diplomatic recognition

diplomatic recognition, term that may refer either to the procedure by which a new state is formally accepted by other states as a member of the international community or to the procedure by which a new government of an existing state is accepted as the legal representative of that state. The two procedures, although frequently confused, raise distinct legal questions. The recognition of a new state involves the sovereignty of the state and its independent position in relation to other states; the recognition of a new government merely involves the determination of the particular organized group that is to be accepted as having the right to speak in the name of the state, without raising any issue of the legal personality of the state.

The term recognition has been applied to states already enjoying independent existence but not maintaining diplomatic relations with the Western powers, as in the case of Ethiopia until its admission into the League of Nations in 1923. Its more common application, however, is to colonies, dependencies, or constituent administrative units that have declared their independence from a ruling country and have proved their ability to maintain their separate existence, as in the case of the recognition by the United States of the Latin American states beginning in 1822. The provisions of the United Nations Charter concerning the “self-determination of peoples” and the administration of “non-self-governing territories” support such recognitions.

On occasion, political motives have led to the recognition of a new state before it actually proved its ability to maintain its independence, as in the case of the recognition of the United States by France in 1778. Recognition by the Netherlands came in 1782, one year before the Treaty of Paris was concluded. After that treaty, the United States was soon recognized by other states: by Sweden and Spain in 1783; by Prussia in 1785; by Portugal in 1791; and by Russia as late as 1803. Premature recognition has typically been regarded as a slight against a mother country, as when Mexico resented the recognition of Texas by the United States in 1837 and when Colombia resented the recognition of Panama by the United States in 1903. In 2022 Russian Pres. Vladimir Putin recognized the independence of the self-proclaimed people’s republics of Donetsk and Luhansk as a prelude to the full-scale invasion of Ukraine.

During the 19th century the great powers gave collective recognition to certain new states before they had yet won their independence through armed conflict, as when Greece was recognized in 1827; Belgium in 1831; and Romania, Serbia, and Montenegro in 1878. Since the end of World War I recognition has frequently been granted through a voluntary act of the mother country or more recently through a collective act of the members of the United Nations. Great Britain, for example, recognized the independence of Ireland in 1920, Egypt in 1922, and India and Pakistan in 1947. Recognition by other states followed promptly. Indonesia was recognized by the Netherlands as independent in 1949, and Ghana and Malaya (now Malaysia) by Great Britain in 1957, followed by their admission to the UN. Many newly independent African countries received recognition in the early 1960s.

The Stimson Doctrine, declared by the U.S. secretary of state in 1932 and subsequently supported by the League of Nations, asserted that recognition should not be extended to new states or to territorial changes effected by the illegal use of armed force. In accordance with this doctrine, the United States and the members of the League of Nations refused to recognize the Japanese puppet state of Manchukuo, and the United States refused to recognize the Italian conquest of Ethiopia (1936) and the German annexation of Austria (1938).

In the case of new governments, the procedure of recognition is undertaken only when an existing de jure government is overthrown by revolution and it becomes necessary for the governments of other states to decide whether the new government has the stability required to justify holding it responsible for the obligations of the state and is entitled in turn to claim the rights of the state. Recognition in such cases raises no question of the legal personality of the state or of its place in the community of nations but merely the question of whether a particular group can properly speak in the name of the state. Governments actually in power are described as de facto until they are recognized by other states, after which they are described as de jure.

In addition to stability, one common condition for recognition has been that the new government must not have been established through immoral behavior, such as assassinations, and must express an intention to observe the rules of international law. Such political or subjective conditions of recognition have given rise to numerous controversies and conflicting practices, with new governments being recognized by some states and not by others. The United States, for example, refused to recognize the government of Gen. Victoriano Huerta established in Mexico by the assassination of Pres. Francisco Madero in 1913 and, until 1933, the Soviet government of Russia established by the revolution in 1917. It was not until 1979 that the United States recognized the Communist government of China, which had been established 30 years earlier. The United States, however, promptly recognized the government of Iraq established by the assassination of King Faisal II in 1958. During World War II the United States and Great Britain refused to recognize the governments of the countries occupied by the German army and continued to recognize the refugee governments.

Efforts have been made to establish rules of international law on the subject of recognition in addition to the prohibition of premature recognition and non-recognition of the forces of aggression. The political element of recognition has dominated, however, and states have been unwilling to accept a collective agreement regarding which diametrically opposed points of view should be adopted with respect to the conduct that may be expected of a new government.