changing nature of sovereignty.docx
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changing nature of sovereignty.docx
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changingnatureofsovereignty
15January2003
Byliner:
RichardHaassontheChangingNatureofSovereignty
(Stateofficialexploresrights,responsibilitiesofnationstates)
(4500)
(ThefollowingisadaptedfromremarksbyAmbassadorRichardHaass,
directoroftheStateDepartment'sPolicyPlanningStaff,tothe
SchoolofForeignServiceandtheMortaraCenterforInternational
StudiesatGeorgetownUniversityinWashingtononJanuary14.)
(beginbyliner)
Sovereignty:
ExistingRights,EvolvingResponsibilities
ByAmbassadorRichardN.Haass
(TheauthorisDirectorofthePolicyPlanningStaffattheU.S.State
Department.Thefollowingisadaptedfromremarkshemadetothe
SchoolofForeignServiceandtheMortaraCenterforInternational
StudiesatGeorgetownUniversityinWashingtononJanuary14.)
Normally,Americanforeignpolicyisconsideredoneissueatatime.
AttheStateDepartment,mostin-boxesfocusonsingleissues:
Iraqor
NorthKorea,ColombiaorCoted'Ivoire,theWTO[WorldTrade
Organization]orNATO.U.S.diplomatsseldomhavetheopportunityto
considerhowthesedifferentpiecesmightrelatetooneanotheror
begintoformanoverallpattern.
Oneoftheperksofmyjobistheluxurytoexaminethebigger
picture.Forthepasttwoyears,asDirectorofPolicyPlanning,I
havebeenprivilegedtobeabletolookattheentiremosaicofU.S.
foreignpolicy.GeorgeC.MarshallcreatedthePolicyPlanningStaff
55yearsago,toprovideabroadstrategicperspectivethatcould
guideandinformdailydiplomacy.HegaveGeorgeKennan,itsfirst
director,justtwowordsofadvice:
"Avoidtrivia."
Asanyofyouwhohaveservedingovernmentknowalltoowell,thisis
advicemoreeasilygiventhanheeded.Bethatasitmay,wetryto
anticipatebothchallengesandopportunities,questionconventional
wisdom,andidentifylong-termtrends.Thismandatehasneverbeen
morerelevant.Today,asinthelate1940s,theUnitedStatesfinds
itselfattheapexofglobalpower.ButnewthreatstoU.S.national
securityaresurfacing;olddoctrinesareoflimitedvalue.Our
missionistomakesenseoftheseglobalforcesandcrafteffective
policyresponsestothem.ItistomakesurethatAmericausesits
primacywisely.
Accomplishingthiswillnotbeeasy,forinternationalrelationsare
beingtransformedinmultipleways.Ratherthantrytocoverallof
therelevantchanges,tonightIamgoingtobeselectiveandfocuson
oneofthemostprofound:
therealitythatsovereigntyisneither
absolutenorunconditional.Iwilldescribehowviewsofsovereignty
areevolving,howtheUnitedStatesisadaptingtothisnewworld,and
howitaffectsusall.
HistoryandEvolution
FromBosniatoBeijingtomybirthplaceofBrooklyn,justmentioning
"sovereignty"cangetpeople'sdanderup.Itgoestotheheartofwhat
itmeanstobeindependent.Butwhenpeopleinvoketheword,they
oftenmeandifferentthings.Soletmebeginbydefiningterms.
Historically,sovereigntyhasbeenassociatedwithfourmain
characteristics:
First,asovereignstateisonethatenjoyssupreme
politicalauthorityandamonopolyoverthelegitimateuseofforce
withinitsterritory.Second,itiscapableofregulatingmovements
acrossitsborders.Third,itcanmakeitsforeignpolicychoices
freely.Finally,itisrecognizedbyothergovernmentsasan
independententityentitledtofreedomfromexternalintervention.
Thesecomponentsofsovereigntywereneverabsolute,buttogetherthey
offeredapredictablefoundationforworldorder.Whatissignificant
todayisthateachofthesecomponents--internalauthority,border
control,policyautonomy,andnon-intervention--isbeingchallenged
inunprecedentedways.
Thismaynotbeimmediatelyobvious.Sovereigntyissofundamental,so
embeddedinourconceptionsaboutthewayourworldworks,thatwe
oftentakeitsexistenceforgranted.Weshouldnot.Anyonedoubting
thissentimentneedonlyconsiderwhathistorywaslikebeforethe
territorialstatebecamethemainbearerofrightsand
responsibilitiesininternationalsocietyduringthe17thand18th
centuries.
InEuropebeforesovereignty,politicalauthoritywassharedby
empires,kingdoms,duchies,andcity-states.Complicatingmatters
further,therewasnoclearboundaryseparatingreligiousandsecular
authority.Popesandkingsclaimedandfoughtoverthesamepeoples
andterritories.Thispatchworkofoverlappingauthoritiesproved
flammablewhenthewarsofreligionignitedfollowingtheReformation.
ThiswastheworldthatinspiredThomasHobbeswhenheimaginedlife
inastateofnature.Formostpeople,lifewas"nasty,poor,brutish,
andshort."
Inresponse,Europeanrulerscametoembracesovereigntyasameansto
maintainabasicleveloforder,bothwithinindividualcountriesand
inrelationsbetweenandamongthem.Apivotaleventinthisprocess
wasthePeaceofWestphaliaof1648,whichrecognizedthatstateshad
certaininherentrights,namely,exclusivejurisdictionwithintheir
ownterritory,politicalindependence,andfullequalityunder
internationallaw,includingtherighttoconductforeignpolicy.With
sovereigntycamethenormagainstinterferenceintheinternalaffairs
ofotherstates.WithinEurope,interventionbecametheexception
ratherthantherule.
SovereigntyhelpedtostabilizeEuropeand,overtime,theprinciple
spread.ForChinaandJapan,recognitionoftheirsovereignequality
byotherstatesbecameasymbolofhavingarrived.Later,thedesire
forsovereigntybecamethemotivatingforceforthedecolonization
movementthattransformedinternationalrelationsafterWorldWarII.
Sovereigntyhasbeenasourceofstabilityformorethantwo
centuries.Ithasfosteredworldorderbyestablishinglegal
protectionsagainstexternalinterventionandbyofferingadiplomatic
foundationforthenegotiationofinternationaltreaties,the
formationofinternationalorganizations,andthedevelopmentof
internationallaw.Ithasalsoprovidedastableframeworkwithin
whichrepresentativegovernmentandmarketeconomiescouldemergein
manynations.Atthebeginningofthetwenty-firstcentury,
sovereigntyremainsanessentialfoundationforpeace,democracy,and
prosperity.
Atthesametime,sovereigntyisbeingchallengedfrombothwithinand
without.Weakstatesstruggletoexerciselegitimateauthoritywithin
theirterritories.Globalizationmakesitharderforallnationsto
controltheirfrontiers.Governmentstradefreedomofactionforthe
benefitsofmultilateralcooperation.Andoutlawregimesjeopardize
theirsovereignstatusbypursuingrecklesspoliciesfraughtwith
dangerfortheircitizensandtheinternationalcommunity.Weneedto
adjustourthinkingandouractionstothesenewrealities.
StrengtheningWeakStates
Onechallengetosovereigntyariseswhenstateshavetoolittleofit.
Aroundtheworld,manygovernmentslackthelegitimacyandcapacityto
translatetheirnominalsovereigntyintoeffectivegovernance.Some
weakstatesfindthemselvesconfrontinginsurgentsbentontheir
overthroworwarlordsseekingtodominateungovernedregions.
Neighboringstatesmayexploitthesevulnerabilitiestofoment
rebellionorsecessionistmovements.Evenwhereunifiedstatesexist,
governmentinstitutionsmaybecrippledbycorruptionorcapturedby
criminals.Whenstatescannotexercisetheirsovereignpowers,they
courtinstability,evenanarchy.Theymaycollapseentirelyandenter
thecategoryof"failedstates."
Untilrecently,weviewedstateswithasovereigntydeficitprimarily
throughahumanitarianlens.Failedstatespiquedourmoral
conscience,buttheyappearedonlylooselyconnectedtonational
security.Duringthe1990s,SomaliaandAfghanistantuggedatour
heartstringsandsometimesourpursestringsbutwetendedtodismiss
themaspossessinglittleornostrategicrelevance.
TheattacksofSeptember11,2001remindedusthatweakstatescan
threatenoursecurityasmuchasstrongones,byprovidingbreeding
groundsforextremismandhavensforcriminals,drugtraffickers,and
terrorists.Suchlawlessnessabroadcanbringdevastationhereat
home.Oneofourmostpressingtasksistopreventtoday'stroubled
countriesfrombecomingtomorrow'sfailedstates.
Howshouldwerespondwhenweakstateslacksovereigncapacities?
In
extraordinarycircumstances,whenacountrycollapsesorisunprepared
forformalindependence,theworldcommunitymayneedtoassumemany
oftheresponsibilitiesofasovereigngovernment.Thisistherole
theUnitedNationshasplayedinEastTimor,helpingitmakethe
transitionfromadisputedprovinceofIndonesiatoafully
independentstate.Halfwayaroundtheworld,theU.N.andNATO
continuetoserveasthecustodiansofsovereigntyinKosovo,pending
adeterminationofitsfinalstatus.
Wherefailingstatesareconcerned,however,theoldadageringstrue:
Anounceofpreventionisworthapoundofcure.TheUnitedNations
estimatesthattheeightmostexpensivecasesofstatecollapseduring
the1990scosttheinternationalcommunityinexcessof$250billion
[$250,000million].Howmuchcheaperitwouldhavebeentobolster
statecapacitiesbeforetheycollapsed,ratherthantryingtoputthe
piecestogetherafterwards.Withthisendinmind,theUnitedStates
isusingitseconomic,technical,andmilitaryassistancetogive
vulnerablecountriesthetoolstheyneedtofulfillthe
responsibilitiesofsovereignty.
AttheMonterreySummitlastMarch,PresidentBushannouncedthe
creationofaMillenniumChallengeAccount(MCA),designedto
strengthenstateswillingtoembarkonthepathtostabilityand
development.TheMCAwillincreaseU.S.foreignassistanceby50
percentoverthe
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