Federalism: Concepts, Comparative

Advantages and Power Shifts

Dr. Antonio P. Delos Reyes, MPA,MDM
Senior Education Program Specialist
DepED Division of Davao del Norte, Tagum City
Former Assistant Schools Division Superintendent
DepED Division of Compostela Valley
Schools Division Superintendent Exam Passer(DepED 2005 EMT)
Passer, MATB and Assessment Center, Career Executive Service Officer Exam (CESO)
Professor, School of Business and Governance, Ateneo de Davao University
Former Chairman, Department of Governance, Ateneo de Davao University
MPA-MBA Professor, School of Business and Governance, Ateneo de Davao University
Philippine Councilors League-Visiting Professor-Public Management Lecturer
Former UM Tagum City Graduate School Professor for Public Administration and Management
Former Tagum City Learning Center Professor, Public Health Management Course, PLM-Manila
Former Administrative Officer, TESDA Provincial Office of Compostela Valley
Research Consultant for Public Management
Master of Public Administration, University of Southeastern Philippines, Davao City (State University)
Master in Development Management, School of Management, University of the Philippines Mindanao
Doctor of Education in Education Management, USEP Apokon, Tagum City (State University)
What is Federalism?
It is a form of government
where sovereignty is
constitutionally shared
between central governing
authority and constituent
political units called states
or regions.
Three Models of Federalism
 Dual Federalism assumes states and national
government are more or less equals, with each
level of government having separate and distinct
functions and responsibilities.
 Cooperative Federalism, as term implies, involves
cooperation by all branches of government. This
model views national and state governments as
complementary parts of single governmental
mechanism, purpose of which is to solve public
issues and problems together.
 New Federalism shifts from nation-centered
federalism to state-centered federalism.
Concept of Federalism
 A federal system of government allows political and
cultural interests of regional groups to be reflected
in the laws governing those groups.
 Federalism is a process of unifying power within a
cluster of states and decentralizing power within the
unified state.
 Such concept suggests each identifiable tier of
government has unique attributes, challenges and
resources, and therefore has comparative
advantage in the performance of some functions
and in carrying out specific responsibilities for
meeting adequately needs of the citizenry.
Main Arguments for Federal System
Competition of multiple sub-
national governments
Fiscal federalism
Veto points
Accountability
Size of government
Following Madison’s Idea of
Federal Structure
It could be surmised largeness of size
and heterogeneity of constituency
leads to greater transparency, greater
publicity, and more effective political
competition. If so, the ideal of political
accountability depends upon political
structures that may be maintained at
local level.
Philosophy of Federalism
 Federalism is a system of shared sovereignty between two
levels of government, one national and one subnational-
occupying the same geographic region.
 For system to be truly federal, powers of both national units
(central government) and sub-national units (state
government) must be specified and limited.
 The appeal of federalism retains state powers and local
traditions while establishing strong national government
capable of handling common problems, such as national
defense. A federal form of government also furthers goal
of creating division of powers.
Federation as Institutional
Arrangement
 Federationis a specific organizational form
which includes structures, institutions,
procedures and techniques.
 Somehow, federation involves regional
economic and political integration.
 Intergovernmental cooperation to full
integration of sovereign states under stronger
federal government.
Some Federal Models
 Westminster Model such as Canada
(Constitutional Monarchy)
 Constitutional Federal Republic ( United
States of America)
 Hybrid Model of Germany-Federal
System
 Autonomous Regions of Spain
 Constitutional Monarchy of Malaysia
 Cantons of Switzerland
 Commonwealth of Australia-Federal
Government and States
Fundamental Issues of Federalism
 How much power should federal
government have and state government
rings always the bell of public discussion.
 In what manner allocation, taxing and
regulatory powers should be distributed
among orders of government.
 What is the future design of federal
government and how it looks like according
to political, social, economic, geographical
and ethnic considerations.
Prerequisites for Federalization
Security
Prosperity
Commonness or Familiarity
Geographic Proximity
Division of Powers and
Responsibilities
 National government focuses only on interests with
nationwide bearing: foreign policy and defense, for
example.
 Autonomous regions or states, divided further into
local government units, will have primary responsibility
over developing industries, public safety, education,
healthcare, transportation, recreation, and culture.
These states will have more power over finances,
development plans, and laws exclusive to their
jurisdiction.
 Powers Delegated to Federalism Powers
Reserved to
Federal Government States

 Declare war Raise taxes

 Create and maintain Establish and maintain
Provide
armed forces schools
public
 Establish foreign Regulate trades within
welfare
policy states
Criminal
 Regulate interstate Conduct elections
and foreign trade justice
Provide for public
 Make copy right and Borrow
safety
patent laws money
Provide welfare and
 Establish post office Charter
public health
 Coin money and banks
Establish local
punish counterfeiters Build roads
governments
Structural Characteristics of
Federations
 Two orders of government, each in direct contact with its
citizens;
 Constitutional sharing of legislative and executive powers, and
sharing of revenues between two orders of government to
ensure each sector of true autonomy;
 Designated representation of regional opinions (usually the
Upper Chamber or Senate);
 Supreme written constitution;
 Arbitration mechanism like federal courts or referendum to
resolve intergovernmental disputes;
 Procedures and institutions designed to facilitate
intergovernmental collaboration in cases of shared domains or
inevitable overlapping of responsibilities.
In most federal systems, constituent units are
considered to be equal and have same legislative
powers.
 Asymmetric division of powers in order to reflect
differences among constituent units. These differences
can be territorial, demographic, linguistic, cultural or
religious.
 One approach consists of increasing federal
government's authority in regions where state's or
province's capacity to exercise legislative authority is less
advanced or is temporarily undermined.
 Another approach is to provide one or several states or
provinces more autonomy than others in order to protect
distinctive characteristics and interests of those states
affected. Malaysian system illustrates this level of
autonomy for states of Sabah and Sarawak.
 Countries That Have Federal System Today

Country Population Size (In Millions)

Argentina 41.3
Australia 21.5
Austria 8.2
Brazil 201.1
Canada 33.8
Ethiopia 88.0
Germany 82.3
India 1,173,1
Malaysia 26.2
Mexico 112.5
Nigeria 152.2
Pakistan 177.3
Switzerland 7.6
United States 310.2
Venezuela 27.2
Source: Central Intelligence Agency, 2014)
Principal Types of Decentralized
Arrangements
 Delegation: Allocation of power by the center to other levels of
government in what remains essentially unitary state, in which center
retains authority to withdraw delegated power or to direct its use.
 Devolution: Conferral of legislative and executive and sometimes
judicial power on other levels of government giving them substantial
autonomy, without complete surrender of, formal control by the
center.
 Regional autonomy: Conferral on one or more regions of greater
degree of self-governing authority than is conferred on other parts of
the state.
 Federation: Division of governing authority between the centre and
one or more other orders of government giving each of them final
autonomy in their own areas of responsibility.
The Proposed Federal Government
of the Philippines
 Philippine Senate Resolution No. 10 (Filed on
April 23, 2008 by Senator Aquilino Q. Pimentel
Jr. et. al.) proposes for the shift from unitary-
presidential form to federal system of
government.
 The proposed new government system to
establish Federal Republic of the Philippines.
Federal policy to accelerate
economic development.
 It is a policy of State to accelerate
country's economic development, among
other things, by converting the nation into
Federal Republic with 11 States in addition
to Federal Administrative Region of Metro-
Manila thereby enabling them to establish
their own centers of finance and
development and help dissipate the
causes of unrest and rebellion in the land.
Federal Congress
 Federal legislative power is vested in Congress composed of
Senate and House of Representatives.
 Every State shall be represented by six senators elected by
qualified voters in state-wide elections (75 Senators).
 Citizens overseas shall be represented by nine senators (9)
elected by qualified voters working or residing in foreign
countries as defined by law.
 House of Representatives shall be composed of not more
than three hundred fifty (350).
 Fifty representatives shall be elected through party-list system
of registered federal or regional sectoral parties or
organizations.
Executive power is vested in the
President of the Federal Republic.
 There shall be Vice-president who shall have same qualifications
and be elected with the President as prescribed by Federal
Constitution.
 The President and the Vice-president shall be voted as a team.
 The vote for presidential candidate shall automatically be
counted as vote for his or her vice presidential candidate if the
latter belongs to same party, aggrupment or coalition of parties as
the former does.
 A vote for vice presidential candidate in a ballot that does not
contain vote for presidential candidate shall be counted
automatically as vote for the presidential candidate who is
officially the running mate of vice presidential candidate
concerned.
Federal Supreme Court
 Supreme Court shall exercise powers and discharge functions vested
upon it by the Constitution.
 Supreme Court shall assign division of Intermediate Appellate Court
to hold office permanently in every State.
 Supreme Court shall assign division of Sandiganbayan to hold office
in Federal Administrative Region; the State of Northern Luzon; the
State of Minparom; the State of Central Visayas, and the State of
Northern Mindanao. Division of Intermediate Appellate Court to hold
office permanently in every State.
 Members of Supreme Court and Judges of lower courts shall be
appointed by President from a list of, at least, three nominees
prepared after appropriate public hearings by Integrated Bar of the
Philippines and approved by Commission on Appointments pursuant
to its rules.
State Legislature
 Every State shall have unicameral legislature.
 Every State Legislature shall be composed of three
representatives for each province and each city located within
territorial boundaries of State who shall be elected by members
of Sangguniang Panlalawigan and Sangguniang Panlunsod
from among their members.
 In addition, three representatives coming from sectors of
farmers, fisherfolk and senior citizens shall be nominated and
appointed as provided for by law.
 One shall be nominated by majority vote of the opposition or
coalition of opposition parties.
Sectoral Representatives
 Sectoral representation shall be appointed by State
Governor within one week after submission of
nominations to his or her office by Sangguniang
Panlalawigan and the Sangguniang Panlungsod
concerned. In the succeeding sectoral representation,
the manner of election shall be provided by state
legislature.
 Any member of State Legislature may be recalled by
majority vote of members of the Sangguniang
Panlalawigan or Sangguniang Panlungsod
concerned.
State Executive Department
 State executive power is vested in the State
Governor.
 There shall be State Vice-Governor who
shall have same qualifications as the State
Governor.
 The power of the President to exercise
general supervision over local government
units applies only to the States.
Tax Revenue Sharing among the Federal
and State Governments
 All revenues and taxes collected by local government
units or by national government agencies in
accordance with Local Government Code of 1991,
Republic Act No. 7160, shall be divided in the following
manner: twenty percent (20%) shall accrue to Federal
Government and eighty percent (80%) to the States.
 Thirty percent (30%) shall pertain to the State concerned
and seventy percent (70%) shall be apportioned among
provinces, cities, municipalities and barangays
according to formula stated in Local Government Code
of 1991.
Here's how the Philippines may look like as laid out in
Senator Pimentel's 2008 Joint Resolution Number 10.
Vital Significance of Federalism
 Locals decide for themselves.
 More power over funds, resources.
 Promotes specialization.
 Possible solution to Mindanao conflict.
 Decongestion of Metro Manila.
 Lessen dependence on Metro Manila.
 Brings government closer to the people.
 Encourages competition.
Fiscal Disparity
Through fiscal autonomy for
state governments, federalism
will more evenly distribute
country's wealth. In 2015, 35% of
national budget went to Metro
Manila even if it represents only
14% of the Philippine
population.
Advantages of Federalism
 Distribution of Power
 Competition
 Balance
 Diversity
 More democracy
 Citizen-oriented
 Identity
 Autonomy
 Unique development
Federalism promotes more democratic space
for decision making at the local level.
 Diversity of cultures, resources, needs and
priorities which exist among states is respected
and variations in laws and rules are recognized
to accommodate differences.
 Federalism permits experimentation and
adaptation.
 Intergovernmental cooperation is encouraged
with efficient and effective use of executive,
legislative and judicial resources based on
comparative advantages of levels of
government.
 Citizens of each state are given greater stake in
political decision making.
US Constitutional Federal Republic
 United States is based on Constitution
which is the supreme law.
 As federal, central or federal government
shares responsibility and powers with
state governments and local
governments.
 As republic, ultimate power within the
American system rests with the people.
 Federal and State Governments
Structure: Executive, Legislative and
Judiciary
The Case of Federal and Centralized
Government
 India: A national multiparty coalition formed government following
elections of 2004. Federalism has facilitated multiparty competition
and politics of coalition-building, as smaller parties gain credibility
and expand electoral support within each state. India’s federal
structure has stimulated remarkable capacity for innovation, for
example in terms of diverse strategies of economic policy or in
language policy.
 Bangladesh: By contrast, Bangladesh state has always centralized
power. The two major parties in the country remain in confrontational
mode under dynastic leaders, gaining power from patron-client
relationships which protect and reward supporters. Intolerance,
corruption and malfeasance are rife. Deep-seated political instability
ensued consequential of highly centralized political control.
French Fifth Republic
 Fifth Republic of France has semi-presidential style of parliamentary government
characterized by dual executive: executive power is being shared by President of
Republic and Prime Minister.
 The President is Head of State and is elected for five years by direct universal
suffrage. His functions and powers include being arbiter of Constitution, presiding
over Cabinet meetings, promulgating laws, calling for referendums, dissolving
Parliament, being Commander of armed forces, and negotiating or ratifying treaties.
 The Prime Minister is Head of Government, who is appointed by President after
legislative election is held for National Assembly. His functions and powers include
directing actions of government, being responsible for national defense, ensuring
execution of laws, and exercising regulatory and appointment powers. He is to form
Council of Ministers which shall help him to deliberate policies and decisions.
 The French Parliament is bicameral, consisting of National Assembly and Senate. The
Parliament makes laws, controls government budget and oversees government policy.
National Assembly Deputies are elected by direct universal suffrage while Senators are
indirectly elected by electoral college. Only National Assembly can compel
government to resign when it produces motion of censure or vote of no confidence.
Argentina: The Great Influence of Provincial Actors
 Federal democracy with presidential form of government and
bicameral legislature. Federation consists of 23 provinces and a
semi-autonomous federal capital. There were 14 provinces at the
time original Constitution was signed in middle of nineteenth
century indicating provinces are parties to constitutional
compact: they pre-existed and constituted national government.
 In these exchanges, president and provincial actors trade support
for policies devised at national level for fiscal transfers.
 Congress is seldom arena where such transactions take place.
Instead, it formalizes deals President, provincial governors and
interest groups strike in informal arenas.
 Provincial viability is sufficient condition to be player in national
electoral politics.
Political Regime of Malaysia
 Malaysia is a federal state which consists of 13 states
and 1 federal territory (Wilayah Persekutuan) with
three components, city of Kuala Lumpur, Labuan,
and Putrajaya.
 The chief of state is the King who is chosen based on
principle of rotation among 9 Sultans’ at the Sultans’
Conference. The tenure is 5 years, and its position is
ceremonial. The head of government is the Prime
Minister who must be member of lower house.
Malaysia: Westminster
Parliamentary System
 Malaysia has bicameral Parliament consisting of nonelected
upper house and elected lower house.
 The upper house has 70 seats, of which 44 are designated by
the King and 26 appointed by state parliaments. The lower
house has 222 seats, all of which are occupied by those who
won by direct election.
 Political regime of Malaysia can be defined as pseudo-
democracy with Malay-dominant political regime backed by
Constitution, enduring suppression of civil rights to criticize
government, and de-facto one-party system.
Basic Elements of Westminster System
 Head of state, different from head of government, and who may
possess reserve powers, which are not normally exercised, and whose
role is largely ceremonial. This is a monarch or his governor general.
 Head of government usually a Prime Minister or Premier or First
Minister who is appointed by head of state, by convention, must
have support of majority of members of Parliament.
 Elected legislature, or system in which one house is elected and the
other appointed.
 Lower House can dismiss a government.
 Parliamentary privilege, which allows legislature to discuss any issue
deemed relevant, without fear of consequences stemming from
defamatory statements or records.
Contingent on Choice of Constitutional
Institutions
 Whether a country becomes unitary or
federal depends partly on a country’s
colonial heritage, its size and heterogeneity,
and on patterns of government that obtain in
a regional or historical context.
 In some instances, for example, federal
institutions have been chosen because of
their anticipated success in resolving conflict
among heterogeneous groups (e.g., Canada,
India, Switzerland, the United States).
David Hume once said:
“In a large government, which is
modeled with masterly skill, the parts
are so distant and remote, that it is
very difficult, either by intrigue,
prejudice, or passion, to hurry them
into any measures against public
interest.”
End of Presentation and
Thank You