美國如何在冷戰期間型塑台灣與中美洲間的外交關係：以巴拿馬為例 - 政大學術集成

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(1)國立政治大學亞太研究英語碩士學位學程 International Master’s Program in Asia-Pacific Studies College of Social Sciences National Chengchi University. 碩士論文 Master’s Thesis. 立. 政治大. ‧. ‧ 國. 學 er. io. sit. y. Nat. 美國如何在冷戰期間型塑台灣與中美洲間的外交關係：以巴拿馬為例. n. How the U.S. shaped between the a l the Diplomatic Relations v i nthe Cold War： ROC and CentralCAmerica U h e n g cduring hi The Case of Panama. Student: Verónica Rodríguez Calleja Advisor: Prof. Chung-Chian Teng 中華民國 104 年 7 月 July 2015 I.

(2) 美國如何在冷戰期間型塑台灣與中美洲間的外交關係：以巴拿馬為例 How the U.S. shaped the Diplomatic Relations between the ROC and Central America during the Cold War： The Case of Panama 研究生：林維樂. Student: Verónica Rodríguez Calleja. 指導教授：鄧中堅. Advisor: Prof. Chung-chian Teng. 立. 政治大國立政治大學. ‧ 國. 碩士論文. 學. 亞太研究英語碩士學位學程. ‧ y. Nat. er. io. a. sit. A Thesis. n. v l Master’s Program Submitted to International n i in Asia-Pacific Studies Ch. engchi U. National Chengchi University In partial fulfilment of the Requirement For the degree of Master in China Studies. 中華民國 104 年 7 月 July 2015 II.

(3) Acknowledgement Immeasurable appreciation and deepest gratitude for the help and support are extended to the following persons who in one way or another have contributed in making this study possible. Prof. Chung-chian Teng, for his support, advises, guidance and suggestions as my advisor during the whole process that helped in the completion of this study. Prof. Ren-Rang Chyou, for acting as my co-advisor and giving time and useful insights. Prof. Hsiao-Yun Yu, Prof. Wen-Yang Chang, and Prof. Antonio S. Hsiang, for. 政治大. giving their time and suggestions that helped a lot in the completion and success of. 立. this study.. ‧. ‧ 國. helping me with my first steps on this journey.. 學. Prof. Mario Esteban, for his continuing support over the years, and especially for. David Dillen Hald, for giving his time and effort editing this study, and for his. sit. y. Nat. support and constant words of encouragement.. io. er. Steve Smith, my dear friend, for his help during my research, and for his support and patience every time I had a mental block.. al. n. v i n AdrianaCLópez, and Katiana h e n g c h i U Torres,. Julia Simancas, encouragement.. for their support and. Finally, to my parents Paqui and Ramón, and my brother Raúl, for making these two years possible and for always being there when I needed them despite the distance.. III.

(4) Abstract Since the establishment of the People’s Republic of China (PRC) in 1949, Taiwan has faced a fierce diplomatic battle against China for international recognition. There have been many studies regarding the growing presence of China in Latin America and how that affects Taiwan. What are the reasons for these countries to maintain this long-standing relationship with Taiwan? This study has covered the Cold War years to analyse the importance of the United States and their battle against Communism for Taiwan-Central America relations and it also allowed us. 政治大 analysis showed us 立 how the U.S. policy towards Central America, but not. to understand the reasons why they still support Taiwan. The result of the. ‧ 國. 學. the growing presence of China, has been the main factor to shape the relations between the ROC and Central American countries. Three. ‧. variables have been used to explain why Central American countries recognize Taiwan as a state: Foreign policy, economic factors and regime. y. Nat. sit. type. Through this study, I came across the roots of the problem with. n. a l – Taiwan relations. in U.S. – Central America Ch. engchi. er. io. Taiwan’s status and also acquired a better understanding of the dynamic. i n U. v. Key Words: Taiwan, China, US, Central America, United Nations, Recognition, Sovereignty, International Relations, Foreign Policy, Cold War, Communism, Democracy.. IV.

(5) 摘要自中國在 1949 年建立起，台灣已面臨激烈的有關於國際地位認同的外交爭論。已有許多研究都在討論中國在拉丁美洲的崛起以及其如何影響台灣。讓拉丁美洲的國家與台灣維持長期穩定的關係的原因是什麼? 本研究分析了美國在冷戰期間與台灣及中美洲對抗共產主義的重要性，這讓我們了解為什麼這些國家依然支持台灣。從研究結果可得知美國的政策主要導向中美洲而不是中國，這也成為維持中華民國與中美洲之間的主要因素。有三個變數皆已被用來說明為什麼中美洲國家承認臺灣是一個國家: 外交政策、經濟因素和政權類型。透過本研究，我發現了承認台灣地位的問題根源，也同時瞭解美國、中美洲及台灣間的關係。. 立. 政治大. 關鍵字: 臺灣、中國、美國、中美洲、聯合國、識別、主權、國際關係、. ‧ 國. 學. 外交政策、冷戰、共產主義、民主. ‧. n. er. io. sit. y. Nat. al. Ch. engchi. V. i n U. v.

(6) TABLE OF CONTENTS 1.. Introduction…………..…………………………………………………….. 2 1.1. Background…………………………………………………………….. 3 1.2. Research-Problem……………………………………………………… 7 1.2.1. Hypothesis……………………………………………………… 8 1.2.2. Variables……………………………………………………….. 8 1.2.3. Data…………………………………………………………….. 10 1.3. Theoretical Framework………………………………………………… 11 1.3.1. International Law and the Theory of Recognition………………. 11 1.3.2. Realism and Balance of Power…………………………………. 12. 2.. Literature Review………………………………….………………………. 13. 政治大. 2.1.Recognition, Statehood and Sovereignty.................................................... 13 2.1.1. Recognition.................................................................................... 13 2.1.1.1.Declaratory theory.............................................................. 15 2.1.1.2.Constitutive theory.............................................................. 15 2.1.1.3.United Nations’ Membership………………………….. 17 2.1.2. Sovereignty.................................................................................... 19. 立. ‧ 國. 學. sit. y. Nat. The Influence and Power of the U.S.……………………………….……… 30. io. 3.1.Foreign Policy……………………………………………………………. 30 3.1.1. Alliances and National Security………………………………… 31 3.1.2. U.S. Foreign Policy in Latin America…………………………... 32 3.1.3. How the U.S. Foreign Policy helped the ROC………………….. 34 3.1.4. Cold War, bipolarity, and the new way of doing politics……….. 40. n. al. er. 3.. ‧. 2.2.International Status of Taiwan.................................................................... 22 2.2.1. Background.................................................................................... 23 2.2.2. Legal Status................................................................................... 27. Ch. engchi. i n U. v. 3.2.Economic Factors………………………………..………………………. 41 3.2.1. Foreign Aid……………………………………………………… 41 3.2.2. Private Investment………………………………………………. 43 3.2.3. The effect of the rising nationalism on economic policy………..45 3.2.4 How U.S. economic assistance helped the ROC……..…………. 49 3.2.4.1.ROC’s use of foreign aid…………………….………….. 50 3.3.. Regime Type………………………………………...……………… 52 3.3.1. Democratic Peace?.................................................................. 53 3.3.2. Cold War ideological rationale……………………….…….. 55 3.3.3. Ideologically-driven U.S. policy: The use of democracy.….. 56 3.3.4. Taiwan’s democratization………………………..…………. 59. VI.

(7) 4.. The case of Panama……………………………….………………………... 61 4.1.Panama’s abstention in the 1971 UN Resolution……………..…………. 62 4.1.1. The road to the Torrijos-Carter Treaties………………………… 63 4.1.2. The day of the vote……………………………………………… 65. 5.. Conclusion………………………………………………..………………… 71. Appendix………………………………………………………………………….74 I. Timeline………………………………………………………………….. 74 II. UN Vote on Seating China (PRC) 1958-1971…………………………… 78 III. U.S. Economic and Military Assistance to Panama (1959 – 1990)……… 81 References……………………………………………………………………….. 82. 立. 政治大. ‧. ‧ 國. 學. n. er. io. sit. y. Nat. al. Ch. engchi. VII. i n U. v.

(8) List of Abbreviations AIT - American Institute in Taiwan ALI - American Law Institute CIA - Central Intelligence Agency DPP - Democratic Progressive Party EXIM - Export-Import Bank FDI - Foreign Direct Investment FSLN - Frente Sandinista de Liberación Nacional FTA - Free Trade Agreement. 政治大. GDP - Gross Domestic Product GNP - Gross National Product. 立. KMT - Kuomintang. ‧ 國. 學. MAD - Mutual Assured Destruction OAS - Organization of American States. ‧. ODA - Official Development Assistance PRC - People’s Republic of China. sit. y. Nat. ROC - Republic of China SEO - Soviet Economic Offensive. io. al. n. U.S. - United States. er. TRA - Taiwan Relations Act. UN - United Nations. Ch. engchi. UNSC - United Nations Security Council USAID - United States Aid. VIII. i n U. v.

(9) List of Figures Figure 1. Conceptual Map…………………………………………………………. 9 Figure 2. Trend of U.S. Economic Assistance to MSP Countries………………… 47 Figure 3. U.S. Economic Assistance to the ROC………………………………… 49 Figure 4. UN Resolution to seat the PRC and expel the ROC (1971)……………... 63. List of Tables. 政治大 UN…………………………………………………………………………………. 38 立 Table 1. Vote Distribution on the Resolutions to Seat Communist China in the. Table 2. Vote Distribution on whether the PRC’s representation is an “important. ‧ 國. 學. question”…………………………………………………………………………… 39 Table 3. Economic and Military Foreign Assistance to Cuba……………………... 43. ‧. Table 4. U.S. Foreign Assistance to Latin America……………………………….. 48. y. Nat. Table 5. Economic and Military Assistance before and after Noriega’s. n. al. er. io. sit. overthrow(1982 – 1990)……………………………………………………………. 69. Ch. engchi. IX. i n U. v.

(10) 立. 政治大. ‧. ‧ 國. 學. n. er. io. sit. y. Nat. al. Ch. engchi. 1. i n U. v.

(11) 1. Introduction Since the establishment of the People Republic of China (PRC), the Republic of China (ROC) has faced a fierce diplomatic battle against China for international recognition. Nowadays, Taiwan counts on the support of 22 allies. Twelve of them are in the Western Hemisphere, and all but Paraguay are in Central America and in the small countries of the Caribbean. There have been many studies regarding the growing presence of China in Latin America, and how this affects Taiwan. What are the reasons for these countries to maintain such a long-standing relationship with Taiwan? This study tried to answer this question by focusing on the influence the United States had in Central America during the Cold War, and how this affected. 政治大 U.S. was immersed had a profound impact in the establishment of alliances between 立 the ROC and Central American countries. It could be seen how the U.S. policy Central America-Taiwan relations. The fierce battle against communism in which the. ‧ 國. 學. towards Central America, and not the growing presence of China, has been the main factor to shape relations between the ROC and Central American governments.. ‧. The events that took place during the years of the Cold War shaped the ROC policy and their way of handling diplomatic relations. It made them create a unique system. y. Nat. sit. of international relations that allowed them to maintain their relations even when the. er. io. rest of the world did not consider them a state anymore. The so-called informal. al. v i n the obstacles that the lack ofC statehood could cause to any aspiring state. hengchi U To understand how the U.S. and the Cold War context really affected n. diplomacy would evolve to a sophisticated model that would help the ROC navigate. Taiwan. international status we need to have a good comprehension of two aspects. First, we must understand how sovereignty works and what it means to be a state. The concept of sovereignty has changed over the years; it does not mean the same now that it did before World War II. This is important for the ROC because were the concept the same as before, their government would have probably been recognized as a functional state by now, as they allegedly fulfil every requirement to become a state. However, this has not happened. Instead, Taiwan has entered the international system being called “pariah” state, or simply “China” –implying not only that their government is not a state of the international community, but that they simply can’t exist as their territory belongs to a different, and real, state that is the PRC. It is 2.

(12) therefore crucial to understand how the process of achieving statehood works in international law and how its rules, even if they are not strictly followed in practice, have some ideas that are embedded in the system and had an imprint in every state’s behaviour. The second important aspect that we should know of is the power of U.S. influence. In what ways can affect both Central America and Taiwan to be able to shape their alliances, their relationship, and thus, altering Taiwan’s status in the international system. This thesis is divided according to these two aspects. Thus, there is a first part where the theory of recognition and statehood, and the state of Taiwan international status are discussed, and a second one that analysed the U.S. power and the aspects of their influence that could have affected the ROC alliances over the years. The reason to. 治政大shaped into what they are today. years when Taiwan-Central American relations were 立 It is important to know where the roots of the problem are to be able to understand its evaluate these elements in the context of the Cold War is because it was during these. ‧ 國. 學. future development. Finally, these first two parts are connected in a case study to understand the reality of the dynamics that were in play among these three regions.. ‧. The case of Panama’s vote on the UN resolution in 1971 –when the ROC exited the organization- are discussed to prove the influence of the U.S. on Taiwan-Central. y. Nat. er. io. 1.1 Background. sit. American relations.. al. n. v i n The establishment of the People’s China (PRC) on October 1 , 1949 C h Republic of U i e h n g c the Nationalist Government, had lost the meant that the Republic of China (ROC), st. civil war against the Communist Party, forcing them to flee to the island of Taiwan. The PRC saw Taiwan as a province that was part of the mainland and it had to be reunited, no matter the means. However, during these years a bigger battle was being fought between the United States and the Soviet Union. The Cold War had divided the world, and the United States were fighting a fierce battle against Communism. The Cold War marked the development of the conflict between the PRC and the ROC in a drastic way. The Republic of China in Taiwan became a satellite of the United States, a geostrategic spot to control the spread of communism in the Pacific Rim. Thus, the U.S. role in the conflict became highly important.. 3.

(13) Washington had been intervening in the affairs of Central American countries at least since the early nineteenth century when President James Monroe announced his Monroe Doctrine 1 . Throughout the nineteenth century the US grew economically, politically and militarily. The more its influence expanded, the more important security became for them. The U.S. quickly learnt the importance of establishing better links between the Pacific and Atlantic oceans, which made the Isthmus of Panama a very important area of interest for U.S. expansion. The group of countries located in Central America represented the strongest source of support for the United States in the Western Hemisphere in their fight against communism. Not coincidentally, Taiwan’s most solid group of allies were these same countries. During that time, Taiwan received from the US government substantial. 政治大. amounts of capital and technology that were vital for Taiwan’s successful development.. 立. Nowadays, excluding Costa Rica which recently switched sides to Beijing, Guatemala,. ‧ 國. 學. Belize, El Salvador, Nicaragua, Honduras and Panama have continuously supported Taiwan. Nicaragua stopped their recognition for Taiwan in 1985, during the first term. and have maintained their diplomatic relations ever since.. Nat. y. ‧. of Daniel Ortega Saavedra, but in 1990 they switched from Beijing to Taipei again. sit. The PRC and Central American diplomatic relations during the first two decades. al. er. io. since the PRC was established were not as successful as they were for the ROC. Only. n. one Latin American country recognized China during these years: Cuba in 1960.. Ch. i n U. v. However, when Cuba’s president, Fidel Castro, decided to ally with the Soviet Union. engchi. in the Cold War, their relationship quickly worsened. (Esteban, 2013). This event would also be crucial for the ROC’s stance in the region, as it increased the U.S. concern towards communism in Latin America, strengthening their position and their help to their allies in their fight against it. Taipei managed to keep its predominance in the region during the first two decades while the Cold War was still at its zenith. Using anti-communism as a vehicle to drive its international relations under Washington’s shadow, Taiwan got 50 political allies in the 1950s and earned a seat as a permanent member of the UN Security Council (UNSC). In the 1960s, Taiwan established diplomatic ties with more than 20 countries (Pérez: 2004: 7) 1. In his December 2, 1823, address to Congress, President James Monroe articulated United States’ policy on the new political order developing in the rest of the Americas and the rol of Europe in the Western Hemisphere. The three main concepts of the doctrines were separate spheres of influence for the Americas and Europe, non-colonization, and non-intervention.. 4.

(14) During the Nixon administration, with Beijing-Washington rapprochement and the end of the Cultural Revolution, Beijing got the opportunity to reverse the situation. On October 21st, 1971 Henry Kissinger arrived to Beijing and met the Prime Minister, Zhou En Lai. The turnabout was final with the entrance of the PRC into the United Nations in October 1971, and subsequent exit of the ROC. The PRC also changed its foreign policy, which became more flexible, less revolutionary. Thus, “Latin American military governments started to perceive Beijing as a supporter in their opposition to Moscow, which in turn enabled Beijing to establish diplomatic relations with 13 Latin American countries during the 1970s”, and with 5 more during the 1980s before the Tiananmen repression. In 1979, Taiwan only maintained diplomatic relations with 21 countries, 12 of them were from Latin America. Taipei recurred then. 治政大was considered quite inefficient allies in Central America. Nonetheless, this method 立 after the loss of Uruguay’s recognition in 1988 (Esteban: 2008: 4). to a diplomatic offensive based on raising the amount of technical aid directed to its. ‧ 國. 學. After the Cold War, we saw a U.S. government that would slowly lose its interest in Latin American affairs as it became more preoccupied with other parts of the world.. ‧. Meanwhile Latin America would slowly witness a turn to the left in many countries of the continent. This phenomenon has been interpreted as a consequence of the adverse. y. Nat. sit. effects of the neoliberal modernization, brought on by the U.S. during the previous. al. er. io. decade. Both situations greatly affected Taiwan’s status in the continent. One after. n. another, countries in the region were moving from the conservative side, closer to the. Ch. i n U. v. U.S. elites, towards socialism; a new left was blooming in different ways. In. engchi. Venezuela, and later in Brazil and Argentina, forces opposing neoliberalism came to power. Later on, in Uruguay ruled a coalition from the left, in Chile the candidate from the Socialist Party was elected for the second time. In Bolivia, the leader from the left, Evo Morales, won the elections. In Costa Rica it was the social-democrat Óscar Arias (who in 2007 broke ties with Taiwan after 60 years). Neoliberalism was seen as a failure in Latin America, and in a time where the U.S. was looking somewhere else, the Latin American countries started to look for solutions on their own. After the Cold War, Washington won’t be able to apply the traditional pressure on these countries to achieve its goals, despite their democratic systems. All these factors would play against Taiwan’s interests. Politics stopped being the most important factor. As the U.S. influence was fading, Latin American countries were looking for their own way to recover from what they perceived as failed neoliberal 5.

(15) policies. Thus, economic interests soon would become the main factor in the battle for recognition between Taipei and Beijing. With Taiwan’s economic boom, some of the most important diplomatic allies of Beijing, such as Argentina, Brazil or Mexico, opened commercial representative offices in Taipei between 1989 and 1992. This, together with the Tiananmen incident, enabled Taiwan to increase its political profile in the region, implementing a pragmatic and proactive foreign policy that gave more importance to its Latin American and Caribbean allies. This importance was translated into more investment and new mechanisms to channel this aid, along with academic cooperation through generous grant programs, donations, and university brotherhoods. However, with Beijing opening to the market economy and its consequent economic growth, Taiwan. 治政大 when the situation was partially normalized. 立 The battle for diplomatic recognition between. had a hard time fighting this battle. It won’t be until 2008, with the diplomatic truce,. China and Taiwan was. ‧ 國. 學. considerably reduced after Ma Ying-jeou (KMT) won the Taiwan’s elections in 2008. Ma came to office with the promise of a better relationship with Beijing, based in a. ‧. deeper cooperation between both sides. This ended the pro-independence program of the former president Chen Shui-Bian and it meant a diplomatic truce between Taiwan. y. Nat. sit. and China. The truce, even if it was never officially recognized by Beijing, has eased. al. er. io. years of rivalry between both nations. But Beijing influence in the region is still. n. growing, and Taiwanese diplomats in the region admit that they can’t keep up with. Ch. i n U. v. China’s power. Besides outpacing Taiwanese financial aid and loans, China has built. engchi. stadiums, roads, schools, official buildings, power plants, ports and resorts for Caribbean countries (Zhu, 2013: 88). As China spreads its economic influence, the diplomatic influence of the island fades. Indeed, some of Taiwan’s allies have stated that many trade and investment opportunities from China don’t go to their nations. Even if the truce has allowed them to maintain some agreements, the truth is that Beijing invests much more money in those countries that what is officially recognized by the PRC. Economic interests are a powerful tool and long run trend indicate that Latin America and the Caribbean have been the regions in the world with the highest growth trade rates with China since 1990 (O’Connor, 2012: 514). China has its better weapon in the ODA’s (Official Development Assistance), with their goal being to secure raw materials in exchange for their investment in 6.

(16) infrastructure, airports, stadiums, among other projects. The less the economic development of a country, the more important is this kind of aid when their leaders have to decide who to have diplomatic relations with. Indeed, this was the trump card of Taiwan for many years, so an improvement of this area in China’s side would hurt Taiwan’s diplomatic relations. An example of the use of the economic growth that China does is the precondition that China established to initiate conversations with Peru about a possible FTA, which was their recognition of the status of China as a market economy. The same happened with Colombia when talking about another possible FTA in 2012. So even though the truce has eased the battle, it is definitely not over.. 治政大 It focused on the study of economic one. This analysis tried to see how this happened. 立 the Cold War years to try to figure out the depth of Taiwan-Central American. As we can see, the rationale for recognition has been evolving towards a more. ‧ 國. 學. relations, how important was the U.S. during the evolution of this relationship, and how the U.S. profound influence in Central American countries affected Taiwan’s. ‧. alliances. To understand the future development of Taiwan-Central American partnership, it is important to go to the roots of its formation.. y. Nat. sit. Even if the reason for recognition has indeed evolved from a Cold War. al. er. io. ideological rationales towards economic self-interest factors, we still have to question. n. whether or not the U.S. has lost today all its power in the region, or if is it still making. Ch. i n U. v. a difference when it comes to Central American countries recognizing Taiwan.. engchi. 1.2. Research-Problem This thesis used a hypothetical-deductive method; therefore hypotheses are first formulated to then be derived empirically. This is to be able to analyse empirically whether or not there is any support for the hypothesis. A deductive approach is more suitable as the theory can be empirically studied through the use of a case study. As the situation of the recognition of the ROC in Central America has evolved significantly since the Cold War, I used a comparative historical research to evaluate the importance of the U.S. influence in Central America during these years, and how this affected and shaped Taiwan-Central America diplomatic relations. Therefore the. 7.

(17) analysis is directed to answering the following: what are the main factors behind the decision by Central American countries to recognize Taiwan over the years?. 1.2.1. Hypothesis H1. The main factor for Central American countries to recognize Taiwan after the establishment of the PRC was the influence of the United States in the area.. 1.2.2. Variables To answer the research question and prove the hypotheses I used Recognition of Taiwan as a State by Central American countries as the Dependent variable. There are three Independent variables affecting the changes in recognition:. 政治大 Central American countries’ decision making, an influence that affected their 立 decision when choosing the ROC as their ally. Also, it evaluates the impact of. Foreign Policy: This variable focus on the influence the US policies had in. 學. ‧ 國. I.. the US influence on the policy measures taken by both the ROC and the PRC. Even after the US broke ties with Taiwan in 1979, Central America remained a. ‧. key area for the ROC. Their proximity to the United States is not random. The U.S. strong relationship with these countries has marked their actions in. y. Nat. sit. international relations, affecting the ROC, whose relations with the region are in. er. io. no way accidental. More recently, this closeness also has supposedly justified. al. v i n its allied countries, a practice “transit diplomacy” (Esteban, C h that has been called U i e h n g cpolicy in Central America has had a strong 2008). Either way, the U.S. foreign n. Taiwanese “unofficial” meetings with US officials during their official visits to. impact in these countries, and their disputes and reconciliations affected Taiwan-Central American diplomatic relations substantially. II.. Economic Factors: Most of the analysis about the diplomatic war between the PRC and the ROC focus on this variable, but they usually do so from the perspective of these two actors. Indeed, the amount of aid and investment gained importance after the Cold War, and it kept increasing till 2008 with the diplomatic truce. However, during the Cold War there was another type of economic interest involved that affects the dependent variable. Since the early nineteenth century the US had been investing money in Latin American countries, even more so in Central American countries as they were their closest 8.

(18) allies and an important area for its national security. In fact, according to Keith Griffin, foreign aid had its origins in the Cold War as a “product of the ideological confrontation between the US and the Soviet Union” and the “motives behind aid were always more political than economic” (Griffin 1991: 645). III.. Regime Type: This variable is important because the Cold War consisted in a confrontation between two different regimes and ideologies, democracy and communism. Democratic Triumphalists assert that democracies with shared norms are more likely to form alliances and are better able to cooperate with one another (Choi, 2003). The U.S. continuously used the idea of democracy when handling their foreign policy. The ideology was a central aspect of their. 治政 and therefore, more easily influenced by 大 the U.S. This idea also affected 立 Taiwan’s alliances as, at some point, they would use the idea of democracy as a policy, and it affected the ally countries, especially those with a lesser power,. ‧ 國. 學. vehicle to engage in better relations with both the U.S. and Latin America. This variable is also related to the importance that ideological processes had during. ‧. the Cold War; processes that made the U.S. engage in actions not always rational, but that affected their relation with some Central American countries. y. Nat. io. sit. indirectly affecting Taiwan.. n. al. Foreign Policy. er. Figure 1. Conceptual Map.. i n C h Economic Factors engchi U. v. Regime Type. Major Power Status Geographic Distance. Recognition of Taiwan as a State by Central American countries. 9.

(19) DV = Recognition of Taiwan as a State by Central American countries. IV = Foreign Policy, Economic Factors, Regime Type CV = Major Power Status, Geographic Distance. Control Variables There are two other important variables that are constantly affecting every independent variable, and therefore, directly and indirectly affect the dependent variable. The United States position as a major power status allowed them to exert enormous influence in Latin America, in political, economic and cultural terms. At the same time, geographic distance refers to the idea of the closeness of these two regions, the United States and Latin America. The U.S. considers Latin America to be. 治政大are constantly present when the important to bear in mind that these two variables 立 governments, both of Latin America and the ROC, decide on their foreign policies. an essential part to pay attention to as it greatly affects its national security. It is. ‧ 國. 學. Geographic distance also works the other way around, when Latin America deals with the government of the ROC, distance makes this relationship more difficult; making. ‧. the influence of the U.S. even more important for their relationship.. y. Nat. sit. The sections in which this thesis is divided are not casual. As I explained before I. al. er. io. divided this study into three different parts –not counting this introductory part. This. n. arrangement also matches the variables used to prove the hypotheses. This is, the first. Ch. i n U. v. part focuses on the dependent variable, while the second part focuses on the. engchi. independent variables. I believe this structure help us to understand why I chose these variables and how can they be applied to the different theories that I am using to prove my hypothesis. The third part, the case study, uses the previous two parts of the study to understand how the variables function in a real case.. 1.2.3. Data Most of the data collected for this research comes from books and academic journals as I used many theories that could help explain the dynamics occurred over the Cold War (Structural Realism, Balance of Power and Balance of Threat, Recognition in International Law). The last two parts of this thesis however, also use newspapers from the Cold War period, retrieved from the different regions involved in this 10.

(20) analysis. This helped to find important events that might be missing in journals or books, and that could specifically explain how the US influenced Taiwan’s alliances, or the changes in Taiwan international status over the years. Looking at the sources retrieved from those years also help to understand better the evolution of the policies taken both in the US and Latin America. Lastly, for a more comprehensive analysis I used the case of Panama to really grasp the processes that were taking place between the US and Central America during the Cold War. The reason to choose Panama is not only because it was the U.S. most important ally during, and before, the Cold War in the region and probably the most important ally of Taiwan nowadays, but also because Panama is one of the cases that has supposedly tried to changed its recognition to Beijing, despite the strong ties that. 治政大 taken back in the days of the interesting to see how ideology marked the decisions 立 Cold War because of the fight against communism, and how this influenced Taiwan’s connects them to the U.S. and therefore to Taiwan. Even if it weren’t the case, it is. ‧ 國. 學. international status and Taiwan-Central America relationship. Thus, I believe this particular case is the best to illustrate the changes in the dynamics of the PRC-ROC-. ‧. U.S. relations and presence in Latin America.. y. Nat. sit. 1.3. Theoretical Framework. al. er. io. Considering the variables previously explained I used some theories that I believe. n. helped in the explanation of these variables.. Ch. hi. en. i n U. v. g c of Recognition 1.3.1. International Law and the Theory These theories are mostly used in the first part of the thesis. Nonetheless, both parts of the study collided in some points, so the theories from the first part are present in the second part, and vice versa. Diplomatic recognition is a recurrent topic in International Law. There are two theories for recognition and state creation: the Declaratory Theory and the Constitutive Theory. Both are similar when giving the requirements for an entity to become a State in International Law, however the Constitutive Theory has an additional requirement: the entity has to be recognized by other states. With the growing importance of the membership to the United Nations, recognition by other states would become an essential part of the whole process. Thus, I gave more 11.

(21) importance to this second theory when explaining how recognition works and how it affects Taiwan status. However, Taiwan is a special case that requires other explanations to its actual situation. International law is useful nonetheless to see how this case differs from the general theory and how this has happened.. 1.3.2. Realism and Balance of Power The second section of this thesis relies heavily in realism, using balance of power and other realist theories to explain the dynamics of the relationship between the main actors. Realism was predominant after the World War II, with the beginning of the Cold War. Realist thinking coincided with American foreign policy in practice, thus, giving. 政治大 theory assumes that there is international anarchy –the absence of a central authority立 and that states are self-interested entities, which makes cooperation unlikely while. realist a hegemonic position within the discipline of international relations. This. ‧ 國. 學. making the states more inclined to go to war. In this kind of system the most important aspect is State power, because only through power can States defend. ‧. themselves. The Cold War represents a world in which realism fits because it shows how the two major powers kept using representations of power –for realism power. y. Nat. sit. can come in different ways, militarily, economically, diplomatically- to gain respect. al. er. io. in the international system as the only major power. The predominant approach for. n. the analysis of competition between major powers has been “neorealism”. Neorealists. Ch. i n U. v. understand the Cold War everywhere, and certainly in both Americas, as a function of. engchi. U.S. - Soviet competition (Domínguez, 1999). On the other hand, Waltz (1979: 117) insists that if there is any ‘distinctively political theory of international politics, balance of power is it’. During the Cold War, the US and the Soviet Union were the only ones capable of exerting their influence all around the world as an attempt to “balance” the other (Domínguez, 1999). Thus, I will explain the changes in the U.S. policy from the perspective of these ideas. With these theories I also explained the economic aspects, as well as their obsession for the use of democracy, or any ideology, as a way to differentiate themselves from the other power. Indeed, this ideological battle heavily affected every decision taken by the U.S. in their policy in Central America and the ROC.. 12.

(22) 2. Literature Review 2.1. Recognition, Statehood and Sovereignty. There have been many discussions about the meaning of sovereignty and statehood. How does the international system decide if an entity has the requirements to be a State or not? What are the rules governing the process of recognition? Are they fixed or is it just a political act based on vested interest? To understand how Taiwan reached its actual status in the international arena, we have to understand what does it mean to have statehood, sovereignty, and why it is important to be recognized as a State by the international community. States are still the most important members of. 政治大. the international community despite the raise of non-state actors, and thus, statehood is crucial for the entities trying to be part of this community. Taiwan has been trying. 立. to enhance its status for years. Its situation has become so complex that it has created. ‧ 國. 學. a new set of rules of unofficial diplomacy to fit its needs and to be able to take part on the world affairs. It has been a long process, one that requires a deep understanding of. ‧. the forces in play.. At the beginning of the twentieth century there were around fifty recognized States.. sit. y. Nat. With the end of World War II there were about seventy-five. The appearance of so many new States represents one of the major political developments of the twentieth. io. n. al. er. century. It has changed the attributes of international law and its practice.. i n U. v. To understand how recognition works, we need to see where all these concepts of. Ch. engchi. statehood come from, how they have changed after World War II and whether or not they are important in the contemporary world. First, I explain what sovereignty means, how states are created. Then an explanation of how recognition works and what are the norms directing this practice follows. And finally, I applied all these ideas to the case of Taiwan, assessing its importance.. 2.1.1. Recognition During the seventeenth century the law of nations was equivalent to the law of nature, which was applied universally. International lawyers did not have a proper conception of statehood and were using the terms “state” or “nation” (Eckert, 2002). Recognition had no separated place in the law of nations either. Its position toward the end of the 13.

(23) eighteenth century can be seen in Alexandrowicz’s words: “In the absence of any precise and formulated theory, recognition had not found a separate place in works of the classic writers whether of the naturalist or early positivist period…” (Alexandrowicz, 1958). Recognition wouldn’t start to attract attention until the middle of the eighteenth century, in the context of the recognition of monarchs, that is, the recognition of governments. When legal positivism 2 started to be used, it displaced natural law, the question of statehood became more important and independence also started to be an essential part of statehood. The idea of statehood and independence was introduced by Emmerich de Vattel in his book Nations of Sovereign States, where he declared that “Every Nation which governs itself, under whatever form, and which does not depend. 治政 position in this great society, it need only be truly 大 sovereign and independent: it must 立 govern itself by its own authority and its own laws” (Vattel, 1758). Thus, recognition on any other Nation, is a ‘sovereign State’… To give a nation the right to a definite. ‧ 國. 學. became an important concept for every entity that wanted to be part of the International Community.. ‧. Some dilemmas arose along the way in the construction of the recognition theory and its application to real cases. According to positivist theory, the obligation to comply. y. Nat. sit. with international law came from the consent of individual States. It seemed that the. al. er. io. positivist premises required consent for the creation of the State or for it to be. n. subjected to international law as long as other States were involved (Crawford, 2007).. Ch. i n U. v. This means that consent by individual states was essential if a new state was looking. engchi. to be recognized. The problem with this notion is that it has created some tension between the idea that recognition is to some extent a legal act in the international arena, and the assumption of political leaders that they have the right, or they should have, to recognize or not to recognize a state on grounds of their own preferences. It also means that the rights of the territories and their people, their international status, depend on arbitrary decisions and political eventualities. As we have seen over the years, this doesn’t seem to be wrong when we look at specific cases like Taiwan. 2. Legal positivism is the thesis that the existence and content of law depends on social facts and not on its merits. (…) The fact that a policy would be just, wise, efficient, or prudent is never sufficient reason for thinking that it is actually the law, and the fact that it is unjust, unwise, inefficient or imprudent is never sufficient reason for doubting it. Positivism is the view that law is a social construction. Its first full elaboration is due to Jeremy Bentham (1748 – 1832). Stanford Encyclopedia of Philosophy.. 14.

(24) Taiwan fulfilled the requirements that the theory of recognition has, and however is not recognized internationally. The basic ideas of recognition are explained by two famous and recognized theories on recognition and state creation: the Declaratory theory and the Constitutive theory. Both placed great importance on the satisfaction of four criteria. The Declaratory theory, used mostly among international lawyers, states that upon the satisfaction of these criteria an entity becomes a state. The Constitutive theory however, imposes an additional requirement that seems to fit better Taiwan’s situation: the recognition by other States. But to understand this theory we need to first go over the Declaratory theory conditions for statehood.. 政治大 Based on the ideas expressed on the Montevideo Convention , a text considered the 立 root of the idea of recognition in international law, a “state as a person of international 2.1.1.1.. Declaratory theory. 3. ‧ 國. 學. law should possess the following qualifications: a) permanent population; b) a defined territory; c) government; and d) capacity to enter into relations with the other states.”. ‧. (Convention on the Rights and Duties of States, 1933, art. 1). We can see how Taiwan perfectly fulfils these criteria. The last two criteria, which. y. Nat. sit. could possible pose some trouble for Taiwan, are equally fulfilled. According to the. al. er. io. theory, a state doesn’t need to possess a specific type of government, but its. n. government must provide certain degree of stability and should enjoy the obedience. Ch. i n U. v. of the majority of the population. And concerning the capacity to enter into relations. engchi. with other states, it refers to the constitutional competence to do so, this means not only having the mechanism for entering into international relations, but having them not controlled by another state.. 2.1.1.2.. Constitutive theory. As mentioned before, the constitutive theory has the same four criteria named in the Montevideo Convention for the creation of a state. However, what makes this theory different is that it has the additional requirement of a state being recognized by 3. The Montevideo Convention on the Rights and Duties of States was a treaty signed during the Seventh International Conference of American States in Montevideo, Uruguay, on December 26, 1933. It was ratified on December 26, 1934. The treaty discusses the definition and rights of statehood in international law. The Convention codified the declarative theory of statehood which will be explained later in this paper.. 15.

(25) existing states for it to become a state itself. The constitutive theory breeds from legal positivism, which emphasizes the consensual nature of international law, the importance of consent by individual and existing states. By recognizing the role of the international community in the acceptance or rejection of any claim to statehood, seems to provide a more consistent picture of state creation, or at least one closer to the reality of the contemporary international sphere. The international community’s acceptance or rejection of statehood claim has become more and more important over the years, leaving statehood as a question of value rather than a question of fact. Surely, this theory has also received critiques. Thomas D. Grant is of the opinion that the Constitutive theory leaves to communities ‘that were already acknowledged members of the international system to determine whether a given community not yet. 治政 according to him, this theory was very convenient 大 for states which desired to acquire 立 lands occupied by societies unwilling to accept European dominance.. a member of the society of states would become a state.’ (Grant, 1998: 422). Thus,. ‧ 國. 學. Still, one of the most prominent proponents of the constitutive, Hersch Lauterpacht 4, expressed what Crawford believes is the most persuasive argument for this position in. ‧. this way:. n. al. er. io. sit. y. Nat. The full international personality of rising communities… cannot be automatic… As its ascertainment requires the prior determination of difficult circumstances of fact and law, there must be someone to perform that task. In the absence of a preferable solution, such as the setting up of an impartial international organ to perform that function, the latter must be fulfilled by States already existing. The valid objection is not against the fact of their discharging it, but against their carrying it out as a matter of arbitrary policy as distinguished from legal duty (Lauterpacht, 2006: 79). Ch. engchi. i n U. v. What he meant is that in every legal system one organ must be competent enough to determine with certainty the subjects of the aforementioned system, and in this case the States already existing in the system should be the ones to take on that responsibility. Linjun Wu gives us some other requisites for recognition. She states that traditionally, there were a certain criteria that would make an entity to be recognized by other states. That is: the conclusion of bilateral treaties or agreements, the issue of a consular. 4. Sir Hersch Lauterpach (1897-1960) was a member of the United Nations’ International Law Commission from 1952 to 1954 and a Judge of the International Court of Justice from 1955 to 1960.. 16.

(26) exequatur 5, the exchange of ambassadors, and the visit by a Cabinet Minister of the unrecognized regime (Wu, 1996). According to traditional law theory, the conclusion of a bilateral treaty was one of the strongest presumptions of recognition. This is because a bilateral treaty concedes the ability of both contenders to enter in a relationship, which in theory would put them in the same level, implying that a state would not enter into this kind of relationship with a non-recognized entity if it doesn’t have the intention to recognize it. The American Law Institute (ALI), under the heading Manifestation of Intention to recognize, concede that ‘The coming into effect of a bilateral international agreement between a state and an entity implies recognition of that entity as a state and recognition as its government of the regime that makes the agreement for it’ (Orakhelashvili, 2015: 203). However, in practice the concept of. 治政大holds. Many governments have World War II we can see that this idea no longer 立 entered in bilateral agreements or treaties with the ROC, and they certainly don’t aim. recognition under these criteria has lost much, if not all, its validity. Since the end of. ‧ 國. 學. to recognize the government any time soon.. In any case, the constitutive theory states that the creation of a new State depends on. ‧. the acceptance of present States. However, this presents some complications that can be applied to the case of Taiwan, such as what happens if some existing States. y. Nat. al. n. United Nations’ Membership. Ch. er. io. 2.1.1.3.. sit. recognize a new State but others don’t?. i n U. v. This issue has been partially resolved by United Nations admission practice. It could. engchi. be said now that membership to the UN constitutes the necessary evidence in the international system to prove the statehood of any given entity that wants to become a State. The membership practice in the UN was first coded on the Covenant of the League of Nations, a treaty that entered into force on 1920, and that share similar provisions with today’s UN Charter on membership. Article 1 (2) of the Covenant provided that: Any fully self-governing State, Dominion or Colony not named in the Annex may become a Member of the League if its admission is agreed to by twothirds of the Assembly, provided that it shall give effective guarantees of its sincere intention to observe its international obligations, and shall accept such regulations as 5. An exequatur is a patent which a head of state issues to a foreign consul, guaranteeing the consul’s rights and privileges of office and ensuring recognition in the state to which the consul is appointed to exercise such powers.. 17.

(27) may be prescribed by the League in regard to its military, naval and air forces and armaments. With the creation of the UN, the criteria for membership was covered in the Charter of the United Nations 6, where its article 4 provides: 1. Membership in the United Nations is open to all other peace-loving states which accept the obligations contained in the present Charter and, in the judgement of the Organization, are able and willing to carry out these obligations. 2. The admission of any such state to membership in the United Nations will be effected by a decision of the General Assembly upon the recommendation of the Security Council. Thus, there are five conditions for membership: (1) to be a State; (2) to be peace-. 政治大. loving; (3) to accept the obligations of the Charter; (4) to be able to carry out these obligations; and (5) to be willing to do so.. 立. Sometimes membership to the UN has become controversial, and as it has been. ‧ 國. 學. pointed out earlier in this paper, political considerations are often more important when considering the admission of a new state. According to Crawford, disputes. ‧. about status or membership were treated in a low-profile basis because UN organs have tended to wait until bilateral issues were resolved (Crawford, 2007). It will be. Nat. sit. y. seen later how decisive has been, and still is, to be a member of the UN for statehood. io. er. and recognition, and how important political and ideological dynamics have been, especially during the Cold War.. n. al. Ch. i n U. v. In the past, a State would be recognized when it fulfilled the four criteria. However,. engchi. since recognition has acquired an important political side, in practice a State used these theories halfway and political approval by the rest of the States became important. In fact, the Constitutive theory fails to explain why certain entities that count with all the criteria and that have received numerous recognitions are not considered States. In any case, regardless of whether or not recognition is a legal or a political act, the act of recognition itself is a reflection of state sovereignty. In the next section I attempted to explain what sovereignty really means nowadays. We will see how understanding this concept can guide us in the understanding of Taiwan’s international status. 6. The Charter of the United Nations is the foundational treaty of the United Nations. It was signed at the San Francisco War Memorial and Performing Arts Center in San Francisco, United States, on 26 June 1945, by 50 of the 51 original member countries (Poland signed it two months later). 18.

(28) 2.1.2. Sovereignty. Sovereignty, same as it happens with independence, does not appear in the Montevideo Convention as a formal requirement for statehood. However, it has become an essential part of the discussion about statehood. We could describe sovereign states as autonomous actors. They have the right and the ability to enter into contractual relationships, and even if these contracts may lessen their freedom of action, they are an expression of the sovereignty of the state. For international law, individual states are the basic pieces of the international system. These states are sovereign because they have a juridical independence and can freely enter into treaties to promote their interests. Political leaders can rewrite rules if they decide to. This kind of situation can happen voluntarily, either unilaterally or through agreements. 政治大. with other states, or using coercion as a way to achieve their goal. Heller and Sofaer. 立. express it this way:. ‧. ‧ 國. 學. The concept of sovereignty is not a set of established rules, to which states must bend their conduct in order to preserve their capacities. It is instead an ever-changing description of the essential authorities of states, intended to serve rather than control them in a world that states dominate. Hence, virtually anything that states choose to do to enhance their capacity to deal with the complicated problems of a changing world is seen by those engaged in the practice of statecraft as perfectly normal – an exercise rather than a diminution of sovereignty. If states lacked the power to commit themselves in advance to specific policies, or to delegate authority to international institutions or private entities to implement such policies, they would be weaker –not stronger- entities than the sovereign states of today’s complex world. (Heller and Sofaer, 2001: 45). n. er. io. sit. y. Nat. al. Ch. engchi. i n U. v. In any case, absent of coercion or voluntary actions, the rules of sovereignty are widely recognized and, therefore, they are considered the default rules to follow in any given situation. For most observers, the default sovereignty has been described as a series of attributes linked to one another. These attributes include a territory, a population, an effective domestic hierarchy of control, de jure. 7. constitutional. independence, the de facto absence of external authority, international recognition, and the ability to regulate transborder flows. 7. The de-facto recognition is extended where a government has not acquired sufficient stability. It is provisional (temporary or conditional). It is not legal, however, it is recognition in principle. The dejure recognition is the legal recognition. It means that the government recognized formally fulfils the requirement laid down by International law. De-jure recognition is complete and full and normal relations can be maintained.. 19.

(29) Stephen Krasner’s definition of sovereignty has become very common among many authors. In his definition he first explains that a government enjoys internal legal sovereignty if it is widely recognized by other states and routinely participates in treaties and multinational conventions. Membership to the UN, as explained before, would be suitable evidence in this regard. A government possessing domestic sovereignty is also one that effectively controls events within its own borders. Thus, crime, population protests or radical political groups should not rise to the level where it can put at risk the established order. International capital flows, information exchanges, and other forms of “interdependence” have to be controlled or regulated to prevent them from threatening the state’s viability. And finally, a government is sovereign in a Westphalian sense if its institutions are “autonomous” and not subject. 治政大 us the most is his division of But the part about Krasner’s definition that interests 立 sovereignty into four aspects, four different ways in which sovereignty can be to significant interference from outside powers. (Madsen 2001: 142). ‧ 國. 學. understood. This division is also very useful for the case at hand as it allows us to see what Taiwan is lacking to be accepted as a State in the international community. Thus,. ‧. we have interdependence sovereignty, domestic sovereignty, international legal sovereignty, and Westphalian sovereignty. As Krasner describes it,. sit. y. Nat. n. al. er. io. ‘interdependence sovereignty refers to the ability of a government to regulate the movement of goods, capital, people, and ideas across its borders. Domestic sovereignty refers both to the structure of authority within a state and to the state’s effectiveness or control. Internal legal sovereignty refers to whether a state is recognized by other states, the basic rule being that only juridically independent territorial entities are accorded recognition. Westphalian sovereignty, which actually has almost nothing to do with the Peace of Westphalia 8 , refers to the autonomy of domestic authority structures –that is, the absence of authoritative external influences.’ (2001: 2). Ch. engchi. i n U. v. The one that is more important for us is international legal sovereignty, as it involves the status of a political entity in the international system. Recognition of this type of sovereignty means that a state can enter into agreements with other entities, that has embassies and consulates with extraterritorial status, its diplomats are entitled to immunity. Almost all leaders have looked for this type of sovereignty because it gives 8. Most of the specific terms of the Peace of Westphalia have nothing to do with the modern state system and many of which actually violated Westphalian sovereignty. These is farther explained by Krasner in “Westphalia and All That” (1993). In Judith Goldstein and Robert O. Keohane, eds., Ideas and Foreign Policy. Ithaca: Cornell University Press.. 20.

(30) them both material and normative resources. It facilitates the signing of treaties, contracts, agreements; it also made alliances possible, enhancing security; membership to institutions like the World Trade Organization can improve the access of the state to the markets, and membership to the World Bank can provide financial resources. Clearly the Republic of China, since democratization at least, has met all the requirements stated above, both in the case of recognition theory, and in the case of the concept of sovereignty. However, international recognition is seldom based solely on international sovereignty, especially when other states are also claiming a territory (Rich, 2009: 162). Recognition has been used as a political tool for years; in fact, it has been revoked from governments that met widely recognized criteria, but granted. 治政大as the basic principle I quote at The rules which international law is based upon are, 立 the beginning of this chapter states, pactasuntservanda. Agreements must be kept, and to those with barely or even no control over the territory they claimed to rule.. ‧ 國. 學. disregarding the well-established and widely accepted norms only damages the international system. The constant violation of these basic laws, particularly by. ‧. nations that are looked up to for leadership in the international community, causes appalling harm to the entire system. There is a long list of controversial acts by the. y. Nat. sit. U.S. during the Cold War, such as uses of force –the prohibition of the use of force is. al. er. io. a first order norm 9. This behaviour caused harm not only to the authority of the norm. n. but to the institution that it supposed to implement those norms. The entire UN system. Ch. i n U. v. is built upon the prohibition of the use of force, as the basis for maintaining. engchi. international peace and security. One example of the United States violation of the international norms can be seen in the case of Nicaragua in 1986. 10 This kind of 9. Establish with the U.N. system after World War II, it prohibits any and all use of force against other states (Art. 2(4) of the U.N. Charter), except for the purpose of individual or collective self-defense (Art. 51), or as authorized by the U.N. Security Council for the purposes of restoring or maintaining collective security (Art. 39-42) 10 On 9 April 1984, Nicaragua filed an Application instituting proceedings against the United States of America concerning a dispute relating to responsibility for military and paramilitary activities in and against Nicaragua. On 18 January 1985, the United States announced that it intended not to participate in this case. In its Judgment of 27 June 1986, the Court rejected the justification of collective self-defense advanced by the United States and stated that it had violated the obligations imposed by customary international law not to intervene in the affairs of another State. The Court also found that the United States had violated certain obligations arising from a bilateral Treaty of Friendship, Commerce and Navigation of 1956. In March 1988, the United States maintained its refusal to take part of this case. In September 1991, Nicaragua informed the Court that it did not wish to continue the proceedings. (In Case concerning military and paramilitary activities in and against Nicaragua, 1986 I.C.J. 14, General List No. 70). 21.

(31) actions weaken the system, which in turn affects less powerful countries, like the ROC, whom after de-recognition looked for alternative ways to stay in the system. The question is whether or not the ‘unofficial’ diplomacy can last in the long term or not. The ROC has to rely now on the pragmatic approach to diplomacy to develop its international relations. However, as we will see in the next chapter, it seems that a further development of this “informal” or “pragmatic” diplomacy could mean that the most the ROC can aspire to is to maintain the status quo.. 2.2. International Status of Taiwan The traditional views on statehood, as we have seen, focus almost exclusively on political or ideological reasons, ignoring more reasonable criteria stated in all the. 政治大 approach to diplomacy also has had many authors and experts on statehood perplexed, 立 because it has managed to create a new state of affairs by circumventing the. different theories concerning statehood, sovereignty or recognition. But Taiwan’s. ‧ 國. 學. traditional conception on recognition. Robert A. Madsen argues that formal legal sovereignty is not essential for a state to survive in the international system. To assure. ‧. its interests, a government just have to maintain constant and dependable communications with the rest of the international actors. Of course, sovereignty grants. y. Nat. sit. a state the ability to perform formal diplomacy, which is helpful because a sovereign. er. io. state won’t have the need to spend time and resources creating unique institutions that. al. v i n can still accomplish most C of its objectives. Taiwan’s case illustrates the perfect hengchi U example as how to function in the international system as a “pariah state”. This kind n. would allow them to get around the established norms. However, an isolated entity. of state can ‘design its domestic policies to engender goodwill abroad and, upon this foundation, construct an informal diplomatic structure that suffices to protect its most vital foreign interests.’ (Madsen, 2001: 1) The actual situation between the PRC and the ROC provides a unique case where the rationale for granting recognition has evolved over time. Once based to a large extent on Cold War ideological rationales, the situation has evolved into a debate in which recognizing states have few ideological imperatives. Taiwan has become an entity that has many of the attributes of fully sovereign states –territory, population, and. 22.

(32) domestic and Westphalian sovereignty. 11. - but very limited international legal. sovereignty. Moreover, the government of the ROC has not formally declared themselves as a state, this is, they have not formally made any claim to juridical autonomy (Madsen, 2001: 17). This is supposedly because for the ROC government there is no need for this, as they were and are a state to begin with. The nature of ROC’s informal diplomacy is actually not different from diplomacy of any other sovereign state. Taipei has kept in regular and close touch with other states, has resolved differences and cooperated to achieve mutual goals. How did we get here in the first place? Economic success, social progress and political reforms have given the ROC the necessary diplomatic tools with which to handle informal foreign policy. The support of the U.S. during and after the Cold War has proven to be an important,. 治政 been for the better. U.S. support has indeed help to大 build the ROC’s relations with the 立 international community, and more importantly, it has helped to build its alliances. if not the most important, component of their actual status. This doesn’t mean it has. ‧ 國. 學. But it has also cemented the status quo in which the ROC finds itself immersed. A status from which escaping might be arduous, if not impossible. Taipei continued to. ‧. exercise informal diplomacy in order to obtain international acknowledgement and recognition of its statehood. However, the inability to solve the sovereignty issue, the. y. Nat. sit. tremendous economic cost and inconvenience that has entailed, mean that the. al. er. io. informal diplomacy has its limitations (Wu, 1996). n. In any manner, after World War II the most used rationales for withholding. Ch. i n U. v. recognition were ideological. Throughout the Cold War, opposing sides routinely. engchi. withheld recognition. Today, purely ideological rationales have fallen out of favour. But regardless of the stated rationale, the underlying goal of withholding recognition has been to coerce states to act in a manner favourable to another state (Rich, 2009). 2.2.1. Background After 1949, anti-communist policies were strengthen, especially with the start of the Korean War, which renewed the support of the U.S. for the ROC, allowing the nationalist government to maintain and gain some diplomatic representation post1949. In the 1960s the only Latin American country that recognized the PRC was 11. The basic rule of Westphalian sovereignty is that external authority structures should be excluded from the territory of a state. Moreover, the government of a Westphalian sovereign can determine the character of its own domestic sovereignty, its own authoritative institutions.. 23.

(33) Cuba. Even when the international support for the PRC started to increase, supporting their entry in the UN, the ROC didn’t change their “one China” policy. Is it important to bear in mind that during the first years after the retreat of the ROC to the island of Formosa, both the PRC and the ROC were looking towards the same goal: who of the two states would be recognized by the international community as the sovereign government of China. Therefore, at the beginning the ROC wanted to go back to the mainland to rule all of what they consider China. It is important indeed, because this may very well be one of the most important reasons as to why the ROC is not a state today. The explanation to this can also be found in sovereignty itself, but instead of looking at it from the external point of view; we are talking about domestic sovereignty. The government of the Kuomintang based its legitimacy in the fact that. 治政大 statehood and recognition. For legitimacy during the 1950s may have cost them their 立 authors like Deon Geldenhuys, the ROC had a strong opportunity during the midthey were the real leaders of the one China This preoccupation with their domestic. ‧ 國. 學. 1950s to proclaim itself as the sovereign government of Taiwan. During that time, the PRC was trying to build a constructive relationship with the U.S., so it could have. ‧. diminished its claims to the island. This is, if the KMT had renounce to the claim of mainland China back then, they could have rule only Taiwan, and non-communist. y. Nat. sit. states may have agreed to the arrangement (Geldenhuys, 2009). But at that time, the. al. er. io. ROC did not have any motivation to let the PRC rule over the mainland. In 1945 the. n. ROC was in fact a founder member of the UN and a permanent member of the. Ch. i n U. v. Security Council, the very organization that later on would be the ultimate judge when. engchi. deciding whether or not an entity should be called a state. Its successful diplomatic campaign climaxed in 1970 when a total of 68 states had diplomatic missions in Taipei. However, its position in the world’s most important multilateral institution was coming under pressure. The PRC started to demand their entrance in the UN, both in the General Assembly and the Security Council, and they wanted to do so as the legitimate and only government of all China. At the General Assembly’s session in 1950 the proposal to admit the PRC to membership was easily overthrown by a vote of 33 against 16 votes in favour, ten abstentions and one absence. After 1954, this question would be present annually on the Assembly agenda 12 . The principal opponent of these motions, and principal 12. The complete count of votes can be found in Appendix II.. 24.