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Federation

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For other uses, see federal states.
A map displaying today's federations.

A federation (Latin: foedus, covenant) is a union comprising a number of partially self-governing states or regions united by a central ("federal") government. In a federation, the self-governing status of the component states is typically constitutionally entrenched and may not be altered by a unilateral decision of the central government.

The form of government or constitutional structure found in a federation is known as federalism (see also federalism as a political philosophy). It can be considered the opposite of another system, the unitary state. The government of Germany with sixteen federated Länder is an example of a federation, whereas neighboring Austria and its Bundesländer is a unitary state with administrative divisions that became federated, and neighboring France is by contrast fully unitary, though its subnational entities appear similar to states of a federation government.

Federations may be multi-ethnic, or cover a large area of territory, although neither is necessarily the case. Federations are often founded on an original agreement between a number of sovereign states.

The international organization for federal countries, the Forum of Federations [1], is based in Ottawa, Ontario, Canada. It helps share best practices amongst countries with federal systems of government, and currently includes nine countries as partner governments.

Federations and other forms of state

A map of the United States of America, showing its fifty constituent states.
A map of the United Mexican States (Mexico), showing its thirty one constituent states and the Federal District.

In a federation the component states are regarded as in some sense sovereign, insofar as certain powers are reserved to them that may not be exercised by the central government. However, a federation is more than a mere loose alliance of independent states. The component states of a federation usually possess no powers in relation to foreign policy and so they enjoy no independent status under international law.

Federations usually exhibit a single, two-tier structure of government across an entire jurisdiction. Exceptions may occur in which certain parts of the federation are under more direct control of the federal government, as is the case with the autonomous 'territories' of Canada and Australia, with Union Territories in India and with the United States District of Columbia, as well as with the Federal District of Mexico. In this latter case, the federal government has special constitutional faculties in regards to the appointment and destitution of the local government. However it is not characteristic in a federation for small peripheral regions to be self-governing, while a central, much larger metropolitan region remains under the direct control of the central government.[clarification needed]

Some federations are called asymmetric because some states have more autonomy than others, although they have the same constitutional status.

A federation often emerges from an initial agreement between a number of separate states. The purpose can be the will to solve mutual problems or to provide for mutual defence, or to create a nation state for an ethnicity spread over several states. The former was the case with the United States and Switzerland, the latter with Germany.[clarification needed] In other cases, like Brazil, the federation comes after a unitary state, as a new model in order to decentralize powers and functions, dividing the territory based in ethnical and cultural diversity[clarification needed] . Australia is unique in that it came into existence as a nation by the democratic vote of the citizens of each State who voted "yes" in referendums to adopt the Australian Constitution.

Unitary states

A unitary state is sometimes one with only a single, centralised, national tier of government. However, unitary states often also include one or more self-governing regions. The difference between a federation and this kind of unitary state is that in a unitary state the autonomous status of self-governing regions exists by the sufferance of the central government, and may be unilaterally revoked. While it is common for a federation to be brought into being by agreement between a number of formally independent states, in a unitary state self-governing regions are often created through a process of devolution, where a formerly centralised state agrees to grant autonomy to a region that was previously entirely subordinate. Thus federations are often established voluntarily from 'below' whereas devolution grants self-government from 'above'.

It is often part of the philosophy of a unitary state that, regardless of the actual status of any of its parts, its entire territory constitutes a single sovereign entity or nation-state, and that by virtue of this the central government exercises sovereignty over the whole territory as of right. In a federation, on the other hand, sovereignty is often regarded as residing notionally in the component states, or as being shared between these states and the central government.

De facto federations

The distinction between a federation and a unitary state is often quite ambiguous. A unitary state may closely resemble a federation in structure and, while a central government may possess the theoretical right to revoke the autonomy of a self-governing region, it may be politically difficult for it to do so in practice. The self-governing regions of some unitary states also often enjoy greater autonomy than those of some federations. For these reasons, it is sometimes argued that some modern unitary states are de facto federations.

Spain is suggested as one possible de facto federation as it grants more self-government to its autonomous communities than most federations allow their constituent parts. For the Spanish parliament to revoke the autonomy of regions such as Galicia, Catalonia or the Basque Country, or for the United Kingdom government unilaterally to abolish the legislatures of Wales, Northern Ireland or Scotland, would be a political near-impossibility[citation needed], though nothing bars it legally. Additionally, some regions such as Navarra or the Basque Country have full control over taxation and spending, transferring a small payment to the central government for the common services (army, foreign relations, macroeconomic policy).

In the People's Republic of China, a form of de facto federation has evolved without formal legislation. This has occurred as largely informal grants of power to the provinces, to handle economic affairs and implement national policies. This has resulted in a system some have termed "de facto federalism with Chinese characteristics" (in reference to Deng Xiaoping's policy of socialism with Chinese characteristics). Constitutionally, the power vested in the special administrative regions of the People's Republic is granted from the Central People's Government, through decision by the National People's Congress. To revoke the autonomy of the Special Administrative Regions of Hong Kong and Macau is a great political challenge if not impossible altogether.

Other forms of state

The Swiss Confederation and its 26 cantons.
Confederation
While distinct from a unitary state, a federation is often said to be distinguished from a confederation. By connotation, a confederation is similar in structure to a federation but with a weaker central government. Over time these terms acquired distinct connotations leading to the present difference in definition. An example of this is the United States under the Articles of Confederation. The Articles established a national government under what today would be defined as a federal system (albeit with a comparatively weaker federal government). However, Canada, designed with a stronger central government than the U.S. in the wake of the Civil War of the latter, has always been called a Confederation by Canadians (also a Dominion and/or a Realm, but these do not bear on the current discussion). Ironically, legal reforms, court rulings, and political compromises have greatly decentralised Canada in practice since its formation in 1867.
Empire
An empire is a multi-ethnic state or group of nations with a central government established usually through coercion (on the model of the Roman Empire). An empire will often include self-governing regions but these will possess autonomy only at the sufferance of the central government. The term empire, except where used metaphorically, is usually reserved for an entity headed by an emperor, although his or her constitutional role may be purely ceremonial. An empire may, in some cases, also consist of multiple kingdoms organised together with a high king designated as an emperor. One example of this was Imperial Germany.
Remnants of colonial empires
Colonialism has left behind still other forms of federations. For instance, by charter the Kingdom of the Netherlands is a federation of three countries ("landen"): the Netherlands (in Europe), the Netherlands Antilles, and Aruba. Each country has its own constitution. The Netherlands Antilles and Aruba each has full autonomy in its internal affairs. [2] The Dutch government in The Hague remains responsible for defense and foreign affairs of the Netherlands Antilles and Aruba. With federations of this type, the center of gravity — de jure or de facto — lies in one of the constituent parts, the "mother" country, although unmentioned as such.

European Union

The European Union (EU) possesses some of the attributes of a federal state. However, its central government is far weaker than that of most federations so it is usually characterised as an unprecedented form of supra-national union or confederation. The EU has responsibility for important areas such as trade and monetary union, and today around sixty per cent of the legislation in member-states originates in the institutions of the Union.[citation needed] Nonetheless, EU member-states retain the right to act independently in matters of foreign policy and defence, and also enjoy a near monopoly over other major policy areas such as criminal justice and taxation. Furthermore, member-states are separate, sovereign entities under international law and, currently at least, possess a de facto if not explicit de jure right of secession. The proposed Treaty of Lisbon would codify the Member States' right to leave the Union, but would at the same time also provide the European Union with significantly more power in many areas. The European Union is being given 'legal personality' and taking unto itself powers that it formerly exercised only in a representative capacity for the Member States.

Russian Federation

An interesting example is provided by the Russian Federation. It has inherited its structure from the Russian Soviet Federative Socialist Republic that was one of the 15 republics of the Soviet Union and itself was considered a federation. The RSFSR, however, consisted of "autonomous republics" which had a certain degree of autonomy, at least de jure, and of other types of administrative units (mostly oblasts and krays) whose status was the same as that of oblasts in other - unitary - Soviet republics. In today's Russia, republics, oblasts and krays, cities of federal importance, as well as one "autonomous oblast" and "autonomous districts" are equal in legal terms, save some symbolic features of a republic (constitution, president, national language). Some regions have concluded agreements with the Federation so as to modify the degree of their autonomy. It is also to be noted that several "autonomous districts" are part of the territory of a kray, a complicated system that is now being gradually abolished through referendums on merging certain regions.

Since 2004, governors of each region, who were previously elected by popular vote, have been appointed by local parliaments upon the proposals by the President of Russia. Local parliaments theoretically have authority not agree with the candidate, but if this occurs twice the parliament must be dissolved and new elections held. This lets some argue that the Russian Federation is not a federation in the strictest sense. [3]

Soviet Union (USSR)

The constitution of the 1922-1991 Soviet Union (USSR) theoretically provided for a voluntary federation or confederation of soviet socialist republics. Each was notionally governed by its own supreme council and had the right to secede. Furthermore, some republics themselves possessed further nominally self-governing units. Two of them, Belarus and Ukraine, were even members of the United Nations, some other republics had their own foreign ministries. In practice, the system of one-party government found in the Soviet Union meant that governance of the Union was highly centralised, with important decisions taken by the leaders of the Communist Party in Moscow and merely 'rubber stamped' by local institutions. Nonetheless, with the introduction of free, competitive elections in the final days of the Soviet Union, the Union's theoretically federal structure became a reality in practice; this occurred only for a brief interim period, as the elected governments of many republics demanded their right to secede and became independent states. Thus the Soviet Union's de jure federal structure played a key role in its dissolution.

Myanmar

Myanmar (formerly Burma) is claimed to have adopted federation status (the country's official name is "Union of Myanmar"). However, after General Ne Win seized power Burma in 1962 and abolished the Constitution of the Union of Burma, the country adopted a unitary system under his military dictatorship.

Constitutional structure

Division of powers

In a federation, the division of power between federal and regional governments is usually outlined in the constitution. It is in this way that the right to self-government of the component states is usually constitutionally entrenched. Component states often also possess their own constitutions which they may amend as they see fit, although in the event of conflict the federal constitution usually takes precedence.

In almost all federations the central government enjoys the powers of foreign policy and national defense. Were this not the case a federation would not be a single sovereign state, per the UN definition. Beyond this the precise division of power varies from one nation to another. The United States Constitution provides that all powers not specifically granted to the federal government are retained by the states. The Constitution of Canada, on the other hand, states that powers not explicitly granted to the provincial governments are retained by the federal government. In Germany, the division of powers is less one of content than of administration: the federal government often merely issues broad directives to the Länder (self-governing regions), which then have broad discretion as to how to implement them. Much like the US system, the Australian Constitution allocates to the Federal government (the Commonwealth of Australia) the power to make laws about certain specified matters which were considered too difficult for the States to manage, so that the States retain all other areas of responsibility. Under the division of powers in the Treaty On The Functioning Of The European Union, which forms the second part of the Lisbon Treaty, the only exclusive list of powers are powers given to the European Union; the remaining powers are all to be 'shared' between the new central government and the new provinces. The exact formula for 'sharing' is left open, and may be subject to change. Unlike the Constitutions of the United States and Canada, this leaves open the possibility that with time the 'sharing' could result in more powers being shifted to the central government, possibly one day allowing the creation of a European unitary state.

File:Map Canada political.png
In Canada, the provincial governments derive all their powers directly from the constitution. In contrast, the territories are subordinate to the federal government and are delegated powers by it.

Where every component state of a federation possesses the same powers, we are said to find 'symmetric federalism'. Asymmetric federalism exists where states are granted different powers, or some possess greater autonomy than others do. This is often done in recognition of the existence of a distinct culture in a particular region or regions. In Spain, "historical communities" such as Navarre, Galicia, Catalonia, and the Basque Country have more powers than other autonomous communities, partly to deal with their distinctness and to appease nationalist leanings, partly out of respect of privileges granted earlier in history.

It is common that during the historical evolution of a federation there is a gradual movement of power from the component states to the centre, as the federal government acquires additional powers, sometimes to deal with unforeseen circumstances. The acquisition of new powers by a federal government may occur through formal constitutional amendment or simply through a broadening of the interpretation of a government's existing constitutional powers given by the courts.

Usually, a federation is formed at two levels: the central government and the regions (states, provinces, territories), and little to nothing is said about second or third level administrative political entities. Brazil is an exception, because the 1988 Constitution included the municipalities as autonomous political entities making the federation tripartite, encompassing the Union, the States, and the municipalities. Each state is divided into municipalities (municípios) with their own legislative council (câmara de vereadores) and a mayor (prefeito), which are partly autonomous from both Federal and State Government. Each municipality has a “little constitution”, called “organic law” (lei orgânica). Mexico is an intermediate case, in that municipalities are granted full-autonomy by the federal constitution and their existence as autonomous entities (municipio libre, "free municipality") is established by the federal government and cannot be revoked by the states' constitutions. Moreover, the federal constitution determines which powers and competencies belong exlusively to the municipalities and not to the constituent states. However, municipalities do not have an elected legislative assembly.

Federations often employ the paradox of being a union of states, while still being states (or having aspects of statehood) in themselves. For example, James Madison (author of the US Constitution) wrote in Federalist Paper No. 39 that the US Constitution "is in strictness neither a national nor a federal constitution; but a composition of both. In its foundation, it is federal, not national; in the sources from which the ordinary powers of the Government are drawn, it is partly federal, and partly national...." This paradox stems from the fact that states in a federation maintain all sovereignty that they do not yield to the federation by their own consent. (Example: see the Tenth Amendment to the United States Constitution or Article 3 of the Constitution of the Swiss Confederation.) The sharing of sovereignty between a federation and its constituent states sometimes makes it difficult to differentiate between a sovereign state and a non-sovereign state.

Organs of government

The structures of most federal governments incorporate mechanisms to protect the rights of component states. One method, known as 'intrastate federalism', is to directly represent the governments of component states in federal political institutions. Where a federation has a bicameral legislature the upper house is often used to represent the component states while the lower house represents the people of the nation as a whole. A federal upper house may be based on a special scheme of apportionment, as is the case in the senates of the United States and Australia, where each state is represented by an equal number of senators irrespective of the size of its population.

Alternatively, or in addition to this practice, the members of an upper house may be indirectly elected by the government or legislature of the component states, as occurred in the United States prior to 1913, or be actual members or delegates of the state governments, as, for example, is the case in the German Bundesrat. The lower house of a federal legislature is usually directly elected, with apportionment in proportion to population, although states may sometimes still be guaranteed a certain minimum number of seats.

In Canada, the provincial governments represent regional interests and negotiate directly with the central government. A First Ministers conference of the prime minister and the provincial premiers is the de facto highest political forum in the land, although it is not mentioned in the constitution.

Federations often have special procedures for amendment of the federal constitution. As well as reflecting the federal structure of the state this may guarantee that the self-governing status of the component states cannot be abolished without their consent. An amendment to the constitution of the United States must be ratified by three-quarters of either the state legislatures, or of constitutional conventions specially elected in each of the states, before it can come into effect. In referendums to amend the constitutions of Australia and Switzerland it is required that a proposal be endorsed not just by an overall majority of the electorate in the nation as a whole, but also by separate majorities in each of a majority of the states or cantons. In Australia, this latter requirement is known as a double majority.

Some federal constitutions also provide that certain constitutional amendments cannot occur without the unanimous consent of all states or of a particular state. The US constitution provides that no state may be deprived of equal representation in the senate without its consent. In Australia, if a proposed amendment will specifically impact one or more states, then it must be endorsed in the referendum held in each of those states. Any amendment to the Canadian constitution that would modify the role of the monarchy would require unanimous consent of the provinces. The German Basic Law provides that no amendment is admissible at all that would completely abolish the federal system.

Other technical terms

  • Fiscal federalism - federalism involving the transfer of funds between different levels of government.
  • Formal federalism (or 'constitutional federalism') - the delineation of powers is specified in a written constitution.
  • Executive federalism (also known as 'administrative federalism').

Federalism as a political philosophy

Main articles: Federalism and Federalist

The meaning of federalism, as a political movement, and of what constitutes a 'federalist', varies with country and historical context. Movements associated with the establishment or development of federations can be either centralising or decentralising. For example, at the time those nations were being established, 'federalists' in the United States and Australia were those who advocated the creation of strong central government. Similarly, in European Union politics, federalists are mostly those who seek greater EU integration. In contrast, in Spain and post-war Germany, federal movements have sought decentralisation: the transfer of power from central authorities to local units. In Canada, where Quebec separatism has been a political force for several decades, the 'federalist' force is dedicated to keeping the federation intact and adapting the federal structure to better suit Quebec interests.

Internal controversy and conflict

The United Provinces of Central America was short-lived.

Certain forms of political and constitutional dispute are common to federations. One issue is that the exact division of power and responsibility between federal and regional governments is often a source of controversy. Often, as is the case with the United States, such conflicts are resolved through the judicial system, which delimits the powers of federal and local governments. The relationship between federal and local courts varies from nation to nation and can be a controversial and complex issue in itself.

Another common issue in federal systems is the conflict between regional and national interests, or between the interests and aspirations of different ethnic groups. In some federations the entire jurisdiction is relatively homogeneous and each constituent state resembles a miniature version of the whole; this is known as 'congruent federalism'. On the other hand, incongruent federalism exists where different states or regions possess distinct ethnic groups.

The ability of a federal government to create national institutions that can mediate differences that arise because of linguistic, ethnic, religious, or other regional differences is an important challenge. The inability to meet this challenge may lead to the secession of parts of a federation or to civil war, as occurred in United States and Switzerland. In case of Malaysia, Singapore was expelled from the federation because of rising racial tension. In some cases internal conflict may lead a federation to collapse entirely, as occurred in Nigeria, the Federation of Rhodesia and Nyasaland, the United Provinces of Central America and the West Indies Federation.

List of federations

Template:List of countries

Contemporary

Federation Subdivisions article
Argentina Provinces of Argentina 23 provinces 1 federal district
Australia States and territories of Australia 6 states 1 federal district/territory, 1 major territory, several minor territories
Austria States of Austria 9 Bundesländer
Belgium Divisions of Belgium 3 linguistic communities 3 regions
Bosnia and Herzegovina Divisions of Bosnia and Herzegovina 2 entities 1 district
Brazil States of Brazil 26 states 1 federal district and 5,561 municipalities
Canada Provinces and territories of Canada 10 provinces 3 territories
Comoros 3 islands
Ethiopia Regions of Ethiopia 9 regions 2 chartered cities
Germany States of Germany 16 Länder or Bundesländer
India States and territories of India 28 states 7 union territories
Iraq Governorates of Iraq 18 governorates, including 1 autonomous region
Malaysia States of Malaysia 13 states 3 federal territories
Mexico States of Mexico 31 states 1 federal district
FS Micronesia 4 states
Nepal 14 zones 75 districts
Netherlands Countries of the Kingdom of the Netherlands 3 landen
Nigeria States of Nigeria 36 states 1 territory
Pakistan Provinces and territories of Pakistan 4 provinces 4 federal territories
Russia[4] Subjects of Russia 47 oblasts, 21 republics, 1 autonomous oblast, 5 autonomous okrugs, 8 krais, 2 federal cities 7 Federal Districts
Saint Kitts and Nevis islands/parishes of Saint Kitts and Nevis two islands/14 parishes
Sudan States of Sudan 26 states
Switzerland Cantons of Switzerland 26 cantons
United Arab Emirates Emirates of the UAE 7 emirates
United States Divisions of the United States 50 states 1 federal district; 1 incorporated territory, 13 unincorporated territories
Venezuela States of Venezuela 23 states, 1 federal dependency 1 federal district

Long form titles

Defunct

Some of the proclaimed Arab federations were confederations de facto.

Footnotes

  1. ^ Forum of Federations
  2. ^ The World Factbook, Central Intelligence Agency: Aruba, the Netherlands Antilles (Retrieved on 2007-07-18)
  3. ^ Russia's year of shrinking liberties BBC News
  4. ^ Whether or not the Russian Federation is a genuine federation is a matter of dispute. See: Russian Federation section.
  5. ^ The USSR was a federation according to the letter of its constitution, but, at least until its final years in the late eighties and early nineties, its governance was highly centralised in practice. See: Soviet Union section.
  6. ^ The Socialist Federal Republic of Yugoslavia was officially proclaimed in 1963. Prior to this, the communist Yugoslav state was named Democratic Federal Yugoslavia in 1943 and then Federal People's Republic of Yugoslavia in 1946. See: Socialist Federal Republic of Yugoslavia.
  7. ^ The Imperial Federation was a proposal that never came into being. It was intended to supersede the British Empire, in which all colonies and dominions would be represented by a single Imperial Parliament under the Imperial Crown. The idea, however, was ahead of its time and the Imperial Federation gave way to the Commonwealth of Nations.

See also

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