International Security 29.2 (2004) 85-120
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New Institutions for Collapsed and Failing States
Stephen D. Krasner
Conventional sovereignty assumes a world of autonomous, internationally recognized, and well- governed states. Although frequently violated in practice, the fundamental rules of conventional sovereignty—recognition of juridically independent territorial entities and nonintervention in the internal affairs of other states—have rarely been challenged in principle. But these rules no longer work, and their inadequacies have had deleterious consequences for the strong as well as the weak. The policy tools that powerful and well-governed states have available to "fix" badly governed or collapsed states—principally governance assistance and transitional administration (whether formally authorized by the United Nations or engaged in by a coalition of the willing led by the United States)— are inadequate. In the future, better domestic governance in badly governed, failed, and occupied polities will require the transcendence of accepted rules, including the creation of shared sovereignty in specific areas. In some cases, decent governance may require some new form of trusteeship, almost certainly de facto rather than de jure.1
Many countries suffer under failed, weak, incompetent, or abusive national authority structures. The best that people living in such countries can hope for is marginal improvement in their material well-being; limited access to social services, including health care and education; and a moderate degree of individual physical security. At worst they will confront endemic violence, exploitative political leaders, falling life expectancy, declining per capita income, and even state-sponsored genocide. In the Democratic Republic of Congo (formerly Zaire), for example, civil wars that have persisted for more than two decades have resulted in millions of deaths. In Zimbabwe the policies of President Robert [End Page 85] Mugabe, who was determined to stay in office regardless of the consequences for his country's citizens, led to an economic debacle that began in 2000 with falling per capita income, inflation above 500 percent, and the threat of mass starvation. In Colombia much of the territory is controlled by the Revolutionary Armed Forces of Colombia (FARC), a Marxist rebel group thatderives most of its income from drug trafficking. In Rwanda more than 700,000 people were slaughtered in a matter of weeks in 1994 as a result of a government-organized genocide.
The consequences of failed and inadequate governance have not been limited to the societies directly affected. Poorly governed societies can generate conflicts that spill across international borders. Transnational criminal and terrorist networks can operate in territories not controlled by the internationally recognized government. Humanitarian disasters not only prick the conscience of political leaders in advanced democratic societies but also leave them with no policy options that are appealing to voters.
Challenges related to creating better governance also arise where national authority structures have collapsed because of external invasion and occupation rather than internal conflict. The availability of weapons of mass destruction and the presence of transnational terrorism have created a historically unprecedented situation in which polities with very limited material capability can threaten the security of much more powerful states. These polities can be conquered and occupied with relative ease, leaving the occupying power with the more challenging task of establishing an acceptable domestic governing structure. Contemporary Afghanistan and Iraq are the obvious cases in point.
Left to their own devices, collapsed and badly governed states will not fix themselves because they have limited administrative capacity, not least with regard to maintaining internal security.2 Occupying powers cannot escape choices about what new governance structures will be created and sustained. To reduce international threats and improve the prospects for individuals insuch polities, alternative institutional arrangements supported by external actors, such as de facto trusteeships and shared sovereignty, should be added to the list of policy options.
The current menu of policy instruments for dealing with collapsed and failing states is paltry, consisting primarily of transitional administration and foreign assistance to improve governance, both of which assume that in more or [End Page 86] less short order, targeted states can function effectively on their own. Nation- building or...