Failed state
Encyclopedia
The term failed state is often used by political commentators and journalist
s to describe a state
perceived as having failed at some of the basic conditions and responsibilities of a sovereign
government. In order to make this definition more precise, the following attributes, proposed by the Fund for Peace
, are often used to characterize a failed state:
Often a failed nation is characterized by social, political, and/or economic failure.
Common characteristics of a failing state include a central government so weak or ineffective that it has little practical control over much of its territory; non-provision of public services; widespread corruption and criminality; refugees and involuntary movement of populations; and sharp economic decline.
The level of government control required to avoid being considered a failed state varies considerably amongst authorities. Furthermore, the declaration that a state has "failed" is generally controversial and, when made authoritatively, may carry significant geopolitical consequences.
A state could be said to "succeed" if it maintains, in the words of Max Weber
, a monopoly on the legitimate use of physical force
within its borders. When this is broken (e.g., through the dominant presence of warlord
s, paramilitary
groups, or terrorism
), the very existence of the state becomes dubious, and the state becomes a failed state. The difficulty of determining whether a government maintains "a monopoly on the legitimate use of force", which includes the problems of the definition of "legitimate", means it is not clear precisely when a state can be said to have "failed."
The problem of legitimacy can be solved by understanding what Weber intended by it. Weber clearly explains that only the state has the means of production necessary for physical violence (politics as vocation). This means that the state does not require legitimacy for achieving monopoly on having the means of violence (de facto
), but will need one if it needs to use it (de jure
).
Typically, the term means that the state has been rendered ineffective and is not able to enforce its laws uniformly because of (variously) high crime rates, extreme political corruption
, a impenetrable and ineffective bureaucracy, judicial ineffectiveness, military interference in politics, and cultural situations in which traditional leaders wield more power than the state over a certain area. Other factors of perception may be involved. William Easterly
and Laura Freschi have argued that the concept of state failure "has no coherent definition" and is counterproductive.
A derived concept of "failed cities" has also been launched, based on the notion that while a state may function in general, polities at the substate level may collapse in terms of infrastructure, economy and social policy. Certain areas or cities may even fall outside state control, becoming a de facto ungoverned part of the state.
defines a "failed state" as a condition of "state collapse" – i.e., a state
that can no longer perform its basic security and development functions and that has no effective control over its territory and borders. A failed state is one that can no longer reproduce the conditions for its own existence. This term is used in very contradictory ways in the policy community (for instance, there is a tendency to label a "poorly performing" state as "failed" – a tendency the Crisis States Research Centre rejects). The opposite of a "failed state" is an "enduring state" and the absolute dividing line between these two conditions is difficult to ascertain at the margins. Even in a failed state, some elements of the state, such as local state organisations, might continue to exist.
think-tank
Fund for Peace
and the magazine Foreign Policy
, publishes an annual index called the Failed States Index. The list only assesses sovereign states (determined by membership in the United Nations.) Several territories are excluded until their political status and UN membership is ratified in international law. For example, Taiwan
, the Palestinian Territories
, Northern Cyprus
, Kosovo
, and Western Sahara
are not included in the list, even though some are recognized as sovereign states by some nations. Ranking is based on the total scores of the 12 indicators (see below.) For each indicator, the ratings are placed on a scale of 0 to 10, with 0 being the lowest intensity (most stable) and 10 being the highest intensity (least stable). The total score is the sum of the 12 indicators and is on a scale of 0-120.
The indicators are not designed to forecast when states may experience violence or collapse. Instead, they are meant to measure a state's vulnerability to collapse or conflict. All countries in the red (Alert, FSI of 90 or more), orange (Warning, FSI of 60 or more), or yellow (Moderate, FSI of 30 or more) categories display some features that make parts of their societies and institutions vulnerable to failure. Some in the yellow zone may be failing at a faster rate than those in the more dangerous orange or red zones, and therefore could experience violence sooner. Conversely, some in the red zone, though critical, may exhibit some positive signs of recovery or be deteriorating slowly, giving them time to adopt mitigating strategies.
Journalist
A journalist collects and distributes news and other information. A journalist's work is referred to as journalism.A reporter is a type of journalist who researchs, writes, and reports on information to be presented in mass media, including print media , electronic media , and digital media A...
s to describe a state
Sovereign state
A sovereign state, or simply, state, is a state with a defined territory on which it exercises internal and external sovereignty, a permanent population, a government, and the capacity to enter into relations with other sovereign states. It is also normally understood to be a state which is neither...
perceived as having failed at some of the basic conditions and responsibilities of a sovereign
Sovereignty
Sovereignty is the quality of having supreme, independent authority over a geographic area, such as a territory. It can be found in a power to rule and make law that rests on a political fact for which no purely legal explanation can be provided...
government. In order to make this definition more precise, the following attributes, proposed by the Fund for Peace
Fund for Peace
The Fund for Peace is an independent Washington, D.C.-based nonprofit research and educational institution. Founded in 1957, FfP, a non-governmental organization, "works to prevent violent conflict and promote sustainable security.”...
, are often used to characterize a failed state:
- loss of control of its territory, or of the monopoly on the legitimate use of physical forceMonopoly on violenceThe monopoly on violence is the conception of the state expounded by Max Weber in Politics as a Vocation. According to Weber, the state is that entity which claims a monopoly on the legitimate use of violence, which it may therefore elect to delegate as it sees fit...
therein, - erosion of legitimate authority to make collective decisions,
- an inability to provide public services, and
- an inability to interact with other states as a full member of the international communityInternational communityThe international community is a term used in international relations to refer to all peoples, cultures and governments of the world or to a group of them. The term is used to imply the existence of common duties and obligations between them...
.
Often a failed nation is characterized by social, political, and/or economic failure.
Common characteristics of a failing state include a central government so weak or ineffective that it has little practical control over much of its territory; non-provision of public services; widespread corruption and criminality; refugees and involuntary movement of populations; and sharp economic decline.
The level of government control required to avoid being considered a failed state varies considerably amongst authorities. Furthermore, the declaration that a state has "failed" is generally controversial and, when made authoritatively, may carry significant geopolitical consequences.
Definition
There is no clear universal definition of a "failed state".A state could be said to "succeed" if it maintains, in the words of Max Weber
Max Weber
Karl Emil Maximilian "Max" Weber was a German sociologist and political economist who profoundly influenced social theory, social research, and the discipline of sociology itself...
, a monopoly on the legitimate use of physical force
Monopoly on violence
The monopoly on violence is the conception of the state expounded by Max Weber in Politics as a Vocation. According to Weber, the state is that entity which claims a monopoly on the legitimate use of violence, which it may therefore elect to delegate as it sees fit...
within its borders. When this is broken (e.g., through the dominant presence of warlord
Warlord
A warlord is a person with power who has both military and civil control over a subnational area due to armed forces loyal to the warlord and not to a central authority. The term can also mean one who espouses the ideal that war is necessary, and has the means and authority to engage in war...
s, paramilitary
Paramilitary
A paramilitary is a force whose function and organization are similar to those of a professional military, but which is not considered part of a state's formal armed forces....
groups, or terrorism
Terrorism
Terrorism is the systematic use of terror, especially as a means of coercion. In the international community, however, terrorism has no universally agreed, legally binding, criminal law definition...
), the very existence of the state becomes dubious, and the state becomes a failed state. The difficulty of determining whether a government maintains "a monopoly on the legitimate use of force", which includes the problems of the definition of "legitimate", means it is not clear precisely when a state can be said to have "failed."
The problem of legitimacy can be solved by understanding what Weber intended by it. Weber clearly explains that only the state has the means of production necessary for physical violence (politics as vocation). This means that the state does not require legitimacy for achieving monopoly on having the means of violence (de facto
De facto
De facto is a Latin expression that means "concerning fact." In law, it often means "in practice but not necessarily ordained by law" or "in practice or actuality, but not officially established." It is commonly used in contrast to de jure when referring to matters of law, governance, or...
), but will need one if it needs to use it (de jure
De jure
De jure is an expression that means "concerning law", as contrasted with de facto, which means "concerning fact".De jure = 'Legally', De facto = 'In fact'....
).
Typically, the term means that the state has been rendered ineffective and is not able to enforce its laws uniformly because of (variously) high crime rates, extreme political corruption
Political corruption
Political corruption is the use of legislated powers by government officials for illegitimate private gain. Misuse of government power for other purposes, such as repression of political opponents and general police brutality, is not considered political corruption. Neither are illegal acts by...
, a impenetrable and ineffective bureaucracy, judicial ineffectiveness, military interference in politics, and cultural situations in which traditional leaders wield more power than the state over a certain area. Other factors of perception may be involved. William Easterly
William Easterly
William Russell Easterly is an American economist, specializing in economic growth and foreign aid. He is a Professor of Economics at New York University, joint with Africa House, and Co-Director of NYU’s Development Research Institute. He is also a nonresident senior fellow at the Brookings...
and Laura Freschi have argued that the concept of state failure "has no coherent definition" and is counterproductive.
A derived concept of "failed cities" has also been launched, based on the notion that while a state may function in general, polities at the substate level may collapse in terms of infrastructure, economy and social policy. Certain areas or cities may even fall outside state control, becoming a de facto ungoverned part of the state.
Crisis States Research Centre
The Crisis States Research CentreCrisis States Research Centre
The Crisis States Research Centre is based within the Development Studies Institute of the London School of Economics and is funded by a grant from the UK Department for International Development...
defines a "failed state" as a condition of "state collapse" – i.e., a state
Sovereign state
A sovereign state, or simply, state, is a state with a defined territory on which it exercises internal and external sovereignty, a permanent population, a government, and the capacity to enter into relations with other sovereign states. It is also normally understood to be a state which is neither...
that can no longer perform its basic security and development functions and that has no effective control over its territory and borders. A failed state is one that can no longer reproduce the conditions for its own existence. This term is used in very contradictory ways in the policy community (for instance, there is a tendency to label a "poorly performing" state as "failed" – a tendency the Crisis States Research Centre rejects). The opposite of a "failed state" is an "enduring state" and the absolute dividing line between these two conditions is difficult to ascertain at the margins. Even in a failed state, some elements of the state, such as local state organisations, might continue to exist.
Failed States Index
Since 2005 the United StatesUnited States
The United States of America is a federal constitutional republic comprising fifty states and a federal district...
think-tank
Think tank
A think tank is an organization that conducts research and engages in advocacy in areas such as social policy, political strategy, economics, military, and technology issues. Most think tanks are non-profit organizations, which some countries such as the United States and Canada provide with tax...
Fund for Peace
Fund for Peace
The Fund for Peace is an independent Washington, D.C.-based nonprofit research and educational institution. Founded in 1957, FfP, a non-governmental organization, "works to prevent violent conflict and promote sustainable security.”...
and the magazine Foreign Policy
Foreign Policy
Foreign Policy is a bimonthly American magazine founded in 1970 by Samuel P. Huntington and Warren Demian Manshel.Originally, the magazine was a quarterly...
, publishes an annual index called the Failed States Index. The list only assesses sovereign states (determined by membership in the United Nations.) Several territories are excluded until their political status and UN membership is ratified in international law. For example, Taiwan
Taiwan
Taiwan , also known, especially in the past, as Formosa , is the largest island of the same-named island group of East Asia in the western Pacific Ocean and located off the southeastern coast of mainland China. The island forms over 99% of the current territory of the Republic of China following...
, the Palestinian Territories
Palestinian territories
The Palestinian territories comprise the West Bank and the Gaza Strip. Since the Palestinian Declaration of Independence in 1988, the region is today recognized by three-quarters of the world's countries as the State of Palestine or simply Palestine, although this status is not recognized by the...
, Northern Cyprus
Turkish Republic of Northern Cyprus
Northern Cyprus or North Cyprus , officially the Turkish Republic of Northern Cyprus , is a self-declared state that comprises the northeastern part of the island of Cyprus...
, Kosovo
Kosovo
Kosovo is a region in southeastern Europe. Part of the Ottoman Empire for more than five centuries, later the Autonomous Province of Kosovo and Metohija within Serbia...
, and Western Sahara
Western Sahara
Western Sahara is a disputed territory in North Africa, bordered by Morocco to the north, Algeria to the northeast, Mauritania to the east and south, and the Atlantic Ocean to the west. Its surface area amounts to . It is one of the most sparsely populated territories in the world, mainly...
are not included in the list, even though some are recognized as sovereign states by some nations. Ranking is based on the total scores of the 12 indicators (see below.) For each indicator, the ratings are placed on a scale of 0 to 10, with 0 being the lowest intensity (most stable) and 10 being the highest intensity (least stable). The total score is the sum of the 12 indicators and is on a scale of 0-120.
Indicators of state vulnerability
The index's ranks are based on twelve indicators of state vulnerability - four social, two economic and six political.The indicators are not designed to forecast when states may experience violence or collapse. Instead, they are meant to measure a state's vulnerability to collapse or conflict. All countries in the red (Alert, FSI of 90 or more), orange (Warning, FSI of 60 or more), or yellow (Moderate, FSI of 30 or more) categories display some features that make parts of their societies and institutions vulnerable to failure. Some in the yellow zone may be failing at a faster rate than those in the more dangerous orange or red zones, and therefore could experience violence sooner. Conversely, some in the red zone, though critical, may exhibit some positive signs of recovery or be deteriorating slowly, giving them time to adopt mitigating strategies.
Social indicators
- Demographic pressures: including the pressures deriving from high population density relative to food supply and other life-sustaining resources. The pressure from a population's settlement patterns and physical settings, including border disputes, ownership or occupancy of land, access to transportation outlets, control of religious or historical sites, and proximity to environmental hazards.
- Massive movement of refugees and internally displaced peoples: forced uprooting of large communities as a result of random or targeted violence and/or repression, causing food shortages, disease, lack of clean water, land competition, and turmoil that can spiral into larger humanitarian and security problems, both within and between countries.
- Legacy of vengeance-seeking group grievance: based on recent or past injustices, which could date back centuries. Including atrocities committed with impunity against communal groups and/or specific groups singled out by state authorities, or by dominant groups, for persecution or repression. Institutionalized political exclusion. Public scapegoatScapegoatScapegoating is the practice of singling out any party for unmerited negative treatment or blame. Scapegoating may be conducted by individuals against individuals , individuals against groups , groups against individuals , and groups against groups Scapegoating is the practice of singling out any...
ing of groups believed to have acquired wealth, status or power as evidenced in the emergence of "hate" radio, pamphleteering and stereotypical or nationalistic political rhetoric. - Chronic and sustained human flight: both the "brain drainBrain drainHuman capital flight, more commonly referred to as "brain drain", is the large-scale emigration of a large group of individuals with technical skills or knowledge. The reasons usually include two aspects which respectively come from countries and individuals...
" of professionals, intellectuals and political dissidents and voluntary emigration of "the middle class." Growth of exile/expatriateExpatriateAn expatriate is a person temporarily or permanently residing in a country and culture other than that of the person's upbringing...
communities are also used as part of this indicator.
Economic indicators
- Uneven economic development along group lines: determined by group-based inequality, or perceived inequality, in education, jobs, and economic status. Also measured by group-based poverty levels, infant mortality rates, education levels.
- Sharp and/or severe economic decline: measured by a progressive economic decline of the society as a whole (using: per capita income, GNP, debt, child mortality rates, poverty levels, business failures.) A sudden drop in commodity prices, trade revenue, foreign investment or debt payments. Collapse or devaluation of the national currency and a growth of hidden economies, including the drug trade, smuggling, and capital flight. Failure of the state to pay salaries of government employees and armed forces or to meet other financial obligations to its citizens, such as pension payments.
Political indicators
- Criminalization and/or delegitimisation of the state: endemic corruption or profiteering by ruling elites and resistance to transparency, accountability and political representation. Includes any widespread loss of popular confidence in state institutions and processes.
- Progressive deterioration of public services: a disappearance of basic state functions that serve the people, including failure to protect citizens from terrorism and violence and to provide essential services, such as health, education, sanitation, public transportation. Also using the state apparatus for agencies that serve the ruling elites, such as the security forces, presidential staff, central bank, diplomatic service, customs and collection agencies.
- Widespread violation of human rights: an emergence of authoritarian, dictatorial or military rule in which constitutional and democratic institutions and processes are suspended or manipulated. Outbreaks of politically inspired (as opposed to criminal) violence against innocent civilians. A rising number of political prisoners or dissidents who are denied due process consistent with international norms and practices. Any widespread abuse of legal, political and social rights, including those of individuals, groups or cultural institutions (e.g., harassment of the press, politicization of the judiciary, internal use of military for political ends, public repression of political opponents, religious or cultural persecution.)
- Security apparatus as "state within a state": an emergence of elite or praetorian guards that operate with impunity. Emergence of state-sponsored or state-supported private militias that terrorize political opponents, suspected "enemies," or civilians seen to be sympathetic to the opposition. An "army within an army" that serves the interests of the dominant military or political clique. Emergence of rival militias, guerilla forces or private armies in an armed struggle or protracted violent campaigns against state security forces.
- Rise of factionalised elites: a fragmentation of ruling elites and state institutions along group lines. Use of aggressive nationalistic rhetoric by ruling elites, especially destructive forms of communal irredentismIrredentismIrredentism is any position advocating annexation of territories administered by another state on the grounds of common ethnicity or prior historical possession, actual or alleged. Some of these movements are also called pan-nationalist movements. It is a feature of identity politics and cultural...
or communal solidarity (e.g., "ethnic cleansingEthnic cleansingEthnic cleansing is a purposeful policy designed by one ethnic or religious group to remove by violent and terror-inspiring means the civilian population of another ethnic orreligious group from certain geographic areas....
", "defending the faith"). - Intervention of other states or external factors: military or ParamilitaryParamilitaryA paramilitary is a force whose function and organization are similar to those of a professional military, but which is not considered part of a state's formal armed forces....
engagement in the internal affairs of the state at risk by outside armies, states, identity groups or entities that affect the internal balance of power or resolution of the conflict. Intervention by donors, especially if there is a tendency towards over-dependence on foreign aid or peacekeeping missions.
2011
177 states were included in the list, of which 35 were classified as "alert", 88 as "warning", 40 as "moderate", 11 as "sustainable". The worst 20 states are shown below. Change in rank from 2010 is shown in parentheses. There was a tie between Myanmar and Guinea Bissau for 18th. [34-
Somalia (0) -
Chad (0) -
Sudan (0) -
Democratic Republic of the Congo (+1) -
Haiti (+6) -
Zimbabwe (-2) -
Afghanistan (-1) -
Central African Republic (0) -
Iraq (-2) -
Côte d'Ivoire (+2) -
Guinea (-2) -
Pakistan (-2) -
Yemen (+2) -
Nigeria (0) -
Niger (+5) -
Kenya (-3) -
Burundi (+6) -
Guinea-Bissau (+4) -
Myanmar (-2) -
Ethiopia (-3)
2010
177 states were included in the list, of which 37 were classified as "alert", 92 as "warning", 35 as "moderate", 13 as "sustainable". The lowest 20 states are shown below. For the entire ranking see List of countries by Failed States Index. Change in rank from 2009 is shown in parentheses. There was a tie for 19th place between North Korea and Niger.- (0)
- (+2)
- (0)
- (-2)
- (0)
- (+1)
- (-1)
- (0)
- (0)
- (0)
- (+1)
- (-1)
- (+1)
- (+1)
- (+4)
-
Myanmar (-3) - (-1)
- (+2)
- (-2)
- (+4)
2009
177 states were included in the list, of which 38 were classified as "alert", 93 as "warning", 33 as "moderate", 13 as "sustainable". The worst 20 states are shown below. Change in rank from 2008 is shown in parentheses.- (0)
- (+1)
- (-1)
- (0)
- (+1)
- (-1)
- (0)
- (+2)
- (+2)
- (-1)
- (-3)
- (+2)
- Myanmar (0)
- (+12)
- (+3)
- (0)
- (-2)
- (+3)
- (-7)
- (+5)
2008
177 states were included in the list, of which 35 were classified as "alert", 92 as "warning", 35 as "moderate", 15 as "sustainable". The worst 20 states are shown below. Change in rank from 2007 is shown in parentheses.- (+2)
- (-1)
- (+1)
- (+1)
-
Iraq (-3) - (+1)
- (+1)
- (-2)
- (+3)
- (0)
- (-2)
- (+4)
- Myanmar (+2)
- (-3)
- (-2)
- (+2)
- (-1)
- (+10)
- (-1)
- (+5)
2007
177 states were included in the list, of which 32 were classified as "alert", 97 as "warning", 33 as "moderate", 15 as "sustainable". The worst 20 states are shown below. Change in rank from 2006 is shown in parentheses.- (0)
- Iraq (+2)
- (+4)
- (+1)
- (+1)
- (-3)
- (-5)
- (+2)
- (+2)
- (+3)
- (-3)
- (-3)
- (+1)
-
Myanmar (+4) - (+6)
- (+3)
- (+5)
- (+8)
- (-4)
- (N/A)
2006
146 states were included in the 2006 list, of which 28 were classified as "alert", 78 as "warning", 27 as "moderate", 13 as "sustainable". The worst 20 states are shown below. Change in rank from 2005 is shown in parentheses.- (+2)
- (0)
- (-2)
- Iraq (0)
- (+10)
- (+1)
- (-2)
- (+2)
- (+25)
- (+1)
- (+5)
- (-3)
- (+7)
- (-1)
- (+3)
- (-8)
- (-11)
- Myanmar (+5)
- (-2)
- (+15)
2005
2005 was the first year that the Fund for Peace published the list. 76 states were analyzed, of which 33 were classified as "alert" and 43 as "warning" (ratings better than "warning" were not done in this year). The worst 20 are shown below.
See also
- List of countries by Failed States Index
- Rogue stateRogue stateRogue state is a controversial term applied by some international theorists to states they consider threatening to the world's peace. This means meeting certain criteria, such as being ruled by authoritarian regimes that severely restrict human rights, sponsor terrorism, and seek to proliferate...
- OchlocracyOchlocracyOchlocracy or mob rule is government by mob or a mass of people, or the intimidation of legitimate authorities.As a pejorative for majoritarianism, it is akin to the Latin phrase mobile vulgus meaning "the fickle crowd", from which the English term "mob" was originally derived in the...
- Crisis state
- Fragile stateFragile stateA fragile state is a low income country characterized by weak state capacity and/or weak state legitimacy leaving citizens vulnerable to a whole range of shocks....
- Crisis States Research CentreCrisis States Research CentreThe Crisis States Research Centre is based within the Development Studies Institute of the London School of Economics and is funded by a grant from the UK Department for International Development...
- Violent non-state actor
- Pariah statePariah stateA pariah state is one whose conduct is considered to be out of line with international norms of behavior. This term is closely related to the term rogue state.-Definitions:...
- Banana RepublicBanana RepublicBanana Republic is an American clothing brand founded by Mel and Patricia Ziegler in 1978 as a travel-themed clothing company; it has subsequently largely eliminated this tropical or travel-related theme. The company was bought by Gap in 1983...
External links
- Center of Defence Information Resources on Failed States
- The "failed State" and international law - Daniel Thürer, International Review of the Red CrossInternational Review of the Red CrossThe International Review of the Red Cross is a quarterly academic journal published by the International Committee of the Red Cross and Cambridge University Press. The journal aims to serve as a forum for debate, reflection and critical analysis on international humanitarian law, humanitarian...
(December 12, 1999) - Real-Time Event Monitoring for Failed States