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Nurturing Dependence: the Role of Patron States in the State and Institution Building Processes of De Facto States

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Nurturing Dependence: the Role of Patron States in the State and Institution Building Processes of De Facto States The London School of Economics and Political Science Nurturing Dependence: The Role of Patron States in the State and Institution Building Processes of De Facto States Till Spanke A thesis submitted to the Department of International Relations of the London School of Economics and Political Science for the degree of Doctor of Philosophy. London, September 2019 Declaration I hereby certify that the work presented in this thesis is solely my own other than where I indicated that it is the work of others. The copyright of this thesis rests with the author. Quotation from it is permitted, provided that full acknowledgement is made. This thesis may not be reproduced without my prior written consent. I warrant that this authorisation does not, to the best of my belief, infringe the rights of any third party. The final word count of the thesis is 98,921 words excluding the appendix and bibliography. 2 Acknowledgements I would like to thank, first and foremost, my supervisor Professor Tomila Lankina, who pushed me and my academic work in new directions and further than I could have imagined. When I think back at my initial PhD proposal for my application to the London School of Economics and Political Science and compare it to the PhD thesis that I submitted four years later, I have to attribute many developments to her. Thank you for your continued feedback, guidance and support throughout my PhD, Tomila. I would also like to express my gratitude to my examiners Kristin Bakke and Helge Blakkisrud for sharing their tremendous insights with me and recommending modifications that ultimately enabled this improved piece of research. The PhD programme at the International Relations Department at the LSE introduced me to a wide range of inspiring people that shaped my way of thinking, provided me with feedback, but most importantly made me laugh and lent an ear to listen. Thank you in particular to Helena (my library companion, who provided me with the structure that I needed to write this PhD by sitting with me in the SOAS library day after day), Pilar, Oksana and Andrew. I hope you know what a positive impact you had on me and that you are aware of your contribution to making academia a kinder, smarter and more mindful space. Thank you for listening to my complaints during coffee breaks and your generous suggestions. I am also very grateful for my friends outside the PhD programme (Juan, Kassandra, Chris, Liisa, the Wonders and so many others) for putting up with me in the last four years and showing me that there is a world beyond this PhD. I want to express my gratitude to my upgrade panellists Federica Bicchi and Uli Sedelmeier for their valuable feedback that inspired me to focus on patron states and for awarding me the Goodwin Scholarship. Thank you also for invaluable feedback from Gökhan Cifliki, Jesse Driscoll, Adrian Florea, George Kyrios, Vincenc Kopeček and many others. Thank you to Irina Busygina and the Higher School of Economics team in Saint Petersburg for welcoming me as a visiting researcher. I had the honour to meet so many helpful and inspiring people during my fieldwork, at conferences (APSA, ASN, MPSA, EISA) and at the ICPSR and ECPR Method Schools. Thank you to all interviewees in Georgia, Abkhazia and Russia for sharing your insights and making this PhD thesis possible. I would not have been able to complete this PhD thesis without the unwavering support of my family and especially my parents and siblings Lea and Pit. Thank you for your belief in me and your interest in my research. Tilda, my goddaughter and newest member of my family, probably is not aware how much she brightens up my world, keeps me motivated and shows me what is important in life. My fiancé Steinar, aka Steinchen, gave me the strength that I needed to pursue this PhD. He allowed me to unwind in the stressful and not so stressful periods of my PhD thanks to his contagious positive attitude, excitement and love. Thank you, Steinar, for supporting me in the last four years, bearing with my ups and downs and expressing your genuine interest in my research and the regions that I study. 3 Abstract De facto states are not the likeliest candidates for state building, due to their limited financial capabilities and external parent state pressures. While some de facto states built relatively stable state structures without an external patron state (e.g. Somaliland), others are largely dependent on the backing of patrons to provide basic public services and goods (e.g. Northern Cyprus). This thesis uncovers the extent to which patron states influence state and institution building efforts of de facto states. A case study of Russian involvement in Abkhazia’s state building pursuits complements statistical analyses of a data set of 34 de facto states between 1945 and 2011. This thesis argues that patrons nurture the dependence of de facto states on patron support by pursuing a multi-layered policy of granting de facto state agency in an international setting of limited alternatives and providing aid that discourages self-sufficiency. Patrons support de facto states in guaranteeing minimal civilian governance to ensure a degree of sustainability and internal legitimacy. Patrons provide little state building assistance beyond this stage to ensure the status quo of dependence. Russia, for instance, concentrates on infrastructural reconstruction rather than capacity development in Abkhazia and takes on government responsibilities from the de facto authorities. By distinguishing between direct and indirect diffusion influences of patrons, this thesis clarifies why Abkhaz elites adjusted their actions according to perceived Russian interests and activities even during Abkhazia’s period of partial isolation. Due to the limited availability of viable alternative choices, de facto regimes are less likely to resist coercive influences and more susceptible to indirect diffusion influences. The agency of dependent de facto states is therefore bound by patron interests and activities, which encourages legislative and institutional isomorphism. Despite limited room for manoeuvre, Abkhazia has repeatedly displayed agency in the fields of language and private property policies. Keywords: De facto states, state building, institution building, public service provision, patron states, Abkhazia, Russian foreign policy 4 Table of Contents Declaration ................................................................................................................................... 2 Acknowledgements ...................................................................................................................... 3 Abstract ........................................................................................................................................ 4 Table of Contents.......................................................................................................................... 5 Glossary of Terms ......................................................................................................................... 8 Index of Tables ............................................................................................................................ 10 Index of Figures .......................................................................................................................... 11 Chapter 1 .............................................................................................................................................. 12 Introduction ..................................................................................................................................... 12 1.1 Research Questions .............................................................................................................. 18 1.2 Literature Review .................................................................................................................. 21 1.2.1 State Building in De Facto States .................................................................................. 21 1.2.2 The Role of Patron States in External State Building .................................................... 23 1.2.2.1 Legitimacy Dynamics in Domestic and External State Building ............................. 26 1.2.2.2 Agency under Dependence ................................................................................... 28 1.3 Argument and Research Outline........................................................................................... 30 Chapter 2 .............................................................................................................................................. 36 A Theoretical Framework ................................................................................................................ 36 2.1 Operationalising State Building ............................................................................................ 38 2.1.1 The State ....................................................................................................................... 38 2.1.2 State Building ................................................................................................................ 41 2.2 State Building in De Facto States .......................................................................................... 47 2.3 Patron States in the State Building Processes of De Facto States ........................................ 55 2.3.1 Legitimacy Dynamics in External State Building Interventions ....................................
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