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The Theory and Practice of Diplomatic Law in The Renaissance and Classical Period
The Theory and Practice of Diplomatic Law in The Renaissance and Classical Period
To cite this article: J. Craig Barker (1995) The theory and practice of diplomatic
law in the renaissance and classical periods, Diplomacy & Statecraft, 6:3,
593-615, DOI: 10.1080/09592299508405979
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The Theory and Practice of
Diplomatic Law in the
Renaissance and Classical
Periods
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J. CRAIG BARKER
sadors are generally different from the views of those who receive
him, and often directly opposed', concluded that 'Ambassadors, as if
by a kind of fiction, are considered to represent those who sent
them'.27
Almost 100 years later, Bynkershoek explained the effect of the
representative character theory thus:
The sole reason why ambassadors are exempted from the power
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of those to whom they have been sent is that they should not,
while performing the duty of their office, change their status
and become subject to another while they are acting as the
representatives of their prince who is generally rival.28
On the other hand, the fiction was not simply that ambassadors were
considered to represent those who sent them and should not be
required to change allegiance, rather that they were entitled to those
privileges and immunities which reflected not just the sovereignty of
the sending sovereign but also his independence, equality and dignity.
According to Wicquefort:
De fait, la raison pourquoi le droit de gens exempte le Ministre
Public de la Jurisdiction de lieu de sa residence, est parcequ'il
represent un Souvrain, sur lequel un autre souvrain n'a ni
superiorite ni jurisdiction; c'est pourquoi il ne la peut etendre sur
son Ambassador non plus.29
The 'representative character' theories extended the privileges and
immunities of diplomatic envoys well beyond mere inviolability.
Immunity from civil and criminal suit was continually asserted during
this period and had become firmly established by the beginning of the
eighteenth century.30 The importance of the 'representative character'
theories to this process was made clear by Bynkershoek, who, having
rejected the sanctity of the diplomat as the basis for immunity,31
declared:
We must therefore look for some other reason why ambassadors
are granted immunity from the ordinary jurisdiction. And on
thinking the matter over you will find this reason consists in the
fact that the status of ambassadors is such that it has come to be
firmly established that an ambassador is not the subject of him
600 DIPLOMACY & STATECRAFT
to whom he has been sent but remains the subject of him who
has sent him. On this account he is not regarded as subject to
the jurisdiction of him in whose country he is serving as
ambassador, whether it is a case of a debt or a crime.32
The 'representative character' theories extended diplomatic
privileges and immunities to the extent of imposing a duty to protect
the diplomatic envoy on the receiving sovereign or state. Perhaps the
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embassy could afford protection to all offenders except those who were
suspect of high crimes against the state itself'.51 Further, as a result of
the reciprocal demands for increased immunity, a situation quickly
developed in practice whereby not only the embassy was considered to
be foreign territory and therefore immune from local jurisdiction, but
also vast areas of the surrounding city, thus creating the so-called
franchise du quartier, and making these areas dens for outlaws and
criminals. This was especially so in Rome52 and Madrid." Adair
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function:
Et il n'y a point de juge qui puisse extendre sa jurisdiction sur
les personnes que ce droit protege; parcequ'il troubleroit un
commerce, dont la liberte est fondee sur une necessite
indispensible, et il osteroit de celui des hommes le moyen de
conserver la societe, que ne pburroit pas subsister sans ce
principe...57
It should be noted, however, that none of these jurists regarded the
need to protect the function of the mission as the primary juridical
basis of the law. Of all the early jurists, it was Vattel who placed
greatest emphasis on the necessity of the diplomatic function:
Now, ambassadors and other public ministers are necessary
instruments in the maintenance of that general society of
Nations and of that mutual intercourse between them. But they
can not accomplish the object of their appointment unless they
are endowed with all the prerogatives necessary to perform the
duties of their charge safely, freely, faithfully and successfully.
Consequently, the same Law of Nations which obliges Nations
to receive foreign ministers likewise clearly obliges them, in
receiving those ministers, to accord them all the rights they
require and all the privileges necessary for the performance of
their duties.58
Vattel was not concerned solely with the diplomatic function as an
entity in itself. For Vattel the important factor was the ability of an
ambassador to complete his mission efficiently and free from inter-
ference. He continued:
It is necessary that he should have no snares to apprehend, that
he should not be interfered with in the performance of his
606 DIPLOMACY & STATECRAFT
civil cases, it would often happen that he would neither have the
power, nor the time, nor the freedom of mind which the affairs
of his sovereign required.59
As a result of his emphasis on the ambassadorial function, Vattel was
able to limit the apparently absolute privileges and immunities
granted to ambassadors which accompanied the 'representative
character' and 'exterritoriality' theories. He concluded:
The independence of the foreign minister must not be
converted into unrestrained licence; it does not release him
from the duty of conforming in his external conduct to the
customs and laws of the country in all that does not relate to his
character as an ambassador; he is independent, but he has not
the right to do whatever he pleases.'0
As has already been noted, Vattel, like the majority of his
contemporaries, relied primarily on the ambassador's representative
character as the fundamental basis of diplomatic law. It is apparent
from the passages of his work quoted above, however, that he placed
much emphasis on the function of the ambassador, if only to add
further weight to the principle that the ambassador was at all times
to be regarded as independent. The continued relevance of the
passages of Vattel's work quoted above makes it clear that he was one
of the first and most influential writers in the move towards modern
diplomatic law.
relations in the fifteenth century, 'the time was soon to come when
no nation, no princely house could well dispense with a diplomatic
establishment'.61 Certainly, the development of diplomatic methodo-
logy did not stop with the outbreak of the French Revolution.
Indeed, if peace is the mark of successful diplomacy then the
diplomacy which followed the Vienna settlement of 1814-15 can be
considered far more successful than that of the previous three
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Law School (1932). This process culminated with the adoption of the
Vienna Convention on Diplomatic Relations in 1961.
In fact, diplomatic law has developed to such an extent that the
'exterritoriality' and 'representative character' theories have now all
but been abandoned. It is clear that the practical excesses associated
with the 'exterritoriality' theory coupled with its dubious theoretical
integrity had been identified by the leading jurists even during the
period when the concept of 'exterritoriality' dominated the practical
application of diplomatic law. As has been pointed out above, all the
great jurists including Grotius, Bynkershoek and Vattel relied on
other bases for the explanation of diplomatic privileges and immuni-
ties while utilizing the fiction of 'exterritoriality' in a primarily
descriptive sense. By the beginning of the twentieth century, 'exter-
ritoriality' both as a theory and as a means of description had been
thoroughly discredited:
It is perfectly clear that exterritoriality is a fiction which has no
foundation either in law or in fact, and no effort of legal
construction will ever succeed in proving that the person and
the legation buildings of a diplomatic agent situated in the
capital of State X are on territory which is foreign from the
point of view of the State in question. There are sound practical
as well as theoretical reasons for abandoning the term
"exterritoriality", for the mere employment of this unfortunate
expression is liable to lead to errors and to legal consequences
which are absolutely inadmissible.70
The validity of the 'representative character' theories began seriously to
be challenged during the attempts at codification referred to above.71 It
is clear from the Preamble to the 1961 Convention that the
representative character of the diplomatic mission continues to be of
relevance.72 The halcyon days of the 'representative character' theory,
DIPLOMATIC LAW IN THE RENAISSANCE AND CLASSICAL PERIODS 6 0 9
Conclusions
The period from 1450 to 1789 was undoubtedly one of great
development in both diplomacy and diplomatic law. Indeed, the period
began with the most radical development in the history of diplomacy,
that is, the establishment of permanent diplomatic relations, a develop-
ment which was to have immeasurable effects on both diplomatic
method and diplomatic law. Even with the enormous changes which
have occurred since that time, it is clear that much of the diplomatic
methodology of the period survives intact to this day. As for diplomatic
law, it cannot be denied that the period can be characterized by the
almost continuous expansion of diplomatic privileges and immunities
based on the 'representative character' and 'exterritoriality' theories.
On the other hand, it is clear that the vast majority of diplomatic
610 DIPLOMACY & STATECRAFT
NOTES
1. See Harold Nicolson, The Evolution of Diplomatic Method (London: Constable Co.
Ltd, 1949), at p.2 where Nicolson speculates that successful negotiation over, for
example, the delimitation of hunting territories would have been impossible if the
representatives of either party were murdered on arrival. He concludes: 'Thus, the first
principle to become firmly established was that of diplomatic immunity'.
2. On Greek and Roman diplomacy see, generally, Coleman Phillipson, The International
Law and Custom of Ancient Greece and Rome (London: MacMillan & Co. Ltd, 1911);
Hill, A History of Diplomacy in the International Development of Europe (London:
Longman, Green & Co., 1905); Harold Nicolson, Diplomacy (Oxford: OUP, 2nd edn.
1949); Nicolson, Evolution; Young, 'The Development of the Law of Diplomatic
Relations', British Yearbook of International Law, Vol.40 (1964), p.141.
3. For a discussion of the diplomatic relations of the Ancient Indians and Chinese, see
Ogden, Juridical Bases of Diplomatic Immunity (New York: John Byrne & Co., 1936),
pp.11-13.
4. Gehtili, De Legationibus Libri Tres (Classics of International Law Series, 1964) Book I,
Ch.XI, p.28.
DIPLOMATIC LAW IN THE RENAISSANCE AND CLASSICAL PERIODS 6 1 1
5. Infra.
6. Two of this century's most eminent writers on diplomacy disagree as to the importance
of the College of Fetials. David Hill sees the institution as the principal source of
diplomatic activity in Rome at the time. He informs us that the College of Fetials was
a sacred body concerned exclusively with the task of negotiation. It had the power to
declare war and conclude peace and was also empowered to conclude treaties on
behalf of the Roman people. (Hill, History, Vol.1, p.8.) Harold Nicolson, on the other
hand, compares the function of the College with those of the Treaty Department in our
own Foreign Office. He outlines the duties of the College as including such tasks as
'preserving treaty documents, dealing with matters of protocol, and seeing to it that
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23. 'Even the great powers were hardly more advanced in their international intercourse
than the barbarian kingdoms of the Middle Ages.' Ibid., p.309.
24. Ibid., pp.308-9.
25. See, for example, the memorandum prepared by the Secretariat of the International
Law Commission entitled 'Diplomatic Privileges and Immunities', Document
A/CN.4/98, Yearbook of the International Law Commission, 1956, Vol.11, p.129,
Section B at pp.157-161. The memorandum also mentions the 'functional necessity'
theory which will be commented on later in this paper.
26. Ogden, Juridical Bases of Diplomatic Law, p.105.
27. Grotius, De Jure Belli Ac Pads (1625), p.443.
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28. Bynkershoek, De Foro Legatorum (Classics of International Law Series, 1946), Ch.VIII,
p.44.
29. Wicquefort, L'Ambassadeur et ses fonctions (Classics of International Law Series), Liv.I,
S.XXVII.
30. See M.S. Anderson, The Rise of Modem Diplomacy (London: Longman, 1993) at p.54
which refers to the case of A.A. Matveev, the Russian Ambassador to London who was
arrested in September 1708 for failure to pay outstanding debts. He spent just a few
hours in jail and when he was released was accompanied to his home by the heads of
all the foreign missions in London. Professor Anderson asserts that '[T]he following
year saw the passing by Parliament of legislation protecting foreign diplomats against
criminal and civil proceedings — the most explicit undertaking of this kind hitherto
given by any State - and a special mission to Moscow to apologise to Peter I for the
insult offered to his representative'.
31. Bynkershoek, De Foro Legatorum, p.28: 'Sanctity of a person had never exempted
anyone from jurisdiction of a magistrate to whom the party concerned is subject.'
32. Infra.
33. Vattel, The Law of Nations (Classics of International Law Series, 1916), Vol.III, Ch.VII,
p.371.
34. Ibid., p.372: 'It is true that only the prince to whom the minister is sent is under
obligation and special agreement to see that the minister enjoys all the rights attached
to his character; but other sovereigns through whose territory he passes may not refuse
him the respect which is due to the minister of a sovereign and which Nations mutually
owe to one another. Above all, they should give him the fullest protection.'
35. See Ogden, Juridical Bases of Diplomatic Law, pp.63-4, who commented that it was
'[N]ot until there had been a repudiation of the feudal idea of over-lordship, and a
development of the idea of complete authority over the national territory, was the
concept of territorial sovereignty and exclusive jurisdiction finally established'.
36. For a full statement of these views, see Adair, The Exterritoriality of Ambassadors in the
Sixteenth and Seventeenth Centuries (London: Longman, 1929), pp.14-26.
37. Ayrault, L'ordre, formalité et instruction judiciaire, Liv.I, Pt.IV s.13, 15. Quoted in
Adair, Extraterritoriality, p.16. Ogden says of Ayrault that '[he] did not in any way
infer that extra-terriroriality was a rational basis of diplomatic immunity ... he worked
out other philosophical bases for the complete immunity with which he believed
ambassadors were endowed' (Juridical Bases, p.73 (notes)).
38. Grotius, De Jure Belli Ac Pacis, p.443.
39. Adair says of this passage: 'This approximates very closely to the usual modern doctrine
that an ambassador's privileges result from his diplomatic character and not from any
real theory of exterritoriality, which is a fiction invented in order to convey a more
striking image of such immunity from local jurisdiction' (Extraterritoriality, p.28). See
also Ogden, Juridical Bases, p.73: 'Grotius believed the fiction of extra-territoriality to
be descriptive of the conditions resulting from a philosophically ascertained principle
which he believed should govern States in their relationship with each other'.
DIPLOMATIC LAW IN THE RENAISSANCE AND CLASSICAL PERIODS 6 1 3
40. The work of Zouche is discussed by Adair, Extraterritoriality, p.30. See also Ogden,
Juridical Bases, pp.73-4.
41. Ogden, Juridical Bases, p.74.
42. Bynkershoek, De Foro Legatorum, Ch.VIII, p.43 (emphasis added).
43. Ibid., p.27: 'ambassadors are thought of as being outside the territory of him to whom
they are sent as ambassadors and as being still subjects of the prince who sent them,
and whose majesty might indeed be said to be injured in the person of his ambassador.'
Infra. See also Ch.VIII, p.44.
44. Infra. See also Ch.VIII, p.44.
45. Vattel, The Law of Nations, Vol.11, Bk.IV, Ch.viii, s.110, p.389. For a contrary view, see
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increasing factor in the transition between the old diplomacy and the new'. Nicolson,
Diplomacy, pp.37-8.
64. 'The steam engine, the telegraph, the aeroplane and the telephone have done much to
modify the practices of the old diplomacy' (Nicolson, Diplomacy, p.38). For a
summary of such arguments, see Nicolson, Evolution, Ch.IV.
65. Nicolson saw the Concert of Europe as 'more than a purely inoperative diplomatic
catchword or ... a phrase designed to justify the domination of the Great Powers. It
represented a tacit understanding between the five Great Powers that there were
certain common standards of dignity, humanity and good faith which should govern
the conduct of these Powers in their relations with each other and in their dealings with
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less potent or less civilised communities' (ibid, p.37). Nicolson is deeply critical of the
transition from the old diplomacy to the new: 'The old systems of authority, such as
the Balance of Power, the Concert of Europe, and the discipline of the Great Powers
had been discredited; ... in place of the old methods of stability, a new method of the
utmost instability was introduced' (Evolution, p.88).
66. For a summary of such arguments, see Nicolson, Evolution, Ch.IV
67. See, for example, Sasson Sofer, 'Old and New Diplomacy: A Debate Revisited', Review
of International Studies, Vol.14 (1988), p.195, at p.203: 'Frequent sojourns to foreign
capitals by Heads of State and Foreign Ministers do not necessarily detract from the
diplomat's importance. Politicians are no substitute for the accumulative experience of
professional diplomats abroad'. See also Do Nascimento E Silva, Diplomacy in
International Law (1972), at p.14: '... the duties of diplomatic missions have increased
and continue to increase daily owing to the greater interdependence that now exists
among nations and the expansion of interstate political, economic, commercial,
cultural and social interests.'
68. 'Prolonged negotiations between diplomats usually precede the conclusion of an
agreement's final details by Heads of States. Rather than signalling a new era,
conference diplomacy may be viewed as the climax of traditional diplomatic activity
... Summit meetings are suitable and desirable in times of crisis; however, they cannot
serve as a permanent substitute for traditional diplomacy.' Sofer, Old and New
Diplomacy, p.204.
69. The main purpose of the Agreement was to establish three categories of diplomatic
representative and to deal with the problem of precedence. For a discussion of the
terms and effect of Annex XVII of the Acts of the Congress of Vienna and the Protocol
of the Conference of Aix-La-Chappelle (1818), which added a fourth category of
diplomatic representative, see the Memorandum prepared by the ILC Secretariat on
Diplomatic Intercourse and Immunities, Document A/CN.4/98, 1956, Yearbook of the
International Law Commission, Vol.11, p.133.
70. Report of Special Rapporteur Diena to the Sub-Committee on Diplomatic Immunities
of the Committee of Experts for the Progressive Codification of International Law,
League of Nations Document, C.45.M.22.1926, American Journal of International
Law, Vol.20, No.153 (Supp. 1926).
71. '... the draft conventions ... such as the 1925 draft of the American Institute of
International Law, the 1929 proposals of the Institute of International Law, the
Harvard Research draft, which, in effect, repudiate the theory of 'exterritoriality', also
seem highly reluctant to accept the theory of the agent's representative character.'
Memorandum on 'Diplomatic Intercourse and Immunities' prepared at the request of
Mr A.E.F. Sandstrom, Special Rapporteur to the ILC, UN Document A/CN.4/98,
1956, Yearbook of the International Law Commission, Vol.11, p.130 at 160.
72. Paragraph 4 of the Preamble to the Vienna Convention reads as follows: 'Realizing that
the purpose of such privileges and immunities is not to benefit individuals but to ensure
the efficient performance of the functions of diplomatic missions as representing State'
DIPLOMATIC LAW IN THE RENAISSANCE AND CLASSICAL PERIODS 6 1 5
(emphasis added).
73. Vienna Convention on Diplomatic Relations 1961, Preamble, para.4.
74. See, for example, the waiver provision (Article 32). Mr Bartos, the Yugoslav delegate
to the Vienna Conference, pointed out that inclusion of a provision referring to
functional necessity as the sole basis of diplomatic privileges and immunities would
imply an obligation to waive diplomatic privileges and immunities where laws or
regulations had been infringed. UN Doc A/Conf.20/14, United Nations Conference on
Diplomatic Intercourse and Immunities, Official Records, Vol.1, p.131. Perhaps a
clearer and more accurate interpretation of the waiver provision under these
conditions would be that there was an implied obligation to waive diplomatic
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privileges and immunities where laws and regulations had been infringed and to do so
would not impair the functioning of the diplomatic mission.