Lecture notes: Failed states, failed theories

The world used to be a far more interesting place than it is today

  • all kinds of different political entities
  • empires, nomadic peoples, independent cities
  • lot’s of land that didn’t belong to anyone in particular

Today there is only one kind of entity

  • the nation-state
  • only one way to be political in the world
  • everyone wants to be sovereign — non-interference

the same kinds of institutions

  • armies, foreign ministries, seats in the United Nations
  • same kind of paraphernalia: national anthems, flags, currency, internet domain names

the same functions –

  • providing peace and security to their citizens, laws and a judicial system, education, healthcare and a range of other services

The state is the subject of international relations

  • some states are very large and some very small but they all have one vote in the United Nations
  • living under the same anarchic conditions
  • the same formal status — just as individuals

How did it happened that the world became so radically simplified?

  • how did we go from diversity to uniformity?
  • from a world filled with political entities of all different kinds to a world filled only with states?

The nation-state as a European invention

  • a history of maybe 500 years

The model spread because of colonialism

  • but colonialism is the opposite of self-determination

Instead: the way decolonization happened

  • and this is what we are going to talk about today

Fragile state index

 

Transparency International

Lebanon

Central African Republic

One year ago

  • Russian paramilitaries and UN forces

UN forces for 7-8 years

  • rebel fighters
  • lot’s of refugees
  • arms embargo

2013 removed president with battles between Christian and Muslim groups

  • 14 different rebel groups
  • 2 million people need assistance

state of emergency and human rights violations

  • stop movement of rebels in the capital at night
  • disappearances and arbitrary arrests

Francois Bozize was removed in 2013

  • CPC is the rebel coalition

three leaders at the ICC

  • there is no accountability — getting away with murder

Other cases

  • Haiti
  • Somalia
  • and so on

Successful states

  • control defined territories and populations
  • conduct diplomatic relations with other states
  • monopolize legitimate violence within their territories
  • succeed in providing adequate social goods to their populations

Failed states as the dark mirror image

  • lose control over the means of violence
  • cannot create peace or stability for their populations or control their territories
  • cannot ensure economic growth or any reasonable distribution of social goods
  • massive economic inequities, warlordism, and violent competition for resources

Intermediate position:

  • “weak” or “failing” states — constitute much of sub-Saharan Africa

Problems for the international system:

  • humanitarian crises
  • breeding grounds for extremism
  • staging points for organized terrorist groups

Cannot fulfill international obligations

  • enter into or abide by treaties
  • participate in the increasingly dense network of international trade, environmental, or human rights agreements and institutions
  • cannot enforce contracts between their citizens and foreigners or protect settled property interests

International society tries to help out

  • from food aid to the deployment of peacekeeping forces
  • technical assistance
  • temporary international administration of one sort or another

“state and nation-building”

  • fostering diverse political parties
  • strengthening constitutional and legal norms relating to good governance
  • building an independent and effective judiciary
  • reconstituting a professional military and police service
  • holding free and fair elections-all

Failed state as metaphor for the international community

the international community doesn’t work very well either

  • sort of like a filed state writ large
  • it too doesn’t have much state capacity
  • no monopoly on the legitimate use of violence
  • it can’t provide for its people either

but, there was never a world state, so how could it have failed?

  • but there were no states in the former colonies either

creations of colonialism

  • arbitrary borders
  • containing arbitrary collections of people
  • weak administration

during the Cold War

  • these states were propped up by either super-power
  • but afterwards they fell apart

Afghanistan is not a “failed state”

  • it was never a state in the first place

The state as newcomer

the permanence and ubiquity of the nation-state is a mirage

  • sovereignty in early modern Europe
  • the “Westphalian system”

but only in the 19th did it attain control over the societies it claimed to govern

  • cf. technological changes

And creating “nations” was hard work

  • “we have created Italy, now we must create Italians”
  • intense propaganda through schools, museums etc

The state as failure

  • The state is not a particularly successful institution
  • destruction of other social entities
  • destruction of culture and languages
  • Turkey is a great example of cultural destruction

And even if there was peace at home

  • very violent relations between states

the welfare state

  • did some good
  • but welfare states are rare

Perhaps we should not fix the “failed states”

  • perhaps it cannot be done
  • even if it can be done, perhaps it’s not a good thing

Alternatives to the state system

globalization

  • flow of ideas, images, technologies, people, drugs, disease, money, weapons, pollution, and so on makes irrelevant many of the state’s traditional capacities
  • no state today can fully control its borders, run its economy autonomously, or fully shield its citizens from “outside” threats
  • undermines the state

Even the state is not about to disappear

  • some particular states might

The international legal order

  • we should not try to make it more state-like
  • there are “softer” alternatives
  • lex mercatoria etc

alternatives

  • colonies, dependencies, condominia, protectorates, mandates, trusteeships
  • “intermediate sovereignty” — as in Palestine or the Western Sahara

and we could experiment

  • indefinite international administration by the UN
  • indefinite administration by a regional body such as the EU or African Union
  • long-term “partnership” or “affiliation” with one or more “successful” states
  • federation with neighbors, and so on

cf. Leopold Senghor

  • federation with France

objection:

  • this will make “self-determination” impossible
  • but how much self-determination is there today!
  • it might be worth sacrificing self-determination

We need different international structures

  • and they should not be based on states

“colonialism”

  • reevaluate the pejorative meaning
  • it was often a good thing — on balance
  • and it might be a good thing again — if properly set up and managed

Three ways to reclaim colonialism

  • replicate the colonial governments of the past  — Singapore, Belize and Botswana
  • recolonize some areas — encourage Western countries to do it
  • some cases: build Western states from scratch

but it can only work with the consent of the colonized

  • in some cases they might be prepared to give — Lebanon, Sierra Leone, Haiti

“Post-colonial studies” — we must revise the received account

  • colonialism never did anything good
  • but this is obviously not true —

Obvious net benefits

  • expanded education
  • improved public health
  • the abolition of slavery
  • widened employment opportunities
  • improved administration
  • the creation of basic infrastructure
  • female rights
  • enfranchisement of untouchable or historically excluded communities
  • fair taxation
  • access to capital
  • the generation of historical and cultural knowledge
  • national identify formation

Colonized people

  • far more wanted to work with it, live with it, than actually overthrow it
  • at least until the very end
  • not just “European push” but also “indigenous pull”

Anti-colonial thought ravaged the societies they were supposed to protect

  • destroy the market economies
  • pluralistic and constitutional polities
  • the rational policy processes of European colonizers

Guinea-Bissau as an example

  • the celebrated Amilcar Cabral

80 countries became independent after WW2

  • half of them experienced similar traumas
  • the other half “limped on”

the false argument of “colonial legacies”

  • can be used as an excuse for everything, forever

stuck in “protest identities” and grievances

  • instead of doing something productive for their countries and for the world

We should reclaim the colonial past

  • and use that legacy for future changes

Some people said so at the time:

  • Barnes, L. Africa in Eclipse. London: Gollancz, 1971
  • Plamenatz, J. On Alien Rule and Self-Government. London: Longmans, 1960

we need to

  • increase foreign involvement in key sectors in business, civil society and the public sector in order to this bolster this capacity

privatization

  • multinational corporations can be in charge of service provision

recolonize some areas

  • “‘Imperialism doesn’t stop being necessary just because it becomes politically incorrect’”

the liberal institutions of the colonial state

  • best chance of “local ownership”

the biggest problem:

  • how to motivate Western powers to get involved
  • no one is likely to want these headaches

European societies as a whole never made any money on their colonies

  • the benefits of empire were widely diffused while the costs were narrowly borne by the colonial power
  • the real problem with imperialism is not that it is evil, but rather that it is too expensive

but the newly colonized countries

  • pay for their own colonization

recoup those costs through higher foreign investment

  • lower external borrowing costs and greater business confidence
  • but the foreign power cannot be constrained

“The tale of Galinhas

  • “build new Western colonies from scratch”
  • “a small European state would grow up on the African coast”
  • no one there to object

Hechter, The case for foreign rule

The process of decolonization

The state-model did not take over the world because it was superior to other models

  • rather, the state-model won out since it was imposed on the colonies by the colonial powers

Alternatives models were discussed, they were rejected as unrealistic

  • The state-model won by default

Many in the West worried about a world filled with independent states

  • There was no telling what all those natives would do once they established themselves as the leaders of their own countries
  • What if they didn’t behave as the West expected?
  • For example: what if they kicked out the Western oil and mining companies that operated in many of the newly independent countries?
  • What if they started wars with each other? Or what if they started wars with the West?

The presence of a new generation of nationalist leaders did much to allay these fears

  • in one colony after another leaders appeared who promised that they would lead their countries in a responsible manner once the Westerners had left

Despite their anti-Western rhetoric, these leaders were all thoroughly Westernized

  • They had received a Western education, spoke Western languages fluently, and had spent extensive periods of time in the West
  • The colonial powers quickly decided that these were people they could trust
  • So the Westerners left their former colonies in their hands

Basil Davidson, The Black Man’s Burden: Africa and the Curse of the Nation-State, 1993

In “The Black Man’s Burden: Africa and the Curse of the Nation-State,” historian Basil Davidson critically examines the postcolonial trajectory of African nations, particularly scrutinizing the difficulties they face due to the imposition of the European model of the nation-state. Davidson argues that many of the problems confronting African countries—such as ethnic conflict, corruption, and political instability—are inextricably linked to the imposition of this foreign system.

### Key Points:

1. **Historical Context**: Davidson begins by providing a historical background of pre-colonial Africa, emphasizing its complex and multifaceted social, political, and economic systems. He illustrates that these indigenous systems were often more democratic and efficient than generally acknowledged.

2. **Colonial Legacy**: He contends that colonial rule drastically altered the social fabric of African societies. Arbitrary borders were drawn, dividing ethnic communities and lumping diverse groups together, creating tension and conflict that would manifest later.

3. **Imposition of the Nation-State**: Davidson argues that the postcolonial leaders who inherited these artificial states often found themselves trapped in the European model of the nation-state, which was ill-suited to Africa’s complex social and cultural landscape.

4. **Ethnicity and Conflict**: The adoption of the nation-state framework exacerbated ethnic tensions, as it often privileged one ethnic group over others. This led to marginalization, conflict, and in some cases, civil war.

5. **Governance Failures**: The book emphasizes that the failure to adapt governance structures to local conditions and the neglect of indigenous political systems led to weak institutions, corruption, and ineffective governance.

6. **Economic Woes**: Davidson also explores the economic dimensions, stating that the inherited colonial economies—often single-resource-dependent—exacerbated inequality and poverty. The nation-state model failed to address these structural issues.

7. **Crisis of Legitimacy**: The author discusses the ongoing crisis of legitimacy that many African states face, as the imposed nation-state model lacks resonance with large segments of the population, who often feel disconnected from the state apparatus.

8. **Alternative Approaches**: Davidson advocates for a re-examination of indigenous forms of governance and social organization as a possible solution to the curse of the nation-state. He argues that adopting models more in sync with local traditions and needs would be a more effective and legitimate way of governing.

In summary, Basil Davidson’s “The Black Man’s Burden” offers a critical assessment of the challenges facing postcolonial Africa, largely attributing them to the unsuitable imposition of the European model of the nation-state. He calls for a return to, or at least a serious consideration of, indigenous forms of social and political organization as a way to address these challenges.

Frantz Fanon, “The Pitfalls of National Consciousness”

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Fanon, The people of Africa

The Wretched of the Earth, 1963

examines the challenges and shortcomings that newly independent nations face, particularly those in the context of decolonization

  • the national bourgeoisie, who often take over power from the colonial rulers, are ill-equipped for genuine nation-building and social transformation

Key Points:

1. **National Bourgeoisie’s Lack of Qualities**: Fanon describes the national bourgeoisie as a class that lacks the industrial and economic infrastructure to genuinely build the nation. They have neither the ambition nor the ability to carry out significant economic reforms.

2. **Mimicry of Colonial Systems**: Fanon critiques the bourgeoisie for essentially mimicking the colonial structures instead of dismantling them. They often adopt the language, lifestyle, and attitudes of the former colonial rulers, which does little to alleviate the conditions of the masses.

3. **Economic Dependence**: Despite political independence, these nations remain economically dependent on their former colonizers. Fanon argues that the national bourgeoisie often becomes a “comprador” bourgeoisie, essentially serving as middlemen for foreign capital rather than developing their own industries.

4. **Political Unrest and Factionalism**: The lack of material progress leads to political instability. The bourgeoisie attempts to suppress dissent and often resorts to tribalism and regionalism as a way to divide and rule, echoing the strategies of the colonial past.

5. **Role of Intellectuals and Masses**: Fanon calls on the intelligentsia to align themselves with the broader masses rather than the bourgeoisie. He argues that only a radical break with the bourgeoisie and an alignment with the real forces of production (i.e., the working class and peasantry) can bring about genuine national consciousness and development.

6. **Failure to Transform Consciousness**: Fanon laments the failure to replace the colonial mindset with a new form of national consciousness that is constructive and forward-looking. This, he argues, is essential for real independence and development.

7. **Call for Radical Transformation**: Fanon’s ultimate point is that independence is not an end but a beginning. For a nation to truly rise from the wretched conditions left by colonization, there needs to be a radical transformation in economic structures and national consciousness, away from mimicry and towards authentic development.

Dobbins, The Beginner’s Guide to Nation-Building, 2007

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Dobbins – 2007 – Summary

In “The Beginner’s Guide to Nation-Building,” written by James Dobbins and published in 2007, the author provides a comprehensive guide to the practice of nation-building, focusing particularly on the post-conflict reconstruction efforts led or assisted by external powers. Dobbins draws on a variety of case studies and empirical evidence to provide a pragmatic framework for how to approach the complex task of rebuilding a nation after conflict or regime change.

1. **Defining Nation-Building**: Dobbins starts by clarifying what nation-building entails, describing it as a broad spectrum of activities ranging from restoring order, rebuilding institutions, delivering humanitarian aid, to promoting governance and development.

2. **Case Studies and Lessons**: He incorporates historical and contemporary case studies, such as Germany and Japan after WWII, as well as more recent efforts in Bosnia, Kosovo, Afghanistan, and Iraq, to derive best practices and lessons learned.

3. **Phased Approach**: Dobbins advocates for a phased approach that starts with restoring security and ensuring basic human needs. He argues that without a stable security environment, other tasks such as governance reform, economic development, and building civil society cannot be effective.

4. **Local Ownership**: Emphasizing the importance of local participation and ownership, Dobbins cautions against imposing external solutions. He argues that the legitimacy and effectiveness of reconstruction efforts are substantially higher when the local populace is engaged in the process.

5. **Resource Commitment**: Dobbins stresses the need for adequate resource allocation, both in terms of manpower and financial resources, to achieve long-term objectives. He notes that under-resourcing nation-building efforts can lead to failure and may necessitate even greater commitments in the future.

6. **Time Factor**: The author points out that nation-building is a long-term commitment and warns against expecting quick results. He indicates that effective nation-building requires sustained efforts over many years, if not decades.

7. **Multilateralism**: Finally, Dobbins recommends international or multilateral involvement to share the burdens and responsibilities. Such partnerships can bring in more resources, as well as greater legitimacy to the nation-building process.

In summary, James Dobbins’ “The Beginner’s Guide to Nation-Building” serves as a practical handbook for policymakers and practitioners involved in post-conflict reconstruction. It consolidates historical experiences and contemporary challenges to offer a structured approach to nation-building, stressing the importance of a phased strategy, adequate resources, local ownership, and multilateral cooperation for successful outcomes.