Simone Lawson
Penholder diplomacy is a term used to describe the country or countries that take the lead on a particular issue on the agenda of the United Nations Security Council (UNSC). The term penholder refers to the country that holds the pen and is responsible for drafting outcome documents, such as resolutions, statements, and press releases, on behalf of the UNSC. The role of the penholder is important as they have a significant influence on the Council's decision-making process, including controlling negotiations and deciding what actions the Council should take. While the P3 (France, the United Kingdom, and the United States) have predominantly held the role of penholder, there have been calls for greater transparency and opportunities for other Council members to participate in the decision-making process.
| Characteristics | Values |
|---|---|
| Definition | "Penholder" refers to the country that leads and chairs the informal drafting process for the UN Security Council. |
| Synonyms | Lead country |
| Example | The United Kingdom is the penholder for the situation in Somalia. |
| Members | France, the United Kingdom, and the United States are the sole penholders for most country-specific items on the Council's agenda. |
| Informality | The Security Council does not publish an official list of the members that serve as penholders. |
| Self-designation | The P3 penholders are self-designated rather than appointed by the Security Council. |
| Historical development | Around 2003, a new arrangement emerged where a lead country would "hold the pen" uninterruptedly for an extended period. |
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What You'll Learn
The P3: France, the UK and the US
Penholder diplomacy is a colloquial American expression used to describe the country that chairs the informal drafting process and initiates it. The term "penholder" came into widespread use around 2010 and was defined by the Portuguese representative in 2012. In the early years of its existence, penholding shifted more spontaneously among Council delegations. However, around 2003, a new arrangement was made where a lead country would "'hold the pen'" uninterruptedly on a particular item for an extended period.
The P3: France, the UK, and the US, are permanent members that often "hold the pen" on ten or more items each. The preponderance of fixed penholding, especially for country-specific matters, is carried out by these three countries. They are self-designated, rather than appointed by the Security Council. This has led to the perception that the P3 intended to shut out other Council members from drafting opportunities. However, the system was initially developed to resolve the problem of these three countries competing to produce drafts that would gain traction.
France and the UK tend to be penholders for matters relating to their former colonies. This can have mixed impacts, as it reflects the continuing existence of close diplomatic, economic, and linguistic ties, but it can also be resented by the states concerned. The UK, for example, is the penholder for the situation in Sudan, while the US is the penholder for relations between Sudan and South Sudan, as well as the situation in South Sudan. France, as a penholder on humanitarian issues in Ukraine, is expected to push for regular Council discussions on humanitarian developments, while the US may prefer to avoid contentious meetings that risk derailing diplomatic efforts.
In recent years, it has become more common for an established penholder to be directly challenged by another Council member tabling a competing draft resolution within the same timeframe. The P3 have faced challenges from the Russian Federation, which has put forward several competing drafts relating to Syria and juridical issues concerning piracy off the coast of Somalia.
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Concentration of power
The penholder system in the UN Security Council is a practice of continuous, individual or collective leadership by particular members on specific issues on the Council's agenda. The member countries that ''hold the pen'' assume responsibility for a given issue and initiate all actions related to that issue, including drafting documents, chairing negotiations, holding emergency meetings, scheduling open debates, and organising visiting missions.
The P3, consisting of France, the United Kingdom, and the United States, are the sole penholders on most country-specific items. This concentration of power in the hands of the P3 has been criticised for diminishing transparency and the opportunity for all members, especially the E10 (the ten elected members), to participate in the decision-making process of the Council. Critics argue that this arrangement substantially hinders the ability of the E10 to influence the Council's decision-making.
However, some argue that while the penholdership system concentrates power in the hands of the P3, it also provides an avenue to strengthen elected members' influence in ways that promote respect for the international rule of law. The system developed to resolve the problem of France, the United Kingdom, and the United States competing with each other to produce drafts that would gain traction.
In addition to the P3, other permanent members of the Security Council, such as China and Russia, have also served as penholders on specific issues. For example, China was briefly considered the lead for Somalia, and Russia is the penholder for juridical issues relating to piracy off the coast of Somalia.
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Influence of elected members
Penholdership is a system of diplomacy in which a member of the council leads the negotiation and drafting of resolutions on a particular Council agenda item. The P3, namely France, the UK, and the US, are the sole penholders for most country-specific items on the Council's agenda. This arrangement has been criticised for hindering the ability of the ten elected members (E10) to influence the Council.
However, the cases of Poland in 2018-2019 and South Africa in 2019-2020, as elected members of the United Nations Security Council (UNSC), demonstrate that there are multiple channels and practices available for elected members to exert influence. Elected members can pursue strategies to augment their influence, such as seeking parity of status with permanent members or advocating for working methods reform to increase their participation in decision-making processes.
Formal and informal channels are available for the E10 to exert their influence in the Council. Formal channels include the rotating monthly presidency, which gives the power to formulate the Council's agenda, and chairing subsidiary organs, which allows for influence over sanctions regimes. Informal channels include Arria-formula meetings, cooperation with NGOs and external experts, and deploying individuals to participate in the Council's proceedings.
Elected members have also assumed the penholdership function in some circumstances, such as in the Syria humanitarian crisis. In 2014, three elected members—Australia, Jordan, and Luxembourg—successfully drafted resolution 2139 to address the humanitarian aspects of the conflict in Syria. This demonstrated the capacity of elected members to act as norm entrepreneurs and find creative solutions to complex issues.
Co-penholderships between permanent and elected members have also occurred, such as when Germany joined the UK as a co-penholder on Libya sanctions and Sudan in 2019. While the 2020 incoming members did not seek such partnerships, some of the 2021 incoming members expressed interest in co-penholding with permanent members. These arrangements can provide opportunities for elected members to collaborate with permanent members and increase their influence in the Council.
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Country-specific items
The term "penholder diplomacy" refers to the country that leads or chairs the drafting process for a particular item or issue under discussion in an international body, such as the United Nations Security Council. The term "penholder" is a colloquial expression that came into widespread use around 2010, although the practice of countries taking the lead in drafting has been in place for much longer.
- United States: The United States serves as the penholder on agenda items that are of priority strategic interest in American foreign policy, including Iraq, the nuclear weapons programme of the Democratic People's Republic of Korea, and Haiti. It also considers itself the penholder on the Palestinian question.
- United Kingdom: The UK has designated itself as the penholder for various country-specific situations, including Yemen and Somalia. It also served as the penholder for Ethiopia/Tigray until 2021, when Ireland, an elected member, took over the lead.
- France, the United Kingdom, and the United States (P3): These three countries have often been the penholders for country-specific matters, although they are self-designated rather than officially appointed by the Security Council. This arrangement has been criticised for potentially limiting the drafting opportunities of other Council members.
- Japan and the United Arab Emirates: These two countries currently share the role of penholder for Afghanistan, which is a rare instance of elected members consistently handling a long-term country-specific file.
- Russia: Although rare, Russia has served as a fixed penholder for the UN Regional Centre for Preventive Diplomacy for Central Asia.
- China: China previously held penholding responsibilities for Somalia but currently has none.
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The role of lead country
The role of the 'lead country' or 'penholder' is an important one in international diplomacy. It is a term used to describe the drafter of Council outcome documents, and it is usually one of the P3 countries: France, the United Kingdom, or the United States. These countries are self-designated and not officially appointed by the Security Council. The lead country will typically "hold the pen" on a particular item for an extended period, often for country-specific matters.
The role of the penholder is to lead and propose new meetings on their issues and prepare Council missions to the field. They are responsible for drafting outcome documents and ensuring that negotiations and discussions are progressing towards a resolution. The penholder may also be involved in helping to shape a state's policies and strategies by advising government officials.
For example, the United Kingdom is the penholder for the situation in Somalia, while the United States holds the pen for piracy off the coast of Somalia, and the Russian Federation for juridical issues relating to piracy in the same region. In some cases, there can be tension when one of the P3 countries steps forward to claim the pen without giving other members a chance. This was seen in 2011 when the United Kingdom designated itself as the penholder for Yemen.
The role of the lead country is crucial in maintaining peaceful relationships between nations and groups, and it is a key instrument of foreign policy. It allows countries to pursue their interests and implement policies through negotiation and bargaining. Diplomacy is often required to resolve conflicts, and the lead country can play a pivotal role in facilitating these processes.
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Frequently asked questions
Penholder diplomacy is a term used to describe the continuous leadership of particular members of the UN Security Council on specific issues on the Council's agenda.
The P3, namely France, the UK and the US, are the penholders for most country-specific items.
A penholder decides what action the Council should take and drafts an outcome document that is negotiated with other permanent members before being shared with elected members.
The penholdership system has been criticised for limiting the opportunities for other Council members to draft outcome documents and exert influence over the Council's decision-making.
The penholders are self-designated rather than being appointed by the Security Council.
