Decentralisation, development and accommodation of ethnic minorities

569 Pages·2013·35.28 MB·English

Decentralisation, development and accommodation of ethnic

minorities: The case of Ethiopia

By Zemelak A Ayele

LL.B (Addis Ababa University); LL.M (University of the Western Cape)
Diploma (Fribourg: Institute of Federalism)

A thesis submitted in fulfillment of the requirements for the degree of Doctor of
Philosophy (Law) in the Faculty of Law, University of the Western Cape

Promoter:
PROFESSOR Jaap De Visser

Faculty of law
University of the Western Cape
4 June 2012

FACULTY OF LAW
Declaration
I declare that ‘Decentralisation, development and accommodation of ethnic minorities:
The case of Ethiopia’ is my work and has not been submitted for any degree or examination

in any other university or academic institution. All sources and materials used are duly
acknowledged and are properly referenced.

--------------------------------- ----------------------
Signature Date

Abstract
Decentralisation of political, financial, and administrative powers to sub-national
units has been, and remains to be, a major trend in both developing and developed
states. Very often decentralisation is not optional for a state. However, a state has
the option to choose what to achieve through its decentralisation programme.
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After choosing what it intends to achieve through its decentralisation programme,
a state may design it in such a way that it may attain the intended purpose.

Many countries design their decentralis ation programmes with the purpose of
‘deepening’ democracy and empowering  their citizens. Other states decentralise
power with the purpose of achieving development. They do so based on the
postulate that development is preferable when it is achieved through the
participation of those who benefit from it and that decentralisation enhances the
extent and quality of citizen’s direct and indirect participation. States also
decentralise powers based on the assumption that decentralisation brings
efficiency in planning and implementing development projects. Several states
also use their decentralisation programme to respond to the ethnic, religious, or
other diversities of their people. They use territorial and non-territorial
arrangement to accommodate the diversity of their people. Therefore, in some
cases they create ethnically structured regional and local units and transfer to such
unit political powers including the power to decide on cultural matters.

Like in so many countries, the wind of decentralisation has blown over Ethiopia.
The country has been implementing a decentralisation programme starting from
1991. Ethiopia has selected to achieve two principal purposes through its
decentralisation programme namely, to achieve development and to respond to
the ethnic diversity of its people. It is axiomatic that the success of a
decentralisation programme, whether for achieving development or
accommodating ethnic diversity, is greatly impacted on by its institutional design.
This thesis, therefore, examines whether Ethiopia’s decentralisation programme
iii
incorporates the institutional features that are likely to impact the success of the
decentralisation programme for achieving its intended purposes.

Acknowledgments
I was assisted by many people in so many ways in the preparation of this thesis. I
am especially grateful to Professor Jaap De Visser who patiently guided me
beginning from the preparation of the proposal to the completion of this thesis.
He indefatigably read each chapter of this thesis numerous times and provided me
with insightful comments. His sense of thoroughness, enthusiasm, and
friendliness were beyond depiction.
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My sincere gratitude goes to Professor Nico Steytler who helped me in various

ways. He, along with Professor De Visser, provided me the opportunity to work

on this thesis. He has also been ready  to read and comment on my works, to
discuss issues relevant to my work, a nd to provide me with his perceptive
comments. I am greatly indebted to him. I am also grateful to Professor Israel
Leeman for all his assistance in editing the various chapters of the thesis

I am thankful to the Community Law Centre (CLC) and the Local Democracy,
Peace and Human Security Project (LDPHSP) which not only assisted me
financially but also provided me with an environment which was ideal for
research. I am especially obliged to Professor Steytler (the director of CLC) and
Professor De Visser (the co-ordinator of LDPHSP) for providing me the
opportunity to work on this thesis. I am also thankful to Nuffic Scholarship
Programme, Utrecht University, and Jimma University which, in collaboration,
made it possible for me to attend LL.M programme at UWC. It was while I was
attending this LL.M programme that the opportunity for the PhD opened up.

I am indebted to all CLC staff for their assistance and for making my stay at the
CLC pleasant and memorable. I am in particular thankful to all the assistance I
received from Trudi Fotuin, Jill Claassen, Valma Hendricks, Derek Powell,
Annette May, Phindile Ntliziywana. I would love to say thank you for their
assistance and encouragement throughout the past three years. I would also like to
thank my friends at CLC Conrad Bosire, Douglas Sigiza, Aquinaldo Mandlate,
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and Muthaka Kangu for making long hours in office, including many weekends,
sufferable and, in so many ways, enjoyable and memorable.

This thesis would not have been possibl e if it was not for the prayer, love, and
encouragement that I abundantly received  from my mother Abezu Mekonnen, my
sisters Menen and Seble, my brother Yohannes, my nephew Yisehak and my
freind Kalkidan; I thank you all so very much. I never lacked the warmth and
affection of a family throughout my stay in Cape Town as I was embraced into
the family that included Tigist, (TG) Woldekidan, Emanda, Yonatan, Natsinet,
Messeret W and Messeret K. I would like to say thank you for your support and
encouragements. I am especially indebted to Yonatan who, not only has been a
great friend, but also a great inspiration. His perceptive comments, questions, and
suggestions have immensely helped in making this thesis a better work.

Lastly, I would love to praise the name of God for making this possible and for
His countless blessings.
Zemelak Ayitenew Ayele
June 2012

Contents

Abstract ........................................................................................................................................................ ii 
Acknowledgments .................................................................................................................................... iv 
Acronyms .................................................................................................................................................xxi 
A glossary of local terms .................................................................................................................... xxiv 
Chapter 1 ..................................................................................................................................................... 1 
Introduction ................................................................................................................................................. 1 
1.  BACKGROUND TO THE THESIS ............................................................................................ 1 
1.1.  Decentralisation in Ethiopia ........................................................................................ 5 
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2.  RESEARCH QUESTION ............................................................................................................... 6 
3.  SCOPE OF THE STUDY ............................................................................................................... 7 
4.  SIGNIFICANCE OF THE STUDY ............................................................................................. 7 

5.  ARGUMENT .................................................................................................................................... 8 
5.1.  Decentralisation and development ...... ........................................................................ 8 
5.1.1.  Institutional features..................... ........................................................................ 8 
5.1.1.1.  Political, financial, and adminis trative autonomy ............................................ 8 
5.1.1.2.  Central supervision and inter-governmental co-operation ............................... 9 
5.2.  Decentralisation and accommodation of ethnic minorities .................................................... 10 
5.2.1.  Territorial autonomy at local level ..................................................................... 10 
5.2.1.1.  Self-rule .......................................................................................................... 10 
5.2.1.2.  Shared-rule ..................................................................................................... 11 
5.2.2.  Non-territorial means of accommodating ethnic minorities .............................. 11 
6.  STRUCTURE .................................................................................................................................. 12 
7.  METHODOLOGY ......................................................................................................................... 14 
Chapter 2 ................................................................................................................................................... 16 
Decentralisation, development, and accommodation of diversity: A theoretical exposition ... 16 
1.  INTRODUCTION .......................................................................................................................... 16 
2.  DECENTRALISATION DEFINED .......................................................................................... 16 
2.1.  Features of decentralisation ....................................................................................... 17 
2.2.  Forms of decentralisation .......................................................................................... 17 
2.2.1.  Deconcentration ................................................................................................. 17 
2.2.2.  Delegation .......................................................................................................... 18 
2.2.3.  Devolution.......................................................................................................... 19 
3.  DECENTRALISATION FOR DEVELOPMENT .................................................................. 20 
3.1.  Introduction ............................................................................................................... 20 
3.2.  Conceptualising development ................................................................................... 20 
3.3.  Working definition of development .......................................................................... 26 
3.4.  Why decentralisation for development? .................................................................... 26 
3.4.1.  ‘Deepening’ democracy ..................................................................................... 27 
3.4.1.1.  Decentralisation, representative democracy, and development ..................... 28 
3.4.1.2.  Decentralisation, public participation, and development ............................... 33 
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3.4.2.  Efficiency and institutional responsiveness ....................................................... 36 
3.4.3.  Decentralisation and sustainable development .................................................. 42 

3.4.4.  The danger of inequity ....................................................................................... 44 

3.4.5.  Concluding remarks ........................................................................................... 46 

3.5.  Institutional features of a decentralised development ............................................... 47 

3.5.1.  Political autonomy ............................................................................................. 48 
3.5.1.1.  ‘Certainty of existence’ .................................................................................. 48 
3.5.1.2.  Political structure and local democracy ......................................................... 51 
3.5.1.3.  Devolution of original, relevant, suitable, and clearly defined functions ...... 55 
3.5.1.4.  Political Power ............................................................................................... 61 
3.5.2.  Financial autonomy ............................................................................................ 62 
3.5.2.1.  Taxes and fees ................................................................................................ 62 
3.5.2.2.  Borrowing....................................................................................................... 63 
3.5.2.3.  Inter-governmental transfers .......................................................................... 64 
3.5.3.  Administrative autonomy................................................................................... 66 
3.5.4.  Central supervision and inter-governmental co-operation ................................. 67 
3.5.4.1.  Central supervision ......................................................................................... 68 
3.5.4.2.  Inter-governmental co-operation .................................................................... 71 
3.5.5.  Concluding remarks ........................................................................................... 73 
4.  DECENTRALISATION AND ACCOMMODATING ETHNIC MINORITIES ............ 73 
4.1.  Introduction ............................................................................................................... 73 
4.2.  Ethnic groups and ethnicity ....................................................................................... 74 
4.2.1.  Ethnic identity as a political identity ................................................................. 75 
4.2.2.  Ethnic minorities ................................................................................................ 77 
4.3.  Managing ethnic diversity ......................................................................................... 79 
4.3.1.  Eliminating diversity .......................................................................................... 80 
4.3.2.  Neutrality ........................................................................................................... 81 
4.3.3.  Integrationist approach ....................................................................................... 83 
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4.3.4.  Accommodation approach ................................................................................. 84 
4.4.  Local government and accommodation of minorities ............................................... 86 

4.4.1.  Introduction ........................................................................................................ 86 

4.4.2.  Territorial autonomy at local level ..................................................................... 87 

4.4.2.1.  Concluding remarks ....................................................................................... 94 

4.4.2.2.  The advantages and disadvantages of territorial autonomy ........................... 95 
4.4.2.3.  Institutional features of territorial autonomy at local level ............................ 99 
4.4.2.4.  Shared-rule? ................................................................................................. 108 
4.4.3.  Consociationalism for accommodating minorities at local level ..................... 111 
4.4.3.1.  Deficiencies of consociational democracy ................................................... 113 
4.4.3.2.  Institutional features consociationalism ....................................................... 114 
4.4.4.  Cultural autonomy ........................................................................................... 115 
4.4.5.  Concluding remarks ............................................................................................. 116 
5.  DECENTRALISATION, DEVELOPMENT, AND ACCOMMODATION OF
MINORITIES: A SYNTHESIS .......................................................................................................... 116 
6.  CONCLUSION ............................................................................................................................. 118 
Chapter 3 ................................................................................................................................................. 120 
Local administration, development, and ethnicity in Ethiopia: A historical perspective ....... 120 
1.  INTRODUCTION ........................................................................................................................ 120 
2.  GENERAL FACTS ABOUT ETHIOPIA ............................................................................... 121 
3.  LOCAL GOVERNANCE FROM AXUM TO THE EMERGENCE OF ‘MODERN
ETHIOPIA’ ............................................................................................................................................. 122 
3.1. Traditional institutions of local governance ............................................................... 124 
3.1.1. Introduction .......................................................................................................... 124 
3.1.2. Traditional local administrative institutions of northern Ethiopia ....................... 124 
3.1.3. Traditional administrative institutions of southern Ethiopia ............................... 127 
3.1.4. Assessment ........................................................................................................... 128 
4.  THE BIRTH OF ‘MODERN ETHIOPIA’: ‘CREEPING CENTRALISATION’ (1855-
1930) ......................................................................................................................................................... 130 
4.1. Political marginalisation ............................................................................................. 131 
4.2. Economic marginalisation .......................................................................................... 133 
4.3. Cultural marginalisation .............................................................................................. 134 
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4.4. Assessment .................................................................................................................. 134 
5.  FORMAL CENTRALISATION UNDER EMPEROR HAILE SELASSIE I (1930-1974)

135 
5.1.  The 1942 administrative reform .............................................................................. 137 

5.1.1.  Re-drawing provincial boundaries ................................................................... 137 

5.1.2.  Centralising the appointment of provincial administrators .............................. 138 

5.1.3.  Local administration after the 1942 reform ..................................................... 139 
5.1.3.1.  Centralising the appointment of local authorities ........................................ 140 
5.1.3.2.  Functions of local authorities ....................................................................... 140 
5.1.3.3.  Central supervision ....................................................................................... 142 
5.1.3.4.  Urban administrations in the 1942 administrative reform ........................... 142 
5.1.4.  The ‘attempted decentralisation’ of 1966 ........................................................ 145 
5.1.5.  Local administration and ethnic minorities of southern Ethiopia .................... 146 
5.1.6.  Assessment ....................................................................................................... 147 
5.1.6.1.  Non-developmental ...................................................................................... 148 
5.1.6.2.  Repressive of ethnic minorities .................................................................... 150 
6.  LOCAL GOVERNANCE UNDER THE DERG (1974-1991) ........................................... 151 
6.1.  The Derg on the ethnic question ............................................................................. 152 
6.2.  The debate on local administration: Addressing the development question ........... 154 
6.2.1.  The UDA .......................................................................................................... 156 
6.2.1.1.  Institutional structure.................................................................................... 156 
6.2.1.2.  Powers and functions of UDAs .................................................................... 157 
6.2.1.3.  Financial sources of UDAs .......................................................................... 158 
6.2.2.  The Peasant Associations (PAs) ...................................................................... 159 
6.2.2.1.  Institutional structure.................................................................................... 159 
6.2.2.2.  Powers and functions PAs ............................................................................ 159 
6.2.3.  Re-centralisation and the weakening of UDAs and PAs ................................. 160 
6.2.4.  The formation of the Peoples Democratic Republic of Ethiopia ..................... 160 
6.2.5.  Assessment ....................................................................................................... 162 
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