CHANAKYA NATIONAL LAW UNIVERSITY

Final draft for partial fulfilment of project of

PUBLIC INTERNATIONAL LAW

On

“MODES OF RECOGNITION”

Submitted to: Dr. P.P. Rao Submitted by: Shruti Sinha

(Associate Professor) Roll No: 2651

2nd Year, 3rd Semester

B.B.A. LL.B. (Hons.)

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 TABLE OF CONTENTS

DECLARATION BY THE CANDIDATE ................................................................................... 3

ACKNOWLEDGEMENT ............................................................................................................. 4

CHAPTER 1: INTRODUCTION .............................................................................................. 5

CHAPTER 2:RECOGNITION .................................................................................................. 7

CHAPTER 3:LEGAL EFFECT ................................................................................................ 9

CHAPTER 4:MODES OF RECOGNITION: ......................................................................... 11

CHAPTER 5:DE FACTO RECOGNITION........................................................................... 13

CHAPTER 6 :DE JURE RECOGITION ................................................................................ 15

CONCLUSION..................................................................................................................... 17

BIBLIOGRAPHY..................................................................................................................... 18

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DECLARATION BY THE CANDIDATE
I, hereby, declare that the work reported in the B.B.A. L.L.B (Hons.) Project Report entitled
“MODES OF RECOGNITION” submitted at CHANAKYA NATIONAL LAW
UNIVERSITY, PATNA is an authentic record of my work carried out under the supervision
of Dr. P.P.Rao. I have not submitted this work elsewhere for any other degree or diploma. I
am fully responsible for the contents of my Project Report.

(Signature of Candidate)
Shruti Sinha
Roll No. 2651

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 ACKNOWLEDGEMENT
I would like to show my gratitude towards our guide Dr. P.P. Rao, Faculty of law, under
whose guidance, I structured my project.
I owe the present accomplishment of my project to our CNLU librarians, who helped me
immensely with materials throughout the project and without whom I couldn’t have
completed it in the present way.
I would also like to extend my gratitude to our friends and all those unseen hands that helped
me out at every stage of my project.

THANK YOU,

Shruti Sinha

Roll no. -2651

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CHAPTER 1: INTRODUCTION
International community is a living entity in the sense that it is changeable. The identity and
number of States are by no means fixed and invariable. History produces many changes. Old
States disappear or unite with other States to form a new State, or disintegrate and split into
several new States. Former colonies attain statehood. Even in the case of existing State, a
revolution or unconstitutional event may occur and the status of new government becomes a
matter of concern to other States, which formerly had relations with the displaced
government. These instances raise several problems for the international community. 1

The most important problem is the question of recognition of the new State or the new
government. Each State has to decide whether to recognize the new State or the new
government. Recognition involves legal consequences both internally and internationally. If
an entity is recognized as a State, it will be entitled to rights and subjected to duties that
would not be relevant otherwise, and it will enjoy privileges and immunities of a foreign
State, before the national courts, which would not be allowed to other entities.

Recognition of a new State

Recognition specifies the willingness of recognizing State. Existing State is a member of the
International Community who will deal with a new State.Under International law it allows
the recognized State to exercise the rights and duties of the State. Recognition of the
Government automatically involved in recognition of a new State.

Recognition of a new government

Through the medium of the government a State participates in the benefits of International
Law largely. To recognise the government, recognising the State is important. 2

1
recognition_compress
2
https://blog.ipleaders.in/state-recognition/#Modes_of_Recognition

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Aims And Objectives
• To study the legal effect of recognition.
• To analyse the modes of recognition.

Research Questions
1. What is Recognition?

2. What are Mode of Recognition?

3. What is De jure and De facto Recognition?

Hypothesis
De facto recognition is based on the effective control of a territory by a state, while de jure
recognition is a formal recognition of a state based on the objective criteria for statehood
under international law. Each mode of recognition has its own characteristics and
implications, and reflects the diverse interests and values of states in the international system.

Limitations and Scope

Since the researcher is 2 nd year student of 5 year course at CNLU, Patna, he can access only
a limited area. Apart from this, the research work is done in short span of time. Consequently
the research work gets limited to certain depth.

Research Methodology
Approach to Research: In this project doctrinal research was involved. Doctrinal research is research
in which secondary sources are used and materials are collected from libraries, archives, etc. Books,
journals, articles were used while making this project.

Sources of Data collection: Secondary source of data collection was used which involves the
collection of data from books, articles, websites, etc. No surveys or case studies were conducted. `

Mode of Citation
The researcher has followed Blue Book 20 th edition for this project report.

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CHAPTER 2: RECOGNITION

Recognition is a discretionary unilateral act exercised by the government of a State officially

acknowledging the existence of another State or government or belligerency. It is one of the
most difficult subjects of International Law. It is a complicating mixture of politics and laws
both national and international. It is difficult mainly for the following three reasons. 3

(1) Recognition is, as the practice of States shows, much more a question of politics than of
law. The act of the recognizing State is conditioned principally by the necessity of protecting
its own national interests, which lie in maintaining proper relations with the new State or the
new government. However, there is an irresistible tendency of the recognizing State to use
legal principles as a convenient camouflage for political decisions. For this reason,
recognition is considered to be a political act with legal consequences.

(2) In form and in substance, recognition remains primarily a unilateral diplomatic act on the
part of the recognizing State. No collective procedure for granting recognition based on
established legal principles has yet been evolved by the international community. 4

(3) There are several distinct categories of recognition. There are the recognition of a new
State, a new government and belligerency. In addition there are de jure, de facto, conditional,
implied and express recognition. Although the same principles may be applicable to some of
these types, it is still that each of them is subject to different legal principles and entails
different legal consequences.

Basically, there are two theories as to the nature, functions and effects of recognition, the
constitutive theory and the declaratory theory.

The constitutive theory considers that the act of recognition by other States creates a new
State and grants it the international legal personality.This implies that the new State is
established as an international person by virtue of the will and consent of already existing
States. In case of a new government, it is the recognition that grants it the status at the
international level.
3
https://www.legalserviceindia.com/legal/article-5302-recognition-and-its-types-in-international-law.html
4
The Law of Recognition" by David J. Bederman

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The Constitutive theory is opposed by the declaratory theory. According to the declaratory
theory, recognition has no legal effects; statehood or the status of a new government exists as
such prior to and independently of recognition.The existence of a State or a new government
is a question of pure fact. The act of recognition is merely a formal acknowledgement of
established facts. When an entity satisfies the requirements of a State objectively, it is a State
with all international rights and duties, and other States must treat it as such. Historically, the
constitutive theory has its merits. During the Nineteenth Century, International Law was
regarded as applying mainly between States with European civilization. Other countries were
admitted as States to this community only if they were recognized by those member States.
Even today, recognition can sometimes have a constitutive effect, although State practice is
not always consistent.

When the establishment of a new State or government is in violation of International Law,

this State or government is often regarded as having no legal existence until it is recognized.
However, the prevailing view today is that recognition is declaratory and does not create a
State.

This view was laid down in the Montevideo Convention on the Rights and Duties of States of
1933. Article 3 of this Convention provides that “The political existence of the state is
independent of recognition by the other states. Even before recognition the state has the right
to defend its integrity and independence”. Actually, the two theories are of little assistance in
explaining recognition or determining the status of non-recognized entities in practice.[8] In
addition, the practical differences between these two theories are not significant. Under the
declaratory theory, the decision whether an entity satisfies the criteria of statehood is left to
other States, and the granting formal recognition to another State, which is a unilateral act, is
left to the political discretion of States.

On the other hand, the significance of the constitutive theory has diminished because of the
obligation imposed on States to treat an entity that satisfies the criteria of statehood as a state.
Moreover, the States practice regarding recognition shows that States follow a middle
position between these two theories. 5

5
See https://sheir.org/edu/modes-of-recognition-of-government

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CHAPTER 3: LEGAL EFFECT OF RECOGNITION

Recognition in Public International Law has significant legal effects. The recognition of a
state as a sovereign entity creates rights and obligations for both the recognizing state and the
recognized state.

Firstly, recognition confers legal personality on a state, which means that it is entitled to
exercise its sovereign rights and participate in international affairs. Once a state has been
recognized, it can enter into treaties and agreements with other states, participate in
international organizations, and engage in diplomatic relations with other states. This legal
personality is important as it enables a state to assert its rights and to seek protection under
international law. 6

Secondly, recognition also creates obligations for the recognizing state. Once a state has
recognized another state, it is obliged to respect the sovereignty and territorial integrity of the
recognized state. This means that the recognizing state must refrain from interfering in the
internal affairs of the recognized state or using force against it. Failure to comply with these
obligations can lead to diplomatic tensions, economic sanctions, or even military conflict.

Thirdly, recognition also has implications for the status of territories. The recognition of a
state can have the effect of validating the territorial boundaries of that state. In cases where
there are disputes over territorial boundaries, recognition by other states can be a decisive
factor in resolving the dispute. For example, the recognition of the State of Israel by the
international community in 1948 was seen as validating its territorial boundaries and
sovereignty over the land it had acquired through war and negotiations.

Finally, recognition can also have implications for the legal status of individuals. Once a state
has been recognized, its citizens are entitled to the protection and rights afforded to them
under international law. This includes the right to travel abroad, the right to be protected from
discrimination, and the right to seek redress for violations of their human rights.

6
https://unacademy.com/content/upsc/study-material/law/de-facto-and-de-jure-recognition

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Recognition in Public International Law has significant legal effects. It creates legal
personality for a state, imposes obligations on recognizing states, validates territorial
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boundaries, and confers legal protections on individuals.

Recognition in Public International Law has significant legal effects. It creates legal
personality for a state, imposes obligations on recognizing states, validates territorial
boundaries, and confers legal protections on individuals. Recognition is a fundamental
concept in determining the legal status of a state in the international community and has
important implications for the rights and obligations of states and individuals alike. 8

7
https://www.legalserviceindia.com/legal/article-5302-recognition-and-its-types-in-international-law.html
8
"The Recognition of States: Law and Practice in Debate and Evolution" edited by Christian J. Tams, Antonios
Tzanakopoulos, and Andreas Zimmermann

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CHAPTER 4:MODES OF RECOGNITION

The two modes usually named for recognition of governments are ‘De-Facto & De-Jure’.
Actually, they are not the modes in which the governments are recognized but they are the
statuses of governments; as de facto recognition for de facto governments and de jure
recognition for de jure governments.

For instance, Russian Communist Revolution of 1917 led by Lenin transformed the country
to USSR. The USA recognized the new government as de-facto in 1921 and later in 1924 de-
jure recognition was made.

Similarly, Ethiopian emperor flew abroad running a government in exile when Italy’s
Mussolini invaded this land in 1935. UK as already had kept the status of de jure recognition
for the emperor’s exiled government and granted de facto recognition to the new government
formed there by Mussolini. Later when Mussolini’s government got strength UK withdrew de
jure recognition given earlier to the emperor and spared it for the new one.

Thus under the light of examples mentioned above, it can be assumed that, de facto
recognition is bestowed when the control of a new government is not firmly established
otherwise de jure recognition is granted to the government possessing firm permanent
control. They may also be defined in another way that, ‘de facto recognition involves a
hesitant assessment of the situation, an attitude to wait and see, to be succeeded by de jure
recognition when the doubts are sufficiently overcome to extend full acceptance.’ If we go
through the history, it has remained a practice to preface de jure recognition with de facto
recognition particularly when the new government comes into power through
unconstitutional means. Thus, it is right to say that, degree of effectiveness of control
distinguishes the grant of de facto and de jure recognitions. As said Brownlie, ‘if there is a
distinction it does not seem to matter legally.’

But if these modes are taken in term of International Law then it goes clear that these are not
the internationally recognized one. Under International Law, a government with effective
control is a government no matter its dictatorship or democracy. The division has been

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maintained by the states in order to secure their vested interests with respect to the other
states. Granting de facto recognition to a government which is instable does not create any
problem for a state if it wants to withdraw it.

It must be mentioned that it is de jure recognition which enable the states to commence
diplomatic relations, ensures claims to receive property, grants independence to the
dependency; not the de fact recognition. De facto recognition can be withdrawn easily but in
order to withdraw de jure recognition it is necessary that it must be granted to another
government; as did UK in case of new government of Mussolini on Ethiopia. 9

9
https://sheir.org/edu/modes-of-recognition-of-government/

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CHAPTER 5: DE FACTO RECOGNITION

De facto recognition is a term in Public International Law that refers to the acknowledgment
of an entity as a state by other states, despite not meeting the formal criteria for statehood. It
arises when a state is acknowledged as a state by other states, despite not having received
formal recognition under international law. De facto recognition can be a pragmatic response
to the reality on the ground, and it can have significant legal and political implications. 10

To understand the concept of de facto recognition, it is important to first understand the

criteria for statehood under international law. The Montevideo Convention on the Rights and
Duties of States, adopted in 1933, is the most widely accepted codification of the criteria for
statehood. The Convention provides that a state must have a defined territory, a permanent
population, a government, and the capacity to enter into relations with other states.

Under the Convention, the existence of a state is not dependent on formal recognition by
other states. Rather, the criteria for statehood are objective and factual in nature, and a state
exists if it meets those criteria. However, in practice, the recognition of other states is an
important element in the establishment of a state's legal status, as it can give rise to certain
rights and obligations under international law.

De facto recognition arises when other states acknowledge the existence of an entity as a
state, despite not having met the formal criteria for statehood. This may occur when a state
controls a certain territory, exercises effective control over its population, and performs the
functions of a government, even if it has not yet been recognized de jure (i.e., formally
recognized) by other states. Similarly, a state may be recognized de facto if it has gained
independence through armed struggle, but has not yet been formally recognized as a state by
other states.11

De facto recognition can have important legal and political implications. From a legal
perspective, de facto recognition can give rise to rights and obligations under international
law. For example, a de facto government may be entitled to claim ownership of state assets
and to enter into contracts and treaties with other states. However, de facto recognition does

10
Crawford, J. (2012). The Creation of States in International Law. Oxford University Press.
11
Grant, T. D. (2018). Recognition of States: International Law in Practice. Oxford University Press.

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not create a full-fledged state, and therefore, the entity cannot enjoy all of the legal rights and
obligations of a recognized state.

From a political perspective, de facto recognition can be seen as a pragmatic response to the
reality on the ground. It may be used as a means of maintaining stability in a region or to
encourage peaceful settlement of conflicts. For example, de facto recognition of a state can
be a first step towards its eventual de jure recognition, or it may serve as a way of
establishing a dialogue between the recognized entity and the international community.

However, de facto recognition can also be a controversial issue. Some states may be reluctant
to recognize a de facto entity, fearing that such recognition may set a dangerous precedent
and encourage other groups to seek independence through armed struggle. Furthermore, de
facto recognition can be seen as a violation of the principle of territorial integrity, as it may
involve recognition of an entity that has taken control of a territory without the consent of the
original state. 12

There are several examples of de facto recognition in international relations. One prominent
example is the case of Taiwan. Taiwan is a self-governing democracy that has not been
recognized as a sovereign state by the People's Republic of China, which claims Taiwan as a
province. However, Taiwan has established diplomatic relations with a number of other
states, and it is a member of several international organizations, including the World Trade
Organization and the Asian Development Bank. Taiwan's status in international law remains
a controversial issue, with some states recognizing it as a sovereign state, while others adhere
to the One China policy.

Another example of de facto recognition is the case of Kosovo. Kosovo declared

independence from Serbia in 2008, but its status remains disputed.

12
Hillebrecht, C. (2013). De facto States and International Law. Martinus Nijhoff Publishers

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CHAPTER 6: DE JURE RECOGNITION

De jure recognition refers to the formal recognition of a state by other states, in accordance
with the criteria for statehood under international law. De jure recognition is based on
objective and factual criteria, such as a defined territory, a permanent population, a
government, and the capacity to enter into relations with other states. When a state has been
recognized de jure, it is considered to be a full-fledged member of the international
community, with all the rights and obligations that come with that status. 13

De jure recognition is an important element in the establishment of a state's legal status under
international law. It is based on the principle of sovereign equality of states, which holds that
all states are equal in terms of their legal status and capacity to enter into relations with other
states. De jure recognition is therefore a recognition of the legal personality of a state, and it
implies that the state in question is entitled to all the rights and obligations that come with
statehood under international law.

There are several ways in which de jure recognition can be granted. One way is through
express recognition, where one state formally recognizes another state through a statement or
a formal act. This may take the form of a bilateral treaty, a diplomatic note, or a public
statement by a government official. Express recognition is the most common form of de jure
recognition, and it is often used as a means of establishing diplomatic relations between
states.

Another way in which de jure recognition can be granted is through implied recognition,
where a state's conduct indicates that it recognizes the existence of another state. Implied
recognition may arise when a state engages in diplomatic relations with another state,
concludes a treaty or an agreement with that state, or refers to that state as a sovereign entity
in its official communications.

The legal and political implications of de jure recognition are significant. From a legal
perspective, de jure recognition gives rise to rights and obligations under international law.
For example, a recognized state is entitled to diplomatic immunity, and its government
officials enjoy certain privileges and immunities when they travel to other states. In addition,

13
Grant, T. D. (2018). Recognition of States: International Law in Practice. Oxford University Press

15
a recognized state is entitled to participate in international organizations and to enter into
treaties and other international agreements.

From a political perspective, de jure recognition is an important element in the establishment

of diplomatic relations between states. It is a means of establishing a dialogue between states
and of promoting peace and stability in the international system. De jure recognition is also a
way of acknowledging the sovereignty and independence of other states, and it can have a
symbolic value in terms of promoting the legitimacy of a state.

However, de jure recognition can also be a controversial issue. Some states may be reluctant
to grant recognition to a state that does not meet the formal criteria for statehood, or that has
been involved in conflicts or human rights violations. Furthermore, recognition of a state can
have political implications, particularly if the state in question is involved in regional or
international conflicts. States may use recognition as a means of supporting or opposing
certain political or ideological agendas, which can complicate efforts to promote peace and
stability in the international system.

There are several examples of de jure recognition in international relations. One prominent
example is the case of South Sudan. South Sudan declared independence from Sudan in
2011, and it was recognized de jure by a number of states, including the United States, China,
and Russia. South Sudan's recognition as a sovereign state was an important step in its efforts
to establish itself as a member of the international community and to seek assistance in its
post-conflict reconstruction. 14

14
Aust, A. (2013). Handbook of International Law. Cambridge University Press.

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CONCLUSION

In conclusion, recognition is an important concept in international law, as it serves as a means

of establishing the legal and political status of states in the international system. There are
two main modes of recognition, de facto and de jure, each of which has its own
characteristics and implications.

De facto recognition refers to the recognition of a state by other states based on its effective
control of a territory, even if the state does not meet all the criteria for statehood under
international law. De facto recognition is often used as a means of promoting stability and
resolving conflicts, but it can also have negative implications, such as legitimizing the use of
force or undermining the principle of territorial integrity.

De jure recognition, on the other hand, is a formal recognition of a state by other states, based
on the objective criteria for statehood under international law. De jure recognition gives rise
to rights and obligations under international law, and it is an important element in the
establishment of diplomatic relations and the promotion of peace and stability in the
international system.

Overall, the modes of recognition reflect the complexity of international relations and the
diverse interests and values of states. While recognition is an important tool for establishing
the legal and political status of states, it is also subject to political and ideological
considerations, and can have both positive and negative implications for the international
system.

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BIBLIOGRAPHY

BOOKS

 Aust, A. (2013). Handbook of International Law. Cambridge University Press.

 Crawford, J. (2012). The Creation of States in International Law. Oxford University
Press.
 Grant, T. D. (2018). Recognition of States: International Law in Practice. Oxford
University Press.
 Koskenniemi, M. (2011). The Politics of International Law. Oxford University Press.
 Shaw, M. N. (2017). International Law. Cambridge University Press.

WEBSITES

 https://www.un.org/en/sections/issues-depth/recognition-of-states-and-
governments/index.html
 https://www.icrc.org/en/doc/resources/documents/misc/5d23hm.htm
 https://www.britannica.com/topic/recognition-international-law
 https://opil.ouplaw.com/home/EPIL
 https://academic.oup.com/ejil

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