A STATE
&
RECOGNITION of STATE
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International Personality
• As international law has developed and expanded in
scope, new entities have been admitted as “ actors” on
the international scene.
• State were once considered as the exclusive subjects of
international law “ since the law of nations is based on
the common consent of individual states, and not of
individual human beings, States solely and exclusively are
the subject of international law.”
• Today they are no longer the exclusive subject of the
international legal system, but “primary” subject.
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• However, while states possess full
international legal personality as an inherent
attribute of their statehood, all other entities
possessing personality do so only to the extent
that states allow: that is, their personality is
derived via states. See the case of Int.
Organization.
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Whether International Law
has authority as LAW
• Austin : bahwa hukum antar bangsa hanya memiliki
kekuasaan memaksa secara moral;
• Hart : HI tidak memiliki apa yang dalam konsep
Hart sbg Rule of recognition dan Secondary Rules
of Change;
• Jadi HI tdk memiliki elemen esensial sebagai suatu
sistem hukum
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Why States are the principal persons of
International Law
• International law is essentially the product of relations
between states;
• States alone may be parties to contentious cases before the
International court of justice;
• States alone enjoy the discretion as to whether or not to
espouse a claim on behalf of a national, and once a state
does take up a claim the dispute is raised to the
international level and becomes one between two states.
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• WHAT IS A STATE?
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Masyarakat Internasional memerlukan :
• Negara yang kuat, yang berdaulat; setelah dunia tercabikcabik perang sejak abad ke 15 – 18; tentu dalam interval;
• Tercermin dari karya karya ahli HI: Hugo de Grotius, On the
Law of War and Peace ( De Jure Belli ac Pacis), Vattel “ The
Law of Nation” ( Le Droits des Gens )
• 1648 - Perdamaian Westphalia;
• 1763 - Perang 7 tahun kerajaan besar;
• 1815 - berakhirnya Revolusi Perancis; dan peperangan
Napoleon;
• 1919- Treaty Versailles, 1914 -1918 – PD I lahir Liga Bangsa
; 1945 PD II melahirkan UN Charter 1945
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Konsep Negara hingga dewasa ini.
• Perdamaian Westphalia lalu diikuti dengan
• Konvensi Montevideo 1933
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What is a Nation?
What is a State?
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Between Nation and State
•
At least nine academic disciplines develop theories of nationalism and nation
states: political geography; international science; cultural anthropology; social
philosophy; sociology, history, law, political economy and politics.
Konsep nation lebih menyandarkan diri pada aspek normatif
dan cultural, sedangkan state/negara lebih pada aspek empiris
sociologis faktual.
The roots of a nation are to be found in kinship, and a nation grows
by a process of differentiation and opposition – but a nation is not
simply a cultural togetherness. Neither is it simply an economic
togetherness. It is a political togetherness as well. It is a political
togetherness concerned both with the structure and the exercise of
power.
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•
Rupert Emerson; From Empire to Nation – The Rise to Self
Assertion of Asian and African Peoples , 1960 : The simplest
statement that can be made about a nation is that it is a body
of people who feel that they are a nation;
•
A nation exists when a significant number of people in a
community consider themselves to form a nation, or behave as
if they formed one. It is not necessary that the whole of the
population should so feel, or so behave, and it is not possible
to lay down dogmatically a minimum percentage of a
population which must be so affected. When a significant
group holds this belief, it possesses national consciousness ‘.
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• The word 'State' barangkali diambil dari bahasa latin 'status', yang artinya
'kondisi', kata mana di abad 15 diartikan sebagai 'political institution.
• Hingga abad 18 belum ada kesepahaman standar tentang apa negara itu,
sehingga keberadaan suatu negara merupakan suatu gejala/situasi internal
yang tidak memerlukan pengakuan dari negara lain.
• Oppenheim : “ The formation of a new State is ... A matter of
fact, and not of law.”
– 20th century jumlah negara + 50;
– Sebelum PD II ada 75 negara;
– Th 2005 terdapat 192 negara.
•
Grotius : “A State is a complete association of free men, join
together for the enjoyment of rights and for their common
interest.”
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Grotius tentang pembentukan welfare state
(Commonwealth)
• “The respublica refers to a multitude of private persons who
have come together to improve their protection through
mutual aid and to assist each other in acquiring the
necessities of life. At their own free will these individuals
united by way of a civil contract - Grotius uses the term
foedus - in a ‘unified and permanent body’ with its own set
of laws. From singuli they turn themselves into cives,
citizens protection of life, body and possessions. Interesting
here is Grotius’ emphasis on the idea of consensus and not
on the act of transfer, that is a transfer of natural rights from
the individual to a corporative central authority, that is the
commonwealth
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Dari “civil contract” menuju ke “sovereignty”
• “The commonwealth, in other words, represents
the standing expression of free individuals and
their consensus. It is not dependent on such
factors as the number of constituent agents or
even geographic location of the
commonwealth. Participation in a polity is a
necessity, and no one can remain beyond the
reach or jurisdiction of political authority.”
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• Konsep Vattel relatif lebih legalistik :
“ Nations or States are political bodies, societies of men who have united
together and combined their forces, in order to procure their mutual welfare
and security .” The basic criterion is that such nations be free and independent
of one another.
“ Every nation which govern it self, under whatever form, and which does
not depend on any other Nation, is a sovereign State. Such is the character of
the moral persons who live together in a society established by nature
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Elemen/kriteria suatu Negara ( Psl 1
Konvensi Montevideo 1933)
Convention on Rights and Duties of States (inter-American);
December 26, 1933 mencoba memfiksasi konsep negara ( State)
sedemikian rupa agar praktek internasional sedikitnya memiliki
rujukan, sbb:
• Penduduk ------ elemen Objektif
• Wilayah ;------- elemen Faktual
• Pemerintahan;--> -”• Kemampuan berinteraksi dengan negara lain. ---------- elemen Subjektif/elemen normatif
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ARTICLE 1
The state as a person of international law should
possess the following qualifications:
a ) a permanent population;
b ) a defined territory;
c ) government; and
d) capacity to enter into relations with other
states.
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• ARTICLE 8
No state has the right to intervene in the internal or
external affairs of another.
• ARTICLE 9
The jurisdiction of states within the limits of national
territory applies to all the inhabitants.
Nationals and foreigners are under the same protection
of the law and the national authorities and the foreigners
may not claim rights other or more extensive than those
of the nationals.
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•Judge Anzilotti :
Sovereignty ( suprema potestas), external or external
sovereignty, by which is meant that the state has over it
no other authority than that of international law.
Differentiated from ‘dependent states’ . ( suzerain,
protectorate, vassal, protégé).
If it is subjected itself to international law, is it still
independent ?. Or by contractual agreement ?
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• It is a fact that sovereignty is a term used without any well-recognised
meaning except that of supreme authority. Under these circumstances
those who do not want to interfere in a mere scholastic controversy
must cling to the facts of life and the practical, though abnormal and
illogical, condition of affairs
--Lassa Oppenheim
• But to invoke the concept of national sovereignty as in itself a
decisional factor is to fall back on a word which has an emotive quality
lacking meaningful specific content. It isto substitute pride for reason?-
--Eli Lauterpacht
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The principles of sovereignty and non-intervention had
been formulated in the Peace of Westphalia in 1648
inspire the Draft Declaration on the Rights and Duties
of States
• Every state was to have the right to independently exercise
its legal powers
• (Article 1), the right to jurisdiction over things and persons
within its territories (Article 2),
• the right to equality in law amongst other states (Article 5)
• and the right to self-defense (Article 12).
• These state rights were contrasted with a set of duties,the
most important of which being the duty to refrain from
intervening in the internal affairs of other states (Article 3)
and
• the duty to settle disputes with other states through peaceful
means (Article 8).
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Fundamental Rights of States
• Until the end of 19th century almost all jurist agreed that states
belonging to the community of nations enjoyed the possession of so
called fundamental rights, including the right of existence, external
independence, self defence, territorial supremacy( sovereignty),
intercourse, and respect.
• Sejak itu berturut turut dicoba dirumuskan tentang the Rights and
Duties of States, project called the Fundamental Rights and Duties of
American Republics prepared in Rio de Janeiro 1927; Havana
Conference 1928, draft mana ditolak oleh USA karena penekanan pada
prinsip non intervention yang sangat keras pada draft tersebut.
• Namun dengan tanpa menyerah 1933 di lanjutkan di Montevideo, di
kukuhkan lagi di Buenos Aires 1936 dan di Lima Conference pada tahun
1938
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PENGAKUAN &
TANGGUNG
JAWAB NEGARA
Emmy Yuhassarie
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Mengapa Pengakuan masih dijumpai dalam
praktik ?
• Elemen dari Negara tidak pernah statik;
• Negara senantiasa berubah: muncul, bergabung,
bubar;
• Rezim pemerintahan yang senantiasa berganti
karena dalam konsep negara modern tidak ada
lagi penguasa yang berhak memerintah seumur
hidup.
Oleh sebab itu harus ada mekanisme bagi tertib
hukum internasional dalam meyakinkan diri
dengan siapa ia berurusan, di tengah-tengah 180
subjek ditatanan dunia internasional.
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Pengakuan dan Dasar Normatif nya
 Dasar Normatif Pengakuan dijumpai di Montevideo
Convention 1933, Pasal 3 - Psl 6.
 Pengakuan adalah kehendak salah satu subjek
hukum internasional untuk menerima keberadaan
subjek hukum internasional lainnya. Kesediaan
mana akan ditindak lanjuti dengan hubungan
hubungan hukum antar kedua subjek yang
bersangkutan
* Lihat Konvensi Montevideo Pasal2 tersebut
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Seputar
PENGAKUAN
1. Pengakuan sendiri merupakan praktek yang
penuh ketidakpastian dan ambivalensi.
2. Akibat tindakan pengakuan – sekalipun ber basis
lebih politis daripada legal namun melahirkan
akibat hukum secara fundamental;
3. Daya laku keputusan pengadilan domestik antar
2 negara dalam konteks hukum akan berubah
4. Antara perbuatan dan proses adalah 2 hal yang
perlu dibedakan
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Pemikiran skeptis tentang manfaat
Pengakuan
• Hans Kelsen: “The problem of recognition of states
and government has neither in theory nor in practice
been solved satisfactorily. Hardly any other question
is more controversial, or leads in the practice of
states to such paradoxical situations” ( 1941)
• Richard Baxter : “Recognition was an institution of
law that causes more problems than it solves, and
must be rejected and replaced by working
arrangements that are flexible and realistic”
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NEGARA
PENGAKUAN
Montevideo Convention on
Right and Duties of States 1933
Psl 1:
1.Penduduk:
2.Teritori/wilayah;
3.Pemerintahan;
4.Kemampuan berinteraksi dg
negara lain
-> kriteria objektif,
( elemen faktual)
-> kriteria subjektif
(elemen normatif)
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• ARTICLE 2
• The federal state shall constitute a sole person in the
eyes of international law.
• ARTICLE 3
• The political existence of the state is independent of
recognition by the other states. Even before recognition
the state has the right to defend its integrity and
independence, to provide for its conservation and
prosperity, and consequently to organize itself as it sees fit,
to legislate upon its interests, administer its services, and to
define the jurisdiction and competence of its courts.
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BASIC RIGHTS OF STATES
• ARTICLE 4
• States are juridically equal, enjoy the same rights, and have equal
capacity in their exercise. The rights of each one do not depend
upon the power which it possesses to assure its exercise, but upon
the simple fact of its existence as a person under international law.
• ARTICLE 8
No state has the right to intervene in the internal or external affairs
of another.
• ARTICLE 9
The jurisdiction of states within the limits of national territory
applies to all the inhabitants.
Nationals and foreigners are under the same protection of the law
and the national authorities and the foreigners may not claim rights
other or more extensive than those of the nationals.
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•Judge Anzilotti :
Sovereignty ( suprema potestas), external or in
ternal sovereignty, by which is meant that the
state has over it no other authority than that of
international law.
Differentiated from ‘dependent states’ . ( suzerain,
protectorate, vassal, protégé).
If it is subjected itself to international law, is it still
independent ?. Or by contractual agreement ?
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JENIS PENGAKUAN
DAN TEORINYA
• Kriteria Objektif ---- Pengakuan de Facto
TEORI DEKLARATUR
( Brierly + sekarang New Haven
School)
• Kriteria subjektif ---- Pengakuan de Jure
TEORI KONSTITUTIF
( Lauterpacht)
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BENTUK & CARA
memberikan Pengakuan
 Dinyatakan/dideklarasikan dalam
dokumen tertulis yang memuat
pernyataan resmi
 Diam diam melakukan perbuatan/
tindakan /hubungan secara informal
maupun formal
 Bergabung dengan pengakuan
kolektif UN
Bersedia berhubungan secara
diplomatik dan dalam konteks
komersial memberlakukan atau
mengeksekusi hubungan hukum
antara keduanya
( sifat retroaktif)
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Deklaratif atau Konstitutif ?
• Konstitutif: Apa
pembelaannya?
• Fungsi retroaktif
• Deklaratif : Psl 3 Konvensi
Montevideo
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Pasal 3
• The political existence of the state is independent
of recognition by the other states. Even before
recognition the state has the right to defend its
integrity and independence, to provide for its
conservation and prosperity, and consequently to
organize itself as it sees fit, to legislate upon its
interests, administer its services, and to define the
jurisdiction and competence of its courts.
• The exercise of these rights has no other
limitation than the exercise of the rights of other
states according to international law.
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PENGAKUAN :
HAK atau KEWAJIBAN??
Art 3 Montevideo Convention (1933) :
• The political existence of the State is independent of
recognition by other State;
• Even before recognition State has the right to defend its
integrity and independence….and to define the
jurisdiction and competence of its courts;
L’Institut de Droit International (1936) :
“…the existence of the new State with all the legal effects
connected with that existence is not affected by the
refusal of one or more States to recognize.
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Pengakuan diperlukan juga bagi :
• PEMERINTAHAN;
• Perolehan Wilayah
• Perolehan Wilayah:
- penemuan;
- okupasi;
- agresi/aneksasi;
- sesi (Cession);
- preskripsi;
- akresi
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Pengakuan terhadap Pemerintahan
• Pemerintahan baru ( Government –Elect);
• Insurgent, Belligerent.
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Kriteria Pengakuan Pemerintahan
• Cara perolehan kekuasaan;
a. Kudeta;
b. pengambil alihan secara damai;
c. Pemilu; referendum
• Power Control terhadap teritori dan penduduk;
Penguasaan secara damai/ hak azasi, dan tidak ada
kesewenang- wenangan.
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Sikap beberapa Negara:
• Inggris bersikap pragmatis, melihat
siatuasi yg observable yakni kontrol
secara fisik; ( kemudian diikuti negara
Commonwealth lainnya)
• Negara Amerika Latin menolak
memberikan pengakuan thd belligerent
atau hasil kudeta Doktrin Tobar (1907,
1923)
• Doktrin Estrada, non intervention doctrine,
hanya memelihara hubungan diplomatik
saja. ( 1930) mengingat Amerika latin
sarat dengan kudeta.
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Government Control
Apakah konsep Inggris mengandung kelemahan?
1. Erosi legitimasi pemerintahan, lihat genocide di
Darfur,
Rwanda, Haiti.
2. Ketimpangan keberadaban, artikulasi kekuasaan;
tanpa
panduan nilai kemanusiaan
3. Globalisasi mengkikis kontrol pemerintah terhadap
interaksi transnasional, termasuk pengawasan
terhadap unit subjek hukum di wilayah negara. ( IMF
lending; credit crunch )
4. Kelemahan kontrol pemerintah mengakibatkan
negara
jadi persemaian kejahatan internasional.
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Any Question??
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LITERATUR
1. Aust, Anthony ; Handbook of International Law ; Cambridge 2005
2. Dugard, John; Recognition and The United Nations, Hersch
Lauterpacht
Memorial Lectures; Grotius, 1987
4. O Brien, John: International Law; Cavendish - 2002
5. Van Glahn, Gerhard; Law Among National; Allyn & Bacon 1996
6. Sloane, Robert D; The Changing Face of Recognition in International
Law: A Case Study of Tibet ; Emory International Law Review, 2002
7. Wallace, Rebecca M.M.; International Law; Sweet Maxwell, 1992
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SUMBER:
• The International Law Commission’s Articles on
STATE RESPONSIBILITY: Introduction, Text and Commentaries.
Cambridge – 2002.
TERIMA KASIH...
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