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Fragile States: Defining Difficult Environments for Poverty Reductionand new concepts of sovereignty 8 challenge traditional notions ofstatehood, the core components of statehood can be lost in the debateover definitions.5. State effectiveness lies at the heart of most definitions. Underlying most ofthese definitions is the idea that the state should perform certain essentialfunctions. Whatever differences of scope and emphasis, observers agreethat effective states should be able to exercise power to achieve publicgoods. 9 Thus, ‘difficult environments’, ‘fragile states’ and ‘poorperformers’, are broadly synonymous concepts in that they refer to statesthat fail, in various ways, to provide adequate public goods to their people,including safety and security, public institutions, economic management,and basic social services such as roads and water. These are the minimalor core functions of the state rather than more elaborate policy roles.6. A state’s core functions depend on two structural features. First, that thegovernment is able to exercise effective authority over its sovereignterritory. 10 Second, that the state possesses adequate administrativecapacity, including the personnel, skills, systems, and infrastructure tocarry out its core functions. 11 What is at issue here is what is oftenreferred to as the state’s ‘empirical statehood’ – its ability to projectadministrative and regulatory power – rather than its ‘juridical statehood’as an entity recognised under international law. 12 States that are legallycontested in their boundaries or sovereign status may nevertheless beable to carry out their core functions. On the other hand, there are anumber of entities that fulfil the criteria for statehood under internationallaw 13 , but are unable or unwilling to deliver basic public goods.8 Sørenson (2001), International Commission on Intervention and State Sovereignty (2001),Cooper (2003).9 Rotberg refers to the delivery of ‘political goods’: ‘those intangible and hard to quantifyclaims that citizens once made on sovereigns and now make on states.’ (Rotberg (2004a), 2-3).10 This is a restatement of the classic definition of Max Weber: the state is a politicalcommunity that successfully claims ‘the monopoly of the legitimate use of physical forcewithin a given territory’ (Weber, 1919).11 Cf. Forrest (1994).12 Jackson (1990); see further ODI (2004b)13 The criteria for statehood in international law are expressed in Article 1 of the 1933Montevideo Convention on the Rights and Duties of States: ‘The state as a person ofinternational law should possess the following qualifications: (a) a permanent population; (b) adefined territory; (c) government; and (d) capacity to enter into relations with the other states.’This working paper is intended to stimulate public discussion. It is not necessarilyDFID or UK Government policy7
Fragile States: Defining Difficult Environments for Poverty ReductionBox 1: Global and Local Impact of Fragile StatesWeak and fragile states are associated to varying degrees with the followingimpacts.PovertyConflict andHumanitarianCrisesHumanRightsViolationsGlobalsecuritythreatsOrganisedCrimeReducedglobalprosperityWeakenedinternationalsystems• Little or no progress in achieving the Millennium DevelopmentGoals• Unable to deliver basic social services including water,education, and healthcare• Weak and unresponsive government can lead to civil conflictand inter-state wars• Particularly vulnerable to humanitarian crises caused by civilwar, food insecurity, or natural disasters• Sources of chronic refugee flows placing strain onneighbouring states and international humanitarian response• Fuelling proliferation of conventional weapons and stokingregional conflict• Unable to protect the basic human rights of their citizens,giving rise to unchecked opportunities for murder, rape,slavery, mutilation, extortion, theft, intimidation, anddiscrimination• Weak but repressive regimes may violate rights to stay inpower• Providing safe havens for international terrorists and illicitarms trade• Lacking capacity to detect, investigate, and counter terroristactivity• Ineffective controls on biological, nuclear and radioactivematerials• Serving as bases for international criminal activity, includingthe trafficking of drugs, people, and illegal goods• Production sites for narcotics• Depressing international trade and investment• Unable to provide the regulatory framework and basic securityrequired to promote economic growth• Threats to global energy security where energy production ortransmission is disrupted• Unable to fulfil international obligations -- to protect the globalenvironment, counter infectious disease, contain moneylaundering, and so on• Unable to fulfil obligations to other states in protecting foreignnationals, maintaining effective diplomatic relations, and cooperatingto address global challengesThis working paper is intended to stimulate public discussion. It is not necessarilyDFID or UK Government policy8
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