Professional Documents
Culture Documents
DAK Skript Studenten 2017 PDF
DAK Skript Studenten 2017 PDF
UNIT I
Characteristics of Multilateral Negotiations & Main Actors
Multilateralism has different impacts and implications for small and for large
states:
If they choose to ignore the possibilities opened by various values, roles and parties,
others will make use of them, thereby forcing the other parties to play at the three
levels in response. The immense complexity of having to deal with many parties,
issues and roles is the price to pay for an agreement.
(6) Coalitions
Multilateral negotiations are characterized by coalitions. Through the formation of
coalitions the process of negotiations becomes manageable and less complicated.
The goal of negotiations is to arrive at decisions on issues. It is therefore necessary
to reduce their complexity and make the issues as well as the number of parties
manageable. Packaging, linkages and trade-offs the basic devices of the
negotiation process are all ways of building coalitions among issues, interests and
positions.
To successfully cooperate is more difficult when the number of involved actors and
states are large because with the growing number of participants it also becomes
more difficult to identify the shared interests. The consequence is minilateralism
which is experienced in most multilateral settings the cooperation in a smaller
group usually involving the most interested or most powerful actors in a
multilateral endeavor (P-5 in UNSC, Weighted votes in IFIs). Minilateralism is
necessary to make multilateral institutions and negotiations work.
2
The more parties negotiate the more issues come up matters tend to become
complicated as many different interests need to be accommodated. Reshaping
positions and rendering them compatible is difficult and time consuming:
Simplify the issues: Limit the scope of negotiations, narrow the agenda, take an
incremental approach by dividing the subject matter and dealing with the problems
sequentially.
Limit the negotiating forum: Create an ad-hoc forum to avoid wide membership of
an IO, include only governments which are relevant to the subject matter and capable
of implementing a solution (e.g. Contact-group on Yugoslavia in the 90s US, UK,
France, Germany, Russia; Middle East Quartet US, Russia, EU, UN; P5+1 in
Iranian talks, High Ambition Coalition at COP 21). The legitimacy of a decision can
be called into question when the negotiating forum is limited.
3
Regional group system & specialised groups
I/4 Main actors of multilateral diplomacy
Functions of groups
To exchange information and enhance negotiating power;
To develop common positions;
UN regional groups have mainly electoral purposes: To agree on
candidates to be put forward by the group or on a common vote for
candidates from outside the group.
The member States of the UN are unofficially divided into five geopolitical regional
groups, mainly based on geographic criteria (except WEOG). Original purpose for the
formation of these groups was to establish an informal mechanism for sharing and
coordinating the distribution of posts in the UN General Assembly (Election of UNGA-
President, Chairs of the six committees).
Regional groups have taken on a more expansive role and coordinate on elections in
all UN fora (equitable geographical representation and some of the groups also
coordinate on substantive positions and policies African group and GRULAC).
4
WEOG: Only coordinates for electoral purposes no discussion of substantive
positions; (there are however exceptions to this rule 2007 to 2009 WEOG
substantive discussions on number of ITLOS-judges)
US: Not a member of any group and attends meetings of WEOG as observer. Only
for electoral purposes is the US considered a WEOG-member;
Kiribati: Pacific nation of Kiribati is the only UN Member State not being a member of
any regional group. Despite being a MS no permanent representative in NY;
Turkey: Participates fully in both WEOG and Asian group, but for electoral purposes
is considered a WEOG-member.
Specialised Groups
Specialised Groups: Establishment in view of similar interests/positions in
negotiations; Mostly informal alliances no formal structures or coordinating
mechanisms. These groups also constitute Negotiating blocs - Regional, sub-
regional and cross-regional groupings
Group of G-77 and China: Established in 1964 at the first session of UNCTAD the
G-77 seeks to harmonize the positions of developing countries, articulate their
common economic interests and promoted its negotiating capacity. Although
China is not officially a member of the G-77, it almost always supports its positions.
Largest organisation of developing countries in UN fora.
G-77 seeks to provide the means of developing countries to articulate and promote
their collective economic interests and enhance their joint negotiating capacity on all
major international economic issues within the UN-system and promotes S-S
cooperation for development.
Statements made on behalf of the G-77 are given precedence in the speakers list
over statements made by the African group, GRULAC and other groups whose
members are also members of the G-77. Already in the 80s the G-77 comprised
more than 120 members now membership stands at 133.
5
The country holding the Chair of the G-77 in New York (which rotates every year
2016: Thailand) usually speaks for the G-77 and China. Because the group is so
large, diverse and often with differing interests, individual developing countries also
intervene in debates as do subgroups within the G-77 (African UN regional group
coordination on substantive issues the Alliance of Small Island States (AOSIS) and
the LDCs ).
Further examples for regional and sub-regional groups that aim to consult on issues
of common interest (thereby forming negotiating blocs) and to forward their positions
in a multilateral context:
AOSIS/SIDS: Acronyms stand for Alliance of small islands states and Small
island developing states. The group was formed to address members common
interests in climate change negotiations but functions also in other UN-contexts. It
has a membership of 44 States and observers drawn from all oceans and regions of
the world - most are members of the G-77.
The Alliance of Small Island States (AOSIS) are States which are particularly
vulnerable to sea-level rise. AOSIS countries are united by the threat that climate
change poses to their survival and frequently adopt a common stance in climate
negotiations. They were the first to propose a draft text during the Kyoto Protocol
negotiations calling for cuts in carbon dioxide emissions of 20% from 1990 levels by
2005.
Environmental Integrity Group: A smaller group that consists of the core countries
Liechtenstein, Mexico, Monaco, South Korea and Switzerland. It was formed in 2000
during the climate change negotiations (UNFCCC) in order to uphold environmental
integrity while recognizing the need for flexibility in the negotiating process.
6
Umbrella Group: The Umbrella Group is a loose coalition of non-EU developed
countries which formed following the adoption of the Kyoto Protocol. Although there
is no formal list, the Group is usually made up of Australia, Canada, Japan, New
Zealand, Norway, the Russian Federation, Ukraine and the US.
The coalition is bringing together developed and developing countries from Latin
America, Africa and the Asia-Pacific region and has been an influential voice in the
agricultural reform debate since its formation. Pronounced positions in areas like
unrestricted market access for agricultural products, abolition of subsidies by
governments for agricultural products.
The legal basis for this consultative status is Article 71 UN Charter: The ECOSOC
may make suitable arrangements for consultation with non-governmental
organisations which are concerned with matters within its competence.
8
The consultative status of ECOSOC granted to an NGO does not automatically
grant similar rights in the General Assembly or other principal organs of the UN.
The scientific and academic community has - particularly in the environmental field -
and in the context of the negotiations of multilateral environmental agreements
(MEAs) a pronounced and very useful role (see also under phases of negotiations
particular important role in the pre-negotiation phase).
UNIT II
The conference machinery and decision making
The importance of a chairmens role and his impact on a meeting are governed
by the following factors:
The experience and intelligence of the chair including his grasp of the
ROP;
The degree to which delegates are a homogenous group vis-a-vis the
subject before the meeting or are antagonist whether politically or in
substance;
9
Whether the chair can operate a team with the secretariat, the vice-chair and
the rapporteur and the chairs of the various subcommittees/working groups;
It is useful to distinguish between functions of a chairman that follow from the ROP
and those of a more substantive nature (mostly related to assistance in solving
conflicts between delegations) not usually provided for in the ROP.
Procedural functions: ROP of GA have come to serve as a model for other UN-
organs and for most specialised agencies. This has introduced an amount of
uniformity and procedural stability that facilitates the task of the presiding officer.
Substantive functions: Procedural functions will normally take up most of the time
of a president but substantive functions can become important and they determine
whether a Chairperson is successful or not.
Composition:
Chairperson + Vice-Chairpersons;
Chairs of subcommittees or working groups;
Rapporteur
Secretariat
Representatives of states (composed of at least one representative of each
UN regional group)
Rules of procedure provide for the election of the Bureaus officers by the
governing body (e.g. COP) and specify officers of the Bureau and the number and
duration of terms. In practice informal discussions are held prior to the conference
between the regional groups to decide who will serve on the Bureau. The mandate of
a Bureau covers the conference as well as the intersessional period until the
beginning of the next conference and the election of a new Bureau.
Functions:
At a conference: Daily meetings of the Bureau (or more often) during a
conference to assess and discuss how the meeting is proceeding and how to
organize the remainder of the meeting (timing matters related to certain questions
under negotiation). For the chairperson it is also important to get feed-back on
developments from the various regional groups. Individual delegations can give input
to the bureau via the Bureau-member of their regional group. Bureau members
regularly report back to their constituencies/regional groups. Meetings of the Bureau
are usually closed only Bureau members may attend, no observers.
11
Tasks:
Provide logistical support for meetings and conferences (giving notice of dates
and venues, preparing agendas and reports, circulation of these among the
Parties and delegations, arranging translation of documents into official
languages);
Arrange interpretation at meetings, publication and distribution of official
documents;
Report to delegations at beginning of a meeting on intersessional activities;
Coordinate upon request with other relevant international bodies;
Manage information required from delegations and dissemination of
information among Parties;
Established by the Chairperson upon his or her own initiative or at the request by
one or more Parties/delegations. After informal consultations Chairperson will
propose a Chair or Co-Chairs for the Working Group. Diligent Chairperson will take
care to have equitable geographical representation and to invite delegations with
strong views on the issue to be discussed. Mandated to solve a particular problem or
issue and given a time to report back to Chairperson on progress.
Sub-groups are established to deal with particular issues that are difficult to
resolve or in which only a small number of delegations has a particular interest
and that could slow down overall progress.
Drafting Groups
They are established by the Chairperson to develop specific language or text on
specific issues. Participation can be open-ended for bigger groups or restricted by
the Chairperson to a few trusted delegates. Usually Drafting Groups meet in closed
sessions.
12
In treaty negotiations usually an open-ended Legal Drafting Group or LDG
consisting of legal experts is established. The main function of an LDG is to translate
the decisions of the negotiators and the political compromises agreed upon into
concrete legal language.
LDGs also examine legal questions in general or review in detail the wording of
each article (legal srubbing) before these are adopted by the plenary. LDGs are
usually also tasked to elaborate rules of procedure or
implementation/compliance mechanisms.
Definition: Rules of procedure of a conference are all the rules and practices which
determine the status of each of the participants in an international conference and
the conduct of the discussions until the conference adopts its final decision.
Two basic functions of ROPs according to a previous UNSG: The ROP are
intended to protect the rights of individual members. They are equally intended to
permit an orderly conduct of business.
Practically all intergovernmental meetings operate under ROPs, even though in some
cases they are hardly referred to. ROPs and their interpretation follow a remarkably
consistent pattern. Meetings and conferences of different organisations tend to reach
similar conclusions on procedural issues. Procedural decisions are usually the
reflection of the political reality of a conference. States nevertheless tend to follow
precedents in procedural matters as such precedents carry particular weight if they
are accompanied by a reasoned decision of an experienced presiding officer, an
opinion of a legal adviser, or form part of a consistent procedural behaviour.
For ad hoc conferences provisional ROPs are circulated in advance, usually drafted
by the organ which is responsible for the convening of the conference or submitted
by the secretariat at the beginning. In both cases the ROPs have to get the final
approval by the conference.
13
Most ROPs cover the following topics (hand out)
Delegations and States frequently choose to contest an issue through the use of
procedural motions rather than contesting the substance of an issue. Often in
such a case there is the estimation by a delegation that it will be easier to find
support for its position on a neutral procedural issue rather than on the
substance. The involved delegations know the substantive issue behind a
procedural debate but nevertheless prefer to leave the substance in the background.
Delegations may also have more flexibility in their instructions on procedural issues
than on substantive issues. Procedural issues in most ROPs are taken by a simple
majority, while in treaty-making conferences issues of substance are usually
decided by a two-thirds majority. For this reason as well, delegations may at times
choose to contest an issue on procedural grounds, rather than as a substantive
issue.
Decision making requirements and voting rules (for the cases in which there is no
consensus) are usually either in the treaty itself or in the rules of procedure. Most
rules provide that Parties shall make every effort to reach consensus. If this fails
decisions may be adopted by a qualified (often 2/3) majority. Alternatively: voting by
qualified majority for procedural questions and unanimity/consensus for
substantive/budgetary questions.
Consensus as defined by Article 161 para. 8 lit e UNCLOS is the absence of any
formal objection.
14
According to the Dispute Settlement Understanding of the WTO the Dispute
Settlement Body (DSB) shall be deemed to have decided by consensus on a matter
submitted for its consideration, if no Member, present at the meeting of the DSB
when the decision is taken, formally objects to the proposed decision.
Voting: Votes at the final stages of negotiations are increasingly rare but this is not to
say that they never happen: Prominent recent exception is the adoption by vote of
the Rome Statute of the ICC in 1998. Another example is the procedural vote 2003 in
the Sixth Committee on a proposal to negotiate a convention to prohibit all forms of
human cloning (80 to 79, with 15 abstentions).
Recent developments where the exact meaning of consensus is not always clear:
Bolivia listed a number of substantive concerns and argued that lack of consensus
prevented the proposed decisions from being adopted. Mexican Chair insisted and
15
gave an interesting new meaning to the concept of consensus: Consensus
requires that everyone is given the right to be heard and have their views given
due consideration and Bolivia has been given this opportunity. Consensus does not
mean that one country has the right of veto, and can prevent 193 others from moving
forward after years of negotiations on something that our societies and future
generations expect. Integrity of the process mattered. Vast majority seemed
convinced that this was the right approach.
The French Presidency learned from Copenhagen that Heads of State and
Government provide political guidance and should not negotiate text. On the
margins of the meetings organized by the French Presidency, a group of
approximately 15 like-minded ministers from different regions and groups was
brought together by the Marshall Islands. These informal meetings formed the
basis of what became known as the High-Ambition Coalition. This loose
alliance, eventually representing up to 100 countries, rallied around a list of
ambitious asks, such as a clear long-term goal and five-year review cycles, creating
a show of solidarity that some said effectively marginalized those not in the group.
Many noted that these ambitious asks eventually found their way into the Agreement.
Another procedural revolution by the Presidency was to keep the full responsibility
for the text's development on the parties' shoulders. Ministers had to engage
with the lengthy, heavily bracketed text parties had developed in the ADP contact
group. By not dropping a surprise text late in the proceedings, the French
Presidency ensured that the text was party-owned and parties understood they
had the collective responsibility for its success or failure. Many parties had
quietly speculated throughout the meeting that the Presidency had its own text, but
regardless of its existence, one was never unveiled. This galvanized ministers to do
the heavy lifting of sorting through options and brackets themselves.
The transparency of the process, as one delegate put it, drove the ambition of what
parties could achieve; this time, there was no easy out of rejecting the President's
text. Above all, the French Presidency said it would, and did, listen. That every party
praised the Presidency is not only a tribute to the French Presidency, but recognition
that they all believed their positions were heard.
UNIT III
Phases in negotiations and Practical advice
Phases in negotiations
Pre-negotiation phase
16
1) Problem identification and Fact-finding
This phase can extend over a longer period (several years) before a formal decision
to start an intergovernmental negotiating process is taken. Particular incident or
presentation of new scientific evidence (growing ozone hole that lead to the
Vienna Convention 1985 and Montreal Protocol 1987 on substances that deplete the
ozone layer). Role of science in this phase particularly in MEA-negotiations: IPCC
1990
2003: UNEPs Global Mercury Assessment Report noted that there is sufficient
evidence to warrant immediate action to protect human health and the
environment from the releases of mercury. Compilation of views for presentation
at UNEP GC with a view to developing a legally binding instrument, a non-legally
binding instrument or other measures and actions.
After the hi-jacking a legal analysis (in the Austrian Foreign Ministry) revealed that
international rules were missing to adequately deal with such incidents. Upon an
initiative by Austria, Italy (flag state) and Egypt (place of incident) negotiations started
17
at the International Maritime Organisation (IMO) and lead in 1988 to the adoption of
the Convention for the Suppression of Unlawful Acts against the Safety of
Maritime Navigation (SUA-Convention).
Usually even after a final agreement has been reached or a solution found work
continues and details will have to be worked out - political solution has to be put
into a legal language by LDG (either by drafting a resolution later to be adopted by
the plenary or by finalising the negotiating text to be adopted also by plenary)
18
Post-agreement phase
In the UN-GA the only real restriction on the freedom to submit a draft resolution is
that in each of the main committees the chair sets a closing date for the submission
of draft resolutions. The agenda of an organisation includes an item the problem
of and there is a secretariat report on the present state of the question. A
representative of the secretariat will usually introduce the item
explaining/commenting on the secretariat report.
The debate then opens with statements in which delegates give their view and
possibly announce that they plan to introduce a draft resolution. During this debate
delegation A may give informally to a number of other delegations a text of a
proposal put in the form of a draft resolution.
Non-Papers
If you wish to underline the provisional or confidential character of this initiative not
even the name of a delegation is put on this draft. This is called creating a non-
paper of which it is sometimes said that it was found lying on the floor
Co-Sponsors
Basic rule is its more difficult to obtain action than to prevent action. The
situation is difficult for a single delegation or a small number of delegations seeking to
have a proposal adopted.
Criteria for the choice of the group of sponsors will depend on the subject of the
proposal. Usually what is sought is some sort of geographic distribution involving
countries from as many regional groups as possible.
A finds support for its proposal in informal explorations and delegations B, C and D
become co-sponsors. During the process of securing co-sponsors the draft text
undergoes changes demanded by the co-sponsors.
Rule 78 GA-ROP
No proposal shall be discussed or put to the vote unless copies of it have been
circulated to all delegations not later than the day preceding the meeting. This
requirement is waived if there is an unanimous wish to go ahead with a proposal
presented the same day.
Sponsoring delegations will agree that one of them (usually A, the originator of the
text) will introduce the draft resolution orally presenting it in a statement at a
conference session. If A wishes to stay in the background it will ask another sponsor
to introduce the text. Another possibility is that A will make the main introductory
statement and the co-sponsors make supporting statements.
The oral introduction is normally brief and to the point, clarifying the wording that
could give rise to misunderstandings. It is somewhat lengthy in cases where no
previous speech has explained the reasons for the draft resolution. It is common and
useful practice to give after a general introduction a few comments on each of the
paragraphs of the preamble and the operative part.
After the introduction, the debate of the draft resolution can begin.
In the time between the distribution of copies and start of the debate the co-sponsors
will have tried to line up support for their draft in informal contacts in the lobby, at
luncheons, receptions etc.
If the sponsors sense some particular difficulty for other delegations, they may try to
organize an informal meeting to deal with the difficulties. This could lead to a
revised text to be submitted. During the debate in plenary speakers may indicate their
support or suggest amendments. If the delegation proposing the amendments moves
a formal amendment, those amendments will be circulated as a separate document.
Alternatively it may only suggest a desired modification. If a formal amendment is
moved the sponsors can, usually permitted by the president until just before the vote,
to incorporate the amendment in a revision of their draft.
Amendments
20
If amendments have been formally adopted, the sponsors can no longer
withdraw their resolution (ROP 80, 122). But they can vote against the amended
draft resolution, which, because of heavy modifications they no longer recognize as
their own draft.
A delegation which wishes to propose deletion of a contested word need not submit
an amendment. Under ROP of most organisations explanations of vote are
permitted before or after the voting. This example of a draft resolution assumes
controversy and negotiation. Many draft resolutions are adopted without efforts to
amend and without a vote.
A lot can be explained theoretically by using scientific means and applied in practice
no matter which multilateral context. Lastly negotiations are an imperfect science. No
matter how well prepared or how perfect the application of theoretical principles will
be in the end the course of negotiations and the outcome will always be
unpredictable and much also depends on unforeseen dynamics and personal
characteristics of the negotiators involved. Or the outcome depends on factors which
cannot be influenced by those negotiating political/economic factors also cultural
factors should not be underestimated
Science can help to become more effective
A certain talent for negotiations (being a good communicator/listener) will give
you the edge
21
Experience is an important factor still learn a lot from older experienced
negotiators and chairman and surprised of their moves that often seem to
anticipate developments
Organisational matters
The US suggested a four-sided table, two sides for the North Vietnamese and the
Vietcong, and two sides for the South Vietnamese and the US. The North
Vietnamese countered that they could not contemplate a setting and a negotiation
that implicitly recognized the Government of South Vietnam. The issue was
eventually resolved by settling for a round table, which each side choosing who could
sit at it.
Time considerations: Very often looming deadlines are necessary in order to make
progress or bring results most likely at very end (importance of staying until the
very end).
22
What makes an effective (above-average) negotiator?
In preparation of negotiations
Thoroughly prepared and done homework;
Explore more options and devote more time to consider areas of potential
agreement;
Spend more time considering long-term as opposed to short-term issues;
Set objectives within a range rather than a fixed point;
Not settle on a strict sequence for dealing with issues, but leave open the
order in which they are taken up in negotiations
The use of promises, warnings and threats and other tactical moves occurs in
multilateral diplomacy as often as in bilateral diplomacy. It is just that the interplay of
delegations, secretariat and chairman produces a larger number of combinations of
the use of various tactical devices than are available in bilateral diplomacy.
Basic rule is its more difficult to obtain action than to prevent action: A
delegation wishing to oppose a proposal has a larger choice of tactical weapons
available because it can aim not only at outright defeat but also at deferment or
postponement of a decision until a later conference.
1) Intellectual arguments
Many proposals are adopted mainly on their intellectual strength. The proponents
demonstrate that the proposal is coming at the right time and place. In this case
no threats, pressure or rewards are necessary to obtain wide support. Most
secretariat proposals for new initiatives are supported by intellectual arguments.
Delegations putting forward secretariat proposals as their own can and will use
intellectual arguments.
2) Promises
23
A delegation may get one or more other delegations on its side by promising
something. The something could be support for some initiative or desire of the other
delegation or it can be economic or financial or political. In some cases a pledge
of mutual support is made. Such a pledge is usually on unrelated issues of
considerable and roughly equal importance. Agreements of mutual support
particularly for candidatures
3) Over-asking or under-offering
In bilateral negotiations it is well known that the party that has certain demands will
overask in the hope that its opponent will finally agree to an offer that corresponds to
what it really wanted. Similarly, the party that has something to offer will often start
offering less than what it is willing to settle for in the end.
The other form is a deliberate decision to omit certain words or paragraphs in order to
accede later to a request for their inclusion. In that way a mere gesture can be made
to look like a real concession.
2) The argument that no financial and human resources are available for a
proposed new activity. The strength of such an argument will increase or
diminish in the light of the position which the secretariat may be willing to take.
3) Another argument often advanced against a proposal for a new activity is that
other organisations are effectively dealing with the question. Ideally there
should be clarity to which organisation at which moment should deal with any
particular issue. In practice there are overlapping areas of competence
between organisations and different views of governments as to which
organisation should deal with a problem.
Time changes the balance of power (open ended list of) delaying tactics:
Discussing details
Taking longer adjournments or starting late/finishing early
Seeking further instructions
Diplomatic illness
Abiding by national holidays
Changing the delegation
Raising old issues reopening already agreed text
Insisting on full translations
Requesting a change of venues
Cancelling meetings
25