Montevideo convention and criteria of statehood

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Contents

Introduction………………………………………………………………………………………………3

Theoretical perspective

  1. Defined territory………………………………………………………………………4
  2. Population……………………………………………………………………………..5
  3. Effective control by a government……………………………………………………5
  4. Capacity to enter into relations with other states……………………………………..5

Montevideo scrutinized: shortcomings v propositions……………………………………………………6

Recognition of states: Is there a need for?

  1. Declaratory theory at closer examination…………………………………………………..7

b) Constitutive theory……………………………………………………………………………….8 

Self-determination as additional factor relevant to the criteria for statehood……………………………..9

Other propositions………………………………………………………………………………………..10

Attempting to define atypical quasi-state actors: the Holy See…………………………………………..11

Conclusion………………………………………………………………………………………………...13

Bibliography………………………………………………………………………………………………14

Introduction

This essay hinges on the thorough examination of the criteria for Statehood articulated in Article 1 of the 1933 Montevideo Convention on Rights and Duties of States. Background of the criteria set forth in the Montevideo Convention, the notion of recognition and its different theories, various propositions and debates in regard to the definition of statehood will be analyzed.  

Theoretical perspective

Although academics and practitioners from several disciplines have produced a vast literature debating the nature and importance of non-state actors on the international arena, the orthodoxy accepts a state as a critical and inextricable actor of international law and international relations. This fact underpins boldly the argument that amongst the myriad subject areas of international law, one that covers the criteria for statehood is of crucial importance.  

Many legal scholars have suggested the definitions of statehood, such as Hans Kelsen, Thomas Baty, David Raic, Clive Parry, etc. Notwithstanding the fact that the attempts to enunciate a formal definition of “state” either failed to gain approval or insufficiently portrayed the concept, the most widely accepted source of a definition of statehood is pursuant to article 1 of the 1933 Montevideo Convention that was manifested at the Seventh International Conference of American States. Crawford pertinently labels Article 1 of the Convention as the "best known formulation of the basic criteria for statehood." Apparently, the elements are frequently referred to by scholars as indicative of customary international law. 

Notably, after the signing of the Convention by the Pan-American nations, the 1930s and 1940s saw ample reference to the Convention. Furthermore, as Grant explicitly adjudicates, currently “the citation to the Convention in contemporary discussions of statehood is nearly a reflex”. 

Hence, according to the Montevideo Convention, a "state" is an entity that has (a) a defined territory and (b) a permanent population, under control of its own (c) government, that engages in, or has (d) capacity to engage in, formal relations with other states.

  1. Defined territory

Shaw regards the control of territory as the essence of a state. As Judge Huber noted on the concept of territorial sovereignty in the Island of Palmas case, “territorial sovereignty involves the exclusive right to display the activities of a State”. The territory includes the air space above the land, the earth beneath it and up to twelve miles of the territorial sea adjacent to the coast.

Despite the fact that the delimitation of state boundaries is of crucial importance, it is clear from the practice that the existence of absolute certainty about the state’s frontiers is not required. 

b)  Population

As Malanczuk provides, the criterion of a “permanent population” is correlated with that of territory and constitutes “the physical basis for the existence of a state” and therefore, for instance, it is axiomatic that Antarctica cannot be regarded as a state. In addition, it is agreed that, indeed, the size of the population, as well as the size of the territory, may not be extensive and they will not affect the essence of statehood and admissibility of claim to become a state.  

  1. Effective control by a government

The effective control by a government over territory and population is the other core element subject to scrutiny. Malanczuk claims that there are two aspects following from control by a government: one is internal, where the subsistence of a government entails the capacity to establish and maintain a legal order “in the sense of constitutional autonomy”, the other is external, where the government is capable to act autonomously on the international arena without being legally dependent on other states. 

  1. Capacity to enter into relation with other states

The capacity to enter into relations with other states is essential to the notion of independence. Or, in other words, the nature of legal capacity is the so-called “raison d'être” of independence. The criterion is also encapsulated in the Restatement (Third) of Foreign Relations of the American Law Institute, which qualifies that “an entity is not a state unless it has competence, within its own constitutional system, to conduct international relations with other states, as well as the political technical and financial capabilities to do so”. 

Montevideo scrutinized: shortcomings v propositions

Notwithstanding prevalent allusion to the Convention by legal academia trying to pin down a definition, the Montevideo definition is conceded as deficient by some of the most highly qualified scholars. According to some writers the four-point criteria are over-inclusive, i.e. suggesting the elements that are not of primary importance. Other publicists argue that the definition set forth in the Montevideo Convention is not consummated and criteria must be complemented by other decisive factors.    

In regard to over-inclusiveness, the notion of legal capacity was mostly exposed to the scrutiny. James Crawford argues that capacity is not a requirement, but rather a result, of statehood. In the Akehurst treatise it was also agreed that capacity is not generally acknowledged as an essential condition. Furthermore, O’Connell notes that the criterion of capacity is not a useful characteristic of distinguishing states from the non-state actors. He claims that besides states the treaty-making competence, i.e. the element of legal capacity, can also be attributed to other entities, such as international organizations.

In respect of the propositions to the criteria for statehood, two theories emerged as regards the international law requirements of statehood. The declaratory theory alleges that an entity claiming to be a state would in fact be one if it, objectively, complies with the criteria of statehood articulated in article 1 of the Montevideo Convention, while the constitutive theory is grounded on the assumption that statehood necessitates the entity in question being recognized as a state by other states.

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Recognition of states: Is there a need for?

a) Declaratory theory at closer examination

According to James that fixed the kernel of the fundamental premiss made by scholars that substantiate declaratory theory, "recognition presupposes a state's existence; it does not create it". Legal effects of recognition are limited, given that recognition is solely a declaration or an acknowledgement by states of an already existing situation. It is observed that scholars often allude to the famous Tinoco Arbitration as juridical support for the declaratory theory. The theory was also upheld in the Charter of the Organization of American States, where it is ...

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