AUTHORS
Rey Magno Teves, Jose V. Abueva, Clarita R. Carlos,
and Gaudioso C. Sosmena, Jr (2002)
and Gaudioso C. Sosmena, Jr (2002)
Nature of Federalism
Q: What is the federal principle?
A: The federal principle refers to the principle that governmental powers and responsibilities may be divided between the federal (national) government and the state (regional and local) governments. Matters that the state governments cannot handle satisfactorily are entrusted to the federal government – and the federal government’s authority is limited to those matters.
Q: How is federal principle realized?
A: The federal principle is realized through a federal constitution, which defines functions and powers of the federal and state governments. In the Malaysian constitution government functions and powers are contain in a provision consisting of the Federal list (Functions and Powers of the Federal Government) State list (Functions and Powers of the State Government) and the concurrent list (Functions and Powers of both Federal /State Government).
Q: How did federalism develop?
A: Federalism developed as a response to the need to link separate political communities together in order to pursue effectively objectives that each could not obtain on its own, but without subsuming their respective identities.
Q: What is a federal system?
A: A federal system involves the establishment of relatively small, coexisting political units that are geographically within the boundaries of economic interaction and territorial reach of the central government. However, the central government is not allowed to extend beyond constitutionally defined limits; while other activities and functions are carried out by separate state-provincial units that co-exist.
Federal System vs. Unitary System
A: A federal system involves the establishment of relatively small, coexisting political units that are geographically within the boundaries of economic interaction and territorial reach of the central government. However, the central government is not allowed to extend beyond constitutionally defined limits; while other activities and functions are carried out by separate state-provincial units that co-exist.
Federal System vs. Unitary System
Q: What distinguishes a federal system from a unitary system of government?
A: In a federal system, the central government is prevented from becoming all-powerful and is given only the powers it needs. State governments are established as “Regional Localities,” free to handle local affairs according to the political desires of their constituents. Ina unitary system, almost all policies and decisions emanate from the central government.
Q: What is the structure of a federal system in general?
A: A federal system consists of the federal or national government and constituent states and local governments in each state. Each state government may define with local governments, the functions and the powers of the latter.
Q: Why have some countries adopted federalism?
A: A federal system consists of the federal or national government and constituent states and local governments in each state. Each state government may define with local governments, the functions and the powers of the latter.
Q: Why have some countries adopted federalism?
A: Some countries have adopted federalism because of the need for new forms of functional administration since some political modalities have become insufficient in coping with people’s needs and problems. Federalism brings about greater autonomy for people in far-flung regions thus letting them address their needs and problems in their own way and making available adequate resources.
Q: Is decentralization in a unitary system as good as in federalism?
A: Decentralization is basically both administrative decentralization (deconcentration) and political decentralization (devolution). Both types can exist in either unitary or federal system of government. However, it has been universally observed that the federal system is the closest to the ideal of operationalizing democracy that any Unitarian order.
Types of Federal Systems
Q: What are the types of systems?
A: Federal systems may be categorized according to: a) Process of adoption of federalism; and
b) Distribution of powers and functions between the federal government and state/local governments.
Q: What are the types of federal systems according to process of adoption of federalism?
A: According to the process of adoption of federalism, there may be
a) “Born” federations – a federal structure and distinct entities at the foundation of the country played a major role in the development of the political and fiscal structure of the country (e.g. Canada, India and Switzerland);
b) Countries that “became” federations – federations was adopted in order to preserve the nations and enhance peaceful coexistence among distinct communities (e.g. South Africa); and
c) Countries where federalism was “thrust upon them” – federalism became a desperate attempt to keep a nation alive by weakening the central government (e.g. Bosnia Herzegovina).
Q: What are the types of federal systems according to distribution of powers and functions between the federal government and state governments?
A: According to the process of adoption of federalism, there may be
a) “Born” federations – a federal structure and distinct entities at the foundation of the country played a major role in the development of the political and fiscal structure of the country (e.g. Canada, India and Switzerland);
b) Countries that “became” federations – federations was adopted in order to preserve the nations and enhance peaceful coexistence among distinct communities (e.g. South Africa); and
c) Countries where federalism was “thrust upon them” – federalism became a desperate attempt to keep a nation alive by weakening the central government (e.g. Bosnia Herzegovina).
Q: What are the types of federal systems according to distribution of powers and functions between the federal government and state governments?
A: Depending on how powers and functions between the federal government and state government are distributed, federal systems may be classified into:
a) Cooperative federalism
b) Competitive federalism
c) Coercive federalism
d) Permissive federalism
Q: What is “cooperative federalism”?
A: In “cooperative federalism”, both the federal and the state governments share responsibilities in certain areas/services to ensure the operation of national programs throughout the country. Examples of countries with this type of federalism are Ethiopia, Germany, South Africa, United Arabs Emirates, United States, Venezuela and Yugoslavia.
Q: What is “competitive federalism”?
A: In “competitive federalism”, the federal government has a reduced role in state/local government. On the other hand, state/local governments have an increased role in managing their own affairs. Examples of countries with this type of federalism are the Pakistan, Belgium, Austria, Brazil, Micronesia, Switzerland and United Kingdom.
Q: What is “coercive federalism”?
A: In “coercive federalism”, the federal government continues to “direct” both national and state policy. Laws of state / local governments may be presented by the federal government. An example is Nigeria which has a federal military government.
Q: What is “permissive federalism”?
A: In “coercive federalism”, the federal government continues to “direct” both national and state policy. Laws of state / local governments may be presented by the federal government. An example is Nigeria which has a federal military government.
Q: What is “permissive federalism”?
A: In “permissive federalism”, the federal system is almost like a unitary system. The state/local governments have only those powers and authorities permitted to them by the federal government. The state/local governments derive their existence and authorities form the federal government. Examples of countries with this type of federalism are Austria, India Malaysia, Mexico and the Russian Federation.
Jurisdiction, Functions and Powers
Q: What exclusive powers and functions can a federal government retain?
A: A federal government can retain exclusive powers and functions over the following areas, among others:
a) National security and external defense
b) Foreign relations
c) Currency/Monetary system
d) External trade/commerce
e) Citizenship
f) Civil rights/political rights/human rights
g) Immigration, emigration, extradition
h) National elections
i) Supreme Court Decision
j) Protection of intellectual property, property rights, and copyrights
Q: What may be the exclusive jurisdiction of a state government in a federal system?
A: State governments can have jurisdiction over the following areas, among the others:
a) State/local elections
b) Regional trial courts/Metropolitan trial courts
c) Licensure of public utilities
d) Administration and enforcement of State laws and programs
e) State socio-economic planning
f) State finance – taxation, customs, budget and audit
g) Grants-in-Aid to local governments
h) Police, public safety, law and order
i) State and local infrastructure
Q: What functions and powers may be the concurrent (shared) jurisdiction of the federal and the state governments?
A: Functions and powers in the following areas, among others, may be the concurrent jurisdiction of the federal state governments:
a) Health
b) Education
c) Social welfare
d) Cultural development
e) Sports development
f) Environmental protection
g) Energy
h) Tourism
i) Roads and Highways
Q: What is the mechanism for resolving conflicts and doubts on jurisdiction in a federal system?
A: A Constitutional Court or Tribunal may be established with the power to decide on how to resolve the conflicts between the federal and state/local governments.
Practical Aspects of Federalism
Q: Is federalism suitable only for large countries and, therefore, inappropriate for a relatively small country like the Philippines?
A: Federalism is feasible in both small and large countries. Political considerations are more important than size of the country.
Q: What are examples of small and large countries that have adopted federalism?
A: Large countries that have adopted the federal system include the United States, Australia, Canada, India, Brazil, Argentina and Russian Federation. Smaller countries include Belgium, Pakistan and Switzerland.
Q: Will one vote be less decisive in a federal system?
A: If we define voting as a participatory activity in determining political choices, one vote is more effective in small than in large political units. It will also be easier for one person or small group to organize a potentially winning political group in a localized community than in a large and complex polity.
Q: Is federalism compatible with either a presidential and parliamentary form of government?
A: Yes, federalism is compatible with both presidential and parliamentary forms of government. Examples of countries that have a presidential form of government and a federal system are United States, Venezuela and Mexico. Examples of countries that have a parliamentary form of government and a federal system are Australia, Germany, India and Malaysia.
Q: Will a federal system cost more to run than a unitary system?
A: The cost of running a government depends at the stage of a nation’s economic development and, not entirely on the system of governance. Initial estimates for the Federal Philippines comprising of seven states will incur a cost for the Federal and state bureaucracies to the same level of the 2002 budget of the Philippine Government at a Php 700 billion. However future cost of governance in this case is very relative.
Q: What type of federalism is suited for the Philippines?
A: The type of federalism suited for the Philippines can be determined only through discussion, consultation and debate among our people. The Philippines can develop its own unique model of federalism based on the various models that have been adopted by other countries.
Q: Will federalism solve all our problems?
A: No, federalism will not solve all our problems. However, in the face of all our problems, it will allow people to take greater control over their own lives and satisfy their preferences – what they really want.
A: No, federalism will not solve all our problems. However, in the face of all our problems, it will allow people to take greater control over their own lives and satisfy their preferences – what they really want.
Q: How can the shift to a federal system be effected?
A: The shift from a unitary system to a federal system can be effected through amendments of the Constitution.
A: The shift from a unitary system to a federal system can be effected through amendments of the Constitution.
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