«07-565_03_Ch02.qxd 11/29/07 6:27 AM Page 9 What Are Enclaves and Exclaves? DEFINITIONS AND CRITERIA The concept of enclaves as implicit phenomena ...»
07-565_03_Ch02.qxd 11/29/07 6:27 AM Page 9
What Are Enclaves and Exclaves?
DEFINITIONS AND CRITERIA
The concept of enclaves as implicit phenomena exists in the history of humankind from the earliest times. The Treaty of Madrid of 1526 is probably
the first document explicitly containing the word “enclave.” The term “enclave” entered the language of diplomacy rather late in English, in 1868,
coming from French, the lingua franca of diplomacy, with a sense derived from the late Latin inclavatus meaning “shut in, locked up” and clavis meaning a “key.” The “exclave” is a logical extension created three decades later corresponding to the Latin exclavo. These words can now be found in most Indo-European languages—to give some examples: in German (Enklave, Exklave), in French, Spanish, and Italian (enclave, exclave), in Russian (??????, ??????? [anklav, exclav]), in Swedish (enclav, exclav), and many other languages. There is no specific term in Chinese to describe an enclave – – so the expression to be used is bèi bao wéi dì lıng tu or bèi bao wéi dì lıng ˇ ˇ ˇ tu meaning literally a “surrounded territory.” ˇ, The term “enclave” is widely used. It is commonly used to recognize the existence of a fragment enclosed in something of an alien nature. The term is typically used in geology to connote the existence of a rock fragment. In fact, scrolling through scientific databases one will find many more papers on enclaves in geology rather than political enclaves. Furthermore, as used in canon law, the term traditionally defines territories of one diocese enclosed in another one, which is not uncommon. In navigation, an enclave is a placement for a ship along the wall of a shipping lock. In economics, foreign-dominated industries within a national economy (such as, for instance, the sugar industry in South American and African countries) are 07-565_03_Ch02.qxd 11/29/07 6:27 AM Page 10 10 Chapter 2 described by the same term. It is also widely used in sociology and other social sciences (meaning a compact settlement that significantly differs from its surrounding area—nationally, politically, socioculturally, or in some other way). One would also most certainly often hear the term “ethnic” or “religious” enclaves to describe compact settlements of a distinct ethnic or religious affiliation. These settlements, ranging from Chinatowns to ghettos, are an important object of contemporary urban study. The term is used in military science, in geology, in agriculture and land distribution, as well as in industry. Finally, the word “enclave” is widely used in fiction as well as in everyday conversation to characterize the state of secludedness of a subject, group, or some phenomenon from the surrounding world.
Territorial enclaves and territorial enclavity and exclavity in both the political and economic sense form the principal objects of investigation in this book. That is why I chose not to retain the restrictive definition given by international law which defines enclaves as land-locked territories separated from the mainland, as this definition comprises only so-called true enclaves, while not accounting for a large number of cases with similar political and economic characteristics. Contrary to the restrictive definition of international law, coastal enclaves (regions with access to the sea) are included in the scope of the investigation. To look at it from another point of view, our study of enclaves is focused on people and their lives rather than on legal norms and geographical configurations. Although a number of legal issues are necessarily discussed, the investigation’s main concern is primarily the areas of economy and politics. These issues lie deep in the heart of all inhabitants of enclaves around the world.
When it comes to defining the term “enclave,” one must keep in mind that there are many types of territories that can be classified as such. To fight against this is to tilt at windmills. We would do better by coming up with a fine interior gradation. I shall begin with some basic definitions.
An enclave is a part of the territory of a state that is enclosed within the territory of another state. To distinguish the parts of a state entirely enclosed in another state, they are called true enclaves.
The definition of a territory comprises both land territory and territorial waters. In the case of enclaves in territorial waters, they are called maritime (those surrounded by territorial sea) or lacustrine (if in a lake) enclaves. Five such island enclaves are known: two Malawian enclaves lying within the territorial waters of Mozambique in Lake Nyasa; the Argentinean Isla Martin Garcia, lying within the territorial waters of Uruguay in the Rio de la Plata;
and the French islands St. Pierre and Miquelon, lying off Newfoundland within the 12-mile zone of Canada. The latter acquired access to the high seas through a decision of the International Court of Arbitration in 1992.
Two additional terms are introduced. A mainland state is the state to which an enclave belongs and of which it comprises a part. Other terms 07-565_03_Ch02.qxd 11/29/07 6:27 AM Page 11
What Are Enclaves and Exclaves? 11
used in literature are “central state” (Raton 1958), “home state” (Robinson 1959; Catudal 1979; Whyte 2002a, 2002b, 2004) or “motherland.” In contrast, a surrounding state is, obviously enough from the wording of the term, the state that surrounds an enclave but to which an enclave does not belong. Other terms employed in literature are “host state” (Catudal 1979;
Whyte 2002, 2004) and “neighbour country” (Robinson 1959).
Sovereignty over a specified territory is the decisive criterion. That is why the areas controlled by international organizations cannot be recognized as enclaves. This phenomenon, not new in itself, was widely spread in the 1990s, as the U.N. operated, for instance, the safe areas in Bosnia-Herzegovina and Kosovo (Bihac, Srebrenica, and Zepa). Although the U.N. temporarily administered safe areas, no principal transfer of sovereignty occurred.
If a territory is connected to the rest of the country by a single point, it will be considered an enclave, too. For all purposes, a connection at a single point does not mean anything. It is just like being completely separated.
One cannot pass through a single point, nor is it possible to transport goods. It is not even possible to lay a telephone line. The Austrian municipality of Jungholz, located southeast of the German town of Kempten, is one of three known examples. It is almost completely surrounded by German territory. The only exception is a single point on top of Mount Sorgschrofens, 1,636 m, by which Jungholz is connected to the mainland.
The other two single-point connections exist in Cooch Behar. Besides this, there is one case in the enclave complexes of Baarle, where two enclaves are connected to each other by a single point. They will be viewed as separate entities, too.
Semi-enclave is a part of a state enclosed within the land territory of another state, yet in possession of a sea border (that is, not fully surrounded).
Enclaves of this type are also called coastal enclaves, both terms distinguish them from true enclaves as possessing the availability of sea access.
Pene-enclaves are territories that, although not separated from the mainland, are practically accessible only through the territory of another state.
The etymology of the prefix “pene-” is from the Latin paene meaning “almost.” Pene-enclaves are connected to the mainland by a virtually impassable neck of land. Most of them are located in the mountains. In such cases, the passage to the pene-enclave for all practical purposes is possible only through the territory of the surrounding country. The reason for taking the pene-enclaves into consideration despite the fact that they are not “real” enclaves is that they have similar problems and issues to other enclave types.
A connection can be established by the construction of a costly road or a tunnel, which would effectively disenclave the territory, as happened with Val D’Aran in Spain and Samnaun in Switzerland.
It is possible to question whether the term “exclave” is necessary at all since we already have the term “enclave.” The term “exclave” is necessary for 07-565_03_Ch02.qxd 11/29/07 6:27 AM Page 12
12 Chapter 2
several reasons. First, there are regions that represent mere exclaves. Mere exclaves are such regions that, while being isolated from their mainland, are surrounded by more than one state. Thus, they are not enclaves in relation to other states but merely exclaves in relation to the mainland. Enclave-specific problems stemming from being embedded in a single state may be lacking in such cases (although not necessarily) but the exclave issues caused by isolation from the respective mainland remain. An interesting case in this respect is Kaliningrad. Because of the specific nature of the European Union, Kaliningrad can be technically described as a mere exclave since it borders two states, Poland and Lithuania. On the other hand, both states are members of the European Union so it is quite possible to say that Kaliningrad is a semi-enclave of the EU. This view is reinforced by the fact that the enclave-specific issues of the movement of goods and people lie within the competence of the EU. In general, this term is logically cogent when looked at from the mainland’s side. Once a clear distinction on the points of view is made, the term is not ambiguous anymore. It is useful in understanding the nature of the enclave in the triangular relationship “mainland state–enclave–surrounding state.” In the majority of cases (true enclaves, coastal enclaves, pene-enclaves, with the exception of mere exclaves) the same region represents an enclave in relation to the surrounding state and an exclave in relation to its mainland. Although not directly interchangeable, there are occasions to use both terms, depending on whether one is stressing the relation to either its surrounding state or its mainland. In other words, the use of this or that term would depend on what aspect of an enclave’s relations with the outside world are being discussed. In cases when such distinction is not crucial, the term “enclave” is normally used as a more general and familiar one.
Generally, there are three types of exclaves. First, there are a large number of exclaves that are simultaneously enclaves in relation to the state that surrounds them (type 2-1, true enclaves, and type 2-4, pene-enclaves). Second, there are exclaves that are simultaneously semi-enclaves (type 2-2, e.g., Gibraltar, Hong Kong). And, third, there are mere exclaves, that is, entities that are surrounded by more than one foreign state and, consequently, are not enclaves in relation to them (type 2-3, e.g. Nakhichevan, Cabinda).
Mere exclaves may or may not have access to the sea though it is the fact of their separation from the mainland on land that is the decisive factor in deciding their status.
We need also to look deeper into the mainland-exclave relationship. This relationship is obvious in the absolute majority of cases since it is not difficult to indicate which of the two parts is a mainland and which is the related exclave. There are, however, several theoretical possibilities that make the answer less straightforward than it appears on the surface. It might be 07-565_03_Ch02.qxd 11/29/07 6:27 AM Page 13
What Are Enclaves and Exclaves? 13
possible that the part that we conventionally indicate as an exclave is either larger in territory than another part or possesses a larger population share.
What would be then a decisive criterion to determine which part is a mainland and which part is an exclave? There are three theoretically possible criteria: first, the location of the national capital city; second, the relative size of the territory; and third, the relative size of the population. We chose to follow the convention of international law and indicate the part where the capital is located as a mainland, regardless of population figures and territory. The primary reason is the concentration of state power in the capital.
As was already noted, such cases when doubts are possible are rare. However, they may appear. For example, East Bengal, which was a Pakistani exclave from the creation of the state in 1947 until its independence in 1971, had more than half of the nation’s population (despite having less than half the land area of the country). Since the capital of the state was located in the western part, the western section is viewed as the mainland in relation to the smaller but populous exclaved eastern part.
The enclave, semi-enclaves, and exclaves that were discussed above represent parts of a territory of a sovereign state. There are, however, also sovereign states surrounded by another single state. In such cases, the application of the term “enclave” is justified as well. In order to distinguish them from their nonsovereign counterparts, they are called “enclaved states” and “semi-enclaved states.” An enclaved state is a state entirely enclosed within the territory of another state. “Enclaved states” in international law are sovereign states landlocked within another state. There are currently three such states: Lesotho, San Marino, and the Vatican. Free ports with direct entrance to the sea or an international river (international waters) are already, therefore, not enclaves, because they lack the characteristic of inclusion. The establishment of free ports causes, however, no transition of sovereignty to the favored state, only its economic restriction. The same is true for extraterritorial properties such as embassy buildings, since the sovereignty of the respective state remains, despite some restrictions. Additional confusion results from calling states without sea access “enclaved countries.” The correct term in this respect would be a “landlocked country.” There are currently 42 landlocked states in the world. Two of these, Uzbekistan and Liechtenstein, are doubly landlocked, in that they can access the sea only by passing through two other states in any direction. In addition, three of the 42 landlocked states are enclaved states.
Semi-enclaved state is a state enclosed within the land territory of another state, yet in possession of a sea coastline (that is, not fully surrounded).