Encyclopedia
A
federation is a union comprised of a number of partially self-governing states or regions united by a central government. In a federation, the self-governing status of the component states are 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 . It can be considered the opposite of another system, the
unitary state.
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.
Federations often employ the
paradox of being a union of states, while still being states in themselves. For example, James Madison 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. 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.
Federations and other forms of state
- See also: Unitary and federal systems of government for a comparison between federal and systems of government.
In a federation the component states are regarded as in some sense sovereign, in so far 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 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. However it is not characteristic in a federation for small peripheral regions to be self-governing, while a central, much larger 'metropolis' region remains under the direct control of the central government.
Some federations are called assymmetric 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 to come together in order to solve mutual problems, or provide for mutual defence. This was the case with the United States,
Switzerland, Canada and Australia.
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 at 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.
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 if not federal in theory.
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 to unilaterally abolish the
legislatures of
Wales or
Scotland, would be a near political impossibility.
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". 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. Special administrative regions are not constitutionally stated to be administrative divisions. It is also not stated that special administrative regions are incorporated territories.
Other forms of state
Confederation: While distinct from a unitary state, a federation is also to be distinguished from a confederation. By connotation, a confederation is similar in structure to a federation but with a weaker central government. A confederation may also consist of states that, while temporarily pooling sovereignty in certain areas, are considered entirely sovereign and retain the right of secession. A confederation is sometimes a loose alliance but in other cases the distinction between a federation and a confederation may be ambiguous. For example Switzerland is formally the 'Swiss Confederation' but its structure is similar to that of many federal states.
Empire: An
empire is a multi-ethnic state or group of nations with a central government established usually through coercion . 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.
European Union
The
European Union 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. 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 Constitutional Treaty would codify the Member States' right to leave the Union, but would at the same time also provide the European Union with more powers in some areas. Whether or not this would move the European Union closer to a federal state than an international organisation is currently the subject of heated political debate.
Russian Federation
Some argue that the
Russian Federation is not a federation in the strictest sense. It consists of the metropolis of 'Russia proper' and a number of small autonomous republics and
oblasts. Russia proper includes the great majority of the population and, while it is organised into 41 provinces, these are under the direct control of the national government in
Moscow. The remaining self-governing regions possess little actual autonomy.
Furthermore, since 2004 the governors of each region, who were previously elected by popular vote, have been directly appointed by the President of Russia. Local parliaments theoretically have authority to veto an appointment, but if this occurs the parliament must be dissolved and new elections held.
Soviet Union
The constitution of the 1922-1991
Soviet Union 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. In practice, the system of one-party government found in the USSR meant that governance of the Union was highly centralised, with important decisions taken by the leaders of the
Communist Party in
Russia and merely 'rubber stamped' by local institutions. As such, the Soviet Union may be considered to have been a unitary state. Nonetheless, with the introduction of free, competitive elections in the final days of the USSR, 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 USSR's
de jure federal structure played a key role in its dissolution.
Myanmar
Myanmar is claimed to adopt federation . However, since General Ne Win seized the power of 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 defence. Were this not the case a federation would not be a single sovereign state. 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, provides the opposite: that powers not explicitly granted to the provincial governments are retained by the centre. 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 , which then have broad discretion as to how to implement them. In the People's Republic of China, regarded by some as a
de facto although not
de jure federation, the central government sets up general economic policy and goals, and leaves the implementation to provincial governments. Much like the Canadian system, the Australian Division of Powers serperates some powers which were considered too difficult for the states to manage so that the Federal Government takes on that responsibility.
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.
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 referenda 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 than 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 - the delineation of powers is specified in a written constitution.
- Executive federalism .
Federalism as a political philosophy
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
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
Contemporary
Long form titles
...
Defunct
...
Some of proclaimed arab federations was confederations de-facto.
Fictional federations
Footnotes
- Whether or not the Russian Federation is a genuine federation is a matter of dispute. See: Russian Federation section.
- The USSR was a federation according the letter of its constitution, but, at least until its final days in the late eighties and early nineties, its governance was highly centralised in practice. See: Soviet Union section.
- The Socialist Federal Republic of Yugoslavia was officially proclaimed in 1963. Prior to this the communist Yugoslav state was named Democratic Federal Yugoslavia in 1945 and the Federal People's Republic of Yugoslavia in 1946. See: Socialist Federal Republic of Yugoslavia.
- 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.
The government of
Somalia led by
Ali Muhammad Ghedi in Baidoa is a federation in name only; it does not control the city of
Mogadishu or the breakaway republic of
Somaliland.
See also
