Diplomacy (from Latin diploma, meaning an official document, which in turn derives from the Greek δίπλωμα, meaning a folded paper/document) is the art and practice of conducting negotiations between representatives of groups or states. It usually refers to international diplomacy, the conduct of international relations[1] through the intercession of professional diplomats with regard to issues of peace-making, trade, war, economics, culture, environment and human rights. International treaties are usually negotiated by diplomats prior to endorsement by national politicians. In an informal or social sense, diplomacy is the employment of tact to gain strategic advantage or to find mutually acceptable solutions to a common challenge, one set of tools being the phrasing of statements in a non-confrontational, or polite manner.
The scholarly discipline of diplomatics, dealing with the study of old documents, derives its name from the same source, but its modern meaning is quite distinct from the activity of diplomacy.
One of the earliest realists in international relations theory was the 6th century BC military strategist Sun Tzu (d. 496 BC), author of The Art of War. He lived during a time in which rival states were starting to pay less attention to traditional respects of tutelage to the Zhou Dynasty (c. 1050–256 BC) figurehead monarchs while each vied for power and total conquest. However, a great deal of diplomacy in establishing allies, bartering land, and signing peace treaties was necessary for each warring state, and the idealized role of the "persuader/diplomat" developed.[2]
From the Battle of Baideng (200 BC) to the Battle of Mayi (133 BC), the Han Dynasty was forced to uphold a marriage alliance and pay an exorbitant amount of tribute (in silk, cloth, grain, and other foodstuffs) to the powerful northern nomadic Xiongnu that had been consolidated by Modu Shanyu. After the Xiongnu sent word to Emperor Wen of Han (r. 180–157) that they controlled areas stretching from Manchuria to the Tarim Basin oasis city-states, a treaty was drafted in 162 BC proclaiming that everything north of the Great Wall belong to nomads' lands, while everything south of it would be reserved for Han Chinese. The treaty was renewed no less than nine times, but did not restrain some Xiongnu tuqi from raiding Han borders. That was until the far-flung campaigns of Emperor Wu of Han (r. 141–87 BC) which shattered the unity of the Xiongnu and allowed Han to conquer the Western Regions; under Wu, in 104 BC the Han armies ventured as far Fergana in Central Asia to battle the Yuezhi who had conquered Hellenistic Greek areas.
The Koreans and Japanese during the Chinese Tang Dynasty (618–907 AD) looked to the Chinese capital of Chang'an as the hub of civilization and emulated its central bureaucracy as the model of governance. The Japanese sent frequent embassies to China in this period, although they halted these trips in 894 when the Tang seemed on the brink of collapse. After the devastating An Shi Rebellion from 755 to 763, the Tang Dynasty was in no position to reconquer Central Asia and the Tarim Basin. After several conflicts with the Tibetan Empire spanning several different decades, the Tang finally made a truce and signed a peace treaty with them in 841.
In the 11th century during the Song Dynasty (960–1279), there were cunning ambassadors such as Shen Kuo and Su Song who achieved diplomatic success with the Liao Dynasty, the often hostile Khitan neighbor to the north. Both diplomats secured the rightful borders of the Song Dynasty through knowledge of cartography and dredging up old court archives. There was also a triad of warfare and diplomacy between these two states and the Tangut Western Xia Dynasty to the northwest of Song China (centered in modern-day Shaanxi). After warring with the Lý Dynasty of Vietnam from 1075 to 1077, Song and Lý made a peace agreement in 1082 to exchange the respective lands they had captured from each other during the war.
Long before the Tang and Song dynasties, the Chinese had sent envoys into Central Asia, India, and Persia, starting with Zhang Qian in the 2nd century BC. Another notable event in Chinese diplomacy was the Chinese embassy mission of Zhou Daguan to the Khmer Empire of Cambodia in the 13th century. Chinese diplomacy was a necessity in the distinctive period of Chinese exploration. Since the Tang Dynasty (618–907 AD), the Chinese also became heavily invested in sending diplomatic envoys abroad on maritime missions into the Indian Ocean, to India, Persia, Arabia, East Africa, and Egypt. Chinese maritime activity was increased dramatically during the commercialized period of the Song Dynasty, with new nautical technologies, many more private ship owners, and an increasing amount of economic investors in overseas ventures.
During the Mongol Empire (1206–1294) the Mongols created something similar to today's diplomatic passport called paiza. The paiza were in three different types (golden, silver, and copper) depending on the envoy's level of importance. With the paiza, there came authority that the envoy can ask for food, transport, place to stay from any city, village, or clan within the empire with no difficulties.
From the 17th century the Qing Dynasty concluded a series of treaties with Czarist Russia, beginning with the Treaty of Nerchinsk in the year 1689. This was followed up by the Aigun Treaty and the Convention of Peking in the mid-19th century.
As European power spread around the world in the 18th and 19th centuries so too did its diplomatic model, and Asian countries adopted European diplomatic systems.
Ancient India, with its kingdoms and dynasties, had a long tradition of diplomacy. The oldest treatise on statecraft and diplomacy, Arthashastra, is attributed to Kautilya (also known as Chanakya), who was the principal adviser to Chandragupta Maurya, the founder of the Maurya dynasty who ruled in the 3rd century BC, (whose capital was Patliputra, today's Patna, the chief city of Bihar state). Arthashastra is a complete work on the art of kingship, with long chapters on taxation and on the raising and maintenance of armies. It also incorporates a theory of diplomacy, of how in a situation of mutually contesting kingdoms, the wise king build alliances and tries to checkmate his adversaries. The envoys sent at the time to the courts of other kingdoms tended to reside for extended periods of time, and Arthashastra contains advice on the deportment of the envoy, including the trenchant suggestion that 'he should sleep alone'. The highest morality for the king is that his kingdom should prosper.
Diplomatic relations within the Early Modern era of Asia were depicted as an environment of prestige and Status. It was maintained that one must be of noble ancestry in order to represent an autonomous state within the international arena. Therefore the position of diplomat was often revered as an element of the elitist class within Asia. A state's ability to practice diplomacy has been one of the underlying defining characteristics of an autonomous state. It is this practice that has been employed since the conception of the first city-states within the international spectrum. Diplomats in Asia were originally sent only for the purpose of negotiation. They would be required to immediately return after their task was completed. The majority of diplomats initially constituted the relatives of the ruling family. A high rank was bestowed upon them in order to present a sense of legitimacy with regards to their presence. Italy, the Ottoman Empire, and China were the first real states that perpetuated environments of diplomacy. During the early modern era diplomacy evolved to become a crucial element of international relations within the Mediterranean and Asia.
The ability to practice diplomacy is one of the defining elements of a state, diplomacy has been practiced since the inception of civilization. In Europe, diplomacy begins with the first city-states formed in ancient Greece. Diplomats were sent only for specific negotiations, and would return immediately after their mission concluded. Diplomats were usually relatives of the ruling family or of very high rank in order to give them legitimacy when they sought to negotiate with the other state.
The origins of diplomacy are in the strategic and competitive exchange of impressive gifts, which may be traced to the Bronze Age and recognized as an aspect of Homeric guest-friendship.[3] Thus diplomacy and trade have been inexorably linked from the outset. "In the framework of diplomatic relations it was customary for Byzantine emperors and Muslim rulers, especially the 'Abbāsids and the Fātimids, as well as for Muslim rulers between themselves, to exchange precious gifts, with which they attempted to impress or surpass their counterparts," remarks David Jacoby, in the context of the economics of silk in cultural exchange among Byzantium, Islam and the Latin West:[4] merchants accompanied emissaries, who often traveled on commercial ships. At a later date, it will be recalled that the English adventurer and trader Anthony Sherley convinced the Persian ruler to send the first Persian embassy to Europe (1599–1602).
The Greek City States on some occasions sent envoys to each other in order to negotiate specific issues, such as war and peace or commercial relations, but did not have diplomatic representatives regularly posted in each other's territory. However, some of the functions given to modern diplomatic representatives were in Classical Greece filled by a proxenos, who was a citizen of the host city having a particular relations of friendship with another city – a relationship often hereditary in a particular family.
In Europe, early modern diplomacy's origins[5] are often traced to the states of Northern Italy in the early Renaissance, with the first embassies being established in the 13th century. Milan played a leading role, especially under Francesco Sforza who established permanent embassies to the other city states of Northern Italy. Tuscany and Venice were also flourishing centres of diplomacy from the 14th century onwards. It was in the Italian Peninsula that many of the traditions of modern diplomacy began, such as the presentation of an ambassador's credentials to the head of state.
From Italy the practice was spread to other European regions. Milan was the first to send a representative to the court of France in 1455. However, Milan refused to host French representatives fearing espionage and that the French representatives would intervene in its internal affairs. As foreign powers such as France and Spain became increasingly involved in Italian politics the need to accept emissaries was recognized. Soon the major European powers were exchanging representatives. Spain was the first to send a permanent representative; it appointed an ambassador to the Court of England in 1487. By the late 16th century, permanent missions became customary. The Holy Roman Emperor, however, did not regularly send permanent legates, as they could not represent the interests of all the German princes (who were in theory all subordinate to the Emperor, but in practice each independent).
During that period the rules of modern diplomacy were further developed. The top rank of representatives was an ambassador. At that time an ambassador was a nobleman, the rank of the noble assigned varying with the prestige of the country he was delegated to. Strict standards developed for ambassadors, requiring they have large residences, host lavish parties, and play an important role in the court life of their host nation. In Rome, the most prized posting for a Catholic ambassador, the French and Spanish representatives would have a retinue of up to a hundred. Even in smaller posts, ambassadors were very expensive. Smaller states would send and receive envoys, who were a rung below ambassador. Somewhere between the two was the position of minister plenipotentiary.
Diplomacy was a complex affair, even more so than now. The ambassadors from each state were ranked by complex levels of precedence that were much disputed. States were normally ranked by the title of the sovereign; for Catholic nations the emissary from the Vatican was paramount, then those from the kingdoms, then those from duchies and principalities. Representatives from republics were ranked the lowest (which often angered the leaders of the numerous German, Scandinavian and Italian republics). Determining precedence between two kingdoms depended on a number of factors that often fluctuated, leading to near-constant squabbling.
Ambassadors, nobles with little foreign experience and no expectation of a career in diplomacy, needed to be supported by large embassy staff. These professionals would be sent on longer assignments and would be far more knowledgeable than the higher-ranking officials about the host country. Embassy staff would include a wide range of employees, including some dedicated to espionage. The need for skilled individuals to staff embassies was met by the graduates of universities, and this led to a great increase in the study of international law, modern languages, and history at universities throughout Europe.
At the same time, permanent foreign ministries began to be established in almost all European states to coordinate embassies and their staffs. These ministries were still far from their modern form, and many of them had extraneous internal responsibilities. Britain had two departments with frequently overlapping powers until 1782. They were also far smaller than they are currently. France, which boasted the largest foreign affairs department, had only some 70 full-time employees in the 1780s.
The elements of modern diplomacy slowly spread to Eastern Europe and Russia, arriving by the early 18th century. The entire edifice would be greatly disrupted by the French Revolution and the subsequent years of warfare. The revolution would see commoners take over the diplomacy of the French state, and of those conquered by revolutionary armies. Ranks of precedence were abolished. Napoleon also refused to acknowledge diplomatic immunity, imprisoning several British diplomats accused of scheming against France.
After the fall of Napoleon, the Congress of Vienna of 1815 established an international system of diplomatic rank. Disputes on precedence among nations (and therefore the appropriate diplomatic ranks used) persisted for over a century until after World War II, when the rank of ambassador became the norm. In between that time, figures such as the German Chancellor Otto von Bismark were renowned for international diplomacy.
Some of the earliest known diplomatic records are the Amarna letters written between the pharaohs of the Eighteenth dynasty of Egypt and the Amurru rulers of Canaan during the 14th century BC. Following the Battle of Kadesh in c. 1274 BC during the Nineteenth dynasty, the pharaoh of Egypt and ruler of the Hittite Empire created one of the first known international peace treaties which survives in stone tablet fragments.[6]
Relations with the government of the Ottoman Empire (known to Italian states as the Sublime Porte) were particularly important to Italian states.[7] The maritime republics of Genoa and Venice depended less and less upon their nautical capabilities, and more and more upon the perpetuation of good relations with the Ottomans.[7] Interactions between various merchants, diplomats, and religious men between the Italian and Ottoman empires helped inaugurate and create new forms of diplomacy and statecraft. Eventually the primary purpose of a diplomat, which was originally a negotiator, evolved into a persona that represented an autonomous state in all aspects of political affairs. It became evident that all other sovereigns felt the need to accommodate themselves diplomatically, due to the emergence of the powerful political environment of the Ottoman Empire.[7] One could come to the conclusion that the atmosphere of diplomacy within the early modern period revolved around a foundation of conformity to Ottoman culture.
Real world diplomatic negotiations are very different from intellectual debates in a university where an issue is decided on the merit of the arguments and negotiators make a deal by splitting the difference. Though diplomatic agreements can sometimes be reached among liberal democratic nations by appealing to higher principles, most real world diplomacy has traditionally been heavily influenced by hard power.
The interaction of strength and diplomacy can be illustrated by a comparison to labor negotiations. If a labor union is not willing to strike, then the union is not going anywhere because management has absolutely no incentive to agree to union demands. On the other hand, if management is not willing to take a strike, then the company will be walked all over by the labor union, and management will be forced to agree to any demand the union makes. The same concept applies to diplomatic negotiations.
There are also incentives in diplomacy to act reasonably, especially if the support of other actors is needed. The gain from winning one negotiation can be much less than the increased hostility from other parts. This is also called soft power.
Many situations in modern diplomacy are also rules based. When for instance two World Trade Organization countries have trade disputes, it is in the interest of both to limit the spill over damage to other areas by following some agreed-upon rules.
The sanctity of diplomats has long been observed. This sanctity has come to be known as diplomatic immunity. While there have been a number of cases where diplomats have been killed, this is normally viewed as a great breach of honour. Genghis Khan and the Mongols were well known for strongly insisting on the rights of diplomats, and they would often wreak horrific vengeance against any state that violated these rights.
Diplomatic rights were established in the mid-17th century in Europe and have spread throughout the world. These rights were formalized by the 1961 Vienna Convention on Diplomatic Relations, which protects diplomats from being persecuted or prosecuted while on a diplomatic mission. If a diplomat does commit a serious crime while in a host country he may be declared as persona non grata (unwanted person). Such diplomats are then often tried for the crime in their homeland.
Diplomatic communications are also viewed as sacrosanct, and diplomats have long been allowed to carry documents across borders without being searched. The mechanism for this is the so-called "diplomatic bag" (or, in some countries, the "diplomatic pouch"). While radio and digital communication have become more standard for embassies, diplomatic pouches are still quite common and some countries, including the United States, declare entire shipping containers as diplomatic pouches to bring sensitive material (often building supplies) into a country.
In times of hostility, diplomats are often withdrawn for reasons of personal safety, as well as in some cases when the host country is friendly but there is a perceived threat from internal dissidents. Ambassadors and other diplomats are sometimes recalled temporarily by their home countries as a way to express displeasure with the host country. In both cases, lower-level employees still remain to actually do the business of diplomacy.
In the Ottoman Empire, the diplomats of Persia and other states were seen as a guarantee of good behavior. If a nation broke a treaty or if their nationals misbehaved the diplomats would be punished. Diplomats were thus used as an enforcement mechanism on treaties and international law. To ensure that punishing a diplomat mattered rulers insisted on high-ranking figures. Diplomats as a guarantee were also employed sometimes in pre-modern Europe and other parts of Asia.
Diplomacy is closely linked to espionage or gathering of intelligence. Embassies are bases for both diplomats and spies, and some diplomats are essentially openly acknowledged spies. For instance, the job of military attachés includes learning as much as possible about the military of the nation to which they are assigned. They do not try to hide this role and, as such, are only invited to events allowed by their hosts, such as military parades or air shows. There are also deep-cover spies operating in many embassies. These individuals are given fake positions at the embassy, but their main task is to illegally gather intelligence, usually by coordinating spy rings of locals or other spies. For the most part, spies operating out of embassies gather little intelligence themselves and their identities tend to be known by the opposition. If discovered, these diplomats can be expelled from an embassy, but for the most part counter-intelligence agencies prefer to keep these agents in situ and under close monitoring.
The information gathered by spies plays an increasingly important role in diplomacy. Arms-control treaties would be impossible without the power of reconnaissance satellites and agents to monitor compliance. Information gleaned from espionage is useful in almost all forms of diplomacy, everything from trade agreements to border disputes.
Various processes and procedures have evolved over time for handling diplomatic issues and disputes.
Nations sometimes resort to international arbitration when faced with a specific question or point of contention in need of resolution. For most of history, there were no official or formal procedures for such proceedings. They were generally accepted to abide by general principles and protocols related to international law and justice.
Sometimes these took the form of formal arbitrations and mediations. In such cases a commission of diplomats might be convened to hear all sides of an issue, and to come some sort of ruling based on international law.
In the modern era, much of this work is often carried out by the International Court of Justice at The Hague, or other formal commissions, agencies and tribunals, working under the United Nations. Below are some examples.
Other times, resolutions were sought through the convening of international conferences. In such cases, there are fewer ground rules, and fewer formal applications of international law. However, participants are expected to guide themselves through principles of international fairness, logic, and protocol.
Some examples of these formal conferences are:
Sometimes nations convene official negotiation processes to settle an issue or dispute between several nations which are parties to a dispute. These are similar to the conferences mentioned above, as there are technically no established rules or procedures. However, there are general principles and precedents which help define a course for such proceedings.
Some examples are
Diplomatic recognition is an important factor in determining whether a nation is an independent state. Receiving recognition is often difficult, even for countries which are fully sovereign. For many decades after its becoming independent, even many of the closest allies of the Dutch Republic refused to grant it full recognition. Today there are a number of independent entities without widespread diplomatic recognition, most notably the Republic of China (ROC) on Taiwan. Since the 1970s, most nations have stopped officially recognizing the ROC's existence on Taiwan, at the insistence of the People's Republic of China. Currently, the United States and other nations maintain informal relations through de facto embassies, with names such as the American Institute in Taiwan. Similarly, Taiwan's de facto embassies abroad are known by names such as the Taipei Economic and Cultural Representative Office. This was not always the case, with the US maintaining official diplomatic ties with the ROC, recognizing it as the sole and legitimate government of all of China until 1979, when these relations were broken off as a condition for establishing official relations with Communist China.
The Palestinian National Authority has its own diplomatic service, however Palestinian representatives in most Western countries are not accorded diplomatic immunity, and their missions are referred to as Delegations General.
Other unrecognized regions which claim independence include Abkhazia, Transnistria, Somaliland, South Ossetia, Nagorno Karabakh, and the Turkish Republic of Northern Cyprus. Lacking the economic and political importance of Taiwan, these nations tend to be much more diplomatically isolated.
Though used as a factor in judging sovereignty, Article 3 of the Montevideo Convention states, "The political existence of the state is independent of recognition by other states."
Informal diplomacy (sometimes called Track II diplomacy) has been used for centuries to communicate between powers. Most diplomats work to recruit figures in other nations who might be able to give informal access to a country's leadership. In some situations, such as between the United States and the People's Republic of China a large amount of diplomacy is done through semi-formal channels using interlocutors such as academic members of thinktanks. This occurs in situations where governments wish to express intentions or to suggest methods of resolving a diplomatic situation, but do not wish to express a formal position.
Track II diplomacy is a specific kind of informal diplomacy, in which non-officials (academic scholars, retired civil and military officials, public figures, social activists) engage in dialogue, with the aim of conflict resolution, or confidence-building. Sometimes governments may fund such Track II exchanges. Sometimes the exchanges may have no connection at all with governments, or may even act in defiance of governments; such exchanges are called Track III.
On some occasion a former holder of an official position continues to carry out an informal diplomatic activity after retirement. In some cases, governments welcome such activity, for example as a means of establishing an initial contact with a hostile state of group without being formally committed. In other cases, however, such informal diplomats seek to promote a political agenda different from that of the government currently in power. Such informal diplomacy is practiced by former US Presidents Jimmy Carter and (to a lesser extent) Bill Clinton and by the former Israeli diplomat and minister Yossi Beilin (see Geneva Initiative).
Paradiplomacy refers to the international relations conducted by subnational, regional, local or non-central governments. The most ordinary case of paradiplomatic relation refer to co-operation between bordering political entities. However, interest of federal states, provinces, regions etc., may extend over to different regions or to issues gathering local governments in multilateral fora worldwide. Some non-central governments may be allowed to negotiate and enter into agreement with foreign central states.
Cultural diplomacy (the science of diplomacy between cultures) has existed as a practice for centuries. Explorers, travelers, teachers and artists can be all considered examples of informal ambassadors or early cultural diplomats. The establishment of regular trade routes enables a frequent exchange of information and cultural gifts between traders and government representatives.
Such deliberate efforts of cultural exchange can be identified as early examples of cultural diplomacy. Indeed, any person interacting with different cultures, in the past as today, facilitates an important form of cultural exchange. The practices that this individual implements are an integral part of the science of cultural diplomacy.
A starting definition of Cultural Diplomacy is offered by the American political scientist and author, Milton C. Cummings, in his description of cultural diplomacy as: “the exchange of ideas, information, values, systems, traditions, beliefs, and other aspects of culture, with the intention of fostering mutual understanding”.
This cultural exchange can take place in fields including art, sport, literature, music, science and the economy. Such exchange implies communication and respect between the cultures involved, based on a sounder understanding of respective values and a reduced susceptibility to stereotypes. The potential of such an improved knowledge is to enable improved interaction and cooperation.
Cultural diplomacy is the initiation or facilitation of such exchanges with an aim to yielding long-term benefits, whether they promote national interests, build relationships, enhance socio-cultural understanding or promote trade and foreign investments.
Small state diplomacy is receiving increasing attention in diplomatic studies and international relations. Small states are particularly affected by developments which are determined beyond their borders such as climate change, water security and shifts in the global economy. Diplomacy is the main vehicle by which small states are able to ensure that their goals are addressed in the global arena. These factors mean that small states have strong incentives to support international cooperation. But with limited resources at their disposal, conducting effective diplomacy poses unique challenges for small states.[8]