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The Sovereign
African State Is Dead . . . Long Live The State!
Reflections On The ‘Collapsed State’ Debate
Ndiva
Kofele Kale (1)
INTRODUCTION
The image of nation-states in various stages of disintegration has become
evocative of Africa’s identity as the sprawling Sahara Desert or the awesome
River Nile. Indeed persistent and perennial problems of governance,
instability and security problems in some African countries (2),
have given a semblance of legitimacy to this image. This unflattering
view of the continent has now taken on the trappings of a ‘religious’
movement among some Euro-American social scientists and their African
converts. (3) Those among them who subscribe to this
cult of “State Watching” have as their principal preoccupation one of
talking and writing about the post-colonial African State, trying to predict
which among them will follow the same tragic path as Congo and Sierra
Leone, and wondering whether all of Africa is not on the endangered list
of states with finite life spans (4) and therefore
on the verge of extinction. (5)
Since no
religion is complete without its own dogma, its own liturgy, so
too the cult of state watching has produced a special lexicon which it
employs almost exclusively to describe the post-colonial African state.
These descriptions are interspersed with references to: “artificial” states;
“failed” states; “collapsed” states; “quasi” states; “ramshackle” states;
“marginal” states. (6) In short, states that
are allowed to exist only out of a misplaced sense of international courtesy
because they never were nor ever would have been eligible for sovereign
statehood status had classical rules of international law applied
to them. (7)
Talking
of this new “state watching” movement reminds one of the frustrated African
policy maker who in exasperation cried out this prayer: “From the hands
of Euro-American Africanists, deliver us O Lord!” In a similar vein, one
scholar in discussing tribalism which like the nation-state has been presented
as one of the curses of Africa, (8) raised a problematic
that is central to our discussion of state collapse in Africa. Archie
Mafeje observed that few western authors have been able to write about
Africa without making some reference to “tribalism.” So, he inquired whether
“tribe and tribalism” constitute the distinguishing features of our continent?
Or, whether they are “merely the reflection of the system of perceptions
of those who write on Africa, and of their African ‘converts’? Objective
reality is very difficult to disentangle from subjective perception, almost
in the same way as concepts in the social sciences are hard to purify
of all ideological connotations. Might not African history,” he asked
“written, not by Europeans but by Africans themselves, have employed different
concepts and told a different story? If so, what would have been the theoretical
explanation?” (9)
II. DECONSTRUCTING
THE LANGUAGE OF STATE COLLAPSE
Any serious discussion of the problem of state decay involves a process
of restructuring African reality. And as is frequently the case, re-sculpting
this reality produces its own set of blinkers or ideological predispositions.
And these predispositions surely affect the way we see and describe the
post-colonial African state. (10) It is therefore
crucial that as we peer into this reconstructed reality through the lenses
of others, we do not forget the question Mafeje asked of “tribalism”:
if Africans were to write about the plight of the post-colonial
African state, whether they would employ different concepts and ultimately
arrive at a different conclusion from the one currently in vogue. (11)
With this
in mind, our first task is fairly straightforward: it is to de-construct
the language of the state watchers’ cult and to purify it of any ideological
odor. This we are compelled to do for two reasons.
First, because
it is imperative that African scholars begin to assert autonomy and proprietorship
over their research agenda and to vigorously challenge monopolistic attempts
by outsiders to define their political reality taking as their cue Frantz
Fanon’s challenge to the African intelligentsia five decades ago: “each
generation must out of relative obscurity discover its mission, fulfill
or betray it.” (12) African scholars risk betraying
their mission when they accept without question labels thrust on them
by outsiders. The fact that external experts, no matter how well-intentioned,
tell us that post-colonial states are in a free fall because they never
should have been granted sovereign status in the first place, does not
necessarily make that true. And repeating this mantra over and over again
will not make it any more true. While the craving for external validation
and acceptance can at times be overwhelming that is not reason enough
for African scholars to cave into Western imposed ideas and concepts.
To be called the most loyal and obedient pupils of our Euro-American masters
can hardly be a badge of honor!
Secondly,
deconstruction of language is necessary because the implications flowing
from the conclusion that almost all African states are on the endangered
list verging on imploding at any moment are grave for the future of Africa
and Africans. Let me dwell a bit on this second point.
A. Four
Implications
1.
The Congenital Defect Argument
To the extent that it is true that the post-colonial state has proved
unsustainable, then it carries the dangerous implication of an Africa
whose genetic make-up, if you please, has reduced Africans to a state
where they are simply incapable of constructing stable, enduring and sustainable
state systems. The vocabulary used to describe this perceived African
reality is laden with words designed to project the worst features of
the African condition: disorganization, dislocation, decay, decomposition,
breakdowns, anarchy, regression. All these words suggest a state of no
return.
2.
The Strongman as Savior Fallacy
An Africa littered with collapsing states provides just the kind of excuse
that some people need to go out in search of an African strongman leader
whose mission is to extricate the state from this mess and put back the
house in order. Such has been the experience of Congo where a Laurent
Desire Kabala dramatically burst into the scene in the summer of 1997
(mention should also be made of Address Deb. of Chad, Liberia’s Charles
Taylor). In instances where no one steps forward as a Simon Bolivar or
a George Washington, the strongman is simply invented and imposed: Aidid
of Somalia; Kabila, Jr. of Congo.
3.
The "sans moi, le déluge" Threat
Closely related to the strongman as savior argument is the tendency by
some African leaders to cynically use the specter of an imminent collapse
of the state system as an excuse to extract favors from the West and buy
time for their discredited regimes. These beleaguered leaders whose policies
directly contribute to the state of disorder in their countries then turns
around to exploit it in order to bolster their claims of indispensability.
Their Western friends in turn, largely for reasons of expediency, have
been only too willing to accommodate them. Mobutu was the classic master
of the sans moi, le déluge threat, the African version of Louis
14th “après moi, le déluge.” Mobutu adroitly used the
threat of an apocalypse as well as his “ties to foreign governments to
exploit their concerns about the possible state collapse in Zaire and
instability in Central Africa.” (13) Although there
was clear evidence of total collapse of bureaucratic capacity and patrimonial
control in Mobutu’s Zaire, this did not stop his Western allies whose
strategic interests were riding on a Mobutu at the helm, to allow him
to manipulate them into believing that it was the state system in all
of Central Africa that was on the verge of collapse.
Another
example that also comes to mind is the alliance Samuel Doe struck with
the United States. In his excellent study on “warlordization” of
African states, William Reno reveals how Doe on the verge of losing his
writ over the Liberian state quickly discovered that the interests of
foreign officials in strong states could be translated into cash. In no
time Doe got the United States government to “pay him $400 million for
a vague commitment to multiparty elections, which helped him weather Liberia’s
declining value as a strategic asset as the Cold War wound down and U.S.
interest in Liberia diminished.” (14) In the Liberian
and Zaire cases the West opted for pragmatism over ideological concerns
and allowed itself to be hoodwinked into a bogus claim that these states
would collapse without the steady hands of the incumbent leaders who clearly
had no interest in promoting democratic reforms.
4.
The Frightening Appeal of External Re-colonization Argument
Recent calls for re-colonizing Africa have been fueled by the belief that
the post-colonial state can no longer survive, partly because Africans
just do not have the ability to sustain the state system. In a 1995 brief
notice that appeared in CODESRIA Bulletin with the provocative title:
“Decaying Parts of Africa Need Benign Colonization,” Ali Mazrui (15)
publicly staked his name and reputation to an idea that many students
of African politics, including some in this room, only broach sotto voce.
Much of “contemporary Africa” Mazrui observed in that piece “is in the
throes of decay and decomposition. Even the degree of dependent modernization
achieved under colonial rule is being reversed.” “The successive
collapse of the state in one African country after another... suggest
a once unthinkable solution: recolonization.” Expanding on this
solution: “While Africans have been quite successful in uniting to achieve
national freedom, we have utterly failed to unite for economic development
and political stability. War, famine and ruin are the post colonial legacy
for too many Africans. As a result, external recolonization under the
banner of humanitarianism is entirely conceivable. Countries like Somalia
or Liberia, where central control has entirely disintegrated, invite inevitable
intervention to stem the spreading ‘cancer of chaos’.” Mazrui’s
new Africa-centered world order envisions a United Nations-type trusteeship
system like that the UN had over the Congo in the early 1960s, but with
administering powers for the trusteeship coming from Africa or Asia not
just the West: Ethiopia over Somalia; Egypt over Sudan; South Africa over
Angola; a resurgent Zaire over Rwanda and Burundi and so on.
III.
POLITICAL INSTABILITY AND STATE COLLAPSE IN HISTORICAL CONTEXT
First things first: is state collapse the product of political instability?
Put differently, is Africa prone to political instability such that this
threatens the viability and effectiveness of the state system. I
intend to contest the view that state collapse reflects Africa’s endemic
instability. Instead, I will argue that what Africa suffers from is too
much stability and that 40 years have shown that too much stability is
not necessarily a good thing. My assertion that Africa suffers from
too much stability must be placed in context and subject to historical
perspective. That is, viewing Africa against the backdrop of: (a)
its own past history; and (b) in comparison to the past and contemporary
history of the older nation-states of Europe and Latin America.
A. The
Historical Record
Africa’s post-colonial political development when viewed from the perspective
of the continent’s pre-colonial past as written by the Burkinabe, Yambo
Ouloguem’s 1971 bestseller Bound to Violence (le devoir de la violence)]
or viewed through the prism of the Senegalese cinematographer, Sembene
Ousmane, and not the sanitized and romantic recollections of the Basil
Davidsons, the Leopold Sedar Senghors or the Cheikh Anta Diops, what comes
out clearly is a past of protracted conflicts and epic struggles, of turbulence
and mayhem, as despots fought off rival after rival, ruthlessly put down
insurgencies, all in a bid to prolong their hegemony over the African
masses!
1.
A propos Europe: There are simply no parallels in African history which
match the epidemics of civil wars, social disorder and violence that plagued
Europe from the 10th century down to the eve of the first world war.
The map of Europe in 1648 when the Treaty of Westphalia was signed when
compared to that of 1815 at the Congress of Vienna that brought to a close
the Napoleonic wars or to the map of 1918 framed by the Peace of Versailles,
only precious few territorial boundaries have remained unchanged . The
recent break up of the Soviet empire alone gave birth to over a dozen
new sovereign states!
2.
Latin America where the military coup d’Etat as a science was perfected
is a picture perfect case of a region prone to instability. A few examples
will suffice: Venezuela underwent 50 revolutions during the first century
of its independence; Colombia experienced 27 civil wars by 1903; Bolivians
suffered through 60 revolutions and somehow survived, assassinated six
of their presidents in the first 40 years of their independence from Spain.
And by the first 100 years as a sovereign state Bolivia changed presidents
74 times and had gone through 179 revolutions! There simply are no African
parallels to this long history of political turbulence, yet no one is
writing about state collapse in Latin America.
The conclusion
is inescapable that for a majority of states (both old and new) in the
early phase of their political development endured protracted periods
of political instability. Thus, to the extent that post-colonial Africa
is viewed as a region prone to instability, it is not the historical exception.
Contemporaneously,
the record of political instability in the non-African world is hardly
one that inspires envy. For instance, The average life-span of a government
under the 4th French Republic was seven months. Japan has had 11
Prime Ministers in the last 13 years. Italians have grown accustomed to
changing Prime Ministers every year. On average each African state
has changed presidents twice over the last four decades. Nigeria
appears to be the lone exception where the rule of infrequent leadership
turnover has not applied (between Abubakar Tafawa Balewa and Olusegun
Obasanjo II, Nigerians have changed their head of state thirteen times!)
B. An
Ideological Bias
Implicit in the pervading view of a politically unstable Africa is a normative
distaste for instability. This aversion to instability is
fueled by an unspoken assumption that political stability is INTRINSICALLY
GOOD while political instability IS INEXCUSABLY BAD. Houphouet-Boigny,
the founding President of the Ivory Coast, is on record as having drawn
from Goethe when he said: “I prefer injustice to disorder; one can die
of disorder, one does not die of injustice; and injustice can be repaired.”
But what is this stability that the late Houphouet-Boigny preferred and
under whom? At what price can it be obtained? For whose benefit? The stability
of King Leopold’s Congo? Of an apartheid South African state? Of a hermetic
North Korea? The stability of a Nazi concentration camp? Surely, this
type of stability cannot be preferred to the temporary periods of disorder
and chaos that result when this system is challenged or even overthrown.
1.
Why Stability is not Always a Good Thing
There is nothing normatively preferable about stability or distasteful
about instability. I will devote the balance of my paper to exploring
some of the reasons why stability is not always such a good thing. If
political instability is understood in terms of change at the political
center where power reposes and where all the critical decisions are made
then Africa comes out as the most stable region in the world. The contemporary
history of Africa is one where there is little or no movement at the leadership
level. Indeed, the record is one of almost rigor mortis at the helm. (16)
In her 40 years of independence Cameroon has had only two presidents (during
this period ministers were frequently shuffled around. For instance,
President Biya has in his 19 years in office changed his cabinet
25 times with the most recent reshuffle less than a month ago.)
Such changes, notwithstanding, what is true for the overwhelming majority
of African states is that once a President always a President until force
majeure grounds make removal unavoidable. Only south Africa’s Nelson
Mandela’s one term of five years in office breaks this pattern of longevity
at the helm.
Ordinarily
longevity in office would be commendable and reassuring because
it guarantees stability and continuity, certainty and experience under
a political management team whose skills have been tested and proven.
This, however, is not the case in Africa and for several reasons:
1.
First, the problem of “African Absolutism”, i.e., the concentration and
centralization of power in one man, the President. Power is not conferred
on the institution of the Presidency of the Republic but custom-made to
fit whoever becomes the lucky occupant of that office;
2. Secondly, flowing from the first, the appropriation (misappropriation
would be a better word) of the resources of the state by a small clique
headed by the President. We are taking of the unbelievable situation where
in the majority of these countries the entire state budget is reserved
for the discretionary spending of the head of state. Some have referred
to this situation as the patrimonialization of the state. (17)
In Zaire under Mobutu, for example, anywhere between 65% and 95%
of the state budget was reserved for his discretionary spending. (18)
3. Third, as a consequence of (1) and (2), stability and continuity
in office have come to mean no change at all, no growth, no development.
Because a President who is immunized against the principle of checks-and-balances
can easily divert scarce national resources away from development into
non-productive areas and the longer he remains in office the more he is
able to abuse his office for personal gain. These resources are then:
i)
Wasted on vanity projects– such as Mobutu’s transformation of his once
somnolent village Gbadolite into a modern city complete with an international
airport, satellite communications, several presidential palaces protected
by a 15,000 strong praetorian guard with the best stocked weapons arsenal
in Zaire at that time. Gbadolite which employed some 7,000 workers was
maintained as a city-state at an estimated $15 million per month. Or,
the case of the Basilica of Our Lady of Peace built by the late Houphuet-Boigny
in his village of Yamoussoukro at a cost equal to half the Ivoirian national
debt; the Basilica is larger than the Vatican and is said to be able to
hold inside it the entire Catholic population of the Ivory Coast!
ii) Employed to consolidate their hold on power and to extend their hegemonic
control through the use of private militias to fight off political rivals
and potential aspirants to the Presidency– Denis Sassou-Nguesso’s Cobras
vs. Bernard Kolelas’ Ninjas in the Republic of Congo; Charles Taylor’s
National Patriotic Front of Liberia vs. Samuel Doe’s Armed Forces of Liberia;
or Taylor’s NPFL vs. Prince Yormi Johnson’s Independent National Patriotic
Front of Liberia; Foday Sankoh’s Revolutionary United Front vs.
Valentine Strasser’s dissident wing of the Sierra Leonian army vs. Tejan
Kabbah’s soldiers of fortune recruited by Kamajors/Executive Outcomes)
iii) Used to finance patronage obligations as they spread the beneficence
of office to family, cronies, clan, tribe, and the rest of society in
that order.
CONCLUSION
If, and this is an important if, predictions of a systematic collapse
of the territorial African State prove to be true; and if Africa’s intelligentsia
fails to come up with antidotes to arrest the decay and if policymakers
(national and international) lack the political will to administer the
bitter pill required for reviving nonperforming states, then as we contemplate
or imagine the future of our planet, the image that immediately comes
to mind is a frightening one. Looming in the horizon is a world cleaved
into two parts: one ‘world’ comprised of viable sovereign states exercising
the full panoply of rights and privileges due them; the other made up
states only in name appearing only on the political map of our continent;
countries that resemble “aggregations of sub-national groups pursuing
strategies to cope and survive in the absence of effective state authority,”
with a majority of its populations increasingly becoming “detached and
disengaged from interaction with agents or institutions of state authority.”
(19) As Robert Kaplan predicts in his chilling
essay on “The Coming Anarchy,” the ‘world’ of functioning states will
most likely be inhabited by Hegel’s “Last Man”-- healthy, well-fed and
pampered by technology, living, as it were, in a state of triumphant opulence.
The other ‘world’-- the larger one, our ‘world’-- will be populated by
Fanon’s “wretched of the earth” or, if you will, Hobbes’ “First Man,”
condemned to a life that is “poor, nasty, brutish, and short!”
FOOTNOTES
(1)
Ph.D. (Pol.Sci.), Juris Dr. (Northwestern), of the Illinois and Federal
Bars (USA), Attorney & Counselor-at-Law. Professor of Law & Principal
Partner, Motande Chambers; Solicitors & Advocates of the Supreme Court
of Cameroon, Buea. Email: mo_kale@yahoo.com. This paper was first presented
as the keynote address at Ethno-Net Africa (ENA) Conference: “Africa at
Cross-roads– Complex Political Emergencies in the 21st Century,” held
at the Sawa-Novotel, Douala, Cameroon, May 21-23, 2001. Sincere thanks
to Professor Paul Nchoji Nkwi and Dr. Nantang Jua whose gracious invitation
made my participation possible and to Chantal Yimga Kambiwa who read several
drafts of this paper and offered valuable suggestions for improvement.
All errors of fact and interpretation remain the responsibility of the
author.
(2)
Notably Congo Democratic Republic, Liberia, Rwanda, Sierra Leone, Somalia,
to name but the ones that consistently make headline news around the world.
(3)
See e.g., the collection of essays and case studies in Collapsed State:
The Disintegration And Restoration Of Legitimate Authority (I. William
Zartman Ed. 1999); See Also The Collapse Of Ancient States And Civilizations
(Norman Yoffee & George L. Cowgill, Eds. (1988); J.A. Tainter, The
Collapse Of Complex Societies (1988). For some the collapse of the territorial
states of Africa is so total that the continent faces the real risk of
re-colonization. See e.g., Ali Mazrui, Self-Colonisation and the Search
for Pan-Africanism: A Rejoinder, 2 Codesria Bulletin (1995); ______________,
Towards a Benign Recolonisation of the Disintegrating States of Africa,
2 Codesria Bulletin (1995); Archie Mafeje, Recolonisation or Self-Colonisation
and Malignant Minds in the Service of Imperialism, 2 Codesria Bulletin
(1995).
(4)
The death knell of the nation-state was first sounded by Herz who attributed
its demise to the fact that the nation-state was becoming less and less
capable of fulfilling its primary function of providing security for its
inhabitants. As a consequence, people will be forced increasingly to turn
to larger social organizations to ensure their protection. See J. HERZ,
The Rise and Demise of the Territorial State, 9 World Politics 473 (1957).
(5)
Paradoxically while the passing away of the African state is being lamented
by professional mourners in the Africanist establishment, elsewhere, however,
a different set of expert ‘state watchers’ have been reporting sightings
of the territorial State all over the political map. To this group the
sovereign state for all intents and purposes appears to be alive and well
and its victory over all other competitors beyond question.
Hendrik Spruyt devotes an entire ouvrage: The Sovereign State And Its
Competitors (1994), to proving the thesis that over the course of several
centuries sovereign states have become “the sole constitutive elements
of the international system to the exclusion of others,” and the key determinant
of contemporary national and international politics, according to Benedict
Anderson. See Benedict Anderson, Impinged Communities (1983). In
fact the remarkable feature of the modern age, as Chabal correctly observes,
is the durability, rather than the expected demise, of the nation-state.
See Patrick Chabal, Power In Africa: An Essay In Political Interpretation
118 (1994). How can the nation-state be dead and yet be alive?
Perhaps the way to reconcile the two is to treat the term ‘collapse’ as
a metaphor for the disappearance of state as a physical being while its
‘soul’ or ‘spirit’, so to speak, lives on? In any event, what is
certain is that contrasting and conflicting briefs on the health of the
African state reflect the different analytic prisms through which the
subject is examined. It is the goal of this essay to explore various aspects
of the African State debate in order to ascertain the extent to which
reports of its demise are true or exaggerated.
(6)
When does a state cease to exist? What becomes of the stability of legal
obligations when political identities change, is a question that even
Aristotle found necessary to raise and confront as far back in the 4th
century B.C. In his Politics [Bk. III, Ch. 3 (Stephen Everson ed. 1988],
Aristotle posed the problem thus: what happens, he asked, when “the state
is no longer the same,” i.e., when it collapses? The demise of the state
is a subject that has preoccupied international lawyers since the beginning
of the modern state system and for good reason. The range of issues this
raises is addressed in international law under doctrines of succession
[See e.g., Vienna Convention On Succession Of States In Respect Of Treaties,
; see also D. Vagts, State Succession: The Codifier’s View, 33 Va. J Intl
L. 275 (1993).] and state responsibility.[See e.g., Draft Articles On
State Responsibility, adopted by the International Law Commission at its
1642nd meeting, 25 Jul 80. Report of the International Law Commission
on the Work of its 32nd Session 5 May-25 Jul 80. U.N. GAOR, 35th Sess.,
Supp. No. 10, at 59, U.N. Doc. A/35/10 (1981), reprinted in [1978] 2 Y.B.Int’l
L.Comm’n 100, U.N. Doc. A/CN.4/SER.A/1981/Add. 1 (Part 1)].
To an international lawyer, the notion that a state has “collapsed” giving
rise to a power vacuum is difficult to comprehend. For international law
does not recognize the existence of such a vacuum because when a state
ceases to exist it is paradoxically survived by, or incorporated into,
another state. It is this entity that steps into the vacuum, so to speak,
created by the disappearing state (Poland as a state, for example, disappeared
from the political map of Europe for a period of seventy years (1772-1793)
during which time it was divided among Austria, Russia, and Russia).
Simply put, under international law a state dies only to be immediately
resurrected (reincarnated) as another state. The issue of state death
and subsequent resurrection is addressed by the doctrine of continuity
which provides that once a state has come into existence, it continues
to exist until extinguished by absorption into another state. A
few modern examples of changing political identities by absorption or
annexation include: the annexation of the Baltic states of Estonia, Latvia,
and Lithuania by the Soviet Union following World War II; Germany’s absorption
of Austria through the Anschluss of 1939; the short-lived United Arab
Republic (1958-61) between Libya and Egypt; the reunification of the former
British Trust Territory of Southern Cameroons with the Republic of Cameroun
in October 1961 to form the Federal Republic of Cameroon (1961-1972);
the merger of the Republics of Tanganyika and Zanzibar to create Tanzania;
and the recent unification of East and West Germany into 1990. See Sharon
A. Williams & Armand L.C. De Mestral, An Introduction To International
Law, Chiefly As Interpreted And Applied In Canada 93-102 (2d Ed. 1987);
Daniel P. O’connell, 1 State Succession In Municipal Law And International
Law 3-7 (1967); Oscar Schachter, State Succession: The Once and Future
Law, 33 Va. J.I.L. 253, 253-54, 256-58 (1993).
Alternately, the state can cease to exist by dissolution where multiple
states may emerge from a single sovereign state. This is what happened
when Russia, Georgia, Azerbaijan, and the other states emerged from the
Soviet Union dissolved in 1991 or the rise of Slovenia, Bosnia-Herzegovina,
and Croatia from the break-up of Tito’s Yugoslavia. Neither absorption
nor dissolution disturbs any existing legal rights or concomitant legal
duties. The continuity or identity of the international legal personality
of a state is not affected by internal changes in the government whether
are the product of legal or extra-constitutional or revolutionary means.
By the same reasoning, all rights and title to property of the state that
has ceased to exist remain undisturbed. For instance, the issue whether
a change of government extinguished any contractual obligations owed by
the predecessor government was raised in the Tinoco Concessions Arbitration
with respect to the government of General Frederico Tinoco who had come
to power via a military coup in January 1917 only to be thrown out two
years later. The leading powers, including Britain and the United States,
refused to recognize the Tinoco government, and yet, during his tenure
in office, he gave valuable concessions to several British subjects. When
Tinoco was deposed, the successor government abrogated all of the contracts
and concessions made under its predecessor. The British government protested
on behalf of its nationals and brought an international claim. Chief Justice
William Howard Taft of the U.S. Supreme Court, serving as the sole arbitrator,
ruled that even though Britain had declined to recognize Tinoco, that
government was the de facto ruler of Costa Rica and his acts were presumptively
valid, and if Costa Rica wanted then to cancel the contracts, it would
be liable for damages. The change in regime did not affect the contractual
obligations of the Costa Rican state. See U.K. v. Costa Rica, 1 U.N. Rep.
Int’l Arb. Awards, 269 (1929);For the proposition that military coups
were an example of a change in government not a change in statehood,
see also Trans-Orient Marine v. Star Trading & Marine, 731 F.Supp.
619, 621, judgment reversed 925 F.2d 566 (2d Cir. 1991), on remand 783
F.Supp. 297 (S.D.N.Y. 1992). Trans-Orient involved a suit against the
Republic of Sudan for breach of a contract arising from a 5-year exclusive
agency agreement to represent the Sudan in a U.S. agricultural trade development
agency. Sudan raised two grounds as its defense to escape liability for
the contractual obligations of the prior sovereign. First, that it was
the successor state subsequent to two military coups, and second, that
there had been a fundamental change in circumstances (rebus sic stantibus)
[this defense is codified in Article 62 of the Vienna Convention of the
Law of Treaties] following the date of the contract. The court denied
the defendant summary judgment, reasoning that, since the two military
coups effected merely a change of government but did not result in the
establishment of a successor state, and since the defendant failed to
demonstrate fundamental change of circumstances or that the country was
absorbed wholly or partially by another state, the Republic of Sudan was
obligated to honor the contractual obligations of a previous government.
The international law of succession is about the reciprocal legal rights
and legal duties; who is entitled to what? For example, in the wake
of the break-up of the Soviet Union, the question of which of the successor
state should succeed to the U.S.S.R.’s permanent (veto-wielding) seat
on the United Nations Security Council was raised and ultimately decided
in favor of Russia. See David J. Bederman, International Law Frameworks
59 (2001). Who owes what and to whom? State collapse brings these issues
to the forefront. To the international lawyer, a change in the juridical
persona of a state boils down to this fundamental question: when a state
no longer exists who succeeds to its legal rights and legal obligations.
What becomes of its treaty obligations? This question is answered by the
rules developed under the 1978 Vienna Convention On State Succession In
Respect To Treaties. Under the “clean-slate” doctrine, a new state, i.e.,
one resulting from the process of decolonization, begins life with a clean
slate and can pick-and-choose treaty obligations of its former colonial
master that it wishes to assume subject only to the requirements of Article
-- of the Vienna Convention on the Law of Treaties.
Who gets to repay sovereign debts? For instance, Cameroon’s external
debt, i.e., funds owed to multilateral financial institutions such as
the World Bank and the International Monetary Fund , is placed at $730
million.[See International Development Association & International
Monetary Fund, Cameroon: Preliminary Document On The Enhanced Initiative
For Highly Indebted Poor Countries 34 (May 2000)]. Who assumes this debt
when Cameroon, as some expert ‘state gazers’ predict, ceases to exist?
Following the principle of continuity, a change of government does not
relieve the state of obligations incurred by a previous or extinct government.
The state continues to be bound by the acts and engagements of a predecessor
government. In short, from the perspective of international law the question
posed by Aristotle, i.e., when a state is no longer the same, is about
what becomes of existing rights and obligations of the predecessor state.
Are they extinguished or does the successor state succeed to them. On
this point publicists are generally in agreement and the only question
that arises is the extent to which rights and obligations of a disappearing
state are extinguished and subsequently assumed by the surviving
state.
From the perspective of positive law, a State remains a State so long
as it meets all the criteria of statehood prescribed by international
law [Article 1 of the Montevideo Convention]. But failure to satisfy the
Montevideo Convention requirements will not automatically deny statehood
to an entity claiming it:
[A]n entity may qualify as a “state” even if the precise extent of its
population or territory is uncertain, even if it is temporarily without
a government (as may happen in a “civil war,” for example), and even if
it does not manifest complete administration over its foreign relations.
Also, it is clear that a state can continue to exist even if it undergoes
territorial and governmental change, although such changes, if great enough,
may cause its demise and the creation of a new state.[See International
Law And World Order 363 (Burns H. Weston, Richard A. Falk & Hilary
Charlesworth eds. (1999).
For instance, the lack of control over a defined territory and the failure
to exercise effective government are two of the several factors most frequently
included in the definition of a ‘collapsed’ state. The Restatement 3rd
of the Foreign Relations Law of the United States addresses these twin
issues. In its Comment a of section 201, the problem of territorial control
is broached and the position taken is that a state does not lose its status
of statehood even if “all its territory has been occupied by a foreign
power or if it has otherwise lost control of its territory temporarily.”
This is especially true for states that at their birth were involved in
“substantial controversies about their boundaries– e.g., Israel in 1948;
Kuwait in 1963; Estonia, Latvia, and Albania in 1919.” Thus the
fact that an entity’s territorial boundaries are not be fully demarcated,
so long as it they are sufficiently consistent, its claim to statehood
is not affected.
Statehood is equally not lost, as David Bederman correctly observes, because
the State can “satisfy only a very loose standard for having an effective
government, e.g., the Congo (Zaire) in 1960.” We can as well include the
Congo under Kabila père (1997-2001) et fils (2001-), Somalia, and
Sierra Leone.
Another universally accepted criterion of statehood is capacity to engage
in formal relations with other states, i.e., maintaining diplomatic relations.
The Baltic States of Estonia, Latvia, and Lithuania were absorbed into
the erstwhile Union of Soviet Socialist Republics before World War II.
For all intents and purposes, by the act of incorporation these states
ceased to exist as states. However, because the United States refused
to accept Soviet annexation of these countries, it continued to
treat them as states de jure and de facto throughout the period of annexation.
For instance, pre-incorporation treaties between the United States and
these countries were treated as continuing in force by the United States
Government; the United States also treated consular officials of the three
Baltic states as duly accredited; her courts refused to give effect to
Soviet Government nationalization decrees directed at Estonian and Latvian
property in the United States.
(7)
Robert Jackson and Christopher Clapham have become the leading proponents
of this view. In his 1990 treatise entitled Quasi-States: Sovereignty,
International Relations, and The Third World 25 (1990), Jackson puts forth
the bold argument that in the rush to decolonize erstwhile European colonies
in Africa, short shrift was made of the fundamental rules of positive
international law. Ignored were such factors as “balance of power and
self-help”, rules which underpin classical international relations. Had
these basic rules been respected and retained in the determination of
new statehood, fewer countries, Jackson declares, “would have gained independence
and probably many would still be colonies today.” (Emphasis added.). Clapham
echoes this thesis when he in turn refers to a postwar decolonization
pact entered into by European colonial powers in a hurry to divest themselves
of their overseas colonies even though the timing was most inopportune.
In reconstructing that period, Clapham argues that during much of the
post-1945 era in international politics, the community of nations tacitly
agreed not to challenge claims to statehood even in cases where the legitimate
criteria for statehood were hardly met. See Christopher Clapham, Africa
And The International System: The Politics Of Survival 15 (1995).
(8)
See e.g., Basil Davidson, The Blackman’s Burden: Africa And The Curse
Of The Nation-State (1992).
(9)
See Archie Mafeje, The Ideology of ‘Tribalism’, Journal of Modern
African Studies, Vol. 9, No. 2, (August 1971), 253-261.
(10)
While the spotlight has been directed at the crisis of state collapse
in Africa, this phenomenon is by no means unique to the continent but
one that has plagued pre-modern and modern state systems. See generally
The Collapse Of Ancient States And Civilizations (Norman Yoffee &
George L. Cowgill, Eds. 1988; J.A. Tainter, The Collapse Of Complex Societies
(1988).
(11)
They may, for instance, take the view advanced, respectively, by William
Reno and Paul Richards whose field studies in Sierra Leone convinced them
that the state-centered analysis of African politics which focuses almost
exclusively on recent crisis “obscures the long-term relations between
control of informal markets and the exercise of political power in the
context shaped by the country’s place in the global economy.” That what
in fact passes for state collapse is in reality a transformation of the
forms of state power, that is, an alternative institutionalization of
power by the ‘shadow’ state. According to Richards, the shadow state emerges
when elites can “no longer construct effective power relations simply
by controlling institutions of the official state even if they helped
themselves to what remained of foreign aid budgets and stole tax revenues
to reward their clients. The only place effective power relations could
now be built was within a ‘shadow’ state linked to ‘informal markets’
... .” These processes are best seen not as a collapse of the state but
a transformation of the forms of state power. See William Reno, Corruption
And State Politics In Sierra Leone (1995); Paul Richards, Fighting for
the Rain Forest: War, Youth and Resources in Sierra Leone cited in John
Gledhill, Power And Its Desguises: Anthropological Perspectives On Politics
104 (1994).
(12)
Frantz Fanon, The Wretched Of The Earth (1961).
(13)
See William Reno, Warlord Politics And African States, 166 (1999).
(14)
Id., at 87.
(15)
See e.g., Ali Mazrui, Decaying Parts of Africa Need Benign Colonization,
2 Codesria Bulletin (1995); _________________, Self-Colonisation and the
Search for Pan-Africanism: A Rejoinder, 2 Codesria Bulletin (1995); ______________,
Towards a Benign Recolonisation of the Disintegrating States of Africa,
2 Codesria Bulletin (1995); Archie Mafeje, Recolonisation or Self-Colonisation
and Malignant Minds in the Service of Imperialism, 2 Codesria Bulletin
(1995).
(16)
A participant at the Ethno-Net Africa Conference, Dr. Nantang Jua, preferred
the term “stasis” in describing this absence of movement at the top.
(17)
In the discussion that followed my presentation at the Ethno-Net Africa
conference, a participant, Dr. Charly Gabriel Mbock preferred this word
to my “privatization.”
(18)
See World Bank, 1992 World Development Report 238 (1992).
(19)
See Merilee S. Grindle, Challenging The State: Crisis And Innovation In
Latin America And Africa 33 (1996).
©
The ideas and opinions expressed in this article are those of the author
and do not necessarily reflect the views of UNESCO.
©
Les idées et opinions exprimées dans cet article sont
celles de l'auteur
et n’engagent pas la responsabilité de l´UNESCO.
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