Chapter Four

State, Government and Citizenship

4.1. Definition of State

Various concepts and words have many definitions and explanations. Thus, state
can be defined as:

 It is an organized body of people occupying defined territory and living

under government entirely free from external control. This single definition
of state comprises those four basic elements of state (population, territory,
government and sovereignty).
 It is an institution through which the dynamics of politics is organized and
formalized.
 A political association that establishes sovereign jurisdiction within defined
territorial border and exercise authority through a set of permanent
institutions.
 A totality of a country’s governmental institutions and officials.

4.1.1. Approaches of State

1) Functionalist Approach: state focus on the role or purpose of state institutions.
The central function of the state is always seen as the maintenance of social
order. In this approach, state defined as a set of institutions that uphold order
and deliver social stability.
2) Organizational Approach: defines the state as the apparatus of government
and set of institutions that are recognizably ‘public’, in that they are responsible
for the collective organization of social existence and are funded at the public’s
expense. State comprises the various institutions of government: the
bureaucracy, the military, the police, the courts, and the social security system
and so on.
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3) International Approach: views state as a primary actor on the world stage and
the basic unit of international politics. State has the ability to provide protection
against external attack. The classic definition of the state in international law is
found in the Montevideo Convention on the Rights and Duties of the State
(1933). According to Article 1 of the Montevideo Convention, the state has
four features: a defined territory, permanent population, an effective
government and sovereignty.
4.1.2. Elements of State

All states around the world contain four essential elements. Without these elements
it is difficult to consider a particular area as ‘state’. These include the following
elements:

1. Population: Refers to a total number of people in a specific area. It is obvious

that without population we cannot define any state. The size of the population is
not important as the same to society. Thus, we have such China with its nearly
1 billion citizens and small country like Nauru in south pacific with a
population of slightly over 6,000. The homogeneity and heterogeneity of a
given state is also not matter a good examples are Ireland with homogeneity
and Ethiopia with heterogeneity.
2. Territory: Refers to the primordial boundary or delimitation of specific area.
Territory is also indispensable to the existence of a state. For a people to
organize itself as a state, it is necessarily that they be permanent settled in a
territorial area to which they hold perpetual claim. As with the population states
vary in size of their territory. While states with large territories do have
political, economic and geographical advantages, there are many states with
very small territorial areas, e.g. Russia Vs Djibouti.
3. Government: Is the agent that acts in the name of the state to promote and
safeguard the interest of its population and maintain its territorial boundaries.

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 Government is not identical and continuous with the state since, the state is
usually permanent and continuous. Government can be changed, altered,
modified, or totally obliterated. But, this change or end of government does not
bring any change of the state.
4. Sovereignty: Implies that the government of the state has absolute and final
legal authority over all matters and it is not subjected to any power outside of
itself. It means the state is the final and ultimate source of all laws with its
territorial jurisdiction. This supreme power applies both to domestic or internal
as well as to foreign or external affairs.
A. Internal sovereignty: Refers to a state’s government not those of any
other states deciding how it will manage its domestic affairs, problems,
and formulates its own laws and rules. In other words, it means that
inside the state there can be no other authority that may claim equality
with it.
B. External sovereignty: Implies to the concept that the certain country
should be free from external control of any kind and its right to define
its interests and decides what its objectives are to be, the priorities
among these objectives.
In addition to the above essential attributes of the state agreed in the 1933, the
contemporary political theorists and the UN considered recognition as the fifth
essential attribute of the state. This is because, for a political unit to be accepted as
a state with an ‘international personality’ of its own, it must be recognized as such
by a significant portion of the international community.
4.1.3. Rival Theories of State

There are various rival theories of the state, each of which offers a different
account of its origins, development and impact on society. Andrew Heywood
(2013) classified the rival theories of state into four: the pluralist state, the
capitalist state, the leviathan state and the patriarchal state.

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1) Pluralist State: It stems from the belief that the state acts as an ‘umpire’ or
‘referee’ in society. Institutions such as the courts, the civil service and the
military being seen as independent actors in their own right, rather than as
elements of a broader state machine. This approach seen state as an impartial
arbiter or referee that can be bent to the will of the government of the day. The
origins of this view of the state can be traced back to the social-contract theories
of thinkers such as Thomas Hobbes and John Locke. They argued that the state
had arisen out of a voluntary agreement, or social contract, made by
individuals who recognized that only the establishment of a sovereign power
could safeguard them from the insecurity, disorder and brutality of the state of
nature
2) Capitalist State: This view has usually been understood in terms of the classic
formulation that the state is nothing but an instrument of class oppression: the
state emerges out of, and in a sense reflects, the class system. State is clearly
dependent on society and entirely dependent on its economically dominant
class, which in capitalism is the bourgeoisie. Marx had seen the state as an
instrument through which the economically dominant class (by then, the
proletariat) could repress and subdue other classes. All states, from this
perspective, are class dictatorships. The ‘dictatorship of the proletariat’ was
seen as a means of safeguarding the gains of the revolution by preventing
counter-revolution mounted by the dispossessed bourgeoisie.
3) Leviathan State: The image of the state as a ‘leviathan’ (in effect, a self-
serving monster intent on expansion and aggrandizement) is one associated in
modern politics with the New Right. Such a view is rooted in early or classical
liberalism and, in particular, a commitment to a radical form of individualism.
The New Right portrays the state as an independent or autonomous entity that
pursues its own interests. In this view, bureaucratic self-interest invariably
supports ‘big’ government and state intervention, because this leads to an

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 enlargement of the bureaucracy itself, which helps to ensure job security,
improve pay, open up promotion prospects and enhance the status of public
officials.
4) Patriarchal State: Modern thinking about the state must, finally, take account
of the implications of feminist theory. However, this is not to say that there is a
systematic feminist theory of the state. Liberal feminists, who believe that
sexual or gender equality can be brought about through incremental reform,
have tended to accept an essentially pluralist view of the state. They recognize
that, if women are denied legal and political equality, and especially the right to
vote, the state is biased in favor of men. Argument draws on the core feminist
belief that patriarchy is rooted in the division of society into distinct ‘public’
and ‘private’ spheres of life, men dominating the former while women are
confined to the later
4.1.4. The Role of the State

There is profound disagreement about the exact role the state should play, and
therefore about the proper balance between the state and civil society. Among the
different state forms that have developed are the following:

1. Minimal states: The minimal state is the ideal of classical liberals, whose

aim is to ensure that individuals enjoy the widest possible realm of freedom.
The state is merely a protective body, its core function being to provide a
framework of peace and social order within which citizens can conduct their
lives as they think best. The ‘minimal’ or ‘night watchman’ state with three
core functions. First—the state exists to maintain domestic order. Second—
it ensures that contracts or voluntary agreements made between private
citizens are enforced. Third—it provides protection against external attack.
The institutional apparatus of a minimal state is limited to a police force, a
court system and a military of some kind. Economic, social, cultural, moral

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 and other responsibilities belong to the individual, and are therefore firmly
part of civil society. Examples of minimal states were those in countries
such as the UK and the USA during the period of early industrialization in
the 19th C.
2. Developmental states: A developmental state is one that intervenes in

economic life with the specific purpose of promoting industrial growth and
economic development. Economic development has been achieved through
the construction of a ‘partnership state’, in which an emphasis is placed on
the maintenance of a close relationship between the state and major
economic interests, notably big business and organized labor. E.g. Japan,
Germany, Austria, and East Asia countries.
3. Social-democratic states: Whereas developmental states practice
interventionism in order to stimulate economic progress, social-democratic
states intervene with a view to bringing about broader social restructuring,
usually in accordance with principles such as fairness, equality and social
justice. The social-democratic state is that there is a shift from a ‘negative’
view of the state, which sees it as little more than a necessary evil, to a
positive view of the state, in which it is seen as a means of enlarging liberty
and promoting justice.
State tends to focus less upon the generation of wealth and more upon the
equitable or just distribution of wealth. In practice, this is an attempt to
eradicate poverty and reduce social inequality. The adoption of welfare
policies has led to the emergence of so called ‘welfare states’, whose
responsibilities have extended to the promotion of social well-being amongst
their citizens. In this sense, the social-democratic state is an ‘enabling state’,
dedicated to the principle of individual empowerment.
4. Collectivized states: While developmental and social-democratic states

intervene in economic life with a view to guiding or supporting a largely

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 private economy, collectivized states bring the entirety of economic life
under state control. The best examples of such states were in orthodox
communist countries such as the USSR and throughout Eastern Europe.
These sought to abolish private enterprise altogether, and set up centrally
planned economies administered by a network of economic ministries and
planning committees.
So-called ‘command economies’ were therefore established that were
organized through a system of ‘directive’ planning that was ultimately
controlled by the highest organs of the communist party. The justification
for state collectivization stems from a fundamental socialist preference for
common ownership over private property.
5. Totalitarian states: The most extreme and extensive form of
interventionism is found in totalitarian states. The essence of totalitarianism
is the construction of an all-embracing state, the influence of which
penetrates every aspect of human existence. The state brings not only the
economy, but also education, culture, religion, family life and so on under
direct state control. The best examples of totalitarian states are Hitler’s
Germany and Stalin’s USSR, although modern regimes such as Saddam
Hussein’s Iraq arguably have similar characteristics.
6. Religious states: religious states are founded on the basis of religious

principles, and, in the Iranian model, contain explicitly theocratic features, in

other cases religiously-orientated governments operate in a context of
constitutional secularism. The rise of the religious state, driven by the
tendency within religious fundamentalism to reject the public/private divide
and to view religion as the basis of politics.

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 4.2. Understanding Government

Government can also refer to political organization comprising individuals and

institutions authorized to formulate public policies and conduct affairs of state.
Governments are empowered to establish and regulate the interrelationships of the
people within their territorial confines, the relations of the people with community
as a whole, and the dealings of the community with other political entities. Any
form of government, to be stable and effective, must possess two essential
attributes: authority and legitimacy.

Authority: In politics, the word authority implies the ability to compel obedience.
It can simply be defined as ‘legitimate power.’ While power is the ability to
influence the behavior of others, authority is the right to do so. Authority is
therefore, based on an acknowledged duty to obey rather than on any form of
coercion or manipulation. Thus, authority is the legitimacy, justification and right
to exercise that power.

Legitimacy: The term legitimacy (from the Latin word legitimare, meaning ‘to
declare lawful’) broadly means rightfulness. Thus, legitimacy is the attribute of
government that prompts the governed to comply willingly with its authority. It
confers on an order or commands an authoritative or binding character, thus
transforming power in to authority. Thus, legitimacy is the popular acceptance of a
governing regime or law as an authority.

4.2.1. Purposes and Functions of Government

The major purposes and functions of government include:

I. Self-Preservation: Government promotes a sense of security among the

governed. Sovereign states also take as a primary purpose the defense of the
country’s territory against external attack. Thus, as their first and primary

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 purpose and function, governments are responsible to prevailing order,
predictability, internal security, and external defense.

II. Distribution and Regulation of Resources: All governments invariably play

the role of distributing resources in their societies. In addition, governments are
the only institutions that determine whether resources are going to be controlled
by the public or private sector. Some governments may decide that the
resources should be controlled by the public, which commonly known as
socialist states and others may decide to be controlled by the private sector,
which are capitalist states. In addition, other states may place in between, that is
the resources could be controlled by both the public and private sector.
III. Management of Conflicts: Governments usually develop and consolidate
institutions and procedures for the management of conflicts. These may include
the legislative, executive, and judicial institutions with established procedures
for the supervision and resolution of conflicts that may arise in the society.
IV. Fulfillment of Social or Group Aspirations: Governments strive to fulfill the
goals and interests of the society as a whole and of various groups within the
society. These aspirations may include the promotion of human rights, common
good and international peace.
V. Protection of Rights of Citizens: Some governments, especially those of
constitutional and democratic governments, are established for the protection of
every citizen’s human, democratic, political, social, economic and cultural
rights.
VI. Protection of Property: States or governments provide means such as police
and the court systems that protect private and public property.
VII. Implementations of Moral Conditions: Some governments’ attempts to
improve the moral conditions of their citizens that is why, in all countries, laws

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 and institutions are designed to shape citizens character in accordance with
some standard of morality.
VIII. Provision of Goods and Services: Some governments, especially those of the
poor countries, participate heavily in the provision of goods and services for the
public. Some of the necessary common goods and services provided by
governments may include, provision of healthcare, education, development of
public works, provision of food, shelter, clothing for the public, Developing
social services, etc.
4.3. Understanding Citizenship

In fact, there is no coherent and universally accept definition about citizenship in

international and conflict description under the different municipal law of states.
However, the following are the generally formulated definitions about citizenship:

Citizenship is a relationship between an individual and a state, defined by

the law of that state, with corresponding duties and rights in that state.
Nationality, although often synonymous with citizenship, includes the
relationship of an individual to a state but suggests other privileges,
especially protection aboard.
It is a legal recognition of persons or it is a condition to be a legal member of
being a citizens.
It is legal status of individual members to be citizens of state.
The condition of being permanently and completely under the jurisdiction of
sovereign state authority.
Official recognition of an individual integration into a political system.
People who are subjects to law of a given country.

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 4.3.1. Theorizing Citizenship

There are different approaches to citizenship; most contemporary works that

address the issue of citizenship speak of the following four approaches: liberal,
communitarian, republican and multicultural citizenship.

1. Citizenship in Liberal Thought: Liberal theory of citizenship begins with the

individual person (the self). The self exists as the true symbol of liberal theory.
Accordingly, it gives a strong emphasis to the individual liberty of the citizen,
and rights that adhere to each and every person. The self is represented as a
calculating holder of preferences and rights in a liberal society. Hence, in
liberalism the primary political unit as well as the initial focus of all
fundamental political inquiry is the individual person.
Liberalists claim that the individual person shapes all other social aggregations,
including the state. Therefore, citizenship and other political institutions in a
given State are means that are accepted only conditionally – i.e., as long as
they, in the individual’s calculations, foster the maximization of the citizen’s
preferences/benefits.
2. Citizenship in Communitarian Thought: Communitarianism is as an
approach emphasizes on the importance of society in articulating the good. The
communitarian (also known as the nationalist) model argue that the identity of
citizens cannot be understood outside the territory in which they live, their
culture and traditions, arguing that the basis of its rules and procedures and
legal policy is the shared common good. The political subject, above all,
belongs to a community, a community to which he/she owes allegiance and
commitment. Thus, rather than viewing group practices as the product of
individual choices, communitarians view individuals as the product of social
practices.

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 Communitarianism claims that an individual’s sense of identity is produced
only through relations with others in the community that nourish him/her. An
individual person cannot escape from the control of his/her culture and thus the
self/individuality is culturally constructed, socially-embedded. According to
this thought, individual interests, identity, freedom and equality can only be
meaningfully practiced and realized through the prioritization of the common
good, and once the members of the polity share common virtues and goals.
3. Citizenship in Republican Thought: Republican citizenship theory put
emphasis on both individual and group rights. Means republican though
attempts to incorporate the liberal notion of the self-interested individual within
the communitarian framework of egalitarian and community belonging.
Republicans don’t pressurize individuals to surrender their particular identities
like the communitarian thought.
Instead, it is underpinned by a concern with individual obligation to participate
in communal affairs. It encourages people to look for the common ground on
which they stand, despite their differences, as citizens. There are two essential
elements of the republican citizenship: publicity and self-government. Publicity
basically refers to the condition of being open and public. The public is not a
mere collection of people but a sphere of life where people joined by common
concerns that takes them beyond their private lives.
4. Multicultural Citizenship: Recognition of group difference implies departing
from the idea of all citizens as simply equal individuals and instead seeing them
simultaneously as having equal rights as individuals and different needs and
wants as members of groups with specific characteristics and social situations
which is basically the focus of multicultural citizenship.

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 4.3.2. Modes/Ways of Acquiring and Loosing Citizenship

Modes/Ways of Acquiring Citizenship

There is no uniform way in all world countries rather the ways are varies from
country to country. This means there is no common standard that governs all state
of the world. Accordingly, nations have various laws that govern the granting of
citizenship people become citizens in two ways. However, the common ways of
acquiring citizenship can be grouped in to two: citizenship by birth and citizenship
through naturalization/law.

i) Citizenship from birth/of Origin: individuals can get citizenship status of a

particular State either because he/she is born in the territorial administration of
that or his/her mother and/or father are citizens of the State in question. There
are two principles of citizenship from birth commonly known as Jus Soli
(law/right of the soil) and Jus Sanguinis (law/right of blood). Whereas Jus
Soli is a principle whereby an individual is permitted to obtain citizenship status
of a particular State because he/she was born in the territorial administration of
that country, Jus Sanguinis is a norm where citizenship acquired claiming
one’s parents citizenship status.
ii) Citizenship by Naturalization/Law: is the legal process by which foreigners
become citizens of another country. The common sub-principles of acquiring
citizenship through naturalization are the following. Political case (secession,
merger and subjugation), grant on application, marriage,
legitimatization/adoption, and reintegration/restoration. Citizenship by political
case is a process by which an individual person acquires citizenship of a certain
State following the conquest or cession of a territory.
The Modes of Acquiring Ethiopian Citizenship
1. Acquisition by Descent: In line with this, Article 3 of the 2003 nationality
proclamation ascribed two principles under the acquisition of Ethiopian

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 citizenship by decent. One, “Any person shall be an Ethiopian national by
descent where both or either of his/her parent is Ethiopian;” second, “An infant
who is found abandoned in Ethiopia shall, unless proved to have a foreign
nationality, be deemed to have been born to an Ethiopian parent and shall
acquire Ethiopian nationality.” Birth place of a child is not a requirement to
acquire Ethiopian nationality.
2. Acquisition by Law (Naturalization): Under naturalization, there are various
ways of acquiring Ethiopian citizenship in accordance with of the amended
Ethiopian nationality proclamation of 2003 recognized by the provisions of
Articles 5 to 12 of the 2003 nationality proclamation. These are:
A. Marriage: Naturalization through marriage has an international acceptance.
Besides, status of citizenship cannot be obliterated even if the partners get
divorced. A foreigner who is married to an Ethiopian national may acquire
Ethiopian nationality (refer to the annexed Ethiopian Nationality
Proclamation of 2003, article 6).
B. Legitimation (Cases of Adoption): This is citizenship by recognition. An
illegitimate child has the right to get his biological or caretaker father/mother
citizenship after legitimation. Such processes are usually attributed to a
father /mother multiple citizenship right. And child adopted by Ethiopian
national may acquire Ethiopian nationality by law (refer the annexed
Ethiopia Nationality Proclamation of 2003, article 7).
C. Grant on Application: Depending on their rules, different countries adopt
requirements to grant citizenship by application. According to the Ethiopian
Nationality proclamation of 2003 article 5, the following are the
requirements (Refer to the annexed Ethiopian Nationality Proclamation of
2003, article 5).
 More than 18 year;
 One who lived in Ethiopia for a total of at least four years;

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  Not dependent (self-reliant), that is, he/she must have sufficient and
lawful source of income to maintain himself and his family;
 One who is able to communicate in any of the languages of the nations
and nationalities of the country;
 One who is a person of good character/ health status;
 One have no record of criminal conviction;
 One who be able to show that he has been released from his previous
nationality or the possibility of obtaining such a release upon the
acquisition of Ethiopian nationality or that he is a stateless person; and
 He/ she shall be required to take the oath of allegiance stated under
article 12 of this proclamation.
D. Re-integration (Restoration) by Resumption: This is a way of re-
acquiring former citizenship right of a given state. A person who has lost
his/her citizenship due to some reasons may get it back if he/she fulfills
some conditions as laid down by the laws of the state. According to the
Ethiopian Nationality proclamation article 22, a person who was an
Ethiopian national and who has acquired foreign nationality by law shall be
readmitted to Ethiopian nationality if he/she:
Returns to domicile in Ethiopia;
Renounces his foreign nationality; and
Applies to the security, Immigration and Refugee Affairs
Authority.
E. Citizenship by Special Case/ by Legislation: This is a process when a
certain state grants its citizenship rights to foreigners freely e.g. DV lottery
in U.S.A. This is also a process in which sometimes a state conferees
honorary citizenship to foreign dignitary and people of prominence. As to
the Ethiopian Nationality proclamation article 8, a foreigner who has made
an outstanding contribution in the interest of Ethiopia may be conferred with

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 Ethiopian Nationality by law irrespective of the conditions stated under sub-
articles (2) and (3) of Article 5 of the Proclamation. That is, he/she is not
required to live in Ethiopia for a total of four years and may lack the ability
to communicate in any of the languages of the country.

Dual Citizenship
Dual citizenship is the condition of being a citizen of two nations. Of course, a
person may acquire more than two States which is called multiple citizenship.
Duality/multiplicity arises because of the clash among the Jus Soli, Jus Sanguini
and naturalization. Ethiopia prohibits its citizens to have dual citizenship. Article
20(1) of the 2003 nationality proclamation assert that “any Ethiopian who
voluntarily acquires another nationality shall be deemed to have voluntarily
renounced his Ethiopian nationality.”

Ways of Loosing Citizenship

Various states adopt different principles on those citizens who violate the nation’s
citizenship law. The following points discuss the various modes of losing
citizenship.

1. Renunciation
In some states, citizenship may be renounced. It is the right of individual to
renounce his/her citizenship and seek the citizenship of some other state according
to his/her choice/ voluntarily. Ethiopia also recognizes the right of its citizens to
expatriate and renounce their Ethiopian citizenship status (Refer Article 19:
Proclamation No.378/2003) it says:
1. Any Ethiopian who has acquired or has been guaranteed the acquisition of
the nationality of another state has the right to renounce his Ethiopian
nationality.

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The personal decision of a person to renounce or give up his/her citizenship
emanates when the state harasses the person and when the person dislikes the
policies or politics or ideologies pursued by the state or for other reasons like better
economic standing.

2. Deprivation (Expatriation)
A citizen of a state may be deprived of his/her citizenship by government, if he/she
is guilty of committing certain serious crimes against the state. Such as:
 Voting in political election of foreign country;
 Deserting national secrets to alien country;
 Serving in another country’s armed forces or government;
 Trying to overthrow the government by force;
 Promising loyalty to another country;
 Becoming naturalized in another country etc.
Focus: According to the Ethiopian Nationality Proclamation of 2003, article 17; no
Ethiopian may be deprived of his nationality by the decision of any government
authority unless he/she loses his/her Ethiopian nationality under article 19 or 20 of
the Proclamation.

3. By Substitution
Citizenship may be lost when the original citizenship is substituted by another state
or replaced by new citizenship, where it is acquired through naturalization.
According to the Ethiopian Nationality proclamation article 20, Ethiopian
nationality can be lost upon acquisition of other nationality. On the other side, this
may also take place when a particular territory is annexed by another state; the
inhabitants’ citizenship within the annexed territory will be replaced by the
citizenship of the subjugator.

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 4. Lapse
Citizenship may be lost if the person stays outside of his/her country for a long and
continuous period of time. For example, if an Indian citizen stays out continuously
for more than seven years, the person will lose his/her Indian citizenship by the
principle of lapse.
Focus: The principle of lapse has no application according to the Ethiopian
Nationality Proclamation of 2003.

Statelessness
Statelessness is the condition of having citizenship of any country and with no
government from which to ask protection. According to the international law,
stateless person is a person who is not considered as a national by any state under
the operation of its law.

Chapter Five
Constitution, Democracy and Human Rights
5.1. Constitution and Constitutionalism
5.1.1. Definition of Constitution
Constitution refers to body of rules and laws, (written or unwritten) that determine
the organization of government and the distribution of powers and functions to
various organs of government, regulate the relationship among themselves and also
between the state and its individuals through general principles on which these
powers are to be exercised. Constitution is the mothers of all laws; all other
ordinary laws are derived from and subjected to this blue print. Hence, since
constitution is supreme law of a land, any other law contradicted with the
provisions of the constitution becomes void or invalid.

5.1.2. Peculiar Features of Constitution

The following are some of the distinctive features of a constitution.

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A. Generality: a constitution provides the general principle of a state and carry on
foundation and sets out general framework of the law and the government. As
other laws provide the details of the subject for which they are created,
Constitutional principles are guidelines for others laws.
B. Permanency: unlike laws constitution is made for undefined period of time.
That means constitution serve for a long lap of ages. It is purposely made to be
stable and permanent. On the contrary, other laws are tentative, occasional and in
the nature of temporary existence.
C. Supremacy: Constitutions are supreme laws, taking precedence over all others,
and defining how all the others should be made. As a mother of law, it is original
law by which the system of government is created, and to which the branches of
government must look for all their powers and authority. All other laws are
secondary or derivate being commands of representatives of the sovereign.
D. Codified document: Constitutions are written down; often in a single
document that presents the constitution in a systematic manner.
E. Allocation of powers: Constitutions outline the proper relations between
institutions and offices of the state, and between government and citizens.
5.1.3. Major Purposes and Functions of Constitution
1. It serves as a framework for Government: This means that the constitution of
state is a plan for organizing the operation of government which in turn
effectively guides the functions and powers of the executive, legislative and
judicial bodies of government.
2. It Limits the Powers of Government: In a constitutionally limited
government, officials are always abided by the constitution. There is no
decision or action that will be undertaken arbitrarily and spontaneously rather
every decision, act, or behavior is entertained according to rules and laws that
originate from the constitution.

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3. It protects individual and collective rights of citizens: To protect the
individual and collective rights and freedoms of people, the constitution of a
state lay down the relationship between the state and the individual.
4. It serves as the Supreme (Highest) Law of a Country: this implies that
Constitution is the source of and supreme over all laws in a country. No specific
law will be valid if it contradicts the constitution. Because of this, the
constitution of state is referred to as “the law behind other laws or “the Mother
of all laws” of a country.
5. It provides Government legitimacy/stability: as it formalize and regulate
relationships between political bodies and citizens and also provide mechanisms
through which any potential conflicts can be adjudicated and resolved. This in
turn gives governments a legitimate/legal right to rule or govern and by doing
so it serves as the weapon for legitimizing regimes.
6. Constitution Blue Prints for establishing Values and Goals: In a constitution
there is also an ideological aspect of constitution making where the people truly
aspired for it.
5.1.4. Classification of Constitutions

Constitutions are classified into different categories using different criteria. For
instance, taking the criteria, form, amendment procedure and degree of
implementation/practice, constitutions can be classified into the following
categories.

A. Constitution based on form

Based on form/appearance constitutions can be classified as written and unwritten.

1. Written Constitution

A written constitution is one whose provisions are written in detail. A written

constitution is one in which most of the provisions are embodied in a single formal

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written instrument or instruments. Written constitution is a formal document that
defines the nature of the constitutional settlement, the rules that govern the political
system and the rights of citizens and governments in a codified form. For example,
India, Kenya, Ethiopia, USA, Germany, Brazil, Indonesia, Jordan, Venezuela and
Nigeria have written form of constitution.

2. Unwritten Constitution

Unwritten constitution is basically means that the fundamental principles and

powers of the government are not written down in any single document. An
unwritten constitution is one whose written provisions are very brief and most of
the rules of the constitution exist in the form of usages and customs. It consists of
customs, conventions, traditions, and some written laws bearing different dates.
The British constitution is the best example of unwritten constitution.

B. Constitution based on complexity of amending process

On the basis of the distinction in the process of amendment, constitutions may be

classified as rigid and flexible.

1. Rigid Constitution

Here, the process of amendment is difficult. A special procedure is followed to

make a change in any rule of the constitution. A constitutional amendment bill
must be passed by the parliament by special majority. A more difficult procedure
of constitutional amendment is the one which requires a national referendum. A
referendum is the process of direct voting by citizens to support or rejects at
constitutional amendment or other major national issues. Those countries like
USA, Australia, Denmark and Switzerland are known to have rigid constitutions.

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2. Flexible Constitution

Flexible constitution is the constitution which set up simple amendment procedure

and there is as such no special required procedure for amending a constitution. The
simplest and commonest amendment procedure is the one which requires an
absolute majority (two thirds support) in the parliament. For instance,
constitutions, such as those of the United Kingdom and New Zealand, may be
altered by a simple majority vote in the legislature.

C. Constitution based on degree of practice

1. Effective Constitution: Effective constitution denotes to a situation in which
government/citizens practices correspond to the provisions of the constitution.
Thus, an effective constitution of state requires not merely the existence of
constitutional rules and laws but also the capacity of those rules and laws to
constrain or limit government behavior and activities, and establish
Constitutionalism.
2. Nominal Constitution: the constitution accurately describes
government’/citizens’ limits yet in practice either or both fail to behave
accordingly. In short when the constitution only remains to have paper value or
when there is absence of constitutionalism.
D. Based on the kind of State Structure
1. Federal Constitution: Federal constitution is one that distributes power among
the different units of a state administration. But the model that is followed by
constitutions in distributing state power differs from each other. The powers
divided between the federal government and states or provinces will be clearly
set down in the constituent document.
2. Unitary Constitution: in unitary constitution state power is concentrated in the
hands of the central government. And the central government can establish or

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 abolish the lower levels of government; determine their composition, and their
power and functions.

Constitutionalism: refers to a doctrine that governments should be faithful to their

constitutions because the rules and laws so provided are all that can protect
citizens’ rights from arbitrary actions and decisions of the government.
Constitutionalism, desires a political order in which the powers of the government
are limited. It is another name for the concept of a limited and civilised
government. Constitutionalism does not merely require the existence of
constitution. This is because, constitutionalism checks whether the act of
government is legitimate and whether officials conduct their public duties in
accordance with laws pre-determined in advance.

5.2. Democracy and Democratization

5.2.1. Defining Democracy
Democracy literally means the government of the people or government of the
majority. Etymologically, the word democracy is derived from two Greek words:
demos and kratos, which means common people and rule (legitimate power to
rule) respectively. In this case the word democracy refers to the idea of rule by the
people or government by the people.

5.2.2. Values and Principles of Democracy

There are three core values that are central in the discussion of the concept of
democracy. These are values of liberty/freedom, justice and equality.

 Liberty: This value includes personal freedom (to mean that Individuals
should be free from arbitrary arrest and detention and also their homes/property
should be secured from unreasonable searches and seizures).

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  Political freedom: to imply that people of a nation have the right to
participate freely in the political process such as elections without being
subject to arbitrary arrest, harassment and electoral corruption such as
buying votes, intimidation and obstruction of voter.
 Economic freedom: to mean that citizens should have the right to
acquire, use, transfer and dispose of private property without
unreasonable governmental interference and more over to enjoy right to
seek employment wherever one pleases, to change employment at will
and to engage in any lawful labor unions or business corporations.

 Justice: This value of democracy can be understood in three general senses of

fairness. These are distributive Justice (the sense of distributing benefits and
burdens in society via agreed up on standards of fairness), corrective Justice
(the sense that a proportional response should be in place to correct wrongs and
injuries) and procedural justice (the idea that procedures used for gathering
information and making decisions should be guided by such principles as
impartiality and openness of proceedings).

 Equality: Three notions of equality are of particular significance here for our
discussion. These are political equality (implying that all people who attain the
status of adult hood have equal political rights or in short one man-one vote-
one value), social equality (implying that there should be no social hierarchy at
individual and collective level or no discrimination what so ever) and economic
equality (implying that all peoples of a country deserve equal and fair
assessment to the national resources services).

Although we can be exhaustive in our list, the followings constitute some of the
fundamental principles of democracy. These are:

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A. Popular Sovereignty: This type of sovereignty is associated with power and
legitimacy. In this way, the citizen as a whole is the sovereign of the state and
holds the ultimate authority over public officials and their policies. Consent is
given by the people through their regularly elected representatives and through
approval of all constitutional changes.

B. Constitutional Supremacy: This is a principle that puts the constitution at the

highest level in the hierarchy of laws. Constitutions are laws about the political
procedures to be followed in making laws. They are supreme laws, taking
precedence over all others, and defining how all the others should be made.

C. Rule of Law: There are two aspects of the rule of law that are important. First,
the law should govern the people and the people should obey the law. And
second, the law must be capable of being obeyed (‘good’ laws). This made the
rule of law different from ‘rule of men’ where the people were ruled by ‘bad’
laws

D. Secularism: referred to as an approach that asserts to dismiss or ignores God,

the divine, the supernatural, and other religious viewpoints when discussing or
participating in politics. Secularism is mostly understood to mean separation of
state and religion.

E. Separation of Powers: The doctrine of separation of powers refers to the idea

that political power should be divided among several bodies or officers of the
state as a precaution against too much concentration of power.

F. Free, Fair and Periodic Election: In order to establish democratic

government, first the election should be free means all interested parties to the
election should get the chance to participate in the election. Secondly, fair
means after giving the chance of participation all of them should be treated

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 equally without discrimination. Finally, the election should be conducted
periodically with fixed duration.

G. Majority Rule Minority Right: after conducting democratic election, those

who get the majority vote will establish a government. The policies, programs
and decisions of the majority will govern the country while the right of the
minority respected

H. Protection and Promotion of Human Rights: Human rights are those

naturally given values that reflect respect for human life and dignity hence their
protection and promotion test the legitimacy and constitutionality of a
democratic government.

I. Multiparty System: Democracy also requires having several political parties

working together in one political system.

5.2.3. Democratization

There are three main elements in democratization such as the removal of the
authoritarian regime, installation of a democratic regime, and the consolidation, or
long-term sustainability of the democratic regime. Democratization simply we
refer to the institutionalization and routinization of democratic ideals and
principles and their effective functioning.

5.2.3.1. Actors of Democratization

1. Political Parties
Political parties are organized bodies and are primarily concerned with the
acquisition and retention of power. A political party is generally described as an
organized body of people who share common principles and cherish certain
common goals regarding the political system. A political party operates and seeks

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political power through constitutional means to translate its policies into
practice.
2. Media
A free press is a precondition of a free society and democracy. The media act as
unofficial opposition by informing the public about issues, exposing misdeeds of
officials and criticizing government policies. Freedom of the press is essential in a
democracy because press plays a role in the political training of citizens and
democratic culture by informing them of the scope of public policies, the
management and conduct of affairs by those responsible at both the State and
grass-roots level, by providing and offering the members of the community the
means of communicating with each other.
3. Civic Societies
Civil society is the set of civil rights, including primarily everyone’s right to
participate in public life. Civil society may comprise civic, issue-oriented,
religious, and educational interest groups and associations. Civil societies have a
potential of playing numerous momentous roles for democratic development and
consolidation. Some of the roles of civil societies are:

 Challenging the abuses of authority;

 Monitoring human rights and strengthening the rule of law;
 Monitoring elections and enhancing the overall quality and credibility
of the democratic process;
 Educating citizens about their rights and responsibilities;
 Building a culture of tolerance and civic involvement;
 Incorporating marginal groups into the political process and enhancing
the latter's responsiveness to societal interest and need;
 Providing alternative means, outside the state, for communities to raise
their level of material development;

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  Opening and pluralizing the flows of information; and
 Building a constituency for economic as well as political reforms.
5.3. Human Rights

Human rights are basic to humanity. They apply to all people everywhere. The
basic idea of human rights lies in people’s recognition of the need to protect and
affirm every other person’s individual dignity. Human rights are established upon
some main principles including universality, inalienability, indivisibility and
interdependence.

Universal—this means all rights are expected to be applied equally everywhere,

every-time and to everyone in this world. Article one of the Universal Declaration
of Human Rights (UDHR here after) stipulated that “All human beings are born
free and equal in dignity and rights.” It also stated that human rights belong to
every human being “without distinction of any kind, such as race, color, sex,
language, religion, political or other opinion, national or social origin, property,
birth or other status” (Art. 2).

Inalienable—that means you cannot lose these rights any more than you can stop
to be a human being. These entitlements are essential to live a human or worth-
living life. Human rights are not luxury or privileges we only enjoy after some
preconditions are met, rather part of our basic necessities.

Indivisible—this implies that human rights are inherent to the dignity of every
human person.

Interdependent and interrelated—this is to mean that all rights have equal

weight/importance and it is not possible for one to fully enjoy any of his/her right
without the others. The fulfillment of one right often depends, wholly or in part,
upon the fulfillment of others. The respect of one right (e.g. right to life) is

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subjected to the respect of our other rights (e.g. right to an adequate standard of
living), and the vice versa.

Equality and non-discrimination—this principle pronounces that all individuals

are equal as human beings and by virtue of the inherent dignity of each human
person. Accordingly, no one should face discrimination on the basis of race, color,
ethnicity, gender, age, language, sexual orientation, religion, political or other
opinion, national, social or geographical origin, disability, property, and birth.

5.3.1. Categories of Human Rights

Human rights cover virtually every area of human activity. They include civil and
political rights, such as freedom of speech and freedom from torture. They also
include economic and social rights, such as the rights to health and education.
Some rights apply to individuals, such as the right to a fair trial: these are called
individual rights. Others apply to groups of people, such as the right to a healthy
environment or to native title: these are called collective rights. There are various
ways used by different scholars to categories human rights. These writers use
various reference points in classifying rights in to different clusters. The common
way of categorization is the one developed by Karl Vasak (1982) who have
classified Human Rights into three: First, Second and Third generation rights.

I. Civil and Political Rights

Civil and political rights are the first generation rights which uphold the sanctity of
the individual before the law and guarantee his or her ability to participate freely in
civil, economic, and political society. Civil rights include such rights as the right to
life, liberty and personal security, equality before the law, protection from arbitrary
arrest and the right to religious freedom and worship.

II. Social and Economic Rights

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The second generation (social, economic, and cultural) rights are considered by
many writers as an aspirational and programmatic set of rights that national
governments ought to strive to achieve through progressive implementation. Social
and economic rights include such rights as the right to education, health and
wellbeing, work and fair remuneration, form trade unions and free associations,
leisure time, and the right to social security. Unlike the civil and political rights,
rights in this category are called ‘positive’ rights to indicate that whose realization
is highly subjected to the economic capability of states.

III. Peace, Development and Environmental Rights

Third generation (solidarity) rights are aimed to guarantee that all individuals and
groups have the right to share in the benefits of the earth's natural resources, as
well as those goods and products that are made through processes of economic
growth, expansion, and innovation. Solidarity rights also require global
cooperation and shared responsibility to world peace, development and the
environment. Third Generation (solidarity) rights include rights to public goods
such as the right to development, the environment and peace.

The following table provides the summary of the classification of rights.

Generation First generation Second Third

rights generation generation
rights rights

Category of rights Civil and political Socio-economic Solidarity rights

rights rights

State obligation Promoting and Providing and ?

protecting fulfilling

What is expected Non-interference Positive Positive

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from the State interference involvement

Realization Immediate Progressive Progressive

Right holders Individuals Groups (mostly) ?

(mostly)

5.3.2. Derogations and Limitations on Human Rights

There are two conditions under which human rights can be restricted: limitation
and derogation. Limitations: are lawful infringements of rights. Limitations are
deviations from the standard manner of dealing with rights imposed primarily to
facilitate optimal use or exercise of rights in a context of scarce public resources,
space and time. Limitations can take the form of restrictions and/or derogation.

Restrictions: are acceptable or justifiable limits of human rights during the normal
times. Restrictions circumscribed the manner, or place, and the extent to which
rights can be enjoyed or exercised in a particular set of circumstances, often in
normal times.

Derogation: means a temporary non-application and suspension of rights by the

state in abnormal or emergency (natural/artificial) situations.

Enjoyment of human rights is subject to limitations and these limitations are

normally found in constitutional human rights and international human rights
treaties. But that limitation should not be arbitrary, it should be based on legality,
necessity, rationality and proportionality supposed to be determined by the human
rights law. Limitations may be made on the enjoyment of human rights for the
sake of: safeguarding of national security or public peace; the prevention of
crimes; the protection of health, public morality; the protection of the rights and
freedom of others; and safeguarding democratic institutions

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In Ethiopia, for example, both federal and regional governments have
constitutional powers to limit exercising human rights since they have the power to
declare state of emergency is their respective domains. Regional states can
declare in two conditions: natural disaster and epidemics. Besides, the FDRE
Constitution (art. 93) clearly specifies four conditions for such declaration by the
Federal Government. The Council of Ministers can declare a State of Emergency
in the following situations: 1) External Invasion, 2) Breakdown of law and
order when it: (i) endanger the constitutional order, (ii) cannot be controlled
by regular law enforcement, 3) Natural disaster, and 4) Epidemic.

5.3.3. Non-derogability of Human Rights

The concept of non-derogability has been one of the important aspects of the
international human rights laws and treaties. There are also certain unique and
inherent human rights, which can never be suspended under any circumstances.
For instance, the ICCPR, which also allows states to suspend some of the rights
under specific conditions, clearly mentions that some of the articles are non-
derogable. They are: right against arbitrary deprivation of life (art. 6); freedom
from torture or cruel, inhuman and degrading treatment or punishment; and
freedom from medical or scientific experimentation without consent (art. 7);
freedom from slavery and servitude (art. 8); freedom from imprisonment for
inability to fulfill a contractual obligation (art. 11); prohibition against the
retrospective operation of criminal laws (art. 15); right to recognition before
the law (art. 16); and freedom of thought, conscience and religion (art. 18).

The FDRE Constitution (art. 93(3[c])) states that rights under Articles 1, 18, 25,
and sub-Articles 1 and 2 of Article 39 of the Constitution are non-derogable rights.

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