Proto-state

A map of the Middle East showing areas controlled by ISIL as of May 2015: a number of major cities in northern Syria and Iraq, and corridors connecting them.
Areas controlled by ISIL, frequently described as a "proto-state", in May 2015

A proto-state, also known as a quasi-state,[1] is a political entity that does not represent a fully institutionalized or autonomous sovereign state.[2]

The precise definition of "proto-state" in political literature fluctuates depending on the context in which it is used. For instance, it has been used by some modern scholars to describe the self-governing British colonies and dependencies that exercised a form of home rule but remained integral parts of the British Empire and subject firstly to the metropole's administration.[3] Likewise, the Republics of the Soviet Union, which represented individual administrative units with their own respective national distinctions, have also been described as proto-states.[2] In more recent usage, the term proto-state has most often been evoked in reference to militant secessionist groups that claim, and exercise some form of territorial control over, a specific region but lack institutional cohesion.[3] Such proto-states include the Republika Srpska and Herzeg-Bosnia during the Bosnian War[3] and Azawad during the 2012 Tuareg rebellion.[4] The Islamic State of Iraq and the Levant is also widely held to be an example of a modern proto-state.[5][1][6][7]

History

The term "proto-state" has been used in contexts as far back as Ancient Greece to refer to the phenomenon that the formation of a large and cohesive nation would often be preceded by very small and loose forms of statehood.[8] For instance, historical sociologist Gary Runciman noted that Greek city-states in classical antiquity such as Athens were initially weak proto-states that later evolved into larger and more centralised political entities.[8] Most ancient proto-states were the product of tribal societies, consisting of relatively short-lived confederations of communities that united under a single warlord or chieftain endowed with symbolic authority and military rank.[8] These were not considered sovereign states since they rarely achieved any degree of institutional permanence and authority was often exercised over a mobile people rather than measurable territory.[8] Loose confederacies of this nature were the primary means of embracing a common statehood by people in many regions, such as the Central Asian steppes, throughout ancient history.[9]

Proto-states proliferated in Western Europe during the Middle Ages, likely as a result of a trend towards political decentralisation following the collapse of the Western Roman Empire and the adoption of feudalism.[10] While theoretically owing allegiance to a single monarch under the feudal system, many lesser nobles administered their own fiefs as miniature "states within states" that were independent of each other.[11] This practice was especially notable with regards to large, decentralised political entities such as the Holy Roman Empire, that incorporated many autonomous and semi-autonomous proto-states.[12]

Following the Age of Discovery, the emergence of European colonialism resulted in the formation of colonial proto-states in Asia, Africa, and the Americas.[13] A few colonies were given the unique status of protectorates, which were effectively controlled by the metropole but retained limited ability to administer themselves, self-governing colonies, dominions, and dependencies.[3] These were distinct administrative units that each fulfilled many of the functions of a state without actually exercising full sovereignty or independence.[13] Colonies without a sub-national home rule status, on the other hand, were considered administrative extensions of the colonising power rather than true proto-states.[14] Colonial proto-states later served as the basis for a number of modern nation states, particularly on the Asian and African continents.[13]

During the twentieth century, some proto-states existed as not only distinct administrative units, but their own theoretically self-governing republics joined to each other in a political union such as the socialist federal systems observed in Yugoslavia, Czechoslovakia, and the Soviet Union.[3][2][15]

Tuareg rebels in the short-lived proto-state of Azawad.

Another form of proto-state that has become especially common since the end of World War II is established through the unconstitutional seizure of territory by an insurgent or militant group that proceeds to assume the role of a de facto government.[5] Although denied recognition and bereft of civil institutions, insurgent proto-states may engage in external trade, provide social services, and even undertake limited diplomatic activity.[16] These proto-states are usually formed by movements drawn from geographically concentrated ethnic or religious minorities, and are thus a common feature of inter-ethnic civil conflicts.[17] This is often due to the inclinations of an internal cultural identity group seeking to reject the legitimacy of a sovereign state's political order, and create its own enclave where it is free to live under its own sphere of laws, social mores, and ordering.[17] The accumulation of territory by an insurgent force to form a sub-national geopolitical system and eventually, a proto-state, was a calculated process in China during the Chinese Civil War that set a precedent for many similar attempts throughout the twentieth and twenty-first centuries.[18] Proto-states established as a result of civil conflict typically exist in a perpetual state of warfare and their wealth and populations may be limited accordingly.[19] One of the most prominent examples of a wartime proto-state in the twenty-first century is the Islamic State of Iraq and the Levant,[20][21][22] that maintained its own administrative bureaucracy and imposed taxes.[23]

Theoretical basis

Territory controlled by the Anti-Fascist Council of Yugoslavia, which established its own proto-state in 1942

The definition of a proto-state is not concise, and has been confused by the interchangeable use of the terms state, country, and nation to describe a given territory.[24] The term proto-state is preferred to "proto-nation" in an academic context, however, since some authorities also use nation to denote a social, ethnic, or cultural group capable of forming its own state.[24]

A proto-state does not meet the four essential criteria for statehood as elaborated upon in the declarative theory of statehood of the 1933 Montevideo Convention: a permanent population, a defined territory, a government with its own institutions, and the capacity to enter into relations with other states.[24] A proto-state is not necessarily synonymous with a state with limited recognition that otherwise has all the hallmarks of a fully functioning sovereign state, such as Rhodesia or the Republic of China, also known as Taiwan.[24] However, proto-states frequently go unrecognised since a state actor that recognises a proto-state does so in violation of another state actor's external sovereignty.[25] If full diplomatic recognition is extended to a proto-state and embassies exchanged, it is defined as a sovereign state in its own right and may no longer be classified as a proto-state.[25]

Throughout modern history, partially autonomous regions of larger recognised states, especially those based on a historical precedent or ethnic and cultural distinctiveness that places them apart from those who dominate the state as a whole, have been considered proto-states.[3] Home rule generates a sub-national institutional structure that may justifiably be defined as a proto-state.[26] When a rebellion or insurrection seizes control and begins to establish some semblance of administration in regions within national territories under its effective rule, it has also metamorphosed into a proto-state.[27] These wartime proto-states, sometimes known as insurgent states, may eventually transform the structure of a state altogether, or demarcate their own autonomous political spaces.[27] While not a new phenomenon, the modern formation of a proto-states in territory held by a militant non-state entity was popularised by Mao Zedong during the Chinese Civil War, and the national liberation movements worldwide that adopted his military philosophies.[18] The rise of an insurgent proto-state was sometimes also an indirect consequence of a movement adopting Che Guevara's foco theory of guerrilla warfare.[18]

Secessionist proto-states are likeliest to form in preexisting states that lack secure boundaries, a concise and well-defined body of citizens, or a single sovereign power with a monopoly on the legitimate use of military force.[28] They may be created as a result of putsches, insurrections, separatist political campaigns, foreign intervention, sectarian violence, civil war, and even the bloodless dissolution or division of the state.[28]

Proto-states can be important regional players, as their existence impacts the options available to state actors, either as potential allies or as impediments to their political or economic policy articulations.[27]

List of modern proto-states

This list is incomplete; you can help by expanding it.

Constituent proto-states

Current

Proto-stateParent stateAchieved statehoodSinceSource
 Adjara  GeorgiaNo 1921 [3]
 Adygea  RussiaNo 1922 [3]
 Åland  FinlandNo 1921 [3][29]
 Altai Republic  RussiaNo 1922 [3]
 Aosta Valley  ItalyNo 1948 [3]
 Aruba  NetherlandsNo 1986 [3]
Ashanti GhanaNo1957[30]
 Azad Kashmir  PakistanNo 1949 [3]
 Azores  PortugalNo 1816 [3]
 Balochistan  PakistanNo 1947 [3]
 Bashkortostan  RussiaNo 1919 [3]
 British Virgin Islands United KingdomNo1960[3]
 Bougainville  Papua New GuineaNo 2001 [3]
 Buryatia  RussiaNo 1923 [3]
 Canary Islands  SpainNo 1816 [3]
 Catalonia  SpainNo 1978 [3]
 Cayman Islands United KingdomNo1962[3]
 Chechnya  RussiaNo 1922 [3]
 Chin State  MyanmarNo 1949 [3]
 Christmas Island  AustraliaNo 1958 [3]
 Chuvashia  RussiaNo 1920 [3]
 Cook Islands  New ZealandNo 1888 [3]
 Corsica  FranceNo 1978 [3]
 Curaçao  NetherlandsNo 1816 [3]
 Dagestan  RussiaNo 1921 [3]
 Easter Island  ChileNo 1944 [3]
 Euskadi  SpainNo 1978 [3]
 Falkland Islands United KingdomNo1833[3]
 Faroe Islands  DenmarkNo 1816 [3]
 Flanders  BelgiumNo 1970 [3]
 French Polynesia  FranceNo 1847 [3]
 Friuli-Venezia Giulia  ItalyNo 1963 [3]
 Gagauzia  MoldovaNo 1991 [3]
 Galicia  SpainNo 1978 [3]
 Gaza Strip Israel
 Palestine		De facto1994[note 1]
 Greenland  DenmarkNo 1816 [3]
 Guam  United StatesNo 1816 [3]
 Guernsey United KingdomNo1204[3]
Indian reservations  United StatesNo [3]
 Ingushetia  RussiaNo 1924 [3]
 Iraqi Kurdistan IraqDe facto1991[32]
 Isle of Man United KingdomNo1828[3]
 Jersey United KingdomNo1204[3]
 Jubaland SomaliaNo2001[note 2]
 Kabardino-Balkaria  RussiaNo 1921 [3]
 Kachin State  MyanmarNo 1949 [3]
 Kalmykia  RussiaNo 1920 [3]
 Karachay-Cherkessia  RussiaNo 1922 [3]
 Karelia  RussiaNo 1923 [3]
 Kayah State  MyanmarNo 1949 [3]
 Kayin State  MyanmarNo 1949 [3]
 Khakassia  RussiaNo 1934 [3]
 Khyber Pakhtunkhwa  PakistanNo 1947 [3]
 Komi Republic  RussiaNo 1922 [3]
 Kosovo  SerbiaDe facto 2008 [3]
 Madeira  PortugalNo 1816 [3]
 Mari El  RussiaNo 1920 [3]
 Marquesas Islands  FranceNo 1844 [3]
 Montserrat United KingdomNo1632[3]
 Mon State  MyanmarNo 1949 [3]
 Mordovia  RussiaNo 1934 [3]
 New Caledonia  FranceNo 1853 [3]
 Northern Ireland  United KingdomNo 1922 [3]
 Northern Marianas  United StatesNo 1899 [3]
 North Ossetia-Alania  RussiaNo 1921 [3]
 Nunavut  CanadaNo 1999 [3]
 Palestinian National Authority IsraelDe jure1993[35]
 Puerto Rico  United StatesNo 1816 [3]
 Punjab, Pakistan  PakistanNo 1947 [3]
 Puntland SomaliaNo1998[36]
 Quebec  CanadaNo 1816 [3]
 Republika Srpska  Bosnia-HerzegovinaNo 1995 [3][37]
 Saint Helena United KingdomNo1834[3]
 Sardinia  ItalyNo 1816 [3]
 Sakha Republic  RussiaNo 1922 [3]
 Scotland  United KingdomNo 1816 [3]
 Shan State  MyanmarNo 1949 [3]
 Sicily  ItalyNo 1816 [3]
 Sindh  PakistanNo 1947 [3]
 Sint Maarten  NetherlandsNo 1848 [3]
 Svalbard  NorwayNo 1992 [3]
 Tatarstan  RussiaNo 1920 [3]
 Temotu  Solomon IslandsNo 1981 [3]
 Trentino-Alto Adige/Südtirol  ItalyNo 1948 [3]
 Turks and Caicos United KingdomNo1973[3]
 Tuva  RussiaNo 1911 [3]
 Udmurtia  RussiaNo 1920 [3]
 United States Virgin Islands  United StatesNo 1816 [3]
 Wales  United KingdomNo 1816 [3]
 Wallonia  BelgiumNo 1970 [3]
 Zanzibar  TanzaniaNo 1964 [3]

Former

Proto-stateParent stateAchieved statehoodDatesSource
 Bophuthatswana  South AfricaDe jure 1977–1994 [38]
Bosnia-Herzegovina  YugoslaviaYes 1943–1992 [15]
 Ciskei  South AfricaDe jure 1981–1994 [38]
Crimea  UkraineDe facto 1991–2014 [39]
Croatia  YugoslaviaYes 1943–1991 [15]
 Czech Socialist Republic  CzechoslovakiaYes 1969–1993 [28]
 East Caprivi  South AfricaNo 1972–1989 [38]
 Gazankulu  South AfricaNo 1971–1994 [38]
 Hereroland  South AfricaNo 1970–1989 [38]
 KaNgwane  South AfricaNo 1972–1994 [38]
 Kavangoland  South AfricaNo 1973–1989 [38]
 KwaNdebele  South AfricaNo 1981–1994 [38]
 KwaZulu  South AfricaNo 1981–1994 [38]
 Lebowa  South AfricaNo 1972–1994 [38]
Macedonia  YugoslaviaYes 1944–1991 [15]
Montenegro  YugoslaviaYes 1945–1992 [15]
 Ovamboland  South AfricaNo 1973–1989 [38]
 QwaQwa  South AfricaNo 1974–1994 [38]
 Russian SFSR  Soviet UnionYes 1917–1991 [2]
Serbia  YugoslaviaYes 1945–1992 [15]
Singapore Singapore  MalaysiaYes 1963–1965 [3]
 Slovak Socialist Republic  CzechoslovakiaYes 1969–1993 [28]
Slovenia  YugoslaviaYes 1945–1991 [15]
South Africa South West Africa (Namibia)  South AfricaYes 1915–1991 [40]
South Sudan Southern Sudan  SudanYes 2005–2011 [41]
 Transkei  South AfricaDe jure 1976–1994 [38]
 Trucial States  United KingdomYes 1820–1971 [42]
Turkestan ASSR  Russian SFSRNo 1918–1924 [43]
 Venda South AfricaDe jure1979–1994[38]

Secessionist and insurgent proto-states

Current

Proto-stateParent stateAchieved statehoodSinceSource
Al-Shabaab SomaliaNo2009[5]
Allied Democratic Forces Democratic Republic of the Congo
 Uganda		No1996[44]
Ansar al-Sharia (Yemen) YemenNo2011[5]
 Donetsk People's Republic UkraineDe facto2014[45]
Hezbollah LebanonNo1982[46]
Islamic State of Iraq and the Levant Islamic State (ISIL) Iraq
 Syria		No2013[24]
 Luhansk People's Republic UkraineDe facto2014[45]
Nagorno Karabakh Republic AzerbaijanDe facto1991
Democratic Federation of Northern Syria  SyriaPartial 2013 [47]
 Sahrawi Republic MoroccoPartial1976

[48]

 Somaliland SomaliaDe facto1991[25]
South Ossetia GeorgiaDe facto1991
Transnistria MoldovaDe facto1990
Southern Transitional Council YemenNo2017
Afghanistan Taliban AfghanistanNo2002[49]

Former

Proto-stateParent stateAchieved statehoodDatesSource
Al-Nusra Front SyriaNo2012–2017[5]
Ansar al-Islam IraqNo2001–2003[5]
Angola PortugalYes1961–1975
Ansar al-Sharia (Libya) LibyaNo2014–2017[5]
Ansar Dine MaliNo2012–2013[5]
Russia Armed Forces of South Russia RussiaNo1919–1920[50]
 Azawad MaliNo2012–2013[4]
Islamic State of Iraq and the Levant Boko Haram Nigeria
 Cameroon		No2013–2015[5]
Chechen Ichkeria RussiaNo1991–2000[25]
 Chinese Soviet RepublicTaiwan ChinaNo1931–1937[18]
Communist ChinaTaiwan ChinaYes1927–1949[18]
FARC ColombiaNo1964–2017[49]
Groupe islamique armé AlgeriaNo1993–1995[5]
Croatian Republic of Herzeg-Bosnia Herzeg-Bosnia Bosnia-HerzegovinaNo1991–1996[3]
 Hyderabad State IndiaNo1947–1948[3]
Idel-Ural StateRussia RussiaNo1917–1918[51]
Republic of Ireland Irish Republic United KingdomYes1919–1922[52]
Jamiat-e Islami AfghanistanNo1982–1989[53]
Republic of Kosova Serbia and MontenegroNo1992–1999[54]
 Jubaland SomaliaNo1998–2001[33]
Junbish-e Milli AfghanistanNo1992-1997[55]
Liberated Yugoslavia Croatia
Occupied Serbia		Yes1942–1945[56]
 Mozambique PortugalYes1964–1974[note 3]
Revolutionary Vietnam South VietnamNo1969–1976

[48]

Republika Srpska Bosnia-HerzegovinaNo1991–1995[3]
Red Spears' rebel area in Dengzhou ChinaNo1929[57]
Serbian Krajina CroatiaNo1991–1995[58]
Sudetenland  CzechoslovakiaNo 1918–1938 [59]
Liberia "Taylorland" or Greater Liberia LiberiaNo1990–1995/97[note 4]
Tamil Tigers Sri LankaNo1983–2008[49]
UNITA AngolaNo1975–2002[62]

See also

Notes and references

Annotations

  1. ↑ Although officially controlled by the Palestinian National Authority, the Gaza Strip is administered separately and has achieved its own unique sub-national status as a Palestinian proto-state.[31]
  2. ↑ Jubaland declared itself independent of Somalia in 1998.[33] It technically rejoined Somalia in 2001 when its ruling Juba Valley Alliance became part of the country's Transitional Federal Government. However, Jubaland has continued to persist as a more or less autonomous state.[34]
  3. ↑ The erosion of Portuguese military control over northern Mozambique during the Mozambican War of Independence allowed local guerrillas to establish a proto-state there, which survived until the war ended in 1974. Home to about a million people, the miniature insurgent proto-state was managed by FRELIMO's civilian wing and was able to provide administrative services, open trade relations with Tanzania, and even supervise the construction of its own schools and hospitals with foreign aid.[16]
  4. ↑ In course of the First Liberian Civil War, the Liberian central government effectively collapsed, allowing warlords to establish their own fiefs. One of the most powerful rebel leaders in Liberia, Charles Taylor, set up his own domain in a way resembling an actual state: He reorganized his militia into a military-like organization (split into Army, Marines, Navy, and Executive Mansion Guard), established his de facto capital at Gbarnga, and created a civilian government and justice system under his control that were supposed to enforce law and order. The area under his control was commonly called "Taylorland" or "Greater Liberia" and even became somewhat stable and peaceful until it largely disintegrated in 1994/5 as result of attacks by rival militias. In the end, however, Taylor won the civil war and was elected President of Liberia, with his regime becoming the new central government.[60][61]

References

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  40. ↑ Hague Academy of International Law (1978). Recueil des cours: Collected courses of the Hague Academy of International Law. Alphen aan den Rijn: Sijthoff and Noordhoff, Publishers. pp. 100–101. ISBN 90-286-0759-5.
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  51. ↑ Roberts, Glenn (2007). Commissar and Mullah: Soviet-Muslim Policy from 1917 to 1924. Boca Raton: Universal Publishers. p. 14. ISBN 978-1581123494.
  52. ↑ Suzman, Mark (1999). Ethnic Nationalism and State Power: The Rise of Irish Nationalism, Afrikaner Nationalism and Zionism. Basingstoke: Macmillan Press. pp. 144–145. ISBN 978-0312220280.
  53. ↑ Defence Journal. Ikram ul-Majeed Sehgal, 2006, Volume 9-10 Collected Issues 12(9)-12 (10) page 47.
  54. ↑ Statement of Albanian PM Sali Berisha during the recognition of the Republic of Kosovo, stating that this is based on a 1991 Albanian law, which recognized the Republic of Kosova Archived April 20, 2012, at the Wayback Machine.
  55. ↑ https://www.independent.co.uk/news/people/profiles/rashid-dostum-the-treacherous-general-9224857.html
  56. ↑ Laqueur, Walter (1997). Guerrilla Warfare: A Historical and Critical Study. Piscataway, New Jersey: Transaction Publishers. p. 218. ISBN 978-0765804068.
  57. ↑ Bianco (2015), p. 6.
  58. ↑ Glaurdic, Josip (2011). The Hour of Europe: Western Powers and the Breakup of Yugoslavia. New Haven: Yale University Press. p. 149. ISBN 978-0300166293.
  59. ↑ Gilbert, Martin; Gott, Richard (1967). The Appeasers. London: Weidenfeld & Nicolson.
  60. ↑ Dwyer 2015, pp. 39, 40, 62.
  61. ↑ Lidow 2016, pp. 116–130.
  62. ↑ Beck, Theresa (2013). The Normality of Civil War: Armed Groups and Everyday Life in Angola. Frankfurt: Campus Verlag GmbH, Publishers. pp. 83–84. ISBN 978-3593397566.

Bibliography

  • Bianco, Lucien (2015). Peasants without the Party: Grassroots Movements in Twentieth Century China. Abingdon-on-Thames, New York City: Routledge. ISBN 978-1563248405.
  • Dwyer, Johnny (2015). American Warlord. A true story. New York City: Vintage Books.
  • Lidow, Nicholai Hart (2016). Violent Order: Understanding Rebel Governance through Liberia's Civil War. Cambridge: Cambridge University Press.
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