The USA Journals Volume 03 Issue 08-2021
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The American Journal of Political Science Law and Criminology
(ISSN
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2693-0803)
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August 31, 2021 |
Pages:
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Doi:
https://doi.org/10.37547/tajpslc/Volume03Issue08-10
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‘
ABSTRACT
The article illustrates the fundamental aspects of studies of diplomatic protocol from different
perspectives and makes an effort to review its characteristics by relying on political or geographical
positions of states. The article also defines the diplomatic protocol and what appeals to it by analyzing
its theoretical and legal bases as well as presenting examples of documents used among members of
the diplomatic corps. Considering the main features, the article makes a conclusion on the unique
nature of the diplomatic protocol.
KEYWORDS
Diplomatic protocol; diplomatic missions; corps; scholars; diplomatic ceremonial; agrément;
ambassadors; consuls; Charge d'Affaires ad interim; international law; conventions; legal basis;
diplomatic correspondence.
INTRODUCTION
The Diplomatic Protocol may not be the most
exciting area of international relations, but
they create the atmosphere necessary for the
activities of diplomatic missions. The protocol
and the ceremonial contribute not only to the
proper foreign manifestation of a state but
Diplomatic Protocol: Theoretical And Legal Approaches To Its
Study
Sherzod Shukurovich Toshpulatov
LLB., LL.M., Candidate/2022, The Pennsylvania State University, The United States Of America,
131 Sowers Street, Apt B6, State College, PA 16801, the USA.
Journal
Website:
https://theamericanjou
rnals.com/index.php/ta
jpslc
Copyright:
Original
content from this work
may be used under the
terms of the creative
commons
attributes
4.0 licence.
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especially to the quality of its relations to
different foreign states.
THE MAIN PART
The diplomatic protocol finds its theoretical
reflection in the works of several scholars as
well as in several international and national
regulatory acts. The essence of the definitions
and concepts of the diplomatic protocol allows
us to fully consider the various approaches to
its study.
In foreign literature, there are various
definitions of diplomatic protocol. For
instance, the “Diplomatic Dictionary” gives the
following definition: “A diplomatic protocol is
a set of generally accepted rules, traditions and
conventions observed by governments,
foreign affairs officials, diplomatic missions,
and other officials in international relations”.
The Uzbek prominent scholar in the field of
diplomatic protocol A.Rasulov in his book,
“Diplomatic protocol, ceremonial, etiquette.
Fundamentals, theory, practice”, states that
each state participating in international
relations is characterized by its social system,
history, traditions, culture and language.
Normal communication between states would
be impossible if the diplomatic protocol had
not
been
formed
in
diplomacy
and
international relations as an important
instrument. The protocol introduces into these
relations common norms and rules, discipline
and organization for all parties [1].
Mircea Malita states that protocol and
ceremonial
“can
be
considered
true
barometers that indicate the state of relations
between countries” [2].
In turn, the Ambassador Extraordinary and
Plenipotentiary P.F. Lyadov, Professor of the
Department of Diplomacy of the Moscow State
Institute of International Relations of the
Ministry of Foreign Affairs of Russia, in his book
“The History of the Russian Protocol” deepens
the definition of a diplomatic protocol as
follows: “The diplomatic protocol itself is the
form in which other foreign policy affairs of the
state,
its
representative
office
or
representative operate. The rules of the
diplomatic protocol are based on the so-called
principle of “international politeness” - a set of
generally accepted rules of international
practice of etiquette, respect in interstate
relations” [3].
A similar definition of the protocol is given by
another well-known Russian Diplomat V.
Semenov. Similar to Lyadov, Semenov focuses
on the significance of the protocol as an
integral part of practical diplomacy: “The
protocol means a set of rules according to
which official representatives in each country
regulate the order of various diplomatic
ceremonies. Protocol events are used in the
development of numerous details, both
extraordinary ceremonies and ceremonies
related to the work of missions ” [4].
Further, he reinforces his reasoning: “The
protocol is observed during negotiations,
drafting of agreements. In the political and
administrative structure, the protocol gives
everyone their place, guarantees all officials
the opportunity to use their rules, settles
controversial issues of seniority, as well as
disputes concerning the privileges and
immunities presented. In addition to the
organization of ceremonies, the protocol also
defines the methods, framework, behaviour
and etiquette and establishes rules regarding
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official
and
personal
correspondence,
uniforms - all that provides each place and
respect, corresponding to its official position
and which are recognized by other political and
administrative authorities and society.” [4]
This rather difficult to understand definition,
presented by Semenov, mainly adds a hint of
the interdependence of the diplomatic
protocol with the practical side of diplomacy
and vice versa.
All scholars devoted to the development of a
diplomatic protocol can rightly be considered
J. Wood and J. Serre. Their joint work
“Diplomatic Protocol and Ceremonial”, being a
classic guide to protocol and ceremonial, is a
kind of code of diplomatic politeness. They
share the historical protocol and the protocol
of modernity, advocating that the forms,
methods and tools remain stable and
unchanged. According to their interpretations,
“at present, the protocol means a set of rules
according to which in each country official
representatives of the authorities regulate the
order of various diplomatic ceremonies.
Protocol rules are applied in the development
of
numerous
details
as
extraordinary
ceremonies related to the work of diplomatic
missions” [5].
The well-known French diplomat Jules Martin
Cambon in his book “Diplomat” tried to
summarize the experience of his diplomatic
activity, touching on the scope of the protocol.
Cambon wrote that “The rules of the protocol
now seem somewhat old-fashioned. However,
the protocol requires to be observed in all
senses” [6]. This is confirmed by the following
case, described in Diplomat: “Before, when the
ambassador arrived at his post, he was
received with ceremonies. He was said to have
made his entry. All the ambassadors went to
meet him in their carriages and escorted him
home. This ostentatious display of politeness
most often served as a pretext for conflict, for
each of these gentlemen challenged the right
of others to occupy a more honourable place.
Diplomatic history is full of such quarrels. In
166, in London, during the entry of the Swedish
Count Wattevil, they quarrelled with the
lackeys of the French ambassador, Count
d'Estrada, and cut the lintels from his carriage;
swords were fired and many French, Spanish
and English were killed on the spot” [6].
Thus, citing such a vivid example, Cambon
moves away from the traditional classical
description of the protocol and tries to
characterize it as a kind of impetus or cause for
the deterioration of relations with any country,
i.e. from its definition it can be concluded that
the protocol is one of the most effective policy
instruments in interstate relations.
The author of the Labor Guide on Diplomatic
Practice, E. Satow, assigns even more primary
importance to the diplomatic protocol,
describing it as “a code of generally accepted
rules that are mandatory for states and officials
in international relations to comply with ...
(and) which can be derogated on the authority
of the state in the most unfavourable light, and
also
lead
to
undesirable
international
consequences” [7]. However, the statement of
Satow cannot be called correct with certainty,
because today the level at which diplomatic
receptions are organized is always high and in
most cases fully meets the basic requirement.
Based on the above definitions, it can be stated
that a diplomatic protocol is a set of rules of
conduct for states and their representatives on
official and unofficial occasions, and in order to
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avoid a deterioration of the image or the
appearance of any confusion, the state must
comply with all the provisions of the protocol.
To attach great importance to the strict
organization of receptions and visits for the
state means to secure a path to success and
gain the trust and support of the guest state. In
regards to the main functions of a diplomatic
protocol, the following points can be stated.
Firstly, it provides the diplomat with a certain
place, which allows delineating the line
between compliance and non-observance of
fundamental rights and obligations.
Secondly,
it
clearly
regulates
many
controversial issues related to organizational
issues, such as seniority issues, disagreements
regarding privileges and immunities granted,
etc.
Thirdly, an important function of the protocol
is the definition of methods, frameworks, rules
of conduct and etiquette, as well as the
establishment of uniform rules for conducting
correspondence
and
correspondence,
uniforms, etc. Fourthly, thanks to the protocol,
visits of officials, as well as their conclusion of
agreements, pass with a touch of solemnity,
which, in turn, makes it possible to create a
relaxed and friendly atmosphere during
receptions.
Therefore, it is extremely important to pay
maximum attention even to the smallest
details during the organization of receptions
and visits, and the rejection or violation by an
official of any rule can be perceived as a
deliberate violation and disrespect for the
receiving state. Moreover, this, as already
mentioned above, can significantly worsen
relations between countries, and even if the
violation was done unintentionally, it would be
difficult for the side that failed to find a way to
correct the error.
The main subjects of the diplomatic protocol
are the states and their official representatives.
The main task of an official is to develop
friendly relations between his state and the
ruler of another state; therefore, a person sent
with a diplomatic mission to a state must have
an idea of the various distinctive features
inherent in that state. The ambassador can
start his main functions from the moment of
the presentation of credentials, however,
when establishing diplomatic relations for the
first time and arriving in the country of
accreditation,
a
group
of
diplomatic
administrative and technical workers is sent,
whose main task is to prepare the embassy for
normal operation.
In international law, according to the Vienna
Convention [14] on Diplomatic Relations of
April 18, 1961, before the appointment of the
head of a diplomatic mission, request an
agrément (fr. “Consent”). The ambassador,
completing his mission in this state, often
makes farewell visits to officials of this
government in order, to sum up, the existing
relations and perhaps indicate prospects for
strengthening relations
in
the
future.
Agrément,
if
there
are
no
special
considerations in the centre on this matter, it is
more expedient to request through a
diplomatic representative who leaves the post,
which allows him to conduct additional useful
work before leaving home [8].
The fact of the request of the agrément is not
accepted to disclose, to avoid in case of refusal
possible complications between the states and
the corresponding comments of the third
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country and the press [8]. According to the
Russian
Ambassador
Extraordinary
and
Plenipotentiary E. Kuzmin in his monograph
“Diplomatic and business communication:
rules of the game”, “the disclosure of
information about the fact of the request of
agrément, leaks of information about refusal
can damage the future career of a diplomat
when he is appointed to another country” [8].
An integral attribute of a diplomatic protocol is
the presentation of credentials by the
ambassador. The credentials should be
understood as an official document adopted in
interstate practice, certifying the powers of
the appointed diplomatic representative
(ambassador, envoy) and handed to the head
of state or the official representing him [9]. His
certified copy is pre-transmitted to the head of
the department of foreign affairs. The letters
begin with the official, constitutional name of
the head of state, which sends the
ambassador. Then comes the full title of the
head of the host state. There is a desire to
appoint a new ambassador to further develop
and deepen relations between the two
countries.
Further, the first name, patronymic and last
name of the ambassador are communicated
and a request is made to believe everything
that the ambassador will state on behalf of the
head of his state and government. According
to diplomatic experts, the ceremony of
presenting credentials to a foreign ambassador
all over the world is the first official contact
with the head of state, and that is why in all
countries the ceremony of presenting
1
The diplomatic corps means the heads of
diplomatic missions accredited in any state in the
aggregate.
credentials is developed carefully and in detail
[10].
So, having handed over credentials, the
ambassador is considered authorized to
embark on his mission. Active engagement
begins with a series of courtesy visits by
officials of the host country and colleagues —
heads of diplomatic missions. Usually, courtesy
visits mean nothing more than giving attention
to the person concerned and in no way
discussing any important issues. According to
the norms prescribed in the protocol after the
presentation of credentials, the ambassador is
the first to pay a visit to the diplomatic corps
1
(diplomatic corps) only to ambassadors.
Visits of politeness are applied to the country's
officials and heads of diplomatic missions at
the same time, at several meetings per day.
Based on the state of relations with any
country, the ambassador can organize visits in
order of importance: to postpone with some
and speed up with those with which relations
are most important for the policy of this state.
The head of the diplomatic corps is the doyen
(nuncio in some Catholic countries): he is a kind
of mediator between the entire diplomatic
corps and the state in which he is accredited.
The ambassador took on as a duty is obliged to
respond to inter-embassy and inter-agency
correspondence; in other words, the delay in
sending diplomatic notes may be a sign of a
bad tone and significantly affect the
development of relations with the country.
It should be noted that the couple
ambassadors make protocol visits. Often,
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meetings are organized with the spouses of
heads of other diplomatic missions, as well as
with women who occupy a prominent place in
the social life of the host country. The
participation of spouses of diplomats in various
events can significantly increase the successful
outcome of a diplomatic mission. However, as
in other cases, such participation requires the
necessary
preparation
-
from
general
education and language to knowledge of the
rules of etiquette.
With the final departure of the ambassador to
his homeland, his successor simultaneously
transmits his credentials to his predecessor
along with his credentials. Letters of a recall are
the official letter of the head of the state-envoy
of a diplomatic representative to the head of
state,
who
accepted
the
diplomatic
representative, about the withdrawal of this
representative from his post and the
completion of his mission [11]. The preamble of
revocable letters briefly reports on the fact of
the
withdrawal
of
the
diplomatic
representative, on the actual or officially
nominated reasons for the recall, it is hoped
that the diplomatic representative helped to
maintain and develop diplomatic relations
between the countries. Revocations are issued
in the same way as credentials.
At the end of his diplomatic mission, the
ambassador provides for several necessary
activities. In some countries, the range of
senior officials who receive farewell visits is
determined based on the level of relations with
the country, the nature of the relationship and
the results achieved. On the day of departure,
the ambassador may send a personal note to
2
Charge d'Affaires ad interim - Charge d’Affaires ad
interim head of diplomatic mission
the foreign minister of the host country, which
contains a notification of the departure of the
ambassador and a candidature for the post of
Chargé D'affaires
.
2
The theme of key state symbols is also
inseparable from protocol issues: the coat of
arms, flag, anthem. Showing them the
necessary honours is one of the most solemn
manifestations of international politeness. The
basis of the international etiquette of the flag
and the coat of arms is strict compliance in
their production to the approved by law
description, including individual parts and
symbols. International experience shows that
the leadership of the country attaches
significance to the attitude in the manufacture
of the flag since its sloppy appearance can
damage the image of the state [8].
Moreover, state-level documents acquire
power only when they bear the image of a flag
and a coat of arms, are sealed with an official
stamp, etc. When hanging the flags of several
states, the size of the flags should be the same.
Honorary is the extreme right place, and the
most common practice is placing flags in
alphabetical order of the names of states.
The international practise also implies a
corresponding response to holidays, its
character is determined by the state of
interstate relations, the significance of the
event and the local protocol. In most cases,
there are welcome telegrams to the head of
state or/and government, or the minister of
foreign affairs. In addition to congratulations,
these diplomatic documents contain an
assessment of bilateral relations at the
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moment,
wishes
for
their
further
development, and, if necessary, hope is being
expressed
that
obstacles
hindering
cooperation will be removed [12].
On the occasion of the national day of their
state,
the
embassies
conduct
official
receptions. Sometimes, the arrival of theatre
and musical groups, the opening of art
exhibitions, etc. are timed to the holidays.
According to E. Kuzmin, “a headache for
ambassadors is visiting festive receptions by
the leadership of the host country or their high
representatives. For obvious reasons, the first
persons (too many receptions are held in the
diplomatic corps) evade participation, and the
ambassadors are trying to “get” two or three
members of the government, the foreign
minister or at least his deputies” [8].
The demise of a state official implies sympathy
and the direction of condolences at an
appropriate level, and sometimes participation
in mourning events. Often, the leaders of many
countries gather at the funerals of prominent
political and state leaders and, along with
participation in official ceremonies, hold
working meetings between themselves.
RESULTS AND CONCLUSION
In general, when it comes to choosing between
protocol and policy, the emphasis is
undoubtedly placed in the direction of the
latter. Whatever the eloquent rules of the
diplomatic protocol, the interests of politics
dominate in any case. Proof of this can be the
case described in the book of the Egyptian
Diplomat F. Moussa “Diplomatic Protocol and
His Organization”: when in 1967 Soviet
diplomat N. Podgorny, being a furious smoker,
was preparing to pay a visit to the Vatican, he
was hinted that smoking in the walls the
Vatican prohibited. However, during the visit
itself, after exchanging greetings, those
present saw how Pope Paul VI himself kindly
opened a snuff-box to Podgorny and offered
him a cigarette [13]. Truly, the interests of
politics are often much more important than
the rules of a diplomatic protocol.
In terms of near-universal participation by
sovereign States, the high degree of
observance among States parties and the
influence it has had on the international legal
order, the Vienna Convention on Diplomatic
Relations may claim to be the most successful
of the instruments drawn up under the United
Nations framework for a codification of several
norms of diplomatic protocol.
The Vienna Convention provides a complete
framework
for
the
establishment,
maintenance and termination of diplomatic
relations on a basis of consent between
independent sovereign States. It specifies the
functions of diplomatic missions, the formal
rules regulating appointments, request of
agrément, declarations of persona non grata
of a diplomat who has in some way offended,
and precedence among heads of mission.
Although the above-mentioned provisions of
the Vienna Convention address some aspects
of the diplomatic protocol as its legal basis, it
does not fully cover the norms and principles of
the diplomatic protocol.
In regards to the experience of Uzbekistan in
the field of diplomatic protocol, the role and
functions of the Ministry of Foreign Affairs of
the Republic of Uzbekistan can be an example
of how diplomatic protocol work in practice.
According to the Rules of Regulation of the
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Ministry approved by the Presidential Decree,
the Ministry takes measures to provide
information,
diplomatic
protocol
and
organizational support for visits by heads of
state, government and other senior officials, as
well as other politically significant international
events [14].
At present, high-level meetings of the
country's leadership and local authorities with
foreign partners are being organized on a
regular basis. This, in turn, requires adherence
to the rules and principles of diplomatic
protocol for the quality and high level of these
events. However, the lack of a legal act or
guidelines governing the rules of the
diplomatic protocol has led to difficulties and
problems in practice.
Although the Vienne Convention or the Rules
of Regulation of the Ministry of Foreign Affairs
may cover basic norms of diplomatic protocol,
there are no legal acts regulating the principles
and rules of diplomatic protocol, which can be
used in different events at various levels.
Furthermore, despite the fact that in
Uzbekistan the theoretical bases of the
diplomatic protocol have been created to
some extent such as the works of Rasulov A.
[1], Abdullaeva L. [10], the law-making process
has experienced a lack of legal instruments
related to norms and principles of diplomatic
protocol and etiquette.
In conclusion, taking into account the above-
mentioned characteristics of diplomatic
protocol, it is proposed to elaborate a
regulatory act on the diplomatic protocol in the
form of Recommended Guideline in domestic
legislation by considering both theoretical
approaches and challenges in practice.
Creating a legal instrument will make a
significant contribution not only to the
development of diplomatic law but also to the
efficacy of the ministries and agencies of
Uzbekistan that directly operate with foreign
partners.
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