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Twenty Years of de facto State Studies: Progress, Problems, and Prospects
Abstract
State by Scott Pegg in 1998, the first book-length substantive theoretical attempt to investigate the phenomenon of de facto states—secessionist entities that control territory, provide governance, receive popular support, persist over time, and seek widespread recognition of their proclaimed sovereignty and yet fail to receive it. Even though most de facto states are relatively small and fragile actors, in the intervening years the study of de facto or contested or unrecognized statehood has expanded dramatically. The de facto state literature has contributed significantly to the growing recognition that the international system is far more variegated than is commonly perceived. An initial focus on the external relations of de facto states has increasingly given way to a newer focus on their internal dynamics and domestic state-building processes and on how a lack of sovereign recognition conditions but does not prohibit their democratic, institutional, and political development. Perhaps most notably, there has been an explosion in detailed empirical research based on original data, which has greatly enriched our understanding of these entities. Alas, the subfield of de facto state studies is also characterized by recurrent problems. There has been an extensive proliferation of different terms used to describe these entities, and much fighting has erupted over precise definitions, resulting in limited scholarly progress. Fundamentally, there remains a continued failure to reach agreement on the number of these entities that exist or have existed since 1945. The nuanced and empirically rich academic literature has also largely failed to advance journalists or policymakers' understanding of de facto states. Yet, the prospects for de facto state studies remain bright. More diverse comparative work, renewed attention to how engagement without recognition might facilitate the participation of unrecognized entities in international politics, a renewed focus on parent state strategies, and increased attention to de facto states and conflict resolution are areas deserving of greater scholarly attention.
... The article challenges this conclusion and submits that, even in the absence of international recognition, international law can make a real and meaningful impact in de facto states. 1 Such change is subject to conditions, which are not always in place in de facto states. However, one 1 A vast literature exists on the precise nature of de facto states, which has reached no consensus on what is the best name for these entities and what are their most important defining characteristics ( O'Beachain, Comai, and Tsurtsumia-Zurabashvili 2016 ;Pegg 2017 ). This article adopts Toomla's (2016) definition of a de facto state, namely an entity that largely looks and behaves like a state, but has not received widespread international recognition. ...
... First, the de facto states' paramount objective for recognition makes them especially susceptible to international pressure ( Pegg 2017 ). Directly engaging with the international community, even just by receiving and responding to advice, allows de facto states to counter their image as puppet regimes and present themselves as democratic and rights-respecting entities that deserve recognition ( Caspersen 2011a ;2018 , 375). ...
... Similar economic restrictions exist in de facto states. Policymakers are well aware of the fact that violence might reescalate again ( Pegg 2017 ), which makes it necessary to maintain high military budgets ( Caspersen 2011a ;Adamides 2018 ;Rosler et al. 2021 ). This decision comes at the cost of improved welfare services, including in the combatting of human trafficking ( Kolstø 2006 ). ...
This article argues that, even in the absence of international recognition, international law can make a real and meaningful impact in de facto states. Such impact can come about through engagement without recognition, which should be understood, not as a shadowy practice that takes place in the fringes of international law, but as a strategy that is fully compatible with international legal standards. The article makes this argument by relying on a detailed analysis of relevant case law of the European Court of Human Rights. It further proposes that reconceptualizing engagement without recognition can have important practical consequences in the fight against human trafficking, which has received regrettably limited attention by policymakers in de facto states.
... De facto states, entities that achieve a certain level of statehood without legal international recognition, rely significantly on external patronage for their sustained existence, even when exhibiting operational efficiency and internal legitimacy. Over the three decades since the conclusion of the Cold War, which witnessed the emergence of numerous present-day secessionist de facto entities, the field of de facto state studies has undergone significant evolution in character and principal themes (Pegg, 2017). However, the literature on external patronage within de facto states faces substantial challenges in conceptualising these complex dynamics (Biermann, 2014). ...
... However, the literature on external patronage within de facto states faces substantial challenges in conceptualising these complex dynamics (Biermann, 2014). Notably, when Pegg (2017) summarised key themes and advancements in de facto state literature over the past two decades, PCR did not emerge prominently as a central theme. ...
This paper delves into the dynamics of patron-client relationships within the context of Iraqi Kurdistan, examining how the Kurdish leadership navigates and manages multiple patron relationships. It also examines the 2017 referendum for independence in Kurdistan as a crisis case study, shedding light on its impact on the patron-client relationship between the US and Kurdistan. Employing interviews with policymakers and researchers, complemented by on-the-ground observations, the paper underscores the importance of delving into a client’s perspectives toward its multiple patrons. Extending beyond the specific case of Kurdistan, this paper aspires to make conceptual contributions to the understanding of complex multiple patron settings, with a particular emphasis on elucidating the autonomy exercised by the client in navigating an intricate web of patrons.
... In 1983, the Turkish Cypriot leadership unilaterally declared independence, establishing the Turkish Republic of Northern Cyprus (Kuzey Kıbrıs Türk Cumhuriyeti, TRNC). This entity was not recognised by the international community (with the exception of Turkey), and to this day still functions as a de facto statei.e. an entity which has declared independence but which in the eyes of the international community remains illegitimate and unrecognised (see, e.g., Pegg 2017;Ker-Lindsay and Berg 2018). Various examples of such entities created by unilateral secession can be found (for example Abkhazia, South Ossetia, Transnistria, or Somaliland), and the approach taken by the large majority of actors in the international community can be characterised as political and economic ostracisation with the aim of depriving separatism of support. ...
This study explores the problems related to university teaching and academic research within de facto states in the context of their non-recognition via an analysis of the current situation in the higher education sector of Northern Cyprus. It reveals that although Northern Cyprus is a world leader in terms of the number of universities per capita, as well as the proportion of international students and the proportion of higher education students in its population, its higher education system nevertheless faces numerous problems. Among the most serious of these are the inconsistent and often very low quality of Northern Cyprus’s universities, the politicisation of and lack of confidence in the accreditation authorities responsible for the quality and sustainability of the higher education system, and the unregulated activities of “agents” who recruit new students.
How do domestic civil society organisations (CSOs) in Kosovo, Taiwan and Palestine engage internationally, circumventing obstacles caused by absence of universal recognition and United Nations (UN) membership? We address this question by comparatively analysing the activities of these "lightweights" and integrating two streams of research on CSOs and de facto states. Conceptually, the article engages with the actorness of domestic CSOs, by highlighting a range of methods utilised to facilitate de facto states' international interactions and mobilise international support. We focus on specific issue areas and types of activities, highlighting various forms of CSO engagement with different audiences and the themes they seek to convey-such as state recognition, sovereignty and self-determination-through their outreach efforts. It appears that CSOs create a united front with de facto states' foreign policy institutions and make some efforts to affect international affairs by drifting across (non)recognition settings. ARTICLE HISTORY
Iraq has been among the Middle Eastern countries most challenged by long episodes of armed conflict over the past half century. Nevertheless, the Iraqi state – which many analysts and politicians derogatively called a “failed state” – did not succumb, but the functions, which it could temporarily no longer exercise, were assumed by other actors. While the state did not cease to exist, the very notions of statehood and sovereignty underwent significant changes. One of these actors, which managed to consolidate its position over time by transforming both its own statehood as well as Iraq's in more general terms, is the Kurdistan Region of Iraq (KRI), which emerged as a want-to-be-state in early 1991. Over the past three decades, despite not having achieved any formal recognition by any UN member state, the KRI has managed to continuously consolidate its limited statehood, however, to the detriment of its often ailing parent-state, Central Iraq. As research on want-to-be-states in international relations is nascent, there are only a few studies investigating the interactions between want-to-be-states and their parent states they aim to detach from. This paper addresses this gap by examining the dynamics between the KRI and Iraq over four distinct phases (1991–1996; 1996–2005; 2005–2014; 2014–2020). Using Krasner's (1999, 2004) conceptualization of domestic, Westphalian, and international sovereignty, the paper analyzes how the KRI has consolidated its statehood along these axes and how these actions have influenced its relationship with Central Iraq. The goal is to identify factors that foster cooperation and those that exacerbate historical conflicts between the two entities. The analysis is based on official documents, archival sources, and empirical data from extensive fieldwork in the KRI conducted in 2019 and 2022. The findings presented are part of a larger PhD project.
На фоне общемировых тенденций рассматриваются основные направления, методические подходы и наиболее яркие результаты исследований в области геополитики и политической географии в 2011-2021 гг. Происходит широкая интеграция политической географии с сопредельными научны-ми направлениями. Российская политическая география и в значительно меньшей степени геопо-литика опираются на широкий спектр концепций, известных в мировой литературе. Исследовате-ли, работающие в этих областях, оперативно откликаются на актуальные внешнеполитические и иные вызовы, в том числе пандемию коронавирусной инфекции. Особое внимание в статье уделено геополитическим публикациям о повороте российской внешней политики на восток и концепции Большой Евразии. С начала 2010-х годов в России получила более широкое распространение теория критической геополитики, оперирующая не умозрительными рассуждениями, а большими масси-вами информации, анализируемыми с помощью современных количественных методов. Растет по-ток исследований государственных границ и пограничья. Большое место в этих публикациях зани-мают работы, посвященные растущим градиентам в темпах и направлениях экономического разви-тия между странами бывшего СССР. Сдвиги в тематике исследований границ связаны с более глубоким изучением проблем безопасности. Многие работы отражают стремление в ухудшившейся обстановке сохранить позитивный опыт приграничного сотрудничества между российскими и ев-ропейскими партнерами. Наибольшее число российских публикаций по регионализации на разных пространственных уровнях посвящено Балтийскому бассейну. Множится число исследований тер-риториальных конфликтов и сепаратизма. Российские географы и представители смежных наук внесли существенный вклад в изучение проблем неконтролируемых территорий и постсоветских непризнанных (частично признанных) государств. Конфликты вокруг непризнанных (частично признанных) государств на постсоветском пространстве рассматриваются в связи с их внутренними различиями, сложным составом, перипетиями формирования и идентичностью населения, влия-нием на соседние районы России и в исторической ретроспективе. Ключевые слова: геополитика, политическая география, Россия, Большая Евразия, пограничные ис-следования, сепаратизм, непризнанные государства ВВЕДЕНИЕ Геополитика рассматривалась в СССР вплоть до последних лет его существования как реакци-онная буржуазная наука, нацеленная на обосно-вание экспансии международного империализ-ма, а политическая география оставалась перифе-рийной областью общественной географии, развивавшейся почти исключительно на матери-алах зарубежных стран. Бурные политические со-бытия периода распада Советского Союза-по-иск новыми независимыми государствами своего места на политической карте мира и строитель-ство идентичности, вспышка этнотерриториаль-ных конфликтов и острые дискуссии о проблемах границ, первые демократические выборы и про-екты реформ государственного устройства и ад-министративного деления-вызвали всплеск внимания к геополитике и политической геогра-фии. 1990-е годы были отмечены быстрым ростом числа публикаций в этих областях, их авторы бы-ли далеко не только и часто даже не столько гео-графы, сколько политологи и особенно бывшие УДК 910.1
If Armenian and Azerbaijani negotiators ever agree on the future status of Nagorno-Karabakh, it will not necessarily resolve the long-running conflict, because any peace treaty would require the consent of the Karabakh Armenians, whose political representatives are currently excluded from peace negotiations. It is difficult to imagine the Karabakh Armenians consenting to such a treaty without a change in their perception of the Azerbaijanis. According to the theory of conflict transformation/peacebuilding, Nagorno-Karabakh’s civil society should be able to make a contribution to this change. Using the example of four Nagorno-Karabakh civil society organisations, this study shows how they positively or negatively influence conflict transformation.
The internationally unrecognized ‘Republic of Somaliland’ presents a case in which the domestic drivers of peace and development may be examined when aid and other forms of international intervention are not significant variables. The relative autonomy of its peace process offers an alternative perspective on post-conflict transitions to that offered in the majority of the literature, which instead problematizes either the perverse outcomes or unintended consequences of international interventions in conflict-affected areas. The purpose of this article is not to establish the salience of Somaliland's relative isolation in its ability to achieve peace and relative political order, as this is already documented in the literature. Rather, it explores the ways in which that isolation fostered mutual dependence between powerful political and economic actors for their survival and prosperity. It uses a political settlements framework to probe the implications of this dependence for western statebuilding interventions in post-conflict situations. The findings present a challenge to orthodox assumptions about how states transition out of conflict, particularly that: greater vertical inclusivity necessarily strengthens a political settlement; effective Weberian institutions are a prerequisite of an enduring peace; and that external assistance is usually necessary to end large-scale violence in developing states or to prevent a recurrence of the conflict.
Has 20 years of separation between the Republics of Moldova and Pridnestrovie (Transnistria, PMR) generated a division in attitudes and beliefs in the two populations? Using near-simultaneous social scientific surveys from the summer of 2010 in the two republics, we measured four localized geopolitical divides: the local economies, historical memories, political legitimacies, and geopolitical orientations. Our findings challenge the notion that Moldovas territorial disunion has produced separate experiential and attitudinal worlds. Complicating geopolitical commentary that locates an East-West fault-line running through Moldova, we find that separateness has not created an attitudinal chasm, but prospects of ending the separation are not supported by the surveys.
This book investigates a phenomenon in world politics that is largely overlooked by scholars, namely entities lacking international recognition of their status as independent states. It includes case studies on the Eurasian Quartet, Kosovo, Somaliland, Palestine, Northern Cyprus, Western Sahara and Taiwan.
Although being considered illegal entities and largely ignored, de facto states have received some extent of acceptance such as foreign representations short of embassies located in their capitals. This paper examines the conditions which lead to this informal engagement measured by the number of foreign representations to the contested states. We study the position of non-recognised states in the international system and the factors that condition this position. Using fuzzy-set Qualitative Comparative Analysis, this paper establishes sufficient and/or necessary conditions that lead to more informal diplomacy between established states and their non-recognised counterparts using data from eight cases.
One of the principal problems facing many Third World states has been the inability to consolidate power over a defined piece of territory. This failure has, in turn, led to a disjuncture between international assumptions about how states operate and the reality of how and from where power is exercised. In order to understand this gap, scholars have formulated an array of concepts from “quasi” states to “shadow” states to “collapsed” states and contrasted them with states and processes of state formation in Europe. Quasi-states, for example, exist largely on the basis of their juridical nature. It is the international community’s willingness to disregard their empirical qualities (or lack thereof) and instead formally recognize their existence that has allowed them to sustain themselves. As Robert Jackson, Jeffrey Herbst, and Charles Tilly each acknowledge, prior to 1945, these kinds of states—ones with weak administrative structures and divided populations—would have been swallowed up by much stronger powers.1
This article explores the functions of the high levels of violence, insecurity and isolation that have characterised the Gali district of Abkhazia since the end of the 1992–1993 Abkhaz War. It traces their trajectories in a 20-year timeframe, explaining the demographic and economic peculiarities of the case. It argues that violence and isolation were used to deepen the economic, social and political disenfranchisement of the Georgian/Mingrelian population within Abkhazia, which in turn served wider economic and political goals.
De facto states are conventionally perceived as illegal entities, usually ignored by the rest of the world and therefore also isolated and severely sanctioned in most cases. We investigate US foreign-policy engagement with Abkhazia, Nagorno-Karabakh, Northern Cyprus, Somaliland, and Transnistria and explore when, why, and how interactions between the United States and “places that do not exist” has taken place. This is done by extensively using WikiLeaks diplomatic cables from 2003– to 2010 as a primary information source. We assume that by engaging and not recognizing, the US has sought to increase its leverage and footprint in conflicts that somehow affect its national interests. This engagement approach is presumably most successful when targeted adversaries turn out to be agents of peace and stability, or when strategic calculus outweighs the rationale for the conventional treatment of sovereign anomalies.
This article focuses on how unrecognised states have tried to establish themselves domestically and internationally, and on the efforts of base states designed to counter these initiatives. Having provided an overview of the main features of post-Soviet unrecognised states, we examine the political systems found in these territories, focusing on their presidents, parliaments, and elections. We then focus on how unrecognised states strive to strengthen themselves through support from abroad, in spite of international isolation. Finally, we debate the strategies enacted by base states to counter such efforts and deny international legitimacy and recognition to these entities.