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Federalism: an Overview Daniel J Federalism: ac.za An Overview ress. p w.hsrc Free download from ww ac.za ress. p w.hsrc Free download from ww ac.za Federalism: ress. p An Overview w.hsrc Daniel J. Elazar Free download from ww HSRC Publishers Pretoria 1995 © Human Sciences Research Council, 1995 All rights reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopy, recording or any information storage and retrieval system, without permission in writing from the publisher. ac.za ress. p Series: Federalism: Theory and Application Series Editor: Bertus de Villiers w.hsrc ISBN 0-7969-1699-3 Vol 1: Federalism: An Overview Daniel J. Elazar ISBN 0-7969-1700-0 Free download from ww Cover design: Glen Basson Layout and design: Mari Nel Published by: HSRC Publishers Private Bag X 41 Pretoria 0001 Printed by: HSRC Printers Foreword The theory and application of federalism has been widely debated since the establishment of a democratic South Africa. Before the normalization of the political process in 1990, very little scientific or political attention had been ac.za given to federalism and its variety of applications around the world. Although federalism was considered at the National Convention in 1909, ress. p the subject has been largely neglected since then. The South African experience of various forms of federalism has been fairly negative -ranging from British imperialism to apartheid, separate development and the w.hsrc tricameral constitution. The multiparty negotiation process which was aimed at the drafting of a non-racial democratic constitution for South Africa, was characterized by numerous misunderstandings of the theory of federation and federalism, as well as the practical implementation thereof, and a strong suspicion of any notion that had a “federal” connotation. A striking aspect of the federal debate was the “case study hunt” on which Free download from ww all the political parties, groupings and advisors embarked. They were searching for the “ideal” case study which would justify their particular viewpoints and interpretation of what federalism really meant. This led to numerous cases where the federal experience of different countries was presented in a skewed manner, with only selected successes or failures receiving attention. Since its inception in 1990, the Centre for Constitutional Analysis (HSRC) has contributed to the debate on federalism, regionalism and decentraliza- tion through numerous publications, workshops and submissions. Its inputs have been based on a study of federalism in various countries, with adaptations to suit South African circumstances. The series Federalism: theory and practice is intended to afford mainly South African, but also international scholars and practitioners, insight into federal developments in a variety of countries by giving them access to the views of eminent scholars from the relevant countries. The series may also provide more clarity to decision makers in Africa on some federal concepts and their ac.za practical applications. It is in no way aimed at “federalizing” South ress. Africa, as if federalism in itself provides a magic wand for peace and p stability. On the contrary. The strong and weak points of federalism are discussed by the different authors. We trust that by providing an w.hsrc original and unbiased discussion of each case study, understanding of the theory and practice of federalism will be enhanced. Federalism: theory and practice is a series of monographs which will be published over a period of 18 months by the HSRC The first monograph, by Prof. Daniel Elazar, gives readers some insight into the origins and theory of federalism by a world-renowned scholar of federalism. In the following monographs a range of federal-type dispensations will be discussed — from those in highly developed countries to those in Free download from ww developing countries. This series is the result of sustained teamwork in sometimes trying circumstances. I should like to express my sincere appreciation and gratitude to the following persons who have contributed so closely and enthusiastically to the realization of the project: my international friends and colleagues for sharing their perspectives on their respective case studies with us, Rina du Toit and Tim Steward for their editorial assistance, Claudia Davidson from HSRC Publishers for publishing the series and to the HSRC Executive for the financial support that made the series possible. Bertus de Villiers Series Editor Contents 1. Introduction 1 ac.za 1.1 Definitions 1 ress. p 1.2 Forms of Federalism 2 2. Fundamental Forms and Principles of Federalism 13 w.hsrc 2.1 Federal Democracy 13 2.2 Noncentralization 13 2.3 Checks and Balances 14 2.4 Open Bargaining 14 2.5 Constitutionalism 14 2.6 Fixed Units 15 2.7 Territorial and Non-Territorial Arrangements 17 Free download from ww 3. History of Federalism 19 3.1 Earliest Federal Arrangements 19 3.2 Medieval Federal Arrangements 20 3.3 Political Federalism in the Reformation 21 3.4 Federalism and Modern Statism 23 3.5 The Federalist’s Theory of Federalism 24 3.6 Modern European Federal Theory 25 3.7 Federalism After World War II 27 4. Federalism Today 28 4.1 Maintaining Union 28 4.2 Maintaining Noncentralization 29 4.3 Elements maintaining the Federal Principle 34 5. United States: An Example of Constitutionalized Noncentralization 37 5.1 Federalism as Compact and Partnership 37 5.2 The Elements of American Federalism 41 5.3 The Requisites of National Federalism 47 5.4 Changing Patterns of American Federalism 48 ac.za 5.5 The Constitutional Basis of American Federalism 49 5.6 Perceptions of the Federal system 53 ress. p 5.7 The Future of the Federal System 54 Notes 62 w.hsrc Bibliography 64 Free download from ww List of Tables 1. Federations 3 ac.za 2. Confederations 4 3. Associated States, Federacies and Condominiums 4 ress. p 4. Political Systems with Federal Arrangements 5 5. Models of Foundings/Regimes 11 w.hsrc 6. Varieties of Federal Arrangements (with selected examples) 16 7. A Typology of Intergovernmental Political Relationships 46 List of Figures Free download from ww 1. The matrix model 8 2. The power pyramid 9 3. The center-periphery model 9 ac.za ress. p w.hsrc Free download from ww ac.za 1.1 Definitions ress. p Federalism is the mode of political association and organization that unites separate polities within a more comprehensive political system w.hsrc in such a way as to allow each to maintain its own fundamental political integrity. Federal systems do this by requiring that basic policies be made and implemented through negotiation in some form, so that all the members can share in making and executing decisions. The political principles that animate federal systems emphasize the primacy of bargaining and negotiated cooperation among several power centers; they stress the virtues of dispersed power centers as a means for safeguarding individual and local liberties. The starting Free download from ww point of any discussion of federalism is to be found in the derivation of the term itself from the Latin foedus, meaning covenant. By definition, federal relationships emphasize partnership between individuals, groups and governments, cooperative relationships that make the partnership real, and negotiation among the partners as the basis for sharing power. The entire history of the covenant idea in any of its several forms has emphasized these three elements. The very terminology of federalism is characterized by a revealing ambiguity. The verb “federalize” is used to describe the unification of separate states into a federal polity and also the permanent diffusion of authority and power within a nation between general and 2 Daniel J Elazar constituent governments. In this ambiguity lies the essence of the federal principle: the perpetuation of both union and noncentralization. Federalism is more than simply a structural arrangement; it is a special mode of political and social behavior as well, involving a commitment to partnership and to active cooperation on the part of individuals and institutions that at the ac.za same time take pride in preserving their own respective integrities. ress. p 1.2 Forms of Federalism w.hsrc Federal political systems are those in which a general government is constituted by a group of two or more constituent governments which have very substantial reserved or protected powers within the common whole. That, indeed, is the definition of modern federation. It is more appropriate to understand federalism as constitutionalized power-sharing through systems that combine self-rule and shared rule, including federations (Table 1), confederations (Table 2), federacies (Table 3), and other similar forms of political or Free download from ww organizational relationships (Table 4).1 Federalism must be considered a “mother” form of democracy like parliamentary democracy or direct democracy.2 Federalism 3 Table 1: Federations Name (Constituent Units) Argentine Republic (23 provinces + 5 regions + 1 national territory + 1 federal district) Commonwealth of Australia (6 states + 4 administered territories + 2 territories + 1 capital territory) ac.za Federal Republic of Austria (9 lander) ress. Belgium (3 regions + 3 cultural communities) p Brazil (26 states + 1 federal capital district) Canada (10 provinces + 2 territories) w.hsrc The Federal and Islamic Republic of the Comoros (3 islands) Ethiopia (9 provinces) Federal Republic of Germany (16 lander) Republic of India (25 states +
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