e n t , and the lack of foll o w - t h r o u g h m a k e s it e a s i e r f o r e t h n i c dem a n d s f o r s e l f - d e t e r m i n a t i o n to b e c o m e f r o z e n and to b l o c k the m a i n t e n a n c e of p e a c e f u l m u l t i - e t h n i c states. T h e question is w h e t h e r or not, within the context of underd e v e l o p m e n t and relative e c o n o m i c scarcity, a m u l t i e t h n i c state can exist in peace.

Professor Collins I think that it is interesting to note that s o m e of the i s s u e s a d d r e s s e d in the p r e v i o u s t w o p a p e r s w e r e a d d r e s s e d n e a r l y thirty years a g o by P r i n c e t o n p r o f e s s o , A r t h u r L e w i s , in his b o o k on West A f r i c a . We n e e d to think about the o n g o i n g i m p o r t a n c e — a n d lack of r e s o l u t i o n — s u r r o u n d i n g these issues in general and with r e g a r d to A f r i c a in particular. Of c o u r s e , the o b v i o u s point is that o u r obj e c t i v e s h o u l d be p r o p o r t i o n a l representation a n d d e m o c r a t i c g o v e r n m e n t s in all of A f r i c a — a s has o c c u r r e d in S o u t h A f r i c a —

442

Appendix

3

along with, perhaps, high degrees o f consti-

tions were constituted over most o f historical

tutional federalism in order to reflect high

time. It is useful to keep this historical reality

South

in mind. We may want to think about whether

African case is a useful referent for A f r i c a as

multinational states are perhaps more viable

a whole. Finally, we need to keep in mind

today, given economic circumstances at local,

that e c o n o m i c development is the key to eth-

national, regional and transnational

nic peace in Africa as a whole.

Finally, I want to underscore an earlier point,

Anthony Barnett

tion, on the one hand, and poverty and eco-

Could the speakers m a k e more s p e c i f i c and

nomic viability, on the other, still have not

detailed r e f e r e n c e to the proposal in one o f

been clearly understood.

degrees

of

localism.

Indeed,

the

levels.

namely that the links between self-determina-

the papers for the formation o f a UN S e l f Determination Committee which would help individual countries to address internal ques-

Permanent Representative to the UN Mission of Honduras

tions o f self-determination? How would this

I have several brief points. First, the defini-

committee actually operate, and what would

tion o f peoples and communities needs to be

be its functional prerogatives and domain?

clarified in the Draft Convention, in terms of

Audience Member

people and the community. Second, the ques-

We have yet to answer the fundamental ques-

tion o f ethnic diversity, particularly along

tion o f what generates a demand for self-de-

geographic lines, remains highly fluid. We

termination. In the African case, isolation o f

seem to be speaking about self-determination

the issue o f ethnicity does not necessarily

as if ethnicity and geography c o i n c i d e , but

guarantee that we deal e f f e c t i v e l y with the

the reality is that geographic territory and

larger problematic o f self-determination. For

ethnic concentration are frequently noncoin-

e x a m p l e , what about the racial issue? What

cident. Third, we have not spoken

about the coterminality o f c l a s s , race, and

about the s p e c i f i c question o f leadership.

ethnicity? W h e n you look at the pattern o f

What place can a neutral leadership, such as

partition in A f r i c a , it is c l e a r that there was

the crown, play in the resolution o f self-de-

who (externally or internally) defines the

much

no effort by Europeans to take into account

termination conflicts? I think that the monar-

state-building in terms o f future problemat-

chy as a model for neutral leadership de-

ics. S o are we now speaking about support

serves some consideration.

for self-determination or about rationalizations for self-determination? T h e self-deter-

Lionel Hurst

mination p r o b l e m a t i c in A f r i c a also poses

I will briefly address many o f the points

enormous challenges regarding vertical inte-

which have been raised up to now. First, I

gration (i.e.. between leaders and f o l l o w e r s )

would disagree with the suggestion that the

versus horizontal integration (i.e., the inte-

presence o f poverty automatically means that

gration o f multiple e t h n i c i t i e s , races, etc.

ethnic or intercommunal v i o l e n c e will fol-

into one political community). T h e overarch-

low. S e c o n d , the idea o f the U N S e l f - D e t e r -

ing question with regard to political c o m m u -

mination C o m m i t t e e is consistent with S i r

nity concerns whether or not the optimal na-

Arthur Watts' idea for a Court as it is articu-

ture o f the community is a nation.

lated in the Liechtenstein Draft Convention. Third, regarding the sources or origins o f the

Susanne Rudolph Multinational states are much more natural, I think, than nation-states, as history reflects.

motivations for self-determination, this is an extraordinarily c o m p l e x problem on account o f its dual o b j e c t i v e and subjective character.

W e tend to frame self-determination as a de-

Finally, I agree that we should not as-

parture from the nation-state model. In fact,

sume a complete coterminality between geo-

multinational states are the form in which na-

graphic territory and ethnicity, so we need

Summary

of International

Conferences

on

Self-Determination

creative representational m e c h a n i s m s that will address this reality (e.g., the Greek or Swiss models may be helpful referents).

Movindri Reddy We must look at each case in Africa on an individual basis. We can not generalize. T h e role of leaders, I agree, is certainly critical in terms of their ability to mobilize local ethnic populations. [Presentation by Minxin Pei on " D e c e n t r a l ization in China"]

Minxin Pei I will give a summary of the main arguments which emerge in my paper. First, there are structural and institutional constraints that have undermined minority rights in China, particularly since 1945, and I think that these constraints are ones of general relevance for the overall issue of self-determination and self-administration. Second, we need to think about how existing institutional arrangements in China might foster forms of self-administration at the local level. Third, it is in the self-interest of the Chinese government to consider the Liechtenstein Self-Determination and Self-Administration Draft Convention, given the near exhaustion of all options grounded in traditional approaches to these issues in the Chinese context. There are several basic factors which are critical for understanding the rights of ethnic minorities in China. First, minority groups gained rights precisely at the time that the core of the Empire i m p l o d e d — u n t i l that point, minorities were largely repressed. Second, we must consider the enormous diversity of ethnic groups and their strategic (geographic and e c o n o m i c ) location in China. Third, the Chinese g o v e r n m e n t ' s ability to completely repress minority groups has been problematic even under the communist regime, when there was s o m e a c c o m m o d a tion of policy to local conditions, and it will become increasingly difficult given domestic and international p r e s s u r e s to respect selfdetermination demands. Fourth, the possibilities for self-determination of ethnic minori-

443

ties remains significantly constrained by the d e g r e e of centralization of the political regime. In terms of prospects for changing the current situation in China with regard to selfdetermination and self-administration by ethnic minorities, I would say that the immediate means of change require decentralization of political institutions and introduction of a degree of economic federalism. The Chinese government is very sensitive to issues of regional federalism. In the past, the strategy of the Chinese government in dealing with ethnic problems was three-pronged: first, state-sponsored and spontaneous migration by Chinese to areas formerly populated by ethnic minorities; second, the core was developed more than the periphery, meaning the imposition of a form of e c o n o m i c d e p e n d e n c y vis-à-vis large n u m b e r s of ethnic minorities located in the peripheral regions; and third, the state demonstrated little reluctance to use harsh economic and other measures against threats or attempts of secession. This three-pronged strategy proved largely successful until the present time, despite the high economic and political-military costs. However, the above strategy is no longer viable, due to several factors: regime-directed massive migration can no longer continue, since the regime does not have the p o w e r to do this; the central g o v e r n m e n t ' s economic ability to sustain large populations in outlying areas is declining; international pressures will continue to push for change in the direction of self-determination and selfadministration; and, fiscal constraints will increase, so that there will no longer be the possibility of huge transfers f r o m the center to the periphery. It is likely that the Chinese government will have to come to terms with allowing self-governance in the outlying provinces, particularly since, in two-thirds of these provinces, ethnic Chinese constitute a demographic minority.

Daniel Bell I begin with an observation, namely that it is impossible to avoid normative assumptions

444

Appendix

3

w h e n d e a l i n g w i t h t h e q u e s t i o n of s e l f - d e t e r -

t e x t . Is s e l f - d e t e r m i n a t i o n t h e s a m e t h i n g as

mination

Indeed,

d e m o c r a c y ? If s o , t h i s d e f i n i t i o n r a i s e s t h e

moral assumptions when thinking about such

p o i n t that t h e r e is n o r e a s o n to e x p e c t t h a t , in

and

self-administration.

i s s u e s is m o r a l l y d e s i r a b l e a n d

politically

challenging. I am not fully p e r s u a d e d

by

its m i n i m a l i s t / p r o c e d u r a l f o r m , s e l f - d e t e r m i nation for m i n o r i t i e s will be r e s p e c t e d

by

M i n x i n Pei's point that there are f i f t y - f i v e

m a j o r i t i e s . If w c w a n t t o s e c u r e t h e r i g h t s of

e t h n i c m i n o r i t i e s in C h i n a a n d t h a t

minorities,

those

f i f t y - f i v e groups are the only ones with prob-

we

need

to

think

about

the

s p e c i f i c s of d e m o c r a t i c r e g i m e s a n d a r r a n g e -

l e m s of s e l f - d e t e r m i n a t i o n a n d s e l f - a d m i n i s -

m e n t s , r a t h e r t h a n t o s p e a k at t h e l e v e l of

tration. H o w e v e r , I r e c o g n i z e that his n u m -

"'the e n d of history.'" P o l i t i c a l t h i n k e r s c o n -

bers

c e r n e d with m i n i m i z i n g v i o l e n c e n e e d to think

are

based

on

government

statistics,

w h i c h in t u r n r a i s e s t h e i s s u e of d e f i n i t i o n

in

a n d c l a s s i f i c a t i o n : in o t h e r w o r d s h o w d o w e

t e r m s . In s h o r t , o u r o b j e c t i v e s h o u l d be t h e

c l a s s i f y o r d e f i n e an e t h n i c m i n o r i t y ,

f o r m a t i o n of a political s y s t e m that f u l l y g u a r -

and

specific

rather

than

general

theoretical

w h o does the d e f i n i n g and classifying. For

a n t e e s t h e rights of m i n o r i t i e s to m a i n t a i n their

e x a m p l e , m a n y T a i w a n e s e t h i n k of

them-

o w n c u l t u r a l p a r t i c u l a r i t y , so that o u r d i s c u s -

s e l v e s as an e t h n i c m i n o r i t y in C h i n a , but

s i o n s s h o u l d f o c u s on h o w to i n s t i t u t i o n a l i z e

this n o t i o n o b v i o u s l y w o u l d n o t b e s u p p o r t e d

s u c h a goal with s p e c i f i c m e c h a n i s m s .

by the C h i n e s e g o v e r n m e n t . L i k e w i s e , the o f f i c i a l d e f i n i t i o n b y t h e C h i n e s e state o f an

Paula Escarameia

ethnic minority overlooks the Tibetan ques-

I found Minxin Pei's paper extremely

tion.

with

interesting

connotations,

with

regard

the

I a l s o w o u l d like to r a i s e t h e i s s u e of t h e

to

rich

particularly

relationship

between

s t a t e . W e n e e d to p a y m o r e a t t e n t i o n t o t h e

t h e t w o c o n c e p t s of s e l f - d e t e r m i n a t i o n , o n

p o s s i b i l i t y of state d i s i n t e g r a t i o n or c o l l a p s e ,

t h e o n e h a n d , a n d s e l f - a d m i n i s t r a t i o n , on t h e

if i n d e e d t h e C h i n e s e e c o n o m i c s y s t e m w e r e

other. A l t h o u g h not explicitly, P e i ' s

t o b e r a d i c a l l y d e c e n t r a l i z e d . In t u r n , w h a t

s u g g e s t s that s e l f - d e t e r m i n a t i o n is e q u i v a l e n t

d o e s t h e p o s s i b i l i t y of s u c h a c o l l a p s e m e a n

to

f o r v a r i o u s e t h n i c g r o u p s in t e r m s of t h e i r

w h e r e a s s e l f - a d m i n i s t r a t i o n is e q u i v a l e n t t o

mobilization vis-à-vis the state and vis-à-vis

p o l i t i c a l a d m i n i s t r a t i o n by e t h n i c m i n o r i t i e s .

one another?

I w o u l d like to a d d r e s s b o t h of t h e s e p o i n t s .

political

independence

and

paper

secession,

ex-

W i t h r e g a r d t o s e l f - d e t e r m i n a t i o n as p o -

p a n d i n g t h e o f f i c i a l d e f i n i t i o n of t h e C h i n e s e

litical i n d e p e n d e n c e , it s e e m s to m e that b o t h

s t a t e of an e t h n i c m i n o r i t y , I n o w w a n t to

scholars and p o l i c y m a k e r s use interchange-

t o u c h o n t h e q u e s t i o n of P e i ' s c l a i m s r e g a r d -

a b l y a n d , at t i m e s , i n d i s c r i m i n a t e l y t h e t e r m s

L e a v i n g aside the w h o l e issue of

i n g t h e p o s s i b i l i t y f o r p r e f e c t u r e s to e x p a n d

self-determination

their self-administration and self-determina-

dence.

and

political

indepen-

t i o n w i t h i n t h e e x t a n t p o l i t i c a l f r a m e w o r k . In

f o c u s more explicitly on whether or not these

m y view, there are factors that

undermine

t w o t e r m s c a n b e u s e d as e q u i v a l e n t . I d o n ' t

such a possibility. For e x a m p l e , lower-level

t h i n k that s e l f - d e t e r m i n a t i o n is s o e a s i l y u s e d

government officials, both Chinese and non-

f o r o p e r a t i v e p r o b l e m s , g i v e n its l a c k of c l a r -

I think that legal theory

needs

to

C h i n e s e e t h n i c , f e a r t h e e x p a n s i o n of e t h n i c

ity. It m a y b e m o r e h e l p f u l to u s e s e l f - d e t e r -

m i n o r i t y r i g h t s as a p o t e n t i a l s n o w b a l l p r o b -

m i n a t i o n o n l y in r e f e r e n c e t o

l e m t h a t m i g h t u l t i m a t e l y l e a d to i n d i v i d u a l

matters, although I a m not arguing that w e should ignore the s y m b o l i c i m p o r t a n c e

and group reprisals. The would

relevant be

a

fair

lower-level

question and

concerns

morally

what

desirable

a r r a n g e m e n t f o r s e c u r i n g m i n o r i t y r i g h t s in C h i n a today. Also, Pei did not d e f i n e self-determination with regard to the C h i n e s e con-

of

t h e c o n c e p t of s e l f - d e t e r m i n a t i o n as a b r i d g e f r o m the past to the present to the f u t u r e . I a m m e r e l y s u g g e s t i n g that w e m a y n e e d to m a k e a p p r o p r i a t e s h i f t s in t h e l e g a l a n d p o litical p a r a d i g m w i t h r e g a r d t o s e l f - d e t e r m i -

Summary of International

Conferences

on

445

Self-Determination

are not the

i n c o n s i s t e n c y in their actions. T h e result is

same as present conditions with regard to the

that they have not taken actions with regard

meaning and application o f the concept. R e -

to self-determination and self-administration.

garding paradigm shifts, I also think that we

M y final point is that we are f o c u s i n g c o n -

need

sistently on these issues that divide us, rather

nation, if past c i r c u m s t a n c e s

to

pay

more

attention

to

Boutro

Boutros- G h a l i ' s observation that the state as

than

the main building block o f the current inter-

common.

on those

issues

which

we

have

in

national system is problematic. In short, selfdetermination as it applies to the state and

Michael van Walt van Praag

political independence is probably best un-

I wonder if we can speak about the implo-

derstood as a transitional concept.

sion o f the center in China as a likely simul-

With regard to self-administration as po-

taneity with the rising power o f ethnic mi-

litical administration by ethnic minorities, it

norities. Is this an accurate characterization?

is important to recognize (and this point ap-

In fact the fear o f losing part o f China if au-

plies to the case o f China as well) that self-

tonomy is given to minorities on a local

con-

basis is. indeed, a universal characteristic o f

nected solely to ethnic minorities. Rather,

all empires. M o r e o v e r , in g e n e r a l , I found

some minorities, which are not defined eth-

the presentation on China highly theoretical

administration

has not always been

nically but are defined e c o n o m i c a l l y (e.g.,

in nature, insofar as it ignored the practical

Hong K o n g and M a c a o o f f e r good c a s e s in

reality that the decision to offer local admin-

point), have been great successes in terms o f

istrative autonomy is outweighed by the fact

self-administration. T h e s e two regions (Hong

that policy decisions are handed down from

Kong and M a c a o ) are labelled special admin-

the central government.

istrative regions, enjoying enormous amounts o f autonomy, and represent successful c a s e s

Paula Escarameia

o f the extension o f self-administration where

I want to stress that discussions o f words and

the definitive criterion was not ethnic minor-

language are not merely matters o f theoreti-

ity status. It might be useful for us to think

cal

about Hong Kong and M a c a o as models for

must be understood as reflective o f the gov-

the elaboration o f our overall project on self-

ernment's overall approach to issues o f self-

determination and self-administration.

determination

interest.

Rather,

and

words

and

language

self-administration;

so

c h a n g e s in wording and language with re-

Giandomenico Picco

gard to these issues require the consensus o f

I think that the previous panel's approach

all parties c o n c e r n e d , since the implications

was very conservative. For the first time we

are so enormous both in symbolic and practi-

have heard that there is tremendous concern

cal terms. Moreover, particularly with regard

that the nation-state is evolving e x t r e m e l y

to the preservation and protection o f sanctity

rapidly. Yet what is surprising is the fact that

o f contract, agreement on words and lan-

many o f the things that we are now begin-

guage is essential for all parties concerned.

ning to mention (both in this seminar and in international political fora) have been extant

Richard Falk

for a long time. T h e problem is, as the previ-

Regarding P i c c o ' s ideas on the relationship

ous commentator noted, that we have no ap-

between law and reality and the fact that the

propriate t e r m i n o l o g y for dealing with e m -

general pattern s e e m s to be one where revi-

pirical realities. M y c o n c e r n , however, goes

sions in the legal framework are lagging be-

beyond terminology, although it is related to

hind changes in empirical reality, I think that

this problem: namely, that the member states

it is important to underscore the establish-

o f the UN, given the lack o f appropriate ter-

ment o f law at least as a useful tool in peace-

minology

terminological

fully shaping life. In other words, the pur-

clarity, have been fearful o f being accused o f

pose o f naming is to c r e a t e alternatives to

and the lack o f

446 violence—this is also the purpose of our exploration of the similarities and d i f f e r e n c e s between the meaning and implementation of self-determination and self-administration. In order to transcend violence as a m o d e of p r o b l e m - s o l v i n g in the international arena, we need to attend to the importance of language and naming. Another point that 1 want to stress is the importance of mobilizing claims of support for the legitimacy of selfdetermination, which in turn can help to avoid violence.

Susanne Rudolph We are focusing on legal naming and its consequences. but all forms of naming (not just legal) have important practical consequences. For example, by discussing Ladino and Mayan as self-contained and oppositional categories, are we creating a new reality or are we simply capturing what is happening?

Paula Escarameia 1 think that there is tension between very general terminology versus specific formulations of terms. With regard to self-determination, there are many documents that speak of self-determination in general terms, but the generality of this terminology makes for c o m p l e x problems of interpretation when it c o m e s to implementation of institutional structures meant to result in and to protect self-determination. [Presentation by Atul Kohli on "Self-Determination in India"]

Atul Kohli I will present some of the highlights f r o m my paper on "The Bell Curve of Ethnic Politics: The Rise and Decline of Ethnic Politics in India. The paper deals with three of the n u m e r o u s self-determination movements which have c o n f r o n t e d the centralized state in India: the Tamils in Tamilnadu in the 1 9 5 0 s - 1 9 6 0 s , the Sikhs in P u n j a b in the 1980s and the M u s l i m s in K a s h m i r today. T h e paper tries to explain both the rise and potential decline of self-determination move-

Appendix

3

ment, based on a comparative analysis of the aforementioned three cases. I begin f r o m the assumption that it should c o m e as no surprise when d e m a n d s for increasing control and power are expressed by ethnic groups within a multicultural state such as India. The outcomes of these demands for selfdetermination, however, are usually conditioned by the interaction of the degree of cohesiveness of the self-determination movement, the responsiveness of the state to the d e m a n d s of the self-determination m o v e ment, and the relative longevity of the selfdetermination movement. The interaction of these three factors defines the political context in which self-determination m o v e m e n t s are played out. Additionally, the trajectory of rise and decline of self-determination movements is also informed by the degree of effectiveness in resource mobilization by the movements. The paper argues that the political context is constrained by how well the central authority is institutionalized and on the willingness of the central authority to share power with those groups demanding self-determination. I conclude that, given a positive response to both of those points, the trajectory of self-determination m o v e m e n t s is likely to follow a bell curve. T h e three Indian cases demonstrate support for the theoretical f r a m e w o r k . Indeed, two of the three self-determination m o v e m e n t s (Tamil nationalism and Sikh nationalism) fit well with the bell curve trajectory. The Sikhs in the Punjab are a case that deserves a lot of attention, since it represents a success story with regard to self-determination m o v e m e n t s and the peaceful resolution of such demands. The Kashmir case fits least well with the theoretical f r a m e w o r k set out in the paper, but this apparent lack of fit reflects the fact that the case is still in the process of resolution as well as the fact that there are particularities to the case which explain its divergence (e.g., the H i n d u - M u s l i m problem has psychological and emotional aspects which differentiate it from the Sikh or Tamil cases; the existence of Pakistan makes the Hindu-Muslim issue a power conflict of both inter- and

Summary

of International

Conferences

on

Self-Determination

447

intra-state dimensions; the central government in India is itself plagued by p r o b l e m s so that it can not easily afford to m a k e concessions where the Muslims in K a s h m i r are concerned; etc.). However, having said all of the above, the paper makes the tentative conclusion that the Kashmir case of self-determination eventually will follow the bell curve trajectory of rise and decline that was followed by the other two cases.

rope insofar as he specifically addresses internal attacks on the multinational state by India's own leaders. Indian leaders have taken a range of approaches to managing Indian multinationalism (e.g., Gandhi e m p h a sized linguistic-cultural issues; N e h r u emphasized rationalism; and Indira G a n h d i dealt with the interface between centralization of the state structure, on the o n e hand, and shared sovereignty, on the other).

Susanne Rudolph

Michael van Walt van Praag

At the heart of our discussion is the fact that there is a propensity to frame all discussions about the state in terms of sovereignty (that is, the monopoly on sovereignty). I take the Liechtenstein Draft Convention to be a particularly useful way of rethinking the issue of sovereignty, in fact by c o n f r o n t i n g the claims of monopoly models of sovereignty (e.g., the traditional nation-state) and by reconceptualizing sovereignty in n o n m o n o p olistic terms. Self-determination can be thought of in two respects—either in internal terms, as brokered within the extant nationstate structure and political system, or in external terms, as a breaking out of the extant nation-state structure into independence.

It would be helpful to hear f r o m and to include in our discussions the c l a i m a n t s for self-determination, rather than only f r o m the states or experts. I also want to note that I very much agree with Hurst's idea for having a UN body that deals with minorities, peoples, and communities. With regard to the origins of self-determination, we must distinguish between selfdetermination as a d e s i r e — a basic human feeling for the inalienable right of peoples to decide their o w n destiny which is inseparable f r o m democracy in its philosophical conception, and self-determination as a legal concept which is piocessual and reflects the right to participate in the process of deciding what one wants that is, the right to choose by virtue of having a process at one's disposal. The Liechtenstein project is useful precisely because it highlights the fact that we have self-determination in the first respect but not in the second respect.

The Liechtenstein Draft seems to be moving toward a combination or a synthesis of the aforementioned two ways of thinking about sovereignty, by discussing state structures and arrangements for new m e t h o d s of sharing sovereignty. Nonetheless, we need to keep in mind that there are other w a y s than state structures to think about sovereignty. We need to think sociologically. For example, K o h l i ' s paper raises the very important issue of political parties as vehicles that must be taken into account when we speak of selfdetermination. India is a case that is particularly relevant f o r thinking about Europe. Indian and European diversity have much in c o m m o n , and the problems of self-determination confronted by the E u r o p e a n nation-states and, now, by the E u r o p e a n Union, as well as those confronted by India, should be considered in c o m p a r a t i v e terms. Kohli's paper is especially interesting f o r contemporary Eu-

Another point which deserves emphasis is the fact that self-determination is so often conflated with independence. This is a popular misconception, but it is also a fallacy that is deliberately cultivated by states themselves in reaction against internal m o v e ments of s e l f - d e t e r m i n a t i o n — f o r e x a m p l e , states label self-determination m o v e m e n t s as separatist m o v e m e n t s in order that states might gain international support f o r state preservation. Yet the a f o r e m e n t i o n e d posture, paradoxically, often forces self-determination m o v e m e n t s to b e c o m e i n d e p e n d e n c e movements. Finally, I think we need to c o n s i d e r in detail the present tendency of the interna-

448

Appendix

3

tional political c o m m u n i t y to view the prin-

s i d e i n t e r f e r e n c e h a s p l a y e d a r o l e in t h e

ciple

Tamil case, but I would not characterize such

of

territorial

integrity

in

absolutist

t e r m s , s o that s e l f - d e t e r m i n a t i o n h a s n o p o s -

i n t e r f e r e n c e a s t h e d e t e r m i n a n t f a c t o r in t h e

s i b i l i t y of r e a l i z a t i o n if it c o m p e t e s w i t h t h e

outcome.

p r i n c i p l e of t e r r i t o r i a l i n t e g r i t y . T h e R u s s i a C h e c h n y a c a s e is a s a d e x a m p l e of t h e i n t e r -

Susanne Rudolph

national c o m m u n i t y ' s support for territorial

Regarding the distinction between p o w e r and

i n t e g r i t y at all c o s t s . T h e o u t c o m e of s u c h an

s o v e r e i g n t y , I w o u l d say t h a t t h e f o r m e r h a s

absolutist stance has b e e n to drive the con-

empirical implications and the latter has nor-

flict inevitably t o w a r d s d e m a n d s for separa-

mative implications. These differences are

tion.

i m p o r t a n t , a n d I t a k e t h e n o r m a t i v e p o i n t as To conclude, we must think about

the

o r i g i n s of d e m a n d s f o r s e l f - d e t e r m i n a t i o n b y r e t u r n i n g t o t h e n o t i o n t h a t s o v e r e i g n t y lies

e s p e c i a l l y s e r i o u s s i n c e it is h o w p e o p l e j u s t i f y t h i n g s to t h e m s e l v e s .

w i t h t h e p e o p l e a n d that s o v e r e i g n t y s h o u l d

Michael van Walt van Praag

lie w i t h t h e p e o p l e . A s l o n g as t h e p e o p l e

T h e L i e c h t e n s t e i n p r o j e c t is o n e of

p e r c e i v e that g o v e r n a n c e is l e g i t i m a t e , t h e n

i m a g i n a t i v e o p t i o n s o p e n to t h e i n t e r n a t i o n a l

t h e s o v e r e i g n t y c r i t e r i o n in t h e a f o r e m e n -

c o m m u n i t y a n d t o n a t i o n - s t a t e s in o r d e r t o

t i o n e d r e s p e c t is u p h e l d . O t h e r w i s e , t h e t e n -

d e a l w i t h t h e i s s u e of s e l f - d e t e r m i n a t i o n . T o

d e n c y f o r s e l f - d e t e r m i n a t i o n to b e c o m e s e p -

get b a c k to t h e q u e s t i o n of s t a t e s ' w i l l i n g n e s s

aratism increases strongly.

to share resources, I think that states today

many

d e m o n s t r a t e a s e r i o u s i n f l e x i b i l i t y in t h e i r w i l l i n g n e s s to share either political or eco-

Giandomenico Picco S e l f - d e t e r m i n a t i o n , a f t e r a l l , is a b o u t

pro-

n o m i c or other resources. I also agree with

viding a voice for those w h o do not

have

t h e p o i n t r e g a r d i n g t h e d u a l t e n d e n c i e s of p r e s e r v i n g t h e t e r r i t o r i a l i n t e g r i t y of e x i s t i n g

statehood. T h e key contribution that the L i e c h t e n -

n a t i o n - s t a t e s at all c o s t s a n d t h e

retrench-

s t e i n p r o j e c t c a n m a k e is to g e t s t a t e s to u n -

m e n t a n d d i s s o l u t i o n of e x t a n t t e r r i t o r i a l e n -

derstand

tities. T h e i m p o r t a n t p o i n t is to b a l a n c e t h e s e

that t h e y c a n g i v e s u c h a

voice

w h i l e simultaneously p r e s e r v i n g the state. I

t w o t e n d e n c i e s a c c o r d i n g to t h e

a l s o w a n t to a d m i t that I w a s p u z z l e d by t h e

e x i g e n c i e s of e a c h s i t u a t i o n .

argument

about the international

particular

commu-

n i t y ' s a b s o l u t e p r i o r i t i z a t i o n of t e r r i t o r i a l in-

Sir John Thomson

tegrity, since cases such as the

Common-

I t h i n k t h a t t h e c o m p l e x i t y of I n d i a n s o c i e t y

w e a l t h of I n d e p e n d e n t S t a t e s , E r i t r e a , a n d

is, p a r a d o x i c a l l y , a p r o t e c t i o n a g a i n s t d i s s o -

Y u g o s l a v i a s e e m to s u g g e s t o t h e r w i s e . I n -

l u t i o n . T h e m a n y p e o p l e in I n d i a s e e t h e m -

d e e d , how do w e d r a w the line a r o u n d the

s e l v e s a n d a r e s e e n in m a n y d i f f e r e n t w a y s —

l i m i t f o r t h e p r e s e r v a t i o n of t e r r i t o r i a l

they

in-

have

multiple

identities

defined

t e g r i t y at all c o s t s — d o w e s t o p at t h e n a t i o n -

a c c o r d i n g to r e l i g i o n , c l a s s , c a s t e , a n d p a r t y .

state, the city-state, or the i n d i v i d u a l ?

The more you have a society where individ-

Fi-

n a l l y , I t h i n k it w o u l d b e h e l p f u l t o d i s c u s s

uals can b e l o n g to several d i f f e r e n t g r o u p s

the practical distinction b e t w e e n sovereignty

w i t h o u t b e i n g d i s l o y a l , t h e g r e a t e r is t h e

and power.

likelihood

of

solidifying

democracy

and

peace while simultaneously respecting and

A tul Kohli

protecting self-determination.

R e g a r d i n g s o m e of t h e e a r l i e r c o m m e n t s o n

O n a n o t h e r n o t e , t h e f a c t that m o s t p e o -

the Tamils, I do not agree that the Tamils

ple think about s e l f - d e t e r m i n a t i o n as equiv-

w e r e a c a s e of a b a r g a i n i n g p r o c e s s in a m u l -

a l e n t t o i n d e p e n d e n c e r e f l e c t s t h e o r i g i n s of

t i c u l t u r a l d e m o c r a c y , as o p p o s e d t o a s e l f - d e -

h o w the concept was first d e v e l o p e d and im-

termination m o v e m e n t . I also think that out-

p l e m e n t e d . It will t a k e a l o n g t i m e t o r e d e -

Summary of International Conferences on

Self-Determination

fine self-determination. Also, I think that we should talk as little as possible about sovereignty, in discussions of self-determination, since sovereignty only complicates the problem. A m b a s s a d o r Slavi P a s h o v s k i ( B u l g a r i a ) We have seen thus far in the discussions the diversity of approaches to dealing with the question of self-determination. I want to attend to the specific philosophical aspect of self-determination, and this deals with the meaning of sovereignty. You may recall that sovereignty in feudal societies was a means of structuring social relations at a time when Europe was so diversified that the nationstate became a necessity. The notion of shared sovereignty is a contradiction in terms against this historical backdrop, since sovereignty at its inception implied an imbalance or superiority of power for the monarch. Finally, I also think that religion must be introduced to discussions about selfdetermination, since self-determination deals with conceptions about humanity (determination of what is the self against what is the other, and how) that directly are grounded in religion. Radha Kumar I am not convinced about the viability of Kohli's Bell Curve trajectory. What about Kashmir and the Northeast? Shouldn't we think about cyclical trajectories of self-determination? Rob Zaagman On the one hand, the O S C E has shown more support for the principle of territorial integrity than for that of self-determination. However, the O S C E ' s raison d'être is interference in the internal affairs of its member states. Moreover, the High Commission on National Minorities also is premised on interference in the domestic affairs of nationstates. I have a problem with the discussion's focus on territorial arrangements, since there

449

are modes other than state territorial integrity which should be explored as new means of dealing with self-determination. Anthony Barnett We should think more about self-determination in terms of the rights of communities to move from one state to another and in terms of internal (state) border changes. Atul K o h l i I would express a fair amount of agreement with Sir John Thomson's comments. A quick caveat about scholarly independence is also in order, as well: simply, I am not promoting anything in my paper. Prince Hans Adam has provided us with a valuable opportunity to think about matters of self-determination, but the results of this initiative are, as far as 1 am concerned, wide open. Regarding Kumar's comment, in each of the three cases I mentioned, there was a majority of the population asking for self-determination; the demands of this group and their mobilization escalated in response to state responses; and then there was a de-escalation. Finally, I find Susanne Rudolph's metaphor of an undulating trajectory an interesting one. I am struggling for something between primordialism and constructivism in conceptualizing these issues, although I tend to come down closer to constructivism. Susanne Rudolph Kohli's rejection of trajectories of undulation seems to be rooted in his belief in the predictive capacities of the social sciences. 1 think that the notion of an undulation trajectory is useful precisely because it allows us to argue that there is continuity with regard to selfdetermination patterns while also recognizing the enormous changes and reconstructions of demands for and conceptions of self-determination along this pattern of continuity. The changes occur in response to the strategic interests of particular actors and in response to macro-historical movement.

450

Appendix

3

Day 2: June 10, 1995 Sir Arthur Watts In t h i n k i n g a b o u t y e s t e r d a y ' s p r o c e e d i n g s , I b e l i e v e it is i m p o r t a n t to m e n t i o n t h a t o u r a p p r o a c h with the L i e c h t e n s t e i n Initiative is a g r a d u a l o n e w h i c h is m e a n t to a c k n o w l e d g e t h e r e l e v a n c e of c h a n g e s in b o t h the c u l t u r a l and p o l i t i c a l f a c t o r s a f f e c t i n g s e l f d e t e r m i n a t i o n . I also t h i n k that it b e a r s reite r a t i o n that w e are well f a m i l i a r w i t h the p r i n c i p l e of s e l f - d e t e r m i n a t i o n in its v a r i o u s a r t i c u l a t i o n s , but w e are c o n c e r n e d t h a t imp l e m e n t a t i o n of t h e s e v a r i o u s a r t i c u l a t i o n s is w e a k . T h e L i e c h t e n s t e i n I n i t i a t i v e is d e d i c a t e d to dealing with that w e a k n e s s in i m p l e m e n t a t i o n , by h e l p i n g s t a t e s a n d c o m m u n i t i e s to m a n a g e e f f e c t i v e l y a n d s p e c i f i c a l l y t h e v a g a r i e s and c h a l l e n g e s of s e l f - d e t e r m i nation. In r e s p o n s e to s e v e r a l p e r s o n ' s q u e r i e s a b o u t h o w the L i e c h t e n s t e i n D r a f t C o n v e n tion m i g h t h a v e been used had it been available o v e r the past f i v e y e a r s , I think that this is a very difficult q u e s t i o n b e c a u s e it r e m a i n s at a certain level of a b s t r a c t i o n . H o w e v e r , if t h e C o n v e n t i o n had b e e n in p l a c e w h e n a p r o b l e m arose, then a r e p r e s e n t a t i v e f r o m the community demanding selfdetermination c o u l d h a v e a p p r o a c h e d t h e S e c r e t a r y and a s k e d f o r r e l e v a n t e x a m p l e s that m i g h t h a v e b e e n u s e f u l in f o l l o w i n g t h r o u g h on the spec i f i c c a s e in p o i n t . T h e r e w o u l d not h a v e b e e n a n y c o m p u l s i o n to g o to the S e c r e t a r y n o r to f o l l o w his o v e r t u r e s , but at least there w o u l d h a v e b e e n an o p p o r t u n i t y to s e e k ass i s t a n c e in a very practical s e n s e .

Michèle Lamont I will try to s k e t c h out the m a i n p o i n t s in m y p a p e r . T h e q u e s t i o n of s e l f - d e t e r m i n a t i o n in Q u é b e c is m o r e u r g e n t t h a n e v e r at t h e p r e sent t i m e . T h e i n d e p e n d e n t i s t s h a v e a g r e e d o n a p r o p o s a l f o r a r e f e r e n d u m , on the m a t t e r of p o l i t i c a l i n d e p e n d e n c e f o r Q u é b e c and an e c o n o m i c r e l a t i o n s h i p w i t h C a n a d a that w o u l d be s i m i l a r to the s t r u c t u r e of t h e E u r o p e a n U n i o n . T h e s u r v e y d a t a s h o w that f i f t y - f i v e p e r c e n t of the p o p u l a t i o n w o u l d acc e p t s u c h a p r o p o s a l at p r e s e n t , w i t h o n e

y e a r to n e g o t i a t e the a g r e e m e n t b e t w e e n the Q u é b é c o i s a n d the C a n a d i a n g o v e r n m e n t . T h i s is a s i t u a t i o n w h e r e Sir A r t h u r W a t t s ' p r o p o s a l s w o u l d be v e r y u s e f u l . I a m c o n c e r n e d in t h e p a p e r with the actual d e b a t e as it has p l a y e d itself out. I h a v e tried to t r a c e the c u l t u r a l s e g m e n t a t i o n in Q u é b é c o i s society that h a s f o s t e r e d the selfdetermination claims. Self-determination c l a i m s are likely to be f o u n d in c o m m u n i t i e s with a s t r o n g s e n s e of s h a r e d identity. T h e m e m b e r s view t h e m s e l v e s a n d e a c h o t h e r as significant others w h o share worldviews. T h i s s t r o n g c o l l e c t i v e i d e n t i f i c a t i o n is o n e of the key c o m p o n e n t s of the Q u é b é c o i s m o v e m e n t , and is g r o u n d e d in e c o n o m i c e x p l o i t a tion and political s u b o r d i n a t i o n . T h e rhetoric u s u a l l y d o w n p l a y s the s a l i e n c e of r a c e and p o v e r t y (as in the U . S . ) or i m m i g r a t i o n and c i t i z e n s h i p (as in F r a n c e ) as a l t e r n a t i v e m o d els of r e l e v a n c e f o r the Q u é b é c o i s . H o w e v e r , the d e b a t e s in the U . S . and F r a n c e , a l t h o u g h s t r u c t u r e d a r o u n d the a f o r e m e n t i o n e d issues, a l s o are c e n t e r e d on t h e q u e s t i o n of the self and the other, w h i c h is at t h e h e a r t of the Q u é b é c o i s d e b a t e . M y p a p e r s e e k s to c o n s i d e r h o w the U . S . a n d F r e n c h c a s e s m i g h t lend s o m e c o m p a r a t i v e i n s i g h t s i n t o the Québécois debate. M y w o r k d r a w s o n i n t e r v i e w s with F r e n c h and A m e r i c a n w o r k e r s , as well as on the d e b a t e s a m o n g s t p u b l i c i n t e l l e c t u a l s in Q u é b e c , in o r d e r to get a s e n s e of the s p e c t r u m of self and o t h e r . P u b l i c i n t e l l e c t u a l s h a v e t e n d e d to f o c u s e i t h e r o n t h e i n d e p e n dentist project with i n c l u s i v e a n d c o s m o p o l i tan c h a r a c t e r i s t i c s o r on the i n d e p e n d e n t i s t p r o j e c t with e x c l u s i v i s t / m o r a l d e f i n i t i o n s of a b o u n d e d c o m m u n i t y . W h a t w e see in all t h r e e c a s e s is the e m e r g e n c e of a c o m p a r a tive s o c i o l o g y of b o u n d a r i e s of i n c l u s i o n and e x c l u s i o n . H o w e v e r , the q u e s t f o r s e l f - d e t e r m i n a t i o n is e p i t o m i z e d b y t h e Q u é b é c o i s case, w h i c h can shed light on t h e g e n e r a l social d y n a m i c s i n v o l v e d in s e l f - d e t e r m i n a t i o n m o v e m e n t s as a w h o l e . In F r a n c e , the e x c l u s i o n of a g r o w i n g n u m b e r of M u s l i m i m m i g r a n t s m u s t be c o n -

Summary

of International

textualized

within

Conferences

the

on

Republican

451

Self-Determination

ideals

Robert Putnam

w h i c h negate particularism and within the

A s I understood the dynamics o f this confer-

c o n t e x t o f a state as the e x c l u s i v e represen-

ence, this panel is a transition away from

tative o f c o m m o n interests. French national-

non-Western to Western industrial countries.

ity draws c l e a r lines between in and out

In L a m o n t ' s paper, I know the U . S . c a s e the

g r o u p s , and downplays social stratification

best, so I will concentrate my c o m m e n t s on

along fragmented lines. T h e immigrant issue

the U. S . As L a m o n t correctly noted, there

c h a l l e n g e s all o f the aforementioned c o n c e p -

exists a long-standing tradition o f social seg-

tualization, but those who continue to pro-

mentation, and her paper offers a strong con-

pound the extant model o f the nation-state in

tribution to studies on the logic o f social seg-

F r a n c e argue that the unwillingness o f Mus-

mentation.

lim immigrants to assimilate while accepting s o c i a l and e c o n o m i c benefits, enormous social costs to the nation.

T h e contribution o f the paper is especially strong in terms o f its e x p l i c i t l y c o m parative

dimension,

and

in terms

of

its

interviews

provocative c o n c l u s i o n : namely, that tradi-

s h o w e d that workers associate poverty with

tion exerts a powerful impact on the unfold-

In the A m e r i c a n c a s e , my

c h a r a c t e r i s t i c s o f laziness, etc., and that the

ing logic o f social segmentation. F o r e x a m -

o v e r a l l political discourse on multicultural-

ple, the R e p u b l i c a n J a c o b i n tradition o f two

ism is informed by this view. We are speak-

centuries ago exerts a strong impact on cur-

ing about a model o f social mobility and

rent debates in F r a n c e c o n c e r n i n g

achievement. Racist arguments are framed in

ship; the statue o f liberty and other symbols

terms o f a moral discourse along the afore-

o f arrival remain key in current U. S . debates

m e n t i o n e d lines, and Caucasian immigrants

on

are made to feel part of the United States o f

rights o f c o m m u n i t i e s . Another strong con-

A m e r i c a n workers.

tribution o f L a m o n t ' s paper lies in the taxon-

In the Q u é b é c o i s c a s e , the social net-

citizenship,

identity,

and

citizen-

democratic

omy o f specific logics o f social segmentation

French

which she sets out: France (citizenship, immi-

m o d e l s . Canadian society is deeply divided,

gration, and religion); Q u é b e c (language and

with the lines o f division along Q u é b é c o i s

culture); and the U . S . (race and c l a s s ) . In-

versus other. T h e Q u é b é c o i s identify them-

deed, one o f the most striking points which

work differs from the U. S . and

s e l v e s as a distinct nation, although there

she

are A n g l o p h o n e versus F r a n c o p h o n e

dis-

poverty in constructing debates on c o m m u -

raises

concerns

the

importance

of

t i n c t i o n s within the Q u é b é c o i s group. In-

nity and citizenship in the U . S . Yet another

d e e d . the language d i f f e r e n c e s within the

important contribution o f the L a m o n t paper

Q u é b é c o i s group has led to a new s a l i e n c e

concerns

for the quest for a m o r e c o s m o p o l i t a n , plu-

which represents an interesting innovation

her

methodological

approach,

ralist, incorporative (i.e., E n g l i s h Canadians

with regard to elucidating the formulation

included) p r o j e c t . T h i s view is beginning to

and reformulation o f patterns o f the social

be m o r e clearly and regularly articulated in

self. B y e x a m i n i n g the moral stories and

the d i s c o u r s e o f Q u é b é c o i s public intellec-

frontier dreams which people use to c o n -

tuals.

struct their worlds, L a m o n t gets at the c o n -

Finally,

I

think

that

the

differences

amongst the three c a s e s point to the necessity to look m o r e c a r e f u l l y at moral stereotyping o f groups, in order to see how external versus internal boundaries are constructed and how these boundaries affect the possibility for the success o f varying self-determination movements.

stant

reformulation

o f patterns

of

social

segmentation. L a m o n t ' s m e t h o d o l o g i c a l approach differs s i g n i f i c a n t l y from

common

approaches which look at behavioral similarities, such as voting patterns, in order to identify how patterns o f social segmentation are formed. T h e r e are several questions raised but

452

Appendix

3

n o t a d d r e s s e d b y L a m o n t ' s p a p e r . F i r s t , is

P u t n a m t r a n s l a t e d p o v e r t y as c l a s s , but I u n -

h e r t o p o l o g y of t h e l o g i c of s o c i a l s e g m e n t a -

d e r s t o o d p o v e r t y as s o m e t h i n g o t h e r

t i o n t o o m u c h of a s i m p l i f i c a t i o n ? S e c o n d ,

c l a s s in L a m o n t ' s a n a l y s i s . T h a t is, t h e U . S .

w h a t a r e t h e b r o a d e s t t r e n d s in t h e i n t e r n a -

c a s e s h o w s p o v e r t y as a m o r a l r a t h e r t h a n a

t i o n a l a r e n a w i t h r e g a r d t o d e g r e e s of i m m i -

m a t e r i a l c a t e g o r y ( i , e . , p o v e r t y as l a z i n e s s ,

than

g r a t i o n a n d its i m p a c t s o n s o c i a l s e g m e n t a -

f e c k l e s s n e s s r a t h e r t h a n p o v e r t y as l a c k of

t i o n ? F o r e x a m p l e , p h y s i c a l d i s t a n c e in t h e

e c o n o m i c w e a l t h ) . A l s o , r e g a r d i n g the three

c o n t e m p o r a r y g l o b a l e n v i r o n m e n t h a s lost its

p o s s i b l e s c e n a r i o s r a i s e d by P u t n a m , I w o u l d

given

like to suggest a f o u r t h possibility, n a m e l y

technological c h a n g e s w h i c h e l i m i n a t e dis-

t h a t of s t a b l e c o m p a r t m e n t a l i z a t i o n : t h a t is,

meaning

as a s o c i a l

differentiator,

t a n c e . W h a t a r e t h e c o n s e q u e n c e s of s u c h

societies have s h o w e d stability over time,

t e c h n o l o g i c a l c h a n g e s and their e f f e c t s on

e v e n w i t h the r e c o g n i t i o n of c o n s i d e r a b l e dif-

p h y s i c a l d i s t a n c e f o r l o n g - t e r m p a t t e r n s of

f e r e n c e . T h i s s u g g e s t s the possibility of an in-

social s e g m e n t a t i o n ? I see three possible an-

termediate situation whereby individual com-

swers. First, we m a y witness the e m e r g e n c e

munities

of a g l o b a l c o m m u n i t y that c e l e b r a t e s m u l t i -

c o m m u n i t y w o u l d b e civil to t h e o t h e r c o m -

would survive, people from each

Second,

m u n i t y , but s e p a r a t e n e s s w o u l d b e m a i n t a i n e d .

w e m a y s e e g l o b a l B a l k a n i z a t i o n , w h e r e tra-

T h i s n o t i o n of s t a b l e c o m p a r t m e n t a l i z a t i o n is

d i t i o n a l c o m m u n i t i e s r o o t e d in b l o o d

b a s e d on t h e p r e m i s e that s e p a r a t e n e s s and ci-

culturalism

and c o s m o p o l i t a n i s m .

and

c u l t u r e b e c o m e r e p l i c a t e d at t h e g l o b a l level

vility are not n e c e s s a r i l y e x c l u s i v e .

T h i r d , as o p p o s e d t o e i t h e r g l o b a l m u l t i c u l turalism

or traditional

primordialism,

we

Sir John Thomson

m a y w i t n e s s the d i s i n t e g r a t i o n of c o m m u n i t y

I w o n d e r if P u t n a m m i g h t e l a b o r a t e a bit on

at t h e e x p e n s e of a h e g e m o n i c

the first and third options which he raises.

atomization

and individualization.

Michèle Lamont Lionel Hurst

R u d o l p h ' s c o m m e n t s o n t h e c o n c e p t i o n of

I raise the s a m e question w h i c h e m e r g e d in yes-

p o v e r t y as a m o r a l r a t h e r t h a n a m a t e r i a l c a t -

t e r d a y ' s discussions: w h a t is the s i g n i f i c a n c e of

e g o r y in t h e U . S . w e r e r i g h t o n t h e m a r k .

the Liechtenstein Draft C o n v e n t i o n on Self-

P o v e r t y m a y b e a d i m e n s i o n of c l a s s , but d i f -

Determination and Self-Administration for

f e r e n t a s p e c t s of c l a s s a r e s t r e s s e d in t h e

the cases e x p l o r e d by L a m o n t and for Put-

U . S . c a s e as o p p o s e d t o t h o s e w h i c h

n a m ' s three possible scenarios regarding pat-

s t r e s s e d in t h e F r e n c h a n d Q u é b é c o i s c a s e s .

t e r n s of s o c i a l s e g m e n t a t i o n a n d c o m m u n i t y

A s f a r as t h e l i n k s b e t w e e n r a c e a n d p o v e r t y

definition? I also w a n t to m e n t i o n that the

a r e c o n c e r n e d , t h e m e n t a l m a p s of s e l f - c o n -

most articulate spokesperson for the division

struction

of t h e U . S . i n t o r a c i a l c o m m u n i t i e s w a s M a l -

s h o w e d that these categories are s o m e t i m e s

that

emerged

in

the

are

research

c o l m X. H e a r g u e d t h a t w h i t e A m e r i c a n s ' re-

linked and are s o m e t i m e s independent. Also,

jection

R u d o l p h ' s n o t i o n of s t a b l e c o m p a r t m e n t a l -

of

the

collective

rights

of

black

A m e r i c a n s m e a n t that the latter should be

i z a t i o n as a s i t u a t i o n w h e r e c i v i l i t y a n d d i f -

granted a separate h o m e l a n d , m u c h as the

ference coexist resonates with m y c o m m e n t s

world did for the J e w s . I raise the M a l c o l m

about h o w the Québécois public intellectuals

X p o i n t b e c a u s e it r e p r e s e n t s o n e e x a m p l e of

m i g h t b r o a d e n t h e i r d i s c o u r s e in a p o t e n t i a l l y

t h e q u e s t f o r s e l f - d e t e r m i n a t i o n in 1 9 6 5 in

constructive manner.

t h e m o s t a d v a n c e d , i n d u s t r i a l i z e d c o u n t r y in the world.

Robert Putnam

Susanne Rudolph

C o n v e n t i o n m i g h t be a p p l i c a b l e to A f r i c a n

I do not k n o w h o w Sir A r t h u r W a t t s ' D r a f t M y interpretation of L a m o n t ' s p a p e r differs

A m e r i c a n s . R e g a r d i n g t h e m e a n i n g of c l a s s ,

f r o m P u t n a m ' s interpretation. I think

I w e l c o m e t h e c o r r e c t i o n in m y i n t e r p r e t a -

that

Summary

of International

Conferences

on

453

Self-Determination

t i o n ; I would point out, however, that the

not break down the barriers built up over his-

word class o c c u r s repeatedly throughout the

tory. T h e introduction o f Christianity into the

paper with regard to the discussion on the

Sudan further deepened the existing splits

U . S . In terms o f the more general questions

between the North and the South.

regarding my threefold future hypotheses, I

T h e North has now shifted from a posi-

merely wanted to cast those three categories

tion o f wanting to dominate the South to a

as p o s s i b l e answers to some o f the questions

position

p r o v o k e d by L a m o n t ' s paper.

which therefore must be r e j e c t e d — i n sim-

important,

however,

in

my

Particularly view

is

the

o f seeing the South as a threat

plest terms, the North began to perceive the

b r o a d e r question o f the erasing o f the im-

South as a threat o f d e - A r a b i z a t i o n o f the

pacts o f physical distance via the a d v a n c e -

North. T h e more that the South has asserted

ment o f technology. I think that this develop-

itself in c h a l l e n g i n g the overall identity o f

ment

enormous

the country, the more the North has turned to

importance in defining communities and for

political extremism and to the absolute rejec-

mobilizing demands for self-determination.

tion o f A r a b - I s l a m i s m . However, the other

has

consequences

of

important point is that Arabism is being out[Presentation by F r a n c i s Deng on " S e l f - D e -

weighed by Islamism as the dominant iden-

termination in the S u d a n " ]

tity for the North. T h e South now has ambitions to restructure the country as a whole, and also r e j e c t s separatism o f any sort. T h e

Francis Deng Sudan,

o u t c o m e might be a form o f self-determina-

where the tension between national identity

tion for the alternative c o m m u n i t i e s within

and self-determination is one o f the longest-

the country as a whole.

My

paper dealt with the case o f

running c o n f l i c t s o f its type in the world.

With regard to the peacemaking process,

T h e Sudanese case o f communal conflict be-

talks have continued interminably but with

tween the North and the South can be under-

no c o n c r e t e results. T h e lack o f results re-

stood

flects ¡he fact thai the parties do not really

only

by

taking

into

account

both

m a c r o h i s t o r i c a l patterns and m i c r o p o l i t i c a l

begin with a c o m m o n discourse, as well as

d y n a m i c s . I will mention some o f the main

the fact that outside mediation has been inef-

points at both levels which help to explain

fective in solving what is actually an identity

the North-South self-determination c o n f l i c t

c o n f l i c t . National identity has been under-

in Sudan.

stood

Trade has facilitated the development o f

in

zero-sum

terms.

Moreover,

the

peace talks have been focused on process

an A r a b - I s l a m i c identity in Northern Sudan,

rather than on the substantive problem

where A r a b i s m and I s l a m i s m are c o m b i n e d

identity. K e n y a , Uganda, Ethiopia, and Er-

of

to m a k e an ethnoreligious model o f c o l l e c -

itrea have begun, as neighbors o f Sudan, to

tive identity. S i g n i f i c a n t l y , the Islamist uni-

offer mediation. However, their offers also

versalism contrasts sharply with the racism

seem to be constrained by a lack o f recogni-

a s s o c i a t e d with being b l a c k and therefore a

tion that the fundamental problem is one o f

potential slave. Indeed, the South, in c o n -

identity. In fact, o n c e Sudan accepted inter-

trast, historically has been a point o f c o n -

mediation offers by their neighbors, the coun-

frontation, with constant external incursions

try entered into discussions with a declaration

by the I s l a m i c world to hunt for slaves, and

o f principles recognizing that the people o f

so identity has been defined in terms very

the South have never really exercised self-de-

North,

termination (even with independence). How-

therefore, the integration o f the South would

ever, since unity continues to be expressed as

have undermined slave-raiding, so the North

a priority over self-determination understood

different from the North. F o r the

did not attempt vigorously to integrate the

as s e c e s s i o n , the o b j e c t i v e b e c o m e s how to

South. Paradoxically, c o l o n i a l i s m made one

create the overall political conditions that

state out o f the North and the South, but did

will sustain Sudan's unity while providing for

454

Appendix

3

the self-determination o f the North and the

should address all o f the

South. O n c e the discussions were framed in

queries, and in particular, needs to c o n s i d e r

aforementioned

the aforementioned terms, the Sudanese gov-

how to handle peacefully self-determination

ernment decided not to continue.

expressed as separatism and secession.

Sudan now faces critical choices regard-

There are several factors, it seems to me,

ing how to proceed with respect to questions

that are a v a i l a b l e for resolution o f the self-

o f self-determination. Three issues are key.

determination p r o b l e m a t i c in Sudan. First,

First, since the basis o f identity is largely fic-

the South can a c c e p t Arabization and Is-

tional, we need to explore the myth o f identity

lamization

in terms of when it became divisive (i.e., when

North. S e c o n d , political elites in both the

did the Sudanese come to think o f themselves

North and the South could more carefully

as Arabs,

thereby

subordinating

non-Arab

and

be

incorporated

into

the

identify their genuine fears and interests as

Africans), and respond by trying to rediscover

control

or to create what Sudan may be. Second, we

sources,

need to think about whether or not it is possi-

ences

ble to structure the internal situation in flexible

thereby could develop institutional m e c h a -

and decentralized terms, while retaining the

nisms to deal with distribution o f c o n t r o l s

state framework o f Sudan. Third, we need to

over e c o n o m i c and military resources. Third,

think about where to go if the second option

various types o f federalist solutions might be

proves impossible—that is, how to respond to

considered. Fourth, the South can reject Ara-

self-determination expressed as secession.

bization and I s l a m i z a t i o n , with the

T o c o n c l u d e , I would point out that the Sudanese case is a m i c r o c o s m o f Africa as a whole. L i k e w i s e , Sudan

is an

interesting

case in that it represents a point o f contact between A f r i c a and Islam. In both respects, Sudan is a problem whose resolution has im-

over

economic

and

military

rather than c a m o u f l a g i n g

re-

differ-

in religious and ethnic terms,

and

result

being secession. In all cases, whether the solution is a federal or unitary state, the key to state survival is a leadership c o m m i t t e d to fairness, j u s t i c e , a c c o m m o d a t i o n , and tolerance. T h e s e are human values that must be actualized, rather than simply decreed, in

portant international implications.

order for any solution to have lasting power.

J. Isawa Elaigwu

Giandomenico Picco

M y c o m m e n t s on D e n g ' s paper are meant to

All o f our d i s c u s s i o n s begin from the as-

be more in the way o f questions rather than

sumption that diversity is equated with the

providing answers. B y way o f an overview,

origins o f tension. In fact, I would submit

I want to point out that Sudan and Nigeria

that diversity can be the origin o f growth and

share many o f the same characteristics: eth-

wealth, in both practical and p h i l o s o p h i c a l

nic pluralism, d i c h o t o m i e s between North

terms. We need to stress this view, I think, in

and South, colonization (the French in Sudan

our discussions.

and the British in Nigeria). However, where

I b a s i c a l l y agree with D e n g ' s paper. I

F r e n c h c o l o n i a l i s m was culturally arrogant

found particularly fascinating his e m p h a s i s

and racially tolerant, the opposite held true

on

for the British form o f colonialism. Nonethe-

m a c r o h i s t o r y and m i c r o p o l i t i c s in order to

addressing

the

interaction

between

less, both forms o f c o l o n i a l i s m were based

understand the d y n a m i c s o f self-deterrnina-

on bigotry.

tion. I think it is worth pointing out that the

D e n g ' s paper raises the f o l l o w i n g im-

condominium o f Britain and Egypt e x e r c i s e d

portant queries: what really constitutes a na-

a particularly p r o b l e m a t i c influence on the

tion; what does s e l f - d e t e r m i n a t i o n mean in

pattern o f self-determination in the S u d a n .

the Sudanese context; why is self-determina-

T h e British were indecisive over whether or

tion a recurrent problematic in Sudan and in

not South Sudan was part o f E a s t A f r i c a or

A f r i c a as a whole; who makes policy and in

North Africa, while Egypt only saw Sudan as

what

part o f the A r a b world. We need to c o n s i d e r

interest?

The

Liechtenstein

project

Summary

of International

Conferences

on

Self-Determination

whether, as with the historical impacts of Britain and Egypt, current external (mis)perceptions of Sudan continue to exacerbate the possibilities for a peaceful resolution of internal problems of self-determination. As an optimist by nature, I found Deng's view that perceptions can be modified encouraging. On this point, I think that the leadership in Sudan has stressed diversity as the significant factor in self-determination issues until now; the leadership, by refocusing on similarity, might create new possibilities for a peaceful resolution of self-determination issues in Sudan. Also, we need to recognize that the weakness of the Sudanese leadership, in some senses, leads to the need to perpetuate friend-foe categories that mitigate against constructive solutions. Indeed, the Sudan case makes it clear that the Liechtenstein Initiative needs to think seriously about the concept of the enemy. Self-determination and self-administration need to account for how enemies are constructed and by w h o m , and needs to emphasize that the real enemy to implementation of self-determination and self-administration is the concept of intolerance. Finally, I think that Deng's paper might have considered more carefully the importance of international factors—particularly economic aid or the lack thereof—in militating against a more speedy and decisive resolution of self-determination problems.

Question from the Audience As Europe and America become increasingly isolationist, A f r i c a is forced to look at itself as the referent for solving its own problems rather than looking to the U.S. or Europe for support. Perhaps if we looked to South Africa, we might discover a useful model for generalization to other parts of A f r i c a . For example, in the Sudanese case, religious differences might be thought of in terms similar to the role that race played in South Africa. Also, M a n d e l a ' s o v e r w h e l m i n g impact on the South African situation demonstrates the importance of leadership in the o u t c o m e of self-determination conflicts.

455

Ambassador Perry Mangoeda The cleavage between the North and the South in Sudan has been allowed to develop so intensely that it will be very difficult to solve, even with structures such as those under consideration by the Liechtenstein Initiative. I wonder, is the Québécois case at all instructive for the Sudanese case?

Stephen Marks Cultural identity is socially constructed and can be politically manipulated. What we h a v e n ' t adequately grappled with is the means by which political manipulation occurs, either with p e a c e f u l o u t c o m e s or with conflictual results. We h a v e n ' t considered, for example, the relevance of constitutionalism In addition, how do we c h a n g e popular perceptions in a way that would allow them to benefit f r o m positive political manipulation through constitutionalism? T h e UN is beginning to deal with the question of how to change popular perceptions, as evidenced by the recently inaugurated decade on human rights education.

Michael Doyle We haven't spoken about the distinctions between the comparative efficacies of international peacemaking versus mediation.

Francis Deng There is something particular, I think, about the Sudanese problem which distinguishes it from the Nigerian case. I am referring to what I might call the balancing issue. That is, the Nigerian case is characterized by a balance, insofar as the North has the weight of n u m b e r s but the South has the weight of profession and economy. In contrast, the Sudanese case is marked by a lack of internal balance, in that the South is marginalized in almost every way. O n e could argue that, if the n o n - A r a b elements of the North united with the South, there might develop a South African situation of the many imposing a solution on the few. The problem is that all in the North feel strengthened by being Arab-

456

Appendix 3

I s l a m i c , so that t h e i r v i e w is that they h a v e

questions o f self-determination and self-ad-

n o t h i n g to gain by i d e n t i f i c a t i o n with the

ministration. Second, the institutionalization o f

S o u t h . T h e North has a difficult time under-

the c o n c e p t o f self-determination in Western

standing the apparent n o n r a c i s t universalism

European organizations can serve as a learning

i f I s l a m is not m o r e a p p e a l i n g than C h r i s -

curve for Southeastern E u r o p e . Third, B e l -

tianity and the E n g l i s h language.

gium, South Tyrol, and C a t a l o n i a offer three

J. Isawa Elaigwu

determination in Europe as a whole today.

interesting c a s e studies f o r questions o f selfD i v e r s i t y as the origin o f g r o w t h and dy-

With regard to Western E u r o p e , there are

n a m i s m , rather than as the origin o f c o n f l i c t ,

a few s p e c i f i c points that I want to m a k e on

is an approach with which I agree. H o w e v e r ,

s e l f - d e t e r m i n a t i o n . First, the interest in self-

diversity d o e s create the possibility for c o n -

d e t e r m i n a t i o n is e s p e c i a l l y r e l e v a n t to cul-

flict, by virtue o f e x p a n d i n g the range o f de-

tural

mands put to states. In a c o n t e x t where there

w h i c h in turn have an e f f e c t in the foreign

are two groups in c o n f l i c t and the mediating

policy domain. S e c o n d , particularly in highly

and l i n g u i s t i c

issues

of

integration,

groups c o n s i s t e n t l y fail to help bring about a

industrialized d e m o c r a c i e s ,

resolution, it may be that only the c o n f l i c t i n g

tion need not n e c e s s a r i l y result in s e c e s s i o n ,

g r o u p s t h e m s e l v e s can bring a r e s o l u t i o n .

but instead m a y be i m p l e m e n t e d in terms o f

self-determina-

A l s o , I want to m a k e a b r i e f c o m m e n t on re-

augmented

l i g i o n . It is not r e l i g i o n per se that is c o n -

T h i r d , the p r o c e s s to obtain higher levels, or

degrees

of

auto-governance.

flictual, but it is the politicization o f religion

increasingly

that g e n e r a t e s c o n f l i c t .

g o v e r n a n c e in Western E u r o p e is a three-

augmented

degrees,

of

auto

tiered process that includes: (a) a multi-actor [ P r e s e n t a t i o n by W o l f g a n g D a n s p e c k g r u b e r

situation: state, r e g i o n a l , and supranational;

on " S e l f - D e t e r m i n a t i o n in C o n t e m p o r a r y Eu-

(b) the recognition that increasing rights and

rope"!

f r e e d o m s o f one c o m m u n i t y will be obtained at the expense o f another, so that there will be

Wolfgang Danspeckgruber

s o m e intrastate rivalry between c o m m u n i t i e s ;

W e h a v e m o v e d p r o g r e s s i v e l y in our f o c u s

and ( c ) the interest o f the third or outside pal-

f r o m s e l f - d e t e r m i n a t i o n to s e l f - a d m i n i s t r a -

ties e x e r t s an i n f l u e n c e on the m e c h a n i s m s

tion. R e g a r d i n g E u r o p e , I want to deal with

for s e l f - d e t e r m i n a t i o n , particularly a f f e c t i n g

these i s s u e s in t e r m s o f s u b s i d i a r i t y and re-

regional stability obtains.

g i o n a l i z a t i o n — I will f o c u s m y r e m a r k s primarily on the Western E u r o p e a n c o n t e x t . In Maastricht, the deepening and intensif i c a t i o n o f integration c o n f r o n t s the problem

In c o n c l u s i o n , I think it is important to e m p h a s i z e that the E u r o p e a n U n i o n has r e c o g n i z e d that subsidiarity and r e g i o n a l i z a t i o n can lead to further integration.

o f r e g i o n a l i z a t i o n . E v e n in W e s t e r n E u r o p e , self-determination

and

self-administration

h a v e a c o m p l e x m e a n i n g that m a y

create

Radha Kumar I want to f o c u s on s e v e r a l s p e c i f i c

points

p r o b l e m s as well as possibilities for political

with regard to s e l f - d e t e r m i n a t i o n ,

i n t e g r a t i o n , e c o n o m i c g r o w t h , and m i l i t a r y

m i n i s t r a t i o n , subsidiarity, and

security.

tion. First, we need to think about h o w to un-

self-ad-

regionaliza-

W h a t does the Western European context

p a c k the c o n c e p t o f s e l f - d e t e r m i n a t i o n . It is

with regard to the a b o v e issues tell us about

o n e thing to talk about s e l f - d e t e r m i n a t i o n in

Southeastern E u r o p e ? First, the historical and

a r e l a t i v e l y p e a c e f u l e n v i r o n m e n t , but w e

theoretical p r o b l e m a t i c s regarding self-deter-

have had to c o n f r o n t d e m a n d s f o r s e l f - d e t e r -

mination are the same in both parts o f Europe,

mination

insofar as there are legal, p s y c h o l o g i c a l , e c o -

B a l k a n s . T h i s reality r a i s e s the p o i n t that,

n o m i c , political, and strategic levels to the

when the s e l f is b e i n g c o n s t r u c t e d through

in

the

context

of

war

in

the

Summary of International Conferences on

Self-Determination

war, the kind of self that will emerge and therefore the forms of self-determination that may follow could well be very different than forms of self-determination that are developed in peaceful contexts. Second, we would do well to consider the differences within a single context that explain alternative outcomes: that is, peacefull instances of self-determination which culminated in secession and/or independence, as against instances of secession/independence that emerged conflictually. I refer here to the former Soviet Union, where dissolution through agreed-upon mechanisms produced, on the one hand, the CIS, and where dissolution through conflictual means has produced war, in the case of Chechnya. Third, we need to think about autonomy and various degrees of self-rule, in contrast to independence. In some cases, independence may be jumping the gun, since the question of who will actually rule in new circumstances of independence is highly undecided. In terms of the issues of self-determination that impinge on the formation of new European security architectures, we have been speaking exclusively in terms of the O S C E . What do we make of the failure of the O S C E to deal effectively with the Yugoslav problem? Is the issue how to stop the war, or is the issue how to create a zone of peace in the war? Is self-determination merely intervention, or is it the creation of institutions that will perpetuate a peace that allows for multiple forms of self-determination to emerge? Robert Zaagman It is quite true that the O S C E has been ineffective in Yugoslavia. However, there is now a discussion in Vienna on what the O S C E will do within the larger European political and security architecture. I want to employ a practical approach, and I bring to these discussions on self-determination a diplomat's perspective of what can be realistically achieved in any given context. The High Commission for National Minorities of the O S C E may have a limited institutional struc-

457

ture, but it has a wide scope. Philosophically, we focus on the individual and not on the community, so self-determination according to the Liechtenstein approach is not addressed by O S C E . The O S C E High Commission looks with great reluctance at self-determination in terms of local/territorial autonomy for groups. As a general statement, therefore, the O S C E prioritizes territorial integrity over self-determination if the latter means impinging on or undermining the extant territorial integrity of the nationstate. However, this approach is because of the political reality in which we live—that is, most states fear dismemberment and secession. I have some reservations with regard to the Liechtenstein Draft. My fear is that the Draft Convention as it stands will not open the minds of many states but, in fact, might do exactly the opposite where territorial arrangements are concerned. I see the Convention as offering not just three options but as offering a process from one option to another; in the final analysis, the Draft Convention accepts secession as a legitimate option in certain cases. If I were a European government, I would see the Charter as dangerous by virtue of its inclusion of the secession option. I think, therefore, that states will refuse to discuss the Liechtenstein Draft Charter precisely because of the inherent danger it poses by including secession, and likewise because of the possibilities it creates for communities to move easily from one option to the next. Finally, I don't think that the national minority issues should be examined exclusively on a territorial basis. However, if we are going to consider self-determination of communities and minorities in territorial terms, we must decouple this from ethnicity and acknowledge that other administrative issues (economic and natural resources and security) come into play. Trimini Velliste, E s t o n i a n R e p r e s e n t a t i v e to t h e U n i t e d N a t i o n s At what pace can we anticipate striving for

458

Appendix

3

more autonomy and for self-determination in

b e c a u s e they led to s e l f - d e t e r m i n a t i o n in a

various regions o f Europe? What are reason-

peaceful manner. However, we must address

able e x p e c t a t i o n s in this regard, and what

the problematic c a s e s as well T h e Yugoslav

can the European Union afford? A l s o , what

c a s e is an e x c e l l e n t learning model particu-

would

larly in terms o f illustrating the negative

East Prussia fare in self-determination de-

o u t c o m e when the international c o m m u n i t y

bates within the European Union context?

deviates from the norm in terms o f dealing

Amitai Etzioni

tion. Additionally, I think it is worth empha-

I think we should think about whether we

sizing that the right o f self-determination is

gain or lose something when we make a dis-

r e c o g n i z e d for peoples and not for minori-

tinction between self-administration and au-

ties,

tonomy, on the one hand, and self-determi-

norms. We must distinguish c l e a r l y who is

nation, on the other.

the b e n e f i c i a r y

about the East Prussia i s s u e — h o w

with self-administration and self-determina-

in

terms

of

existing

international

of self-determination

and

who is the loser. In the Y u g o s l a v c a s e , the international

community

recognized

the

Mario Noblio, Croatian Representative to the United Nations

right o f self-determination for republics but

I think that identity in the Yugoslav case has

not for peoples.

been brought from abroad to local communities, who have now been contaminated, as it were, by politics. I also think that self-determination and self-administration are key issues for c o m m u n i t i e s , but the way in which these things are negotiated are s o m e t i m e s equivalent to the ghettoization and to the creation o f nonviable models for integration.

Regarding the Liechtenstein Initiative, I think that it is a very useful e x e r c i s e but I doubt that the UN will buy it in its current form. Moreover, insofar as the Draft C o n vention is not intended as a binding instrument, I doubt that it will be accepted or utilized by nation-states.

T h e real question is how to have self-deter-

Wolfgang Danspeckgruber

mination and self-administration in tandem

One o f the reasons why the three

with integration.

cases were mentioned was precisely their na-

Sir John Thomson

ture: benign in terms o f demands,

benign mecha-

nisms, and outcomes. I believe that it helped

W h y has nobody raised the UN Declaration

that the respective areas are relatively well

on National M i n o r i t i e s ? It s e e m s to me that

off, economically, that the international c o m -

it is relevant in at least two areas o f our dis-

munity refrained from interfering but indeed

cussion: first, in c a s e s where there is a de-

encouraged peaceful and constructive settle-

mand for self-determination by a community

ment, and that there was no leadership delib-

which has a kin state next door; and second,

erately m a x i m i z i n g stakes involved. O b v i -

in c a s e s where self-determination and self-

ously, popular c o s t - b e n e f i t

administration arise but where the new unit

shapes the m e c h a n i s m o f and i n c e n t i v e s for

with increased self-determination and self-

self-determination.

analysis

often

administration formally accepts the UN Declaration on National Minorities.

Robert Zaagman

Bratislav Djordjevic, Deputy Permanent Representative of Yugoslavia to the United Nations

democracy for any type o f self-determination

I agree with D a n s p e c k g r u b e r that the three

phasized by the O S C E High C o m m i s s i o n . I

c a s e s he r e f e r e n c e d ( B e l g i u m , South Tyrol,

will duck the question by Sir J o h n on the U N

and Catalonia) are useful models to consider

Declaration

I e c h o the comments about the importance o f and self-administration, and I also want to point out that this is a key issue that is e m -

on

National

Minorities—as

Summary

of International

Conferences

on

Self-Determination

e v e r y o n e else h a s — b u t I will say that the

459

by initiatives such as L i e c h t e n s t e i n , on the

consistent lack o f mention speaks to the rel-

one hand, and about internal problematics o f

e v a n c e o f the D e c l a r a t i o n . Incidentally, I

d e m o c r a t i z a t i o n relevant to s p e c i f i c nation-

also want to point out that it is the UN High

states, on the other.

C o m m i s s i o n on National M i n o r i t i e s , rather

Regarding

the c a s e

o f the Kurds

in

than the UN High Commission National Mi-

Turkey, the problem would not be solved

norities. This seemingly irrelevant semantic

simply by an international instrument regard-

distinction was the source o f quite intensive

ing self-determination and s e l f - a d m i n i s t r a -

discussions, since states were emphatic that

tion, but can only be solved through extend-

the UN couldn't be ombudsman for minorities.

ing

it

to

all

groups

in

Turkey

those

democratic rights elaborated in the constitu[Presentation

by John Waterbury on

"The

tion but not applied to all. M o r e o v e r , legal

Limits o f Self-Detrmination"]

instruments relating to d e m o c r a t i c

rights,

John Waterbury

s e l f - d e t e r m i n a t i o n and

I want to present s o m e o f the basic proposi-

should be permissive and neutral rather than

tions which c o m e out in my paper; these

restrictive and specific. S u c h permissive and

which in turn would support the principles o f self-administration,

propositions are not meant to be a x i o m a t i c ,

neutral instruments would not name specific

but I think that they demonstrate validity in a

groups (i.e., would not state that " x " group

variety

must be protected), but instead would be

of

empirical

circumstances.

The

paper works on the assumption that two fac-

f l e x i b l e enough to e n c o m p a s s all sorts o f

tors are in f o r c e with

self-determination:

groups whose identity, indeed, might change

first, that there is an e f f e c t i v e state; and sec-

over time. T h e e v o l v i n g nature o f the iden-

ond, that there is an a b s e n c e o f violent c o n -

tity o f these groups would not present a

flict, internally and externally.

problem to functioning democracy as long as

Let me begin with a few basic observations. Every political unit is, in fact, more or

the groups in question c o n t i n u e to operate within the law.

less an artificial construct, and this is s o m e -

In addition to the Kurdish case, another

thing we need to recognize about the nation-

case

state. W e also need to r e c o g n i z e that most

ideas is that o f confessional representation in

groups

are m a l l e a b l e

and are

which

illustrates

the a b o v e

general

constantly

L e b a n o n . L e b a n o n had l o c k e d itself into a

evolving. Such malleability and evolution is

c o n f e s s i o n a l political s y s t e m , and will re-

a good thing, and we should not discourage

main in this vise until the complete notion o f

these features o f groups (indeed, it may be

citizenship is e f f e c t e d . T h e constitution o f

only race and gender which are not mal-

1 9 4 0 , as well as the redrafted version

leable

1 9 8 9 , however, has structured the entire po-

and

changing).

Regarding

Picco's

c o m m e n t on c h a n g e s in international

of

law

litical i n c e n t i v e system so that groups have

lagging behind c h a n g e s in society, I think

to b e h a v e within the identity construct o f

that his observation is accurate. However, I

their c o n f e s s i o n . Finally, the Southern Sudan

likewise think that law structures realities

illustrates the a b o v e ideas, but we need to

through institutions and incentives, and that

recognize that, if Southern Sudan is allowed

society in turn uses these institutions and in-

to determine its own fate with regard to e x -

centives to restructure c o l l e c t i v e identities.

tension o f rights o f s e l f - d e t e r m i n a t i o n and

Finally, I think that a society that is d e m o c -

self-administration, a new identity crisis may

ratic is three-quarters o f the way h o m e in

be generated in the event that s e c e s s i o n is

terms o f resolving issues o f self-determina-

the o u t c o m e o f the current process.

tion and self-administration; so we need to think simultaneously about the issues o f selfdetermination and self-administration raised

Amitai Etzioni T h e relationship between

democracy

and

460 self-determination needs to be further developed in our discussions under the Liechtenstein Initiative. I also want to highlight the need to speak with the "moral voice." By moral voice, I mean that there is an appeal to values that occur in international relations. Self-determination is a concept that progressive people subscribed to because of the moral resonance of the term, as well as because of the term's functional utility. Where self-determination comes into conflict with democracy, democracy should be given precedence. Where there are repressive regimes that we can not successfully encourage to democratize, self-determination should be emphasized for the immediate term We have to consider the responses of states to democratization, and then to deal with the question of selfdetermination in that larger context of democratization. We also need to consider whether or not secession enhances self-determination and democracy. For example, for the Kurds in Iraq, secession may encourage both self-determination and democracy. However, for the Kurds in Turkey, it is not clear that secession would encourage self-determination, since democratization under way in Turkey may lead to self-determination for the Kurds within the larger context of improved democracy for all of Turkey. Finally, we need to consider the question of double loyalties of a group, with regard to the compatibility for the sustainability of peace and stability. José Ayala-Lasso I agree with Waterbury that we should not name names of specific groups when we are trying to develop mechanisms of self-determination and self-administration. I want to encourage us to focus on the links between self-determination and minority rights. I also want to point out that Havel speaks of what I consider the principal definition of tolerance: shared universal characteristics, in tandem with respect for difference and particularities. Self-determination, as Etzioni noted, is the possibility of becoming free, but this possibility can not be construed as an attitude which will destroy societies in the form

Appendix 3 in which they currently exist. Self-determination and other institutions relating to the principles and status of minorities should be understood as an evolving and open-ended process. There are two points that are problematic, in my view, with regard to the claims that there is an international consensus on the meaning of democracy. First, the international community seems to have proven remarkably ineffective in developing a set of objective criteria that would measure degrees of democracy in a way that allows for the consistent application of the incentive system for global democracy. This failure suggests that there is a lack of global consensus on the meaning of democracy, as well as on the desirability of securing democracy in its maximalist form. Second, we have made reference to cases where it is impossible for the international community to get particular regimes to democratize. The Eastern European case suggests that this is a problematic formulation, since the possibilities for democratization domestically are constrained by international factors. Much of the literature on Southeastern Europe begins from the assumption that these societies are non-democratizable by nature, given their sultanistic legacies, non-Western cultural features, Orthodox-Islamic religious traditions, Sovietization, etc. However, this perception itself determines and constrains the incentive structures which are offered to such societies by the international community, and thereby shape the range of possible outcomes in terms of self-determination and democratization. Levent Koker I disagree with Waterbury's approach to the resolution of the Kurdish problem by means of the full extension of constitutional rights to the Kurdish community (and to all other communities in Turkey). This notion doesn't account for the fact that the Turkish constitution as it stands is a document whose fundamental structure, as well as the state which it constructs, is incompatible with an authentically pluralist democracy. Moreover, this problem is not unique to Turkey. Indeed, I

Summary

of International

Conferences

on

Self-Determination

think that one of the problematics for the Liechtenstein Initiative is to recognize that the nation-state system built according to its current raison d'être is incompatible with the overall goal of building pluralist democracies. Paula Escarameia I am worried about one of the main premises raised in the previous two papers: (hat is, the relationship between democracy and self-determination. I think we need to recognize that many people who are d e m a n d i n g selfdetermination are not necessarily interested in democracy. John Waterbury I liked Etzioni's proposition about when selfdetermination is legitimate and when its not, based on the larger compatibility with democracy. It seems to me that Chechnya is this sort of case: that is. Dudayev may be popular but he is not a supporter of d e m o c racy. Escarameia asks about who is the " w e " who decides about the links between democracy and self-determination. I think that Chechnya and Southern Sudan, for example, are two cases which demonstrate the general point that without an appeal to the international c o m m u n i t y from those who are seeking support for self-determination, there can be no real progress in conflictual cases towards resolution of problems of self-determination and democracy. In other words, the international community has to be willing to accept the responsibility of being the " w e " who decides. Regarding the notion of affirmative action, this is a burning issue for the U.S. My moral fibre supports affirmative action, but intellectually I also recognize that there are a lot of troubling aspects to the policy. I would be interested in thinking about affirmative action with regard to the Indian case, where there has been a long history of institutionalized affirmative action that has borne some serious unintended c o n s e q u e n c e s . Again, with regard to this issue, we need to think about resources and incentives, because incentives may b e c o m e so strongly institutionalized in a system that they become the motivation for

461

no change in order for certain groups to continue to be able to control resources. Amitai Etzioni W h e n we try to c o m b i n e self-determination with the d e m o c r a t i c principle, it's not enough that a break-away unit does not undermine the larger entity f r o m which it's breaking away. Rather, we need to try io make sure that democracy is protected in the newly self-determined polity. Regarding the " w e , " I am talking about a moral voice. Democracy is flawed but it is the best system that we have. I think that everyone should have access to democracy, and I c a n ' t believe that anyone would be happier under authoritarian rule—I would call that latter claim false conciliation. Sir A r t h u r Watts In conclusion. I think it would be helpful to consider the last two d a y s ' discussions as an inverted pyramid. We started out small, with a summary of the Liechtenstein Draft Convention. We then m o v e d progressively over the globe and now we have come back to the bottom of the pyramid. This "grand tour" has raised many points about the Draft Convention, and I would like to c o m m e n t on some specific questions that certainly bear further consideration and elucidation. First, there emerged a challenge to the underlying assumption that diversity necessarily leads to conflict over self-determination and self-administration. However, sometimes diversity is in fact at the root of conflict, and it is with regard to those cases that the Liechtenstein Initiative can be most helpful. We seek to encourage tolerance, not fragmentation, through the recognition of diversity manifested in d e m a n d s for self-determination and self-administration. Second, the notion of community remains a point of contention. What we understand as c o m m u n i t y was stated in our opening remarks to this seminar. There has been little c o m m e n t , however, over the past two days about the specific definition of c o m m u n i t y which we laid out, but there has been m u c h discussion about related definitions of eth-

Appendix

462

3

nic, cultural, political, and religious groups.

which

W h a t is c l e a r , t h e n , is t h a t d e f i n i t i o n s of

e m o t i o n a l and political b a g g a g e ; w e wanted

g r o u p s as c o m m u n i t y a r e e x t r e m e l y f l u i d a n d

to e n c o u r a g e c r e a t i v e a n d n e w s o l u t i o n s t o a

variable.

The

theoretical

desirability

c a r r i e s a v a s t l o a d of

intellectual,

of

l o n g s t a n d i n g p r o b l e m , s o t h e i n t r o d u c t i o n of

d e f i n i n g c o m m u n i t y in s p e c i f i c t e r m s , t h e r e -

n e w t e r m i n o l o g y w a s a r e f l e c t i o n of t h i s o b -

fore, m a y be o u t w e i g h e d by the practical im-

j e c t i v e . H o w e v e r , t h e U N d i s c o u r s e is c e r -

p o s s i b i l i t y of s u c h a t a s k .

t a i n l y g r o u n d e d in t h e t e r m s s e l f - d e t e r m i n a -

T h i r d , the lack of r e f e r e n c e by t h e L i e c h t -

t i o n a n d s e l f - a d m i n i s t r a t i o n , s o t h a t t h e r e is

e n s t e i n D r a f t to t h e U N D e c l a r a t i o n o n N a -

significant overlap with the

tional Minorities has been raised by several

I n i t i a t i v e in this r e s p e c t .

p a r t i c i p a n t s . M y r e f e r e n c e to A r t i c l e 2, P a r a -

Liechtenstein

S i x t h , r e g a r d i n g t h e p r o b l e m s of g e t t i n g

g r a p h 3, n o t e s that o u r c o n c e r n w i t h c o m m u -

s t a t e s t o s i g n on t o t h e L i e c h t e n s t e i n

n i t i e s is v e r y d i f f e r e n t f r o m t h e n o t i o n of m i -

v e n t i o n , w e d o n ' t r e g a r d t h e c u r r e n t d r a f t as

norities. W e f o c u s on t e r r i t o r i a l i t y — a n d , m o r e

final. Indeed, the p u r p o s e of these o n g o i n g

specifically, on territorial

s e m i n a r s is t o w o r k o u t p o t e n t i a l p r o b l e m s

one

of

the

components

concentration—as of

community,

Con-

w h i c h , in t h e f i n a l a n a l y s i s , w i l l a l l o w f o r

w h e r e a s a m i n o r i t y m a y be s c a t t e r e d t h r o u g h -

s t a t e s to b e m o t i v a t e d to s i g n t h e C o n v e n -

o u t an e x t a n t n a t i o n - s t a t e . W e a r e t h e r e f o r e

t i o n . M o r e o v e r , w e b e l i e v e t h a t if t h e r e is a

not f o c u s i n g on m i n o r i t i e s in this s e n s e .

s y s t e m t h a t is in p l a c e b e f o r e a f u l l - b l o w n

Fourth, the s e m i n a r leaves m e with the

c o n f l i c t o n s e l f - d e t e r m i n a t i o n e m e r g e s in a

f e e l i n g that t h e r e is c o n s i d e r a b l e d i s s a t i s f a c -

p a r t i c u l a r c a s e , t h e n t h e p o s s i b i l i t y of u s i n g

t i o n w i t h t h e c o n c e p t of s e l f - d e t e r m i n a t i o n

those mechanisms available for preventing

as b e i n g u s e f u l in p r a c t i c a l p r o b l e m - s o l v i n g .

t h e h a r d e n i n g of p o s i t i o n s a n d t h e l i k e l i h o o d

T h i s q u e s t i o n is e p i t o m i z e d b y t h e d i s c u s -

of c o n f l i c t is i n c r e a s e d . H o w e v e r ,

sion between Falk and E s c a r a m e i a , dealing

s t r e s s that t h e r e is n o t h i n g b i n d i n g in t h e

with the alternative legal f o r m u l a t i o n s

Convention.

of

we

do

self-determination versus independence. self-administration, w e h a v e i n t r o d u c e d ter-

Ernst Sucharipa, Austrian Representative to the United Nations

m i n o l o g y to t h e d i s c u s s i o n o n s e l f - d e t e r m i -

W h a t is t h e i n c e n t i v e f o r a n y c o u n t r y to sign

n a t i o n w h i c h is n o t n e c e s s a r i l y t h a t u s e d b y

this C o n v e n t i o n ? I a m a f r a i d that I j u s t d o n ' t

the U N . T h i s was an intentional c h o i c e on

see s u c h an i n c e n t i v e — n o r , f o r that matter, a m

our part, since w e w a n t e d to m o v e

I c o n v i n c e d that any c o m m u n i t y t h i n k i n g a b o u t

Fifth, by talking a b o u t c o m m u n i t y and

f r o m s o m e of t h e e s t a b l i s h e d

away

terminology

i n d e p e n d e n c e w o u l d sign the C o n v e n t i o n .

Appendix 4: President Woodrow Wilson's Declarations Regarding Self-Determination

Excerpt from the "Fourteen Points," in the Address on the Conditions of Peace, delivered at a Joint Session of Congress (8 January 1918) W e (the p e o p l e o f the U n i t e d S t a t e s ] e n t e r e d

s e e s a f e g u a r d e d and a s s u r e d , s h o u l d be a c -

this w a r b e c a u s e v i o l a t i o n s o f right had o c -

c o r d e d the f r e e s t o p p o r t u n i t y o f a u t o n o m o u s

curred which touched us to the q u i c k and m a d e

development. . . .

the l i f e o f our own p e o p l e i m p o s s i b l e u n l e s s

X I I . T h e T u r k i s h p o r t i o n s o f the p r e s e n t

they were c o r r e c t e d and the world secured o n c e

O t t o m a n E m p i r e s h o u l d be a s s u r e d a s e c u r e

f o r all against their r e c u r r e n c e . . . . All the peo-

s o v e r e i g n t y , but the o t h e r n a t i o n a l i t i e s w h i c h

p l e s o f the w o r l d are in e f f e c t partners in this

are now under T u r k i s h rule s h o u l d be a s s u r e d

i n t e r e s t , and for our o w n

an u n d o u b t e d s e c u r i t y o f l i f e and an

part we s e e

very

abso-

c l e a r l y that u n l e s s j u s t i c e b e d o n e to o t h e r s it

lutely unmolested opportunity o f autonomous

will not be d o n e to us. T h e p r o g r a m o f the

development . . .

w o r l d ' s p e a c e , t h e r e f o r e , is o u r p r o g r a m ; and

X I I I . An independent Polish state should be

that p r o g r a m , the o n l y p o s s i b l e p r o g r a m , as we

e r e c t e d which should include the territories in-

s e e it, is this . . .

habited

by

indisputably

Polish

populations,

which should be assured a free and secure a c c e s s V. A f r e e , o p e n - m i n d e d , and impartial

absolutely

a d j u s t m e n t o f all c o l o n i a l

claims,

b a s e d upon a strict o b s e r v a n c e o f the p r i n c i p l e

to the sea, and w h o s e political and e c o n o m i c ind e p e n d e n c e and territorial integrity should be guaranteed by international covenant. . . .

that in d e t e r m i n i n g all s u c h q u e s t i o n s o f s o v e r e i g n t y the i n t e r e s t s o f the p o p u l a t i o n s c o n -

An

evident

principle

runs

through

the

c e r n e d m u s t h a v e e q u a l w e i g h t with the e q u i -

w h o l e program I h a v e outlined. It is the p r i n c i -

t a b l e c l a i m s o f the g o v e r n m e n t w h o s e title is

p l e o f j u s t i c e to all p e o p l e s and n a t i o n a l i t i e s ,

to be d e t e r m i n e d . . . .

and their right to live on equal t e r m s o f liberty

X.

The

peoples

of

Austria-Hungary,

w h o s e p l a c e a m o n g the n a t i o n s w e w i s h to

and s a f e t y with o n e a n o t h e r , w h e t h e r they be strong or w e a k .

Exerpt from the "Reply to the Addresses of the Imperial German Chancellor, and the Imperial and Royal Austro-Hungarian Minister for Foreign Affairs," delivered at a Joint Session of Congress (11 February 1918) T h i s w a r had its r o o t s in the d i s r e g a r d o f the rights o f small

nations

and o f

m u s t n o w b e e n t e r e d into w h i c h will r e n d e r

nationalities

s u c h things i m p o s s i b l e f o r the future; and t h o s e

w h i c h l a c k e d the union and the f o r c e to m a k e

c o v e n a n t s m u s t b e b a c k e d b y the united f o r c e

g o o d their c l a i m to d e t e r m i n e their a l l e g i a n c e s

o f all united n a t i o n s that l o v e j u s t i c e and are

and their own f o r m s o f p o l i t i c a l life. C o v e n a n t s

w i l l i n g to m a i n t a i n it any c o s t . . . .

463

464 After all, the test of whether it is possible for either government to go any further in this c o m p a r i s o n of views is simple and obvious. T h e principles to be applied are theses: First, that each part of the final settlement must be based upon the essential justice of that particular case and upon such a d j u s t m e n t s as are most likely to bring a peace that will be permanent; Second, that peoples are not to be bartered about f r o m sovereignty to sovereignty as if they were mere chattels and p a w n s in a game, even the great game, now f o r e v e r discredited, of the balance of power; but that

Appendix

4

Third, every territorial settlement involved in theis war must be mad in the interest and for the benefit of the populations c o n c e r n e d , and not as a part of any mere a d j u s t m e n t or c o m promise of claims amongst rival states; and Fourth, that all well defined national aspirations shall be accorded the utmost satisfaction that can be accorded t h e m without introducing new or perpetuating old e l e m e n t s of discord and antagonism that would be likely in time to break the peace of E u r o p e and consequently of the world. . . .

Appendix 5: International Declarations Regarding Self-Determination

E x c e r p t f r o m the C h a r t e r of the U n i t e d N a t i o n s . S i g n e d at San F r a n c i s c o , 26 J u n e 1 9 4 5

Article 1, paragraph 2: [The Purposes of the United Nations are to] develop friendly relations among nations based on respect for the principle of equal rights and self-determination of peoples, and to take other appropriate measures to strengthen universal peace . . . Article 73: Members of the United Nations which have or assume responsibilities for the administration of territories whose peoples have not yet attained a full measure of self-government recognize the principle that the interests of the inhabitants of these territories are paramount, and accept as a sacred trust the obligation to promote to the utmost, within the system of international peace and security established by the present Charter, the well-being of the inhabitants of these territories, and, to this end: (a) to ensure, with due respect for the culture of the peoples concerned, their political, economic, social, and educational advancement, their just treatment, and their protection against abuses; (b) to develop self-government, to take due account of the political aspirations of the peoples, and to assist them in the progressive development of their free political institutions, according to the particular circumstances of each territory and its peoples and their varying stages of advancement; (c) to further international peace and security; (d) to promote constructive measures of development, to encourage research and to

co-operate with one another and, when and where appropriate, with specialized international bodies with a view to the practical achievement of the social, economic, and scientific purposes set forth in this Article; and (e) to transmit regularly to the SecretaryGeneral for information purposes, subject to such limitation as security and constitutional considerations may require, statistical and other information of a technical nature relating to economic, social, and educational conditions in the territories for which they are respectively responsible, other than those territories to which Chapters XII and XIII apply. Chapter XII: International Trusteeship

System

Article 75: The United Nations shall establish under its authority an international trusteeship system for the administration and supervision of such territories as may be placed thereunder by subsequent individual agreements. These territories are hereinafter referred to as trust territories. Article 76: The basic objectives of the trusteeship system, in accordance with the Purposes of the United Nations laid down in Article 1 of the present Charter, shall be: (a) to further international peace and security; (b) to promote the political, economic, social, and educational advancement of the

465

Appendix

466

inhabitants of the trust territories, and their progressive d e v e l o p m e n t toward s e l f - g o v e r n m e n t or i n d e p e n d e n c e as may be appropriate to the particular c i r c u m s t a n c e s of each territory and its peoples and the freely expressed wishes of the people concerned, and as may be provided by the terms of each trusteeship agreement; (c) to e n c o u r a g e respect for h u m a n rights and for f u n d a m e n t a l f r e e d o m s for all without distinction as to race, sex, language, or religion, and to encourage recognition of the interdependence of the peoples of the world; and (d) to ensure equal t r e a t m e n t in social, e c o n o m i c , and c o m m e r c i a l m a t t e r s for all M e m b e r s of the United N a t i o n s and their nationals, and also equal treatment f o r the latter in the a d m i n i s t r a t i o n of j u s t i c e , without p r e j udice to the a t t a i n m e n t of the f o r e g o i n g objectives and subject to the p r o v i s i o n s of Article 80.

Article

5

77:

1. T h e trusteeship system shall apply to such territories in the f o l l o w i n g categories as may be placed thereunder by means of trusteeship agreements: (a) territories now under mandate; (b) territories which may be detached f r o m e n e m y States as a result of the Second World War; and (c) territories voluntarily placed under the system by States responsible for their administration. 2. It will be a matter for subsequent agreement as to which territories in the foregoing categories will be brought under the trusteeship system and upon what terms.

Excerpt from the Universal Declaration of Human Rights. Adopted by the General Assembly of the United Nations on 10 December 1948. Article 22. Everyone, as a m e m b e r of society, has the right to social security and is entitled to the realization, through national e f f o r t and international cooperation and in accordance with

the organization and resources of each State, of the e c o n o m i c , social and cultural rights indispensable for his dignity and the f r e e development of his personality.

Declaration on the Granting of Independence to Colonial Countries and Peoples, General Assembly Resolution 1514 (XV). Adopted by the General Assembly of the United Nations on 14 December 1960

The General Assembly, Mindful of the d e t e r m i n a t i o n p r o c l a i m e d by the peoples of the world in the Charter of the United Nations to r e a f f i r m faith in f u n d a mental h u m a n rights, in the dignity and worth of the human person, in the equal rights of men and w o m e n and of nations large and small and to promote social progress and better standards of life in larger f r e e d o m ,

s e l f - d e t e r m i n a t i o n of all peoples, and of universal respect for, and o b s e r v a n c e of, h u m a n rights and f u n d a m e n t a l f r e e d o m s f o r all without distinction as to race, sex, l a n g u a g e or religion,

Conscious of the need f o r the creation of c o n d i t i o n s of stability and w e l l - b e i n g and p e a c e f u l and f r i e n d l y r e l a t i o n s based on respect f o r the p r i n c i p l e s of equal rights and

Aware of the increasing conflicts resulting from the denial of or impediments in the way of the freedom of such peoples, which constitute a serious threat to world peace,

Recognizing the passionate y e a r n i n g f o r f r e e d o m in all dependent peoples and the decisive role of such peoples in the attainment of their independence,

Appendix

5

Considering the important role of the United Nations in assisting the m o v e m e n t f o r independence in Trust and N o n - S e l f - G o v e r n i n g Territories, Recognizing that the peoples of the world ardently desire the end of colonialism in all its manifestations, Convinced that the continued existence of colonialism prevents the development of international e c o n o m i c c o - o p e r a t i o n , i m p e d e s the social, cultural and e c o n o m i c d e v e l o p m e n t of dependent peoples and militates against the United Nations ideal of universal peace, Affirming that peoples may, f o r their own ends, freely dispose of their natural wealth and resources without prejudice to any obligations arising out of international e c o n o m i c cooperation, based upon the principle of mutual benefit, and international law, Believing that the process of liberation is irresistible and irreversible and that, in order to avoid serious crises, an end must be put to colonialism and all practices of segregation and discrimination associated therewith, Welcoming the e m e r g e n c e in recent years of a large number of dependent territories into freedom and i n d e p e n d e n c e , and r e c o g n i z i n g the increasingly p o w e r f u l trends towards freedom in such territories which have not yet attained independence, Convinced that all peoples have an inalienable right to complete f r e e d o m , the exercise of their sovereignty and the integrity of their national territory, Solemnly proclaims the necessity of bringing to a speedy and unconditional end colonialism in all its forms and manifestations; And to this end Declares that: 1. T h e subjection of peoples to alien subjugation, domination and exploitation constitutes

467 a denial of f u n d a m e n t a l h u m a n rights, is contrary to the Charter of the United Nations and is an i m p e d i m e n t to the p r o m o t i o n of world peace and co-operation. 2. All peoples have the right to self-determination; by virtue of that right they freely determine their political status and freely pursue their economic, social and cultural development. 3. Inadequacy of political, e c o n o m i c , social or educational p r e p a r e d n e s s should never serve as a pretext for delaying independence. 4. All armed action or repressive measures of all kinds directed against dependent peoples shall cease in order to enable them to exercise peacefully and freely their right to complete independence, and the integrity of their national territory shall be respected. 5. Immediate steps shall be taken, in Trust and Non-Self-Governing Territories or all other territories which have not yet attained independence, to transfer all p o w e r s to the peoples of those territories, without any conditions or reservations, in accordance with their freely expressed will and desire, without any distinction as to race, creed or colour, in order to enable t h e m to e n j o y c o m p l e t e i n d e p e n d e n c e and freedom. 6. Any attempt aimed at the partial or total disruption of the national unity and territorial integrity of a country is incompatible with the p u r p o s e s and principles of the Charter of the United Nations. 7. All States shall observe f a i t h f u l l y and strictly the provisions of the Charter of the United Nations, the Universal Declaration of H u m a n Rights and the present Declaration on the basis of equality, non-interference in the internal a f f a i r s of all States, and respect f o r the sovereign rights of all peoples and their territorial integrity.

Appendix 5

468

Excerpt from the International Covenant on Civil and Political Rights. Adopted by the General Assembly of the United Nations on 16 December 1966, entered into force on 23 March 1976 Article I :

for the a d m i n i s t r a t i o n o f N o n - S e l f - G o v e r n i n g and Trusi T e r r i t o r i e s , shall p r o m o t e the realiza-

1. A l l

peoples

determination.

By

have virtue

the

of

self-

tion o f the right o f s e l f - d e t e r m i n a t i o n , and shall

right

they

r e s p e c t that right, in c o n f o r m i t y with the p r o v i -

right

o f that

freely d e t e r m i n e their political status and f r e e l y pursue

their

economic,

social

and

s i o n s o f the C h a r t e r o f the United N a t i o n s . 1

cultural

Article

development.

27:

2 . All p e o p l e s may, for their o w n e n d s , f r e e l y d i s p o s e o f their natural wealth and re-

In those S t a t e s in w h i c h e t h n i c , r e l i g i o u s or lin-

s o u r c e s without p r e j u d i c e to any

g u i s t i c m i n o r i t i e s e x i s t , p e r s o n s b e l o n g i n g to

obligations

a r i s i n g out o f i n t e r n a t i o n a l e c o n o m i c c o o p e r a -

such m i n o r i t i e s shall not be denied the right, in

tion, based upon the principle o f mutual benefit,

community

and international law. In no c a s e m a y a people

g r o u p , to e n j o y t h e i r o w n c u l t u r e , to p r o f e s s

be deprived o f its o w n m e a n s o f s u b s i s t e n c e .

and p r a c t i s e their o w n r e l i g i o n , or to use their

3.

The

States

Parties

to

the

present

with the o t h e r m e m b e r s o f t h e i r

own language.

C o v e n a n t , including those having responsibility

Excerpt from the Declaration on Principles of International Law Concerning Friendly Relations and Co-operation A m o n g States, General Assembly Resolution 2625 (XXV). Approved by the General Assembly of the United Nations on 24 October 1970 The General Reaffirming

Assembly,

1.

in the t e r m s o f the C h a r t e r o f

the U n i t e d N a t i o n s that the m a i n t e n a n c e o f international p e a c e and s e c u r i t y and the d e v e l o p -

Solemnly

proclaims

the

following

principles: . . .

The principle of equal rights and termination of peoples.

self-de-

m e n t o f friendly r e l a t i o n s and c o - o p e r a t i o n b e -

B y virtue o f the p r i n c i p l e o f e q u a l r i g h t s

t w e e n n a t i o n s are the f u n d a m e n t a l purposes o f

and s e l f - d e t e r m i n a t i o n o f p e o p l e s e n s h r i n e d in

the U n i t e d N a t i o n s , . . .

the C h a r t e r o f the U n i t e d N a t i o n s , all p e o p l e s

that the principle o f equal rights

h a v e the right f r e e l y to d e t e r m i n e , without e x -

and s e l f - d e t e r m i n a t i o n o f p e o p l e s c o n s t i t u t e s a

ternal i n t e r f e r e n c e , their p o l i t i c a l status and to

s i g n i f i c a n t c o n t r i b u t i o n to c o n t e m p o r a r y inter-

pursue t h e i r e c o n o m i c , s o c i a l and c u l t u r a l d e -

national law, and that its e f f e c t i v e application is

v e l o p m e n t , and e v e r y S t a t e has the duty to re-

o f p a r a m o u n t i m p o r t a n c e f o r the p r o m o t i o n o f

s p e c t this right in a c c o r d a n c e with the p r o v i -

f r i e n d l y r e l a t i o n s a m o n g S t a t e s , b a s e d on re-

s i o n s o f the Charter.

Convinced

spect for the principle o f s o v e r e i g n equality,

Every

State

has

the

duty

to

promote,

at-

through j o i n t and s e p a r a t e a c t i o n , realization o f

t e m p t a i m e d at the partial o r total disruption o f

the p r i n c i p l e o f e q u a l r i g h t s and s e l f - d e t e r m i -

the n a t i o n a l unity and t e r r i t o r i a l i n t e g r i t y o f a

n a t i o n o f p e o p l e s , in a c c o r d a n c e with the p r o -

S t a t e o r c o u n t r y o r at its p o l i t i c a l

indepen-

v i s i o n s o f the C h a r t e r , and to render a s s i s t a n c e

d e n c e is i n c o m p a t i b l e with the p u r p o s e s o f the

to the U n i t e d N a t i o n s in c a r r y i n g out the re-

Charter.

s p o n s i b i l i t i e s e n t r u s t e d to it by the

Convinced

in c o n s e q u e n c e

that any

Charter

1. Article 1 o f the International Covenant on E c o n o m i c , Social, and Political Rights states these rights in identical terms.

469

Appendix 5 regarding the implementation of the principle, in order: (a) To promote friendly relations and cooperation among States; and (,b) To bring a speedy end to colonialism, having due regard to the freely expressed will of the peoples concerned; and bearing in mind that subjection of peoples to alien subjugation, domination and exploitation constitutes a violation of the principle, as well as denial of fundamental human rights, and is contrary to the Charter. Every State has the duty to promote through joint and separate action universal respect for and observance of human rights and fundamental freedoms in accordance with the Charter. The establishment of a sovereign and independent State, the free association or integration with an independent State or the emergence into any other political status freely determined by a people constitute modes of implementing the right of self-determination by that people. Every State has the duty to refrain from any forcible action which deprives peoples referred to above in the elaboration of the present principle of their right to self-determination and freedom and independence. In their actions against, and resistance to, such forcible action in pursuit of the exercise of their right to selfdetermination, such peoples are entitled to seek and to receive support in accordance with the purposes and principles of the Charter.

The territory of a colony or other NonSelf-Governing Territory has, under the Charter, a status separate and distinct from the territory of the State administering it; and such separate and distinct status under the Charter shall exist until the people of the colony or Non-Self-Governing Territory have exercised their right of self-determination in accordance with the Charter, and particularly its purposes and principles. Nothing in the foregoing paragraphs shall be construed as authorizing or encouraging any action which would dismember or impair, totally or in part, the territorial integrity or political unity of sovereign and independent States conducting themselves in compliance with the principle of equal rights and self-determination of peoples as described above and thus possessed of a governments representing the whole people belonging to the territory without distinction as to race, creed or colour. Every State shall refrain from any action aimed at the partial or total disruption of the national unity and territorial integrity of any other State or country . . . . 3. Declares further that: The principles of the Charter which are embodied in this Declaration constitute basic principles of international law, and consequently appeals to all States to be guided by these principles in their international conduct and to develop their mutual relations on the basis of the strict observance of these principles.

Excerpt from the Final Act, 1(a), of the Conference on Security and Cooperation in Europe. Adopted on 1 August 1975. Article VIII. Equal Rights and

Self-determi-

nation of Peoples. The participating States will respect the equal rights of peoples and their right to self-determination, acting at all times in conformity with the purposes and principles of the Charter of the United Nations and with the relevant norms of international law, including those relating to territorial integrity of states. By virtue of the principle of equal rights and self-determination of peoples, all peoples always have the right, in full freedom, to determine,

when and as they wish, their internal and external political status, without external interference, and to pursue as they wish their political, economic, social and cultural development. The participating States reaffirm the universal significance of respect for and effective exercise of equal rights and self-determination of peoples for the development of friendly relations among themselves or among all states; they also recall the importance of the elimination of any form of violation of this principle.

Appendix

470

5

Excerpt from the African Charter on Human and Peoples' Rights. Adopted by the Organization of African Unity in January, 1981 Article

13:

shall f r e e l y d e t e r m i n e their political status and

1. E v e r y c i t i z e n shall h a v e the right to freely

participate

in the g o v e r n m e n t

of

his

c o u n t r y , e i t h e r d i r e c t l y or through f r e e l y c h o -

shall pursue their e c o n o m i c and s o c i a l d e v e l o p m e n t a c c o r d i n g to the p o l i c y t h e y h a v e f r e e l y chosen.

sen r e p r e s e n t a t i v e s in a c c o r d a n c e with the pro-

Article

v i s i o n s o f law.

29:

T h e individual shall also h a v e the duty . . .

Article

19:

3. Not to c o m p r o m i s e the s e c u r i t y o f the

All p e o p l e s shall be e q u a l ; they shall e n j o y

S t a t e w h o s e national or resident he is:

same

4 . T o p r e s e r v e and s t r e n g t h e n s o c i a l and

rights. N o t h i n g shall j u s t i f y the d o m i n a t i o n o f a

national solidarity, p a r t i c u l a r l y w h e n the latter

people by another.

is threatened;

Article

i n d e p e n d e n c e and the territorial integrity o f his

the

same

respect

and

shall

have

the

5 . T o p r e s e r v e and strengthen the national

20:

1. All p e o p l e s shall h a v e the right to e x i s t e n c e . T h e y shall h a v e the u n q u e s t i o n a b l e and i n a l i e n a b l e right to s e l f - d e t e r m i n a t i o n .

c o u n t r y and to c o n t r i b u t e to its d e f e n c e in a c c o r d a n c e with the law . . .

They

General Comment 12, adopted at its 21st session, 1984, by the Human Rights Committee established under the Covenant on Civil and Political Rights 1966 2 (UN Doc. H R l / G e n / l / R e v . 1, p. 12)

G E N E R A L C O M M E N T 12 A r t i c l e 1

" d e t e r m i n e their political status and f r e e l y purs u e t h e i r e c o n o m i c , s o c i a l and c u l t u r a l d e v e l and

o p m e n t " . T h e article i m p o s e s on all S t a t e s par-

p r i n c i p l e s o f the C h a r t e r o f the U n i t e d N a t i o n s ,

ties c o r r e s p o n d i n g o b l i g a t i o n s . T h i s right and

A r t i c l e 1 o f the International C o v e n a n t on C i v i l

the c o r r e s p o n d i n g o b l i g a t i o n s c o n c e r n i n g

and P o l i t i c a l R i g h t s r e c o g n i z e s that all p e o p l e s

i m p l e m e n t a t i o n are interrelated with other pro-

h a v e the right o f s e l f - d e t e r m i n a t i o n . T h e right

v i s i o n s o f the C o v e n a n t and r u l e s o f i n t e r n a -

of self-determination

tional law.

1. In a c c o r d a n c e with the p u r p o s e s

is o f p a r t i c u l a r

impor-

its

t a n c e b e c a u s e its realization is an essential c o n -

3. A l t h o u g h the reporting o b l i g a t i o n s o f all

dition f o r the e f f e c t i v e g u a r a n t e e and o b s e r -

S t a t e s p a r t i e s i n c l u d e A r t i c l e 1, o n l y s o m e re-

v a n c e o f i n d i v i d u a l h u m a n r i g h t s and f o r the

ports g i v e detailed e x p l a n a t i o n s r e g a r d i n g e a c h

p r o m o t i o n and s t r e n g t h e n i n g o f those rights. It

o f its p a r a g r a p h s . T h e C o m m i t t e e has n o t e d

is f o r that r e a s o n that S t a t e s set forth the right

that m a n y o f t h e m c o m p l e t e l y i g n o r e A r t i c l e 1,

o f s e l f - d e t e r m i n a t i o n in a p r o v i s i o n o f p o s i t i v e

p r o v i d e i n a d e q u a t e i n f o r m a t i o n in r e g a r d to it

law in both C o v e n a n t s and p l a c e d this p r o v i -

or c o n f i n e t h e m s e l v e s to a r e f e r e n c e to e l e c t i o n

sion as A r t i c l e 1 apart f r o m and b e f o r e all o f

l a w s . T h e C o m m i t t e e c o n s i d e r s it h i g h l y d e s i r -

the other rights in the two C o v e n a n t s .

a b l e that S t a t e s p a r t i e s ' reports s h o u l d c o n t a i n

2 . A r t i c l e 1 e n s h r i n e s an i n a l i e n a b l e right o f all p e o p l e s as d e s c r i b e d in its p a r a g r a p h s 1 and 2 . B y virtue o f that right they

2. S e e above.

freely

i n f o r m a t i o n on e a c h paragraph o f A r t i c l e 1. 4 . W i t h regard to paragraph 1 o f A r t i c l e 1, S t a t e s parties should d e s c r i b e the c o n s t i t u t i o n a l

Appendix

471

5

and political processes which in practice allow the exercise of this right. 5. Paragraph 2 a f f i r m s a particular aspect of the e c o n o m i c content of the right of self-det e r m i n a t i o n , namely the right of peoples, f o r their own ends, freely to "dispose of their natural wealth and resources without prejudice to any obligations arising out of international economic cooperation, based upon the principle of mutual b e n e f i t , and international law. In n o case m a y a people be deprived of its o w n means of subsistence". This right entails corres p o n d i n g duties for all States and the international c o m m u n i t y . States should indicate any f a c t o r s or difficulties which prevent the f r e e disposal of their natural wealth and resources contrary to the provisions of this paragraph and to what extent that affects the e n j o y m e n t of other rights set forth in the Covenant. 6. Paragraph 3, in the C o m m i t t e e ' s opinion, is particularly important in that it imposes specific obligations on States parties, not only in relation to their own peoples but vis-à-vis all peoples which have not been able to exercise or have been deprived of the possibility of exercising their right to s e l f - d e t e r m i n a t i o n . T h e general nature of this paragraph is c o n f i r m e d by its d r a f t i n g history. It stipulates that " T h e States Parties to the present Covenant, including those having responsibility for the administration of Non-Self-Governing and Trust Territories, shall promote the realization of the right of s e l f - d e t e r m i n a t i o n , and shall respect that right, in conformity with the provisions of the

Charter of the United Nations." T h e obligations exist irrespective of w h e t h e r a p e o p l e entitled to self-determination d e p e n d s on a State party to the Covenant or not. It follows that all States parties to the Covenant should take positive action to facilitate realization of and respect for the right of peoples to self-determination. Such positive action must be consistent with the S t a t e s ' obligations under the Charter of the United Nations and under international law: in particular, States must refrain f r o m interfering in the internal a f f a i r s of other States and thereby adversely affecting the exercise of the right to self-determination. T h e reports should contain i n f o r m a t i o n on the p e r f o r m a n c e of these obligations and the measures taken to that end. 7. In c o n n e c t i o n with Article 1 of the Covenant, the C o m m i t t e e refers to other international instruments concerning the right of all peoples to self-determination, in particular the Declaration on Principles of International Law concerning Friendly Relations and Cooperation a m o n g States in accordance with the Charter of the United Nations, adopted by the General Assembly on 24 October 1970 (General Assembly resolution 2625 (XXV)). 8. T h e C o m m i t t e e c o n s i d e r s that history has proved that the realization of and respect for the right of s e l f - d e t e r m i n a t i o n of p e o p l e s c o n t r i b u t e s to the e s t a b l i s h m e n t of f r i e n d l y relations and c o o p e r a t i o n b e t w e e n States and to s t r e n g t h e n i n g i n t e r n a t i o n a l p e a c e and understanding.

Excerpt from the Charter of Paris. Adopted on 21 November 1990

Determined to foster the rich contribution of national minorities to the life of our societies, we undertake further to improve their situation. We r e a f f i r m our deep conviction that friendly relations a m o n g our peoples, as well as peace, justice, stability and d e m o c r a c y , require that the ethnic, cultural, linguistic and religious identity of national minorities be protected and

conditions for the promotion of that identity be created. We declare that questions related to national minorities can only be satisfactorily resolved in a d e m o c r a t i c political f r a m e w o r k . We further a c k n o w l e d g e that the rights of persons b e l o n g i n g to national minorities must be fully respected as part of universal h u m a n rights.

472

Appendix 5

Excerpt from the Declaration on the Rights of Persons Belonging to National or Ethnic, Religious or Linguistic Minorities. Adopted by the General Assembly of the United Nations in 1993 The General Assembly,

r e s p e c t i v e territories and shall e n c o u r a g e c o n -

R e a f f i r m i n g that o n e o f the b a s i c a i m s o f the United N a t i o n s , as p r o c l a i m e d in the C h a r ter, is to p r o m o t e and e n c o u r a g e r e s p e c t

for

ditions f o r the p r o m o t i o n o f that identity. 2 . S t a t e s shall adopt appropriate l e g i s l a t i v e and other m e a s u r e s to a c h i e v e t h o s e ends.

h u m a n rights and f o r f u n d a m e n t a l f r e e d o m s f o r all, without distinction as to r a c e , s e x , language

Article

2:

or r e l i g i o n , R e a f f i r m i n g f a i t h in f u n d a m e n t a l

human

1. P e r s o n s b e l o n g i n g to national or e t h n i c ,

r i g h t s , in the d i g n i t y and worth o f the h u m a n

r e l i g i o u s and linguistic m i n o r i t i e s

p e r s o n , in the e q u a l rights o f m e n and w o m e n

referred to as p e r s o n s b e l o n g i n g to m i n o r i t i e s )

and o f n a t i o n s large and s m a l l . . .

have the right to e n j o y their own culture, to pro-

(hereinafter

Inspired by the p r o v i s i o n s o f article 2 7 o f

fess their own religion, and to use their own lan-

the International C o v e n a n t on C i v i l and P o l i t i -

g u a g e , in private and in public, f r e e l y and with-

cal R i g h t s c o n c e r n i n g the rights o f persons b e -

out interference or any form o f d i s c r i m i n a t i o n .

longing

to

ethnic,

religious

or

linguistic

minorities,

2 . P e r s o n s b e l o n g i n g to m i n o r i t i e s

have

the right to p a r t i c i p a t e e f f e c t i v e l y in c u l t u r a l ,

C o n s i d e r i n g that the p r o m o t i o n and protection o f the rights o f p e r s o n s b e l o n g i n g to na-

r e l i g i o u s , s o c i a l , e c o n o m i c , and p u b l i c life. 3. P e r s o n s b e l o n g i n g to m i n o r i t i e s

have

tional or e t h n i c , religious and linguistic m i n o r i -

the right to participate e f f e c t i v e l y in d e c i s i o n s

ties

on the n a t i o n a l

contribute

to

the

political

and

social

stability o f S t a t e s in w h i c h they live,

and, w h e r e

appropriate,

E m p h a s i z i n g that the c o n s t a n t p r o m o t i o n

they b e l o n g or the r e g i o n s in w h i c h t h e y l i v e ,

and realization o f the rights o f persons b e l o n g -

in a m a n n e r not i n c o m p a t i b l e with

ing to national or e t h n i c , r e l i g i o u s and linguis-

legislation.

tic m i n o r i t i e s , as an integral part o f the d e v e l o p m e n t o f s o c i e t y as a w h o l e and within

a

d e m o c r a t i c f r a m e w o r k based on the rule o f law, would contribute to the strengthening o f friendship

and

cooperation

among

peoples

re-

g i o n a l l e v e l c o n c e r n i n g the m i n o r i t y to w h i c h

and

States,

national

4 . P e r s o n s b e l o n g i n g to m i n o r i t i e s

have

the right to establish and maintain their own associations. 5 . P e r s o n s b e l o n g i n g to m i n o r i t i e s

have

the right to e s t a b l i s h and m a i n t a i n , without any d i s c r i m i n a t i o n , free and p e a c e f u l c o n t a c t s with

C o n s i d e r i n g that the U n i t e d Nations has an

other m e m b e r s o f their group and with p e r s o n s

important r o l e to play r e g a r d i n g the p r o t e c t i o n

b e l o n g i n g to o t h e r m i n o r i t i e s , as w e l l as c o n -

of minorities . . .

tacts across frontiers

R e c o g n i z i n g the n e e d to e n s u r e e v e n m o r e effective

implementation

of

international

with c i t i z e n s o f

other

S t a t e s to w h o m they are related by n a t i o n a l o r e t h n i c , r e l i g i o u s o r linguistic ties.

h u m a n r i g h t s i n s t r u m e n t s with r e g a r d to the rights o f p e r s o n s b e l o n g i n g to n a t i o n a l e t h n i c ,

Article

3:

r e l i g i o u s and linguistic m i n o r i t i e s , P r o c l a i m s this D e c l a r a t i o n on the R i g h t s

1. S t a t e s s h a l l t a k e m e a s u r e s w h e r e

re-

o f P e r s o n s B e l o n g i n g to N a t i o n a l o r E t h n i c ,

q u i r e d to e n s u r e that p e r s o n s b e l o n g i n g to m i -

R e l i g i o u s and L i n g u i s t i c M i n o r i t i e s :

n o r i t i e s m a y e x e r c i s e f u l l y and e f f e c t i v e l y all t h e i r h u m a n rights and f u n d a m e n t a l f r e e d o m s

Article

1:

without any d i s c r i m i n a t i o n and in full e q u a l i t y b e f o r e the law.

1. S t a t e s shall protect the e x i s t e n c e and the

2.

States

shall

take

measures

to

create

n a t i o n a l o r e t h n i c , c u l t u r a l , r e l i g i o u s and lin-

favourable conditions to enable persons belonging

guistic

to minorities to express their c h a r a c t e r i s t i c s and

identity

of

minorities

within

their

Appendix

5

to d e v e l o p their culture, l a n g u a g e , religion, traditions and customs, except where specific p r a c t i c e s are in v i o l a t i o n of n a t i o n a l law a n d contrary to international s t a n d a r d s . 3. S t a t e s should t a k e a p p r o p r i a t e m e a s u r e s so that, w h e r e v e r p o s s i b l e , p e r s o n s b e l o n g i n g to m i n o r i t i e s m a y h a v e a d e q u a t e o p p o r t u n i t i e s to learn their m o t h e r t o n g u e or to h a v e instruction in their m o t h e r l a n g u a g e . 4. S t a t e s s h o u l d , w h e r e a p p r o p r i a t e , t a k e m e a s u r e s in the f i e l d of e d u c a t i o n , in o r d e r to

473

e n c o u r a g e k n o w l e d g e of their history, t r a d i t i o n s , l a n g u a g e and c u l t u r e of t h e m i n o r i t i e s e x i s t i n g w i t h i n their territory. P e r s o n s b e l o n g ing to m i n o r i t i e s s h o u l d h a v e a d e q u a t e o p p o r t u n i t i e s to g a i n k n o w l e d g e of t h e society as a whole. 5. States should c o n s i d e r a p p r o p r i a t e m e a s u r e s so that p e r s o n s b e l o n g i n g to m i n o r i t i e s m a y participate f u l l y in the e c o n o m i c p r o g r e s s and d e v e l o p m e n t in their country.

Excerpt from the Charter of the Organization of American States. Signed in 1948, last amended in 1993

Article I : T h e A m e r i c a n S t a t e s e s t a b l i s h by this Charter the international o r g a n i z a t i o n that they h a v e d e v e l o p e d to a c h i e v e an o r d e r of p e a c e and j u s t i c e , to p r o m o t e their solidarity, to s t r e n g t h e n their c o l l a b o r a t i o n , and to d e f e n d their s o v e r e i g n t y , their territorial integrity, and their i n d e p e n d e n c e . . . . Article 2: T h e O r g a n i z a t i o n of A m e r i c a n S t a t e s , in o r d e r to put into p r a c t i c e the p r i n c i p l e s on w h i c h it is f o u n d e d and to f u l f i l l its r e g i o n a l o b l i g a t i o n s u n d e r the C h a r t e r of the U n i t e d Nations, p r o c l a i m s the f o l l o w i n g essential purposes . . .

(b) To p r o m o t e and c o n s o l i d a t e representative d e m o c r a c y , with due respect for the principle of n o n i n t e r v e n t i o n . Article 3: T h e A m e r i c a n S t a t e s r e a f f i r m the f o l l o w ing p r i n c i p l e s . . . (e) E v e r y State has the light to c h o o s e , w i t h o u t i n t e r f e r e n c e , its p o l i t i c a l , e c o n o m i c , and social s y s t e m and to o r g a n i z e itself in the w a y best s u i t e d to it, and h a s the d u t y to abstain f r o m i n t e r v e n i n g in the a f f a i r s of a n o t h e r State. S u b j e c t to the f o r e g o i n g , the A m e r i c a n States shall c o o p e r a t e fully a m o n g t h e m s e l v e s , i n d e p e n d e n t l y of the n a t u r e of their p o l i t i c a l , e c o n o m i c , and social s y s t e m s .

Appendix 6: Excerpts from Judgments and Advisory Opinions of the International Court of Justice Bearing on Self-Determination Excerpt from the Advisory Opinion on Legal Consequences for States of the Continued Presence of South Africa in Namibia (South West Africa) notwithstanding Security Council Resolution 276 (1970): I.C.J. Reports 1971, pp. 31-32, paragraphs 52-53

52. Furthermore, the subsequent development of international law in regard to non-selfgoverning territories, as enshrined in the Charter of the United Nations, made the principle o f self-determination applicable to all of them. The concept of the sacred trust was confirmed and expanded to all "Territories whose peoples have not yet attained a full measure of selfgovernment" (Art. 73). Thus it clearly embraces territories under a colonial regime. Obviously the sacred trust continued to apply to League o f Nations mandated territories on which an international status had been conferred earlier. A further important stage in this development was The Declaration on the Granting o f Independence to Colonial Countries and Peoples (General Assembly Resolution 1514 ( X V ) of 14 December 1960), which embraces all peoples and territories which "have not yet attained independence." Nor is it possible to leave out of account the political history o f mandated territories in general. All those which did not acquire independence, excluding Namibia, were placed under trusteeship. Today, only two out o f fifteen, excluding Namibia, remain under United Nations tutelage. This is but a manifestation of the general development which has led to the birth of so many new States. 53. All these considerations are germane to the Court's evaluation o f the present case. Mindful as it is of the primary necessity o f in-

terpreting an instrument in accordance with the intentions of the parties at the time of its conclusion, the Court is bound to take into account the fact that the concepts embodied in Article 22 of the Covenant—"the strenuous conditions of the modem world" and "the well-being and development" of the peoples concerned—were not static, but were by definition evolutionary, as also, therefore, was the concept of the "sacred trust." The parties to the Covenant must consequently be deemed to have accepted them as such. That is why, viewing the institutions of 1919, the Court must take into consideration the changes which have occurred in the supervening half-century, and its interpretation cannot remain unaffected by the subsequent development of law, through the Charter o f the United Nations and by way of customary law. Moreover, an international instrument has to be interpreted and applied within the framework of the entire legal system prevailing at the time of the interpretation. In the domain to which the present proceedings relate, the last fifty years, as indicated above, have brought important developments. These developments leave little doubt that the ultimate objective of the sacred trust was the self-determination and independence o f the peoples concerned. In this domain, as elsewhere, the corpus iuris gentium has been considerably enriched, and this the Court, if it is faithfully to discharge its function, may not ignore.

475

476

Appendix

6

Excerpt from the Advisory Opinion on Western Sahara, I.C.J. Reports 1975, pp. 31-33, paragraphs 54-59

5 4 . T h e C h a r t e r of t h e U n i t e d N a t i o n s , in A r t i c l e 1, p a r a g r a p h 2, i n d i c a t e s , as o n e of t h e

in order to enable them to e n j o y complete independence and f r e e d o m .

p u r p o s e s of t h e U n i t e d N a t i o n s : " T o d e v e l o p f r i e n d l y r e l a t i o n s a m o n g n a t i o n s b a s e d on respect f o r the p r i n c i p l e s of e q u a l rights and s e l f d e t e r m i n a t i o n of p e o p l e s . . . " T h i s p u r p o s e is f u r t h e r d e v e l o p e d in A r t i c l e s 5 5 a n d 5 6 of t h e C h a r t e r . T h o s e p r o v i s i o n s h a v e d i r e c t and p a r ticular r e l e v a n c e for n o n - s e l f - g o v e r n i n g territo-

6. Any attempt aimed at the partial or total disruption of the national unity and the territorial integrity of a c o u n t r y is incompatible with the purpose and principles of the Charter of the United Nations." T h e a b o v e p r o v i s i o n s , in p a r t i c u l a r p a r a g r a p h

ries, w h i c h are dealt w i t h in C h a p t e r XI of t h e

2, t h u s c o n f i r m and e m p h a s i z e that the a p p l i c a -

C h a r t e r . A s the C o u r t s t a t e d in its A d v i s o r y

tion of the right of s e l f - d e t e r m i n a t i o n r e q u i r e s

O p i n i o n of 21 J u n e 1971 o n T h e L e g a l C o n s e -

a f r e e a n d g e n u i n e e x p r e s s i o n of the will of the

q u e n c e s f o r S t a t e s of the C o n t i n u e d P r e s e n c e

peoples concerned.

of S o u t h A f r i c a in N a m i b i a ( S o u t h West A f r i c a ) notwithstanding Security Council

Resolution

56. T h e C o u r t had o c c a s i o n to r e f e r to this resolution

276 (1970):

in the a b o v e - m e n t i o n e d

Advisory

O p i n i o n of 21 J u n e 1971. S p e a k i n g of t h e de. . . the subsequent d e v e l o p m e n t of international law in regard to n o n - s e l f - g o v e r n i n g territories, as enshrined in the Charter of the United Nations, m a d e the principle of selfd e t e r m i n a t i o n a p p l i c a b l e to all of them (l.C.J. Reports 1971. p. 31). 55. T h e p r i n c i p l e of s e l f - d e t e r m i n a t i o n as a r i g h t of p e o p l e s , a n d its a p p l i c a t i o n f o r t h e p u r p o s e of b r i n g i n g all c o l o n i a l s i t u a t i o n s to a s p e e d y e n d , w e r e e n u n c i a t e d in the D e c l a r a t i o n on t h e G r a n t i n g of I n d e p e n d e n c e to C o l o n i a l Countries and Peoples, General Assembly Reso l u t i o n 1514 ( X V ) . In this r e s o l u t i o n the G e n eral

Assembly

proclaims

"the

necessity

bringing to a speedy and unconditional colonialism

in all its f o r m s a n d

of end

manifesta-

t i o n s . " To this e n d the r e s o l u t i o n p r o v i d e s inter alia: "2. All peoples have the right to self-determination; by virtue of that right they freely d e t e r m i n e their political status and f r e e l y pursue their e c o n o m i c , social and cultural development. 5. I m m e d i a t e steps shall be t a k e n , in Trust and N o n - S e l f - G o v e r n i n g Territories or all other territories which have not yet attained i n d e p e n d e n c e , to t r a n s f e r all p o w e r s to the peoples of those territories, without any c o n ditions or r e s e r v a t i o n s , in a c c o r d a n c e with their f r e e l y e x p r e s s e d will and desire, without any distinction as to race, creed or color,

v e l o p m e n t of i n t e r n a t i o n a l

l a w in r e g a r d

to

n o n - s e l f - g o v e r n i n g territories, the Court there stated: A f u r t h e r important stage in this development was the Declaration on the Granting of Independence to Colonial Countries and Peoples (General A s s e m b l y R e s o l u t i o n 1514 ( X V ) of 14 D e c e m b e r I 9 6 0 ) , which embraces all p e o p l e s and territories which ehave not yet attained i n d e p e n d e n c e ' . (l.C J. Reports 1971. p. 31). It w e n t on to state: . . . the Court must take into c o n s i d e r a t i o n the c h a n g e s which h a v e o c c u r r e d in the supervening half-century, and its interpretation cannot remain u n a f f e c t e d by the subsequent d e v e l o p m e n t of law. t h r o u g h the Charter of the United Nations and by way of customary law (ibid.). T h e C o u r t then c o n c l u d e d : In the d o m a i n to which the present proceedings relate, the last f i f t y years, as indicated a b o v e , have b r o u g h t i m p o r t a n t d e v e l o p ments. These d e v e l o p m e n t s leave little doubt that the ultimate objective of the sacred trust was the self-determination and independence of the peoples c o n c e r n e d . In this d o m a i n , as elsewhere, the corpus iuris gentium has been considerably enriched, and this the Court, if it is faithfully to discharge its f u n c t i o n s , may not ignore. (Ibid., pp. 31 f.)

Appendix 6

477

57. General Assembly Resolution

(1514

national Law concerning Friendly

Relations

X V ) p r o v i d e d t h e b a s i s f o r t h e p r o c e s s of d e -

a n d C o o p e r a t i o n a m o n g S t a t e s in a c c o r d a n c e

c o l o n i z a t i o n w h i c h h a s r e s u l t e d s i n c e 1 9 6 0 in

w i t h t h e C h a r t e r of t h e U n i t e d N a t i o n s " , — t o

t h e c r e a t i o n of m a n y S t a t e s w h i c h a r e t o d a y

w h i c h r e f e r e n c e w a s a l s o m a d e in t h e p r o c e e d -

M e m b e r s of t h e U n i t e d N a t i o n s . It is c o m p l e -

i n g s — m e n t i o n s o t h e r p o s s i b i l i t i e s b e s i d e s in-

m e n t e d in c e r t a i n of its a s p e c t s by G e n e r a l A s -

d e p e n d e n c e , a s s o c i a t i o n o r i n t e g r a t i o n . B u t in

s e m b l y R e s o l u t i o n 1541 ( X V ) w h i c h h a s b e e n

d o i n g so it r e i t e r a t e s t h e b a s i c n e e d to t a k e ac-

i n v o k e d in the p r e s e n t p r o c e e d i n g s . T h e latter

c o u n t of t h e w i s h e s of t h e p e o p l e c o n c e r n e d :

resolution contemplates for non-self-governing territories more than one possibility, namely: (a)

e m e r g e n c e as a s o v e r e i g n i n d e p e n d e n t State;

(b)

f r e e a s s o c i a t i o n w i t h an i n d e p e n d e n t State: or

(c)

i n t e g r a t i o n w i t h an i n d e p e n d e n t State.

At the same time, certain of its provisions give effect to the essential feature of the right of selfdetermination as established in Resolution 1514 (XV). Thus principle VII of Resolution 1541 (XV) declares that: "Free association should be the result of a free and voluntary choice by the peoples of the territory concerned expressed through i n f o r m e d and democratic processes." Again, principle IX of Resolution 1541 ( X V ) declares that: Integration should have c o m e about in the following circumstances:

T h e e s t a b l i s h m e n t of a sovereign and independent State, the free association or integration with an i n d e p e n d e n t State or the e m e r g e n c e into any other political status freely determined by a people constitute m o d e s of i m p l e m e n t i n g the right of self-determination by that people. (Emphasis added.) R e s o l u t i o n 2 6 2 5 ( X X V ) f u r t h e r p r o v i d e s that: Every State has the duty to promote, through joint and separate action, realization of the principle of equal rights and self-determination of peoples in accordance with the provisions of the Charter, and to render assistance to the United Nations in carrying out the responsibilities entrusted to it by the C h a r t e r r e g a r d i n g the i m p l e m e n t a t i o n of the principle, in order: (b) To bring a s p e e d y end to c o l o n i a l i s m , h a v i n g due regard to the freely e x p r e s s e d will of the peoples concerned. 59. T h e v a l i d i t y of the p r i n c i p l e of s e l f - d e -

(b) The integration should be the result of the freely e x p r e s s e d w i s h e s of the territory's peoples acting with full k n o w l e d g e of the c h a n g e in their status, their wishes h a v i n g been expressed through informed and d e m o cratic p r o c e s s e s , impartially c o n d u c t e d and based on universal adult suffrage. The United Nations c o u l d , when it d e e m s it necessary, supervise these processes."

t e r m i n a t i o n , d e f i n e d as t h e n e e d to p a y r e g a r d to t h e f r e e l y e x p r e s s e d will of p e o p l e s , is not a f f e c t e d by t h e f a c t that in c e r t a i n c a s e s t h e G e n e r a l A s s e m b l y h a s d i s p e n s e d w i t h t h e req u i r e m e n t of c o n s u l t i n g t h e i n h a b i t a n t s of a g i v e n territory. T h o s e i n s t a n c e s w e r e b a s e d either on the c o n s i d e r a t i o n that a c e r t a i n p o p u l a tion d i d n o t c o n s t i t u t e a " p e o p l e " e n t i t l e d t o s e l f - d e t e r m i n a t i o n o r on t h e c o n v i c t i o n that a

58. General A s s e m b l y

Resolution

2625

( X X V ) , " D e c l a r a t i o n on P r i n c i p l e s of I n t e r -

c o n s u l t a t i o n w a s t o t a l l y u n n e c e s s a r y , in v i e w of s p e c i a l c i r c u m s t a n c e s .

Appendix

478

6

Excerpt from the Judgment in Case Concerning East Timor (Portugal v. Australia), I.C.J. Reports 1995, p. 102, paragraph 29

[ A u s t r a l i a and I n d o n e s i a h a d c o n c l u d e d a treaty

as it e v o l v e d f r o m the C h a r t e r a n d f r o m U n i t e d

c o n c e r n i n g East Timor. Portugal argued that

N a t i o n s p r a c t i c e , has an e r g a o m n e s c h a r a c t e r ,

Australia had acted unlawfully. Australia ar-

is i r r e p r o a c h a b l e . T h e p r i n c i p l e of s e l f - d e t e r m i -

gued that Portugal's contention required

n a t i o n of p e o p l e s has b e e n r e c o g n i z e d by t h e

the

C o u r t to rule on t h e l a w f u l n e s s of t h e c o n d u c t

U n i t e d N a t i o n s C h a r t e r a n d in t h e j u r i s p r u -

of I n d o n e s i a , w h i c h w a s not a p a r t y to the p r o -

d e n c e of the C o u r t ( s e e Legal

c e e d i n g s , a n d that in the light of t h e C o u r t ' s de-

for

c i s i o n in the c a s e c o n c e r n i n g Monetary

Africa

Removed

from

Rome

Gold

in 1943 t h e C o u r t s h o u l d

States

standing

of the Continued

in Namibia Security Advisory

(South

of

West Africa)

Council Opinion,

Consequences

Presence

Resolution I.C.J.

Reports

South notwith276

not p e r m i t the p r o c e e d i n g s to c o n t i n u e . D u r i n g

(1970),

1975,

its c o n s i d e r a t i o n of t h e v a r i o u s a r g u m e n t s p u t

pp. 3 1 - 3 3 , p a r a s . 5 4 - 5 9 ) : it is o n e of the e s s e n -

f o r w a r d on this issue, the C o u r t s a i d : ]

tial p r i n c i p l e s of c o n t e m p o r a r y

international

29. H o w e v e r , P o r t u g a l p u t s f o r w a r d an a d -

law. H o w e v e r , the C o u r t c o n s i d e r s that the e r g a

ditional a r g u m e n t a i m i n g t o s h o w that the p r i n -

o m n e s c h a r a c t e r of a n o r m a n d the rule of c o n -

c i p l e f o r m u l a t e d by the C o u r t in t h e c a s e c o n -

sent to j u r i s d i c t i o n a r e t w o d i f f e r e n t t h i n g s .

cerning Monetary Gold Removed from Rome

W h a t e v e r the n a t u r e of the o b l i g a t i o n s i n v o k e d ,

in 1943 is not a p p l i c a b l e in the p r e s e n t c a s e . It

t h e C o u r t c o u l d not r u l e on t h e l a w f u l n e s s of

m a i n t a i n s , in e f f e c t , that the r i g h t s w h i c h A u s -

the c o n d u c t of a State w h e n its j u d g m e n t w o u l d

erga

i m p l y an e v a l u a t i o n of t h e l a w f u l n e s s of t h e

o m n e s a n d that a c c o r d i n g l y P o r t u g a l c o u l d re-

c o n d u c t of a n o t h e r State w h i c h is not a party to

tralia

allegedly

breached

were

rights

q u i r e it, individually, to r e s p e c t t h e m r e g a r d l e s s

the c a s e . W h e r e this is so, the C o u r t c a n n o t act,

of w h e t h e r or not a n o t h e r S t a t e h a d c o n d u c t e d

e v e n if the r i g h t in q u e s t i o n is a right e r g a

itself in a s i m i l a r l y u n l a w f u l m a n n e r .

omnes.

In the C o u r t ' s v i e w , P o r t u g a l ' s a s s e r t i o n that t h e r i g h t of p e o p l e s to s e l f - d e t e r m i n a t i o n ,

Appendix 7: Principal Treaties and Agreements Relating to Self-Determination: 1648 to the Twentieth Century This survey traces the historical development of the idea of self-determination as it has been expressed through international agreements and treaties. It is not meant to be an exhaustive list of documents touching on self-determination, but rather to illustrate a changing trend in international law over time. In general, only agreements between sovereign states have been listed, though some agreements leading to the end of colonial administrations (declarations, proclamations, and Acts of Parliament) have also been included. Agreements transferring territory from one Great Powei to another are not included, even in cases where an element of self-determination was present. For international agreements since the First World War, references are given to the particular articles relating to self-determination. 1648. The Peace of Westphalia ends the Thirty Years War. The sovereignty of territorial rulers is legislated into international law and religious toleration is established as part of the Holy Roman Empire, each state adopting the religion of its ruler. Switzerland and the Netherlands are given their independence. 1783. The Treaty of Paris ends the American War of Independence. Great Britain recognizes the sovereignty of the United States, reaffirming this recognition in the Treaty of Ghent (1814). The North American colonies thereby set the pattern of New World inhabitants gaining self-rule through force, with strategic support from European allies. 1816-1822. Treaties recognize the independence of Central and South American colonies: Argentina (1810), Chile (1810), Venezuela

(1811), Columbia (1819), Peru (1821), Mexico (1821), and Brazil (1822). The Monroe Doctrine (1823) declares the opposition of the United States to the continued colonial presence of European states in the Americas, and Great Britain recognizes the new South American nations as a counter-weight to Spanish conservatism in Europe (1825). 1830. A protocol crafted by Great Britain and France establishes the independence of Belgium from the Netherlands after a successful Belgian revolt. The Netherlands recognizes Belgium in the Treaty of London (1839). 1832. The Treaty of London grants Greece independence from the Ottoman Empire. This decision by the Great Powers is accepted by the Ottoman Sultan and approved by the Greek National Assembly later that year. 1833. The Zollverein is established among seven German states. This agreement signals the first step toward unification of the Germanspeaking regions, held together by Prussian leadership. 1856. The Treaty of Paris ends the Crimean War. Plebiscites in Wallachia and Moldova set the precedent for their use in determining a region's allegiance. 1859. The Treaty of Zurich lays the groundwork for Italian unification and independence. The Kingdom of Italy is proclaimed in 1861 and unification is substantially completed by the acquisition of Venetia (1866), and of Rome (1870). 1866. The Treaty of Prague ends the AustroPrussian War. German nationalism based on

479

Appendix

480

7

P r u s s i a ' s " S m a l l G e r m a n " p r i n c i p l e , r a t h e r than

16). T h e g r e a t p o w e r s f o r m a l l y r e c o g n i z e t h e

on the multi-nationalism of Austria, is victorious.

i n d e p e n d e n t R e p u b l i c of T u r k e y , a n d T u r k e y

1 8 7 1 . T h e P e a c e of V e r s a i l l e s c o n c l u d e s t h e F r a n c o - P r u s s i a n War. A l s a c e a n d L o r r a i n e are

a g r e e s to r e s p e c t t h e rights of its e t h n i c m i n o r i ties (see A r t i c l e s 37—45).

c e d e d to the n e w l y c h r i s t e n e d G e r m a n E m p i r e .

1 9 2 2 . T h e A n g l o - I r i s h T r e a t y c r e a t e s t h e Irish

G e r m a n n a t i o n a l u n i f i c a t i o n g a i n s f o r m a l inter-

F r e e S t a t e , m a k i n g p o s s i b l e the d e v e l o p m e n t of

national recognition.

the i n d e p e n d e n t R e p u b l i c of I r e l a n d ( 1 9 4 9 ) .

1 8 7 8 . T h e T r e a t y of B e r l i n g r a n t s i n t e r n a t i o n a l

1 9 2 7 - 1 9 7 1 . The Middle Eastern states achieve

r e c o g n i t i o n to the n e w l y i n d e p e n d e n t s t a t e s of

i n d e p e n d e n c e . T r e a t i e s of a l l i a n c e e s t a b l i s h the

S e r b i a a n d R o m a n i a ; B u l g a r i a is set u p as an

i n d e p e n d e n t s t a t e s of Iraq, E g y p t , a n d S a u d i

a u t o n o m o u s region within the O t t o m a n

A r a b i a ( 1 9 2 7 - 1 9 3 6 ) . M o r o c c o a n d T u n i s i a are

Em-

pire.

g r a n t e d i n d e p e n d e n c e by F r e n c h d e c l a r a t i o n s

1 9 1 9 . T h e T r e a t y of V e r s a i l l e s e s t a b l i s h e s t h e

(1954-1956).

L e a g u e of N a t i o n s (see A r t i c l e 1 et s e q . ) a n d

1 9 4 5 . T h e C h a r t e r of the U n i t e d N a t i o n s is

r e c o g n i z e s t h e i n d e p e n d e n c e of C z e c h o s l o v a -

s i g n e d by f i f t y - o n e n a t i o n s , a l o n g the

kia ( s e e A r t i c l e 81 et s e q . ) . G e r m a n y c e d e s its

a g r e e d u p o n at t h e D u m b a r t o n O a k s d i s c u s -

c o l o n i a l p o s s e s s i o n s to t h e L e a g u e of N a t i o n s

s i o n s in 1944. S e l f - d e t e r m i n a t i o n is e n s h r i n e d

to be held as m a n d a t e s (see A r t i c l e 2 2 ) .

as o n e of t h e g u i d i n g p r i n c i p l e s of the U n i t e d

1 9 1 9 . T h e T r e a t y of St. G e r m a i n g r a n t s i n d e p e n d e n c e to t h e C z e c h r e g i o n s of the A u s t r o H u n g a r i a n E m p i r e , as w e l l as to t h e R u t h e n e p o p u l a t i o n of A u s t r i a ( s e e A r t i c l e 5 3 et s e q . ) , a n d r e c o g n i z e s the i n d e p e n d e n t

Serb-Croat-

S l o v e n e state (see A r t i c l e 4 6 et s e q . ) . I t a l i a n s p e a k i n g a r e a s of t h e M o n a r c h y a r e c e d e d to

lines

N a t i o n s (see A r t i c l e 1. p a r a g r a p h 2; A r t i c l e 5 5 , p a r a g r a p h (a)-(c); A r t i c l e 73, p a r a g r a p h (b); A r ticle 7 6 , p a r a g r a p h (b)). T h e E c o n o m i c a n d S o cial C o u n c i l is e s t a b l i s h e d as an o r g a n of t h e U n i t e d N a t i o n s to d e a l with the e c o n o m i c , p o litical, a n d s o c i a l d e v e l o p m e n t of t h e m e m b e r states (see A r t i c l e s 6 1 - 7 2 ) .

Italy. A u s t r i a ' s s u c c e s s o r s t a t e s are r e q u i r e d to

1 9 4 7 . T h e T r e a t i e s of P a r i s r e a f f i r m the s o v e r -

s i g n t h e M i n o r i t i e s T r e a t i e s g u a r a n t e e i n g civil

e i g n t i e s of t h e s t a t e s a b s o r b e d by the A x i s

a n d p o l i t i c a l rights f o r e t h n i c m i n o r i t i e s w i t h i n

p o w e r s d u r i n g the S e c o n d W o r l d War, i n c l u d -

their b o r d e r s (see A r t i c l e s 6 2 - 6 9 ) .

ing C z e c h o s l o v a k i a a n d P o l a n d . Italy g i v e s u p

1 9 2 0 . T h e T r e a t y of T r i a n o n g r a n t s i n d e p e n d e n c e to the S l o v a k r e g i o n in n o r t h e r n H u n g a r y , a n d to the S l o v e n e s a n d C r o a t s of t h e s o u t h (see A r t i c l e s 41 et seq.). H u n g a r y p l e d g e s

its c o l o n i a l p o s s e s s i o n s to t h e U n i t e d N a t i o n s to b e h e l d as m a n d a t e s (see A r t i c l e 2 3 ) , a n d E t h i o p i a is g r a n t e d i n d e p e n d e n c e ( s e e A r t i c l e 33).

to s a f e g u a r d t h e r i g h t s of its e t h n i c m i n o r i t i e s

1947. T h e British Parliament's India Indepen-

(see A r t i c l e s 5 4 - 6 0 ) .

d e n c e A c t g r a n t s i n d e p e n d e n c e to t h e R e p u b l i c

1921. The Cairo Conference establishes consti-

of I n d i a .

t u t i o n a l m o n a r c h i e s in I r a q a n d T r a n s j o r d a n ,

1948. The Universal

thus taking a preparatory step toward Middle

R i g h t s is a d o p t e d by t h e U n i t e d N a t i o n s , set-

Eastern independence. British

t i n g f o r t h a b r o a d s t a t e m e n t of p o l i t i c a l , c i v i l ,

proclamations

D e c l a r a t i o n of

Human

g r a n t s e l f - r u l e to E g y p t ( 1 9 2 2 ) , a n d a c o n s t i t u -

s o c i a l , e c o n o m i c , a n d c u l t u r a l rights of all p e o -

tion to Iraq ( 1 9 2 4 ) .

p l e (see A r t i c l e 22).

1 9 2 2 . T h e L e a g u e of N a t i o n s g r a n t s P a l e s t i n e

1948.

to G r e a t B r i t a i n as a m a n d a t e . T h i s p o l i c y l a y s

A m e r i c a n S t a t e s d e c l a r e s the i m p o r t a n c e of n a -

t h e f o u n d a t i o n f o r t h e i n d e p e n d e n c e of I s r a e l ,

tional independence and self-government (See

r e c o g n i z e d by the g r e a t p o w e r s a f t e r t h e t e r m i -

A r t i c l e s 1, 2 ( b ) , a n d 3(e)).

n a t i o n of the m a n d a t e ( 1 9 4 8 ) .

The

Charter

of

the

Organization

1 9 5 0 . T h e E u r o p e a n C o n v e n t i o n on

of

Human

1 9 2 2 . T h e T r e a t y of L a u s a n n e g r a n t s i n d e p e n -

R i g h t s b i n d s s i g n a t o r i e s to r e s p e c t t h e civil a n d

d e n c e f r o m O t t o m a n rule to A r a b i a (see A r t i c l e

p o l i t i c a l r i g h t s of t h e i r c i t i z e n s , a n d s e t s u p

481

Appendix 7 institutions for the enforcement of the Convention's terms (see particularly Article 14). 1955. The Austrian State Treaty re-establishes the independence of Austria in international law (see Articles 1-5). 1 9 5 7 - 1 9 7 7 . Independence of the African colonial states. A Belgian administrative agreement provides for independence in the Congo (1960), and an Italian proclamation grants independence to Somalia. A Franco-Algerian agreement endorses independence for Algeria (1962). European settlers in Rhodesia declare their independence from Great Britain (1965), but Rhodesia is not granted international recognition until a majority-rule government is established (1980). 1960. The Declaration on the Granting of Independence to Colonial Territories denounces colonialism and calls for self-determination in all non-self-governing territories (see particularly paragraphs 1-7). 1963. The Charter of the Organization of African Unity emphasizes national independence and self-government as a primary aspect of international relations (see Articles IIIII). 1966. The International Covenants on Economic, Social and Cultural Rights, and on Civil and Political Rights, endorse personal freedoms for all persons in United Nationsi m e m b e r States, and establish self-determination as a legal right for all peoples (Article 1 of both Covenants) and the cultural, religious and linguistic rights of minorities (Article 27 of the Covenant on Civil and Political Rights). 1970. The Declaration on Principles of International Law Concerning Friendly Relations and Co-operation Among States stresses the importance of self-determination in the United Nations' program (see preamble and statement of principles). 1972. The Simla Agreement ends the Third Indo-Pakistani War and lays the foundation for the independence of Bangladesh, recognized by Pakistan in 1974.

1973. The Paris Peace Accords removed colonial powers f r o m Vietnam, leading to the unification of the independent state of Vietnam (1975). 1975. The Final Act of the Conference on curity and Cooperation in Europe (Helsinki cords) endorses human rights principles, encourages the free m o v e m e n t of people information(see Article VIII).

SeAcand and

1976. The International Covenant on Civil and Political Rights proclaims self-determination to be a fundamental human right, and requires its signatories to uphold that principle within their own territory (see Article I, Parts 1 and 3). The political rights of minorities are reiterated (see Article 27). 1981. The African Charter on Human and Peoples' Rights sets out self-determination and human rights as basic principles of government (see Articles 13, 19, 20, and 29). 1988. The Geneva Agreement lays the foundation for Namibian independence by endorsing the withdrawal of foreign troops, to be followed by elections. 1993. The Maastricht Treaty enters into effect, calling for the development of a European monetary union by the end of the 1990s, and reinforcing the drive toward European unification embodied in the Single European Act (1986). The Treaty acknowledges national identity to be a fundamental human f r e e d o m (see Article F). 1993. The Declaration on the Rights of Minorities proclaims the responsibility of signatory states to protect the identity and political rights of national, ethnic, religious and linguistic minorities within their borders (see Articles 1-5). 1994. The Budapest Summit of the Conference on Security and Cooperation in Europe founds the Organization for Security and Cooperation in Europe, dedicated to resolving security conflicts which threaten international stability and peace.

Selected Bibliography

Books Adams, Richard N. "Strategies of Ethnic Survival in Central America," Nation-States and Indians in Latin America. Greg Urban and Joel Sherzer, eds. Austin, Texas: University of Texas Press, 1991. Alderman. G., ed., with J. Leslie and K. Pollmann. Governments, Ethnic Groups, and Political Representation. Strasbourg, France: European Science Foundation; New York, NY: New York University Press; Aldershot, Hants, England: Dartmouth, 1992. Alexander, Jeffrey. "Citizen and Enemy as Symbolic Classification: On the Polarizing Discourse of Civil Society," Cultivating Differences: Symbolic Boundaries and the Making of Inequality, Michèle Lamont and Marcel Fournier, eds. Chicago: University of Chicago Press, 1992. Alexander, Yonah, and Robert A. Friedlaender, eds. Self-Determination: National, Regional, and Global Dimensions. Boulder, Co.: Westview Press, 1980. Almond, Gabriel A. and Sidney Verba. The Civic Culture: Political Attitudes and Democracy in Five Nations. Princeton: Princeton University Press, 1963. Anderson, Benedict. Imagined Communities: Reflections on the Origin and Spread of Nationalism. London: Verso, 1983. Arnaud, Remy. Panorama de l'Economie française. Paris: Bordas, 1986. Aufderheide, Patricia. Beyond P.C.: Toward a Politics of Understanding. Saint Paul: Greywolf Press, 1991. Baldwin, Peter. The Politics of Social Solidarity: Class Bases of European Welfare State. New York: Cambridge University Press, 1990. Barnard, Frederick M. Self-direction and Political Legitimacy: Rousseau and Herder. Oxford, England: Clarendon Press; New York: Oxford University, 1988.

Bashevkin, Sylvia B. True Patriot Love: The Politics of Canadian Nationalism. Toronto: Oxford University Press, 1991. Bassand, Michel. Self-Reliant Development in Europe: Theory, Problems, Actions. Vermont: Gower Publishing Company Limited, 1986. Bassiouni, M. Cherif. The Palestinians' Right of Self-Determination and National Independence. Detroit: Association of Arab-American University Graduates, 1978. Batliner, Gerard, ed. Subsidiarität: ein interdisziplinares Symposium: Symposium Riklin. Liechtenstein-Institut in Bendern. Vaduz: Verlag der Liechtensteinischen Akademischen Gesellschaft, 1994. Baum, Gregory. "Ethicai Reflections on the Language Debate," Boundaries of Identity: A Quebec Reader, William Dodge, ed. Toronto: Lester Publishing, 1992. Beamish, Sir Tufton Victor Hamilton. The Kremlin's Dilemma: the Struggle for Human Rights in Eastern Europe. London: Collins and Harvill, 1979. Behiels, Michael D. Prelude to Quebec Quiet Revolution: Liberalism vi. Neo-Nationalism 1945-1960. Kingston: Queens University Press, 1985. Bellah, Robert N. The Broken Covenant: American Civil Religion inTime of War. New York: Seabury Press, 1975. Bellah, Robert N., Richard Madsen, William W. Sullivan, Ann Swidler, and Steven Tipton. Habits of the Heart: Individualism and Commitment in American Life. Berkeley: University of California Press, 1985. Bennigsen Broxup, Marie, ed. The North Caucasus Barrier. The Russian Advance towards the Muslim World, New York: St. Martin's Press; London: Hurst & Co. 1992 Berat, Lynn. Decolonization and International Law. New Haven, Connecticut: Yale University Press, 1990. Berg, Leo van den. Governing Metropolitan Re-

483

484 gions. Aldershot: Avebury, 1993. B e r m a n , N a t h a n i e l . Sovereignty in Abeyance: Self-Determination in International Law, J D thesis, Harvard Law School, 1986 (later published) B e r m a n , Paul., ed. Debating P.C.: The Controversy over Political Correctness on College Campuses. New York: Dell, 1992. Bermeo, Nancy, ed., Liberalization and Democratization—Change in the Soviet Union and Eastern Europe. J o h n s H o p k i n s University Press, 1992 B e t t e l h e i m , Peter, and Rudi Benedikter, eds. Apartheid in Mitteleuropa? Sprache und Sprachenpolitik in Südtirol: La lingua e la politica delle lingue nel Sudtirolo. Nachwort von Claus Gatterer. Wien: J & V, 1982. London: Bhabha, Homi K. Nation and Narration. Routledge, 1990. Bibo, Istvan. The Paralysis of Internationale Institutions and the Remedies: a Study of SelfDetermination, Concord among the Major Powers, and Political Arbitration. New York: Wiley, 1976. Bissonnette, Lise. "Culture, Politics, and Society in Q u e b e c . " Boundaries of Identity: A Quebec Reader, William D o d g e , ed. Toronto: Lester Publishing Ltd.. 1992. Bitsch, M a r i e - T h e r e s e . La Belgique entre la France et l'Allemagne, 1905-1914. Preface de R e n e Girault. Paris: Publications de la Sorbonne, 1994. Black, Cyril Edwin and Richard A. Falk. The Future of the International Legal Order Princeton, NJ: C e n t e r of International Studies, W o o d r o w Wilson School of Public and International Affairs, Princeton University, 1982. B l u m , J o h n M o r t o n . Woodrow Wilson and the Politics of Morality B o s t o n : Little, B r o w n and Co., 1956. Blumenwitz, Dieter and Meissner, Boris, eds. Das Selbstbestimmungsrecht der Völker und die Deutsche Frage. Köln, 1984. B o b o , L a w r e n c e and Ryan A. Smith. " A n tipoverty Policy, A f f i r m a t i v e Action, and Racial Attitudes," Confronting Poverty: Prescriptions for Change, Sheldon H. Danziger, G a r y D. S a n d e f u r , and Daniel H. Weinberg, eds. N e w York: Russell Sage F o u n d a t i o n , 1994. Boltanski, Luc, and Laurent Thevenot. De la justification: Les Economies de la grandeur. Paris: Gallimard, 1991. Bonnet, Jacques. Lyon et son agglomeration: Les enjeux d'une métropole européenne. Paris:

Selected

Bibliography

La documentation française, 1987. B o n n e v i l l e , M a r c , Marie A n d r é B u i s s o n , N i c o l e C o m m e r o n , and Nicole Rouster. Villes européennes et internationalisation. Oullins, France: Bosc Frères, 1991. Borys, Jurij. The Sovietization of Ukraine, 19171923: the Communist Doctrine and Practice of National Self-Determination. Edmonton: C a n a d i a n Institute of Ukrainian S t u d i e s ; D o w n s v i e w , O n t a r i o : University of O n t a r i o Press. 1980. B o w e t t , D.W. The Law of International Institutions. P u b l i s h e d under the a u s p i c e s of the RIIA. London: Stevens, 1963. Breton, R a y m o n d , J e f f r e y G. Reitz, and Victor F. Valentine. Cultural Boundaries and the Cohesion of Canada. Montreal: T h e Institute for Research on Public Policy, 1980. Breully. John. Nationalism and the State, 2nd. ed. Chicago: University of Chicago Press. 1994. Brinton, Jasper Yeates. Federations in the Middle East. Cairo: Brintonton, 1964. B r o l m a n n , C a t h e r i n e , René L e f é b r e , and Marjoleine Zieck. Peoples and Minorities in International Law, M a r t i n u s N i j h o f f Publishers, 1993 Brossard, Jacques. L'accession a la souveraineté et le cas du Québec: conditions et modalités politicojuridiques. Montréal: Presses de l ' u niversité de Montréal, 1976. Brosted, Jens, ed. Native Power: the Quest for Autonomy and Nationhood of Indigenous Peoples. Festschrift in memory of Helge Kleivan (1924-1983). Bergen: U n i v e r s i t e t s fôrlaget, 1985. Brown, Michael E. The International Dimensions of Internal Conflict. C a m b r i d g e , M a s s a c h u setts: M I T Press, 1996. B u c h a n a n , Allen. Secession: The Morality of Political Divorce from Fort Sumter to Lithuania and Quebec. Boulder, C O . : W e s t v i e w Press. 1991. B u c h h e i t , Lee C. Secession: the Legitimacy of Self-Determination. Yale University Press, 1978. Burnett, Ron. " T h e Frontiers of O u r D r e a m s are no L o n g e r the S a m e , " Boundaries of Identity: A Quebec Reader, William D o d g e , ed. Toronto: Lester Publishing, 1992. Calder, Kenneth J. Britain and the Origins of the New Europe. 1914-1918. N e w York: C a m bridge University Press, 1976. Cantori, Louis J. and Stephen L. Spiegel. The International Politics of Regions—A Comparative Approach. N e w Jersey: P r e n t i c e Hall,

Selected

Bibliography

1970. C a p p e l l i n , R., and P.W.J. Batey, eds. Regional Networks, Border Regions, and European Integration. L o n d o n : Pion, 1993. Card, E d g a r R o u a r d de. Etude de droit international public; les annexions et les plebiscites dans I'histoire contemporaine. Paris: Thorin, 1880. Carr, Edward H. The Future of Nations: Independence, or Interdependence? London: 1941. C a s s e s e , A n t o n i o and E d m o n d J o u v e , eds. Pour un droit des peuples: essais sur la declaration d'Algérie. Paris: Berger Levrault, 1978. C a s s e s e , Antonio. Self-Determination of PeoplesóA Legal Reappraisal. C a m b r i d g e , U.K.: Cambridge University Press, 1995. . ed. U.N. Law / Fundamental Rights: Two Topics in International Law Leiden, Sijthoff, 1979. . "The International Court of Justice and the Right of Peoples to S e l f - D e t e r m i n a t i o n , " in Fifty Years of the International Court of Justice. L o w e and F i t z m a u r i c e , eds. C a m bridge, E n g l a n d : C a m b r i d g e University Press. 1996. . International Law in a Divided World. New York: Oxford University Press, 1986 C h a t t e r j e e , Partha. Nationalist Thought and the Colonial World. London: Zed Books, 1988. C h o u - Y o u n g , Hu. Das Selbstbestimmungsrecht als eine Vorbedingung des völligen Genusses aller Menschenrechte: Eine Studie über Artikel der beiden Menschenrechtskonventionen vom 16. Dezember 1966. Zürich: Schulthess Polygraphischer Verlag, 1972. C l a p h a m , C h r i s t o p h e r S. Africa and the International System : The Politics of State Survival, New York : C a m b r i d g e University Press, 1996. Clark, Walter and J e f f r e y Herbst, eds. L e a r n i n g f r o m S o m a l i a : T h e L e s s o n s of A r m e d Humanitarian Intervention. W e s t v i e w Press. 1997. Cloutier, Edouard, Jean Yves Gay, and Daniel Latouche. Le Virage. Montreal: H M H Hurtubise, 1992. Cobban, Alfred, National Self-Determination The University of Chicago Press, Chicago 1944 C O C A D I . Cultura Maya y Políticas de Desarrollo. G u a t e m a l a : C o o r d i n a d o r a C a k c h i q u e l de Desarrollo Integral, D e p a r t a m e n t o de Investigaciones Culturales, 1989. C o h e n , H y m e n Ezra. Recent Theories of Sovereignty. C h i c a g o : University of C h i c a g o Press, 1937.

485 Cojtí Cuxil, Demetrio. " T h e Indian M o v e m e n t in C o n t e m p o r a r y Colonial G u a t e m a l a . " U n p u b lished ras. Richard A d a m s , trans. . " L i n g ü í s t i c a e I d i o m a s M a y a s en G u a t e m a l a , " Lecturas Sobre la Lingüística Maya, Nora C. E n g l a n d and S t e p h e n R. Elliott, eds. G u a t e m a l a , C e n t r o de Investigaciones Regionales de M e s o a m é r i c a , 1990. . Configuración de! Pensamiento Político de! Pueblo Maya. Quetzaltenango, Guatemala: Asociación de Escritores M a y a n c e s de G u a t e m a l a , 1991. C o j t í Macario, Narciso. Mapa de los Idiomas de Guatemala y Belice. G u a t e m a l a : Piedra Santa, 1988." Colop, Sam, and Luis Enrique. " H a c i a una Propuesta de Ley de E d u c a c i ó n B i l i n g ü e . " Unp u b l i s h e d thesis for the L i c e n c i a t u r a en C i e n c i a s Jurídicas y Sociales, University Rafael Landívar. Guatemala: 1983. C O M G ( C o n s e j o de O r g a n i z a c i o n e s M a y a s de G u a t e m a l a ) . " D e r e c h o s E s p e c í f i c o s del Pueblo Maya/ R u j u n a m i l Ri M a y a b ' A m a q ' . " Guatemala: Mayab' Nimajay Cholsamaj. 1991. Connor, Walker. " E t h n o c e n t r i s m , " Understanding Political Development. M y r o n Weincr and S a m u e l H u n t i n g t o n , eds. Boston: Little Brown. 1987. C o u g h l i n , Richard M. Ideology. Public Opinion, and Welfare Policy. Berkeley, California: Institute of International Studies. 1980. Council of Europe: International Conference. European Towns: Strategies and Programmes. Strasbourg: Council of Europe, 1991. C r a w f o r d , James. " T h e General Assembly, the International Court and S e l f - D e t e r m i n a t i o n , " Fifty Years of the International Court of Justice, L o w e and Fitzmaurice, eds. C a m b r i d g e . England: C a m b r i d g e University Press, 1996. . The Creation of States in International Law. N e w York: O x f o r d University Press, 1979. . The Rights of Peoples. O x f o r d [ O x f o r d shire]: C l a r e n d o n Press; N e w York: O x f o r d University Press, 1988. Crocker, Chester A. and Fen Osier H a m p s o n , eds. Managing Global Chaos: Sources of and Responses to International Conflict. W a s h i n g ton, D.C.: United States Institute of P e a c e Press, 1996. Cruttwell, Charles Robert M. Frazer. A History of Peaceful Change in the Modern World. London: 1937. C u k w u r a h , A.O. The Settlement of Boundary Dis-

486 putes in International Law Manchester, U.K.: Manchester University Press, 1967. Danspeckgruber, W o l f g a n g , ed. Emerging Dimensions of European Security. Boulder, C . O . : Westview Press, 1991 Dahbour, O m a r and Micheline R. Ishay, eds, The Nationalism Reader, H u m a n i t i e s Press, NJ. 1995 Dahl, Robert A. Dilemmas of Pluralist Democracy. Autonomy Is Control. Yale University Press, 1982 D a v i s o n , W. Phillips, and L e o n G o r d e n k e r . Resolving Nationality Conflicts: the Role of Public Opinion Research. New York, N.Y.: Praeger, 1980. Deâk, Francis and Philip C. Jessup, eds. A Collection of Neutrality Laws, Regulations and Treaties of Various Countries. Westport, Connecticut: G r e e n w o o d Press, 1974. Deâk, Francis and Philip C. Jessup. Neutrality. Its History, Economics, and Law. N e w York: C o l u m b i a University Press, 1935. Deci, E d w a r d L. Intrinsic Motivation and SelfDetermination in Human Behavior. New York: Plenum, 1985. Decker, Guenter. Das Selbstbestimmungsrecht der Nationen. N.p.: Schwartz, 1955. D e h e s a , G u i l l e r m o de la, and Paul K r u g m a n . EMU and the Regions. W a s h i n g t o n : G r o u p of Thirty, 1992. D e l c a m p , Alain. Definition and Limits of the Principle of Subsidiarity. Report Prepared for the Steering C o m m i t t e e on Local and Regional Authorities. Strasbourg: C o u n c i l of Europe Press, 1994. Delupis, Ingrid D o i m i di. International Law and the Independent State. Gower, 1974. D e n n e r t , Jürgen. Ursprung und Begriff der Souveränität. Stuttgart: Fischer, 1964. D e n o e u x , Guilain. Urban Unrest in the Middle East: A Comparative Study of Informal Networks in Egypt, Iran, and Lebanon. Albany: State University of New York Press, 1993. D e s c h a m p s , Gilles. Les communautés culturelles: identification linguistique, rapport avec la société francophone, et usages linguistiques. Q u é b e c : M i n i s t è r e des c o m m u n a u t é s culturelles et de l ' i m m i g r a t i o n , 1990. d ' E s t a i g n , Valéry Giscard . Report of the Committee on Institutional Affairs on the Principle of Subsidiarity. E P doc A 3 - 2 6 7 / 9 0 / 5 p . D e v e t a k , Silvo, S e r g e j Flere, and G e r h a r d Seew a n n , eds. Small Nations and Ethnic Minorities in an Emerging Europe. Proceedings of the International S c i e n t i f i c C o n f e r e n c e ,

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