Federalism
Federalism and its kindred terms (e.g., “federal”) are used, most broadly, to describe the mode of political organization that unites separate polities into an overarching political system so as to allow each to maintain its fundamental political integrity. Federal systems do this by distributing power among general and constituent governments in a manner designed to protect the existence and authority of all the governments. By requiring that basic policies be made and implemented through negotiation in some form, it enables all to share the system’s decision making and decision-making processes.
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DIFFERENT CONCEPTIONS
No single definition of federalism has proved satisfactory to all students, primarily because of the difficulties in relating theoretical formulations to the evidence gathered from observing the actual operation of federal systems. Attempts at definition have also foundered on the problems of distinguishing between (1) the federal principle as a broad social concept and federalism as a narrower political device, (2) two classic but different conceptions of federalism, (3) authentically federal systems and political systems that utilize elements of the federal principle, (4) mature and emergent federal systems, and (5) federalism and “intergovernmental relations” as distinct political phenomena.
Social and Political Principle
Federalism, conceived in the broadest social sense, looks to the linkage of people and institutions by mutual consent, without the sacrifice of their individual identities, as the ideal form of social organization. First formulated in the covenant theories of the Bible (Kaufman 1937–48), this conception of federalism was revived by the Bible-centered “federal” theologians of seventeenth-century Britain and New England (Miller [1939] 1961), who coined the term “federal”—derived from the Latin foedus (covenant)—in 1645 to describe the system of holy and enduring covenants between God and man that lay the foundation of their worldview. This conception of federalism was given new theoretical form by nineteenth-century French and German social theorists. Closely related to the various theories of social contract, it is characterized by the desire to build society on the basis of coordinative rather than subordinative relationships and by the emphasis on partnership among parties with equal claims to legitimacy who seek to cultivate their diverse integrities within a common social order (Boehm 1931).
As a political device, federalism can be viewed more narrowly as a kind of political order animated by political principles that emphasize the primacy of bargaining and negotiated coordination among several power centers as a prelude to the exercise of power within a single political system, and that stress the value of dispersed power centers as a means for safeguarding individual and local liberties. This means, in effect, that political institutions common to different political systems, when combined within a federal system and animated by federal principles, are effectively endowed with a distinctive character. For example, while political parties are common in modern political systems, parties animated by the federal principle show unique characteristics of fragmentation and a lack of central discipline that increase the power of local groups within the system as a whole (Grodzins 1960a).
Federation and Confederation
Federal ideas have been systematically conceptualized in two different ways. On the one hand, federalism has been conceived as a means to unite a people already linked by bonds of nationality through the distribution of political power among the nation’s constituent units. In such cases, the polities that constitute the federal system are unalterably parts of the national whole, and federalism invariably leads to the development of a strong national government operating in direct contact with the people it serves, just as the constituent governments do. On the other hand, federalism has also been conceived as a means to unify diverse peoples for important but limited purposes, without disrupting their primary ties to the individual polities that constitute the federal system. In such cases the federal government is generally limited in its scope and powers, functioning through constituent governments that retain their plenary autonomy, and to a substantial degree is dependent upon them.
Both conceptions of federalism have evolved from early federal experiments. The principles of strong national federalism were first applied by the ancient Israelites, beginning in the thirteenth century B.C., to maintain their national unity through linking their several tribes under a single national constitution and at least quasi-federal political institutions (Bright 1959). Several centuries later, the Greek city-states experimented with federal-style institutions as means for the promotion of intranational harmony and cooperation, primarily for defensive purposes, through associations (e.g., the Achaean League) that came close to what were later defined as confederations (Freeman [1863] 1893). A modified form of the Greek view was developed by the sixteenth-century theorists (Gierke [1913] 1934). They held that federalism meant a permanent league of states united through a perpetual covenant, binding under international law, in which the constituent states delegated enumerated powers to a general government while retaining full rights of internal sovereignty.
However, when the American system—the prototype of modern federal systems— emerged in the late eighteenth century, its architects developed a conception of federalism much like that of ancient Israel. From the first, American federalism functioned to serve a people with a single national identity and was constituted with a strong national government to serve that people on a national basis, though, as late as 1789, The Federalist could describe the new American Constitution as “partly national and partly federal” in deference to the then-accepted views. The successful efforts of the supporters of the Constitution to appropriate the term “federalist” for their own use (Main 1961, ix–xi) restored to common usage the older conception of federalism as a noncentralized national union bound by municipal law, with a general government superior to the governments of the constituent states (Diamond 1963).
Just as the American system became the prototype for other modern federal systems, so the American conception of federalism became the generally accepted one. The other conception was ultimately subsumed under the word “confederation” and its kindred terms. The two systems described by these different conceptions reflect, in part, the distinctions implied in the German Staatenbund (confederation) and Bundesstaat (federation), terms developed in the mid-nineteenth century (Mogi 1931). A certain degree of confusion remains because the terms invented to describe both systems were used indiscriminately for many years.
Though the American conception of federalism is today almost universally accepted as the most accurate usage, the confederal conception remains a living and legitimate aspect of the federal idea in its largest political sense. Today, the latter is most prominent among certain advocates of limited European union (the Common Market exemplifies a confederal form) and among many so-called world federalists.
Federalism and Related Systems
Federal systems are often confused with four other forms of political order that make use of specific federal principles. The use of some federal principles in multiple monarchies, legislative unions, empires, and decentralized unitary systems can have important consequences similar to those in authentically federal systems. But the fact that such principles do not permeate the four systems makes the distinctions between them and true federations extremely important. Federal systems differ from multiple (or dual) monarchies in two essential ways. The central constitutional characteristic of the multiple monarchy is that union exists only in the person of the sovereign and is maintained only through the exercise of executive power in the sovereign’s name. No significant common institutions exist to unite the constituent polities—no common legislatures, no common legal system, and little in the way of a common political substructure. On the contrary, each constituent polity maintains its own political system, which the monarch guarantees to support under the terms of his or her compact with the realm. Multiple monarchies have historically been less than democratic regimes. Even where there have been tendencies toward democratization, the very fact that union exists only by virtue of the common sovereign has tended to elevate the position of the monarch to one of real power. Attempts to transfer sovereignty or the attributes of sovereignty elsewhere, by their very nature, stimulate the division of this kind of association of civil societies into separate polities. Thus, the Austro-Hungarian Empire was held together by the Hapsburg emperors and disintegrated when that family ceased to rule (Sharma 1953, ch. 7). The dual monarchy of Sweden and Norway ceased to function when democratic government was introduced, transferring the attributes of sovereignty from the monarch to the nation(s). In Spain, on the other hand, the inability of the Spaniards to transform a multiple monarchy into a federal system, in a locale that by nature demanded peninsular union of some sort, led to the consolidation of the constituent polities into something approximating a unitary state that remained highly unstable because of the local barriers to consolidation that could be neither accommodated nor eradicated (Elliott 1964).
Multiple monarchies have been transformed into stable and unified polities through legislative union. The United Kingdom is a case in point. The centrifugal tendencies of the seventeenth-century dual monarchy linking England and Scotland were finally eliminated through a legislative union of the two nations in 1707. Legislative union bears very close resemblance to federal union at several crucial points. Though designed to direct public allegiance to a single national authority, the terms of the union encourage the political system to retain certain noncentralizing elements. The government of the nation remains national rather than central in character, since it is created by a perpetual covenant that guarantees the constituent parties their boundaries, representation in the national legislature, and certain local autonomies, such as their own systems of municipal law. Legislative unions usually unite unequal polities. The centralizing tendencies induced by this are somewhat counterbalanced by the residual desire for local self-government in the constituent states. Thus, in the United Kingdom the cabinet has acquired a supremacy not foreseen in 1707, but within the framework of cabinet government Scotland has acquired a national ministry of its own with a separate administrative structure, based in Scotland, for most of its governmental programs (Milne 1957).
Federal systems also differ from empires allowing cultural home rule. Such empires have often been termed “federal”—in some cases because they claim to be. The Roman Empire was the classic example of this kind of political system in the ancient world, and the Soviet Union may well have been its classic modern counterpart. In both cases, highly centralized political authorities possessing a virtual monopoly of power decide, for reasons of policy, to allow local populations with different ethnic or cultural backgrounds to maintain a degree of cultural home rule, provided that they remain politically subservient to the imperial regime. While this often appears to offer a substantial degree of local autonomy, its political effects are purposely kept minimal. Any local efforts to transform cultural home rule into political power are invariably met with suppressive force from the central government, even to the point of revoking cultural rights, as examples from the history of both empires reveal.
Federal systems are clearly different from decentralized unitary states, even though such states may allow local governments considerable autonomy in some ways. In such states, local powers are invariably restricted to local matters, as determined by the central authorities, and are subject to national supervision, restriction, and even withdrawal, though tradition may mitigate against precipitous action by the central government in areas where local privileges have been established. Still, as the English experience has shown, even powerful traditions supporting local autonomy have not stood in the way of great reconcentration of power by democratically elected parliaments when such action has been deemed necessary by a national majority.
Mature and Emergent Federal Systems
Several studies (Macmahon 1955; Wheare [1946] 1964) have attempted to draw distinctions between mature and emergent federal systems. The thrust of their argument is that federalism, when used to unify separate political systems to form a new nation, and federalism as a form of decentralized government in an established nation encourage markedly different kinds of political behavior. In the former case, federalism serves as a means to bring tenuous unity to nations composed of highly autonomous polities, with the locus of power remaining among the constituent units. As federal systems mature, so the argument goes, power is increasingly concentrated at the center, and federalism remains only to promote a certain amount of decentralization within an otherwise highly unified political system. Wheare goes so far as to argue that federalism is a transitional phenomenon useful in promoting progressively larger polities, which are then gradually discarded (in fact, if not in form) as an unnecessary encumbrance. This argument may have some validity in describing the history of nonfederal political systems that have utilized federal principles to promote national unity. For example, it can be used to describe the evolution of the United Kingdom into its present constitutional state. It cannot be applied, however, to any of the three exemplary federal systems—Canada, Switzerland, and the United States. Their national ties existed from the first, and their national governments were granted broad powers at the outset. Nor has federalism declined in importance as those nations have matured. There are undoubtedly differences between mature and emergent federal systems, but those differences are more likely to relate to the character of conflict and negotiation between the general and constituent governments than to their relative strengths.
Federalism and Intergovernmental Relations
Because the study of federalism at its most immediately empirical level heavily stresses the study of intergovernmental relations, the two are often considered to be synonymous. Federalism, however, is something much more than the relationships between governmental units, involving as it does principles that are designed to establish the proper character of those relationships and that must also affect the character of other political institutions within federal systems. As already indicated, federalism concerns the way in which federal principles influence party and electoral systems in federal polities just as much as it concerns the way in which local governments relate to their regional or national ones, or to each other. Moreover, the study of intergovernmental relations exists apart from the study of federalism, since such relationships are to be found in all political systems, federal or otherwise, where there is more than one government extant within a given polity.
CHARACTERISTICS AND OPERATIONAL PRINCIPLES
The most useful way to attempt to understand federalism as a political phenomenon is to under—take a survey of the basic characteristics of federal systems, principles, and processes in order to understand both the manner and the direction of their development.
As a first step, it seems necessary to identify the various federal systems that exist today or have existed in the past; only then can we analyze them as operating political systems. However, identifying federal systems is no simple matter, as we have just seen. The difficulties are heightened by the wide functional differences easily observed in the various political systems that call themselves federal and by the often greater operational similarities between self-styled “federal” and “unitary” systems. Contrast, for example, the political systerns of Australia and the Soviet Union, Canada and Mexico, and Switzerland and Yugoslavia, or compare the United States and Great Britain.
Moreover, federal systems have historically been marked by great internal distinctions between theory and practice, perhaps more so than other political systems. In the United States, the measure of the maintenance of federalism was long considered to be the degree of separation of government activities by level, because it was generally believed that such separation actually existed. In fact, American federalism from the first had been characterized by extensive intergovernmental functional collaboration within the framework of separate governmental structures (Elazar 1962). Similarly, the Canadian federal system has always been described as one in which the federal government is clearly dominant—the repository of all powers not explicitly granted to the provinces. Yet since the brief period of federal supremacy in the years immediately following confederation, the provinces have consistently gained power at federal expense (Smiley 1965). The Russian federal constitution went so far as to grant each Soviet republic the right of secession—a patent impossibility under the realities of the Russian political system.
Nevertheless, some basic characteristics and operational principles common to all truly federal systems can be identified, and can help us to define such systems. These may be divided into three essential elements and a number of supplementary ones.
Written Constitution
First, the federal relationship must be established or confirmed through a perpetual covenant of union, inevitably embodied in a written constitution that outlines, among other things, the terms by which power is divided or shared in the political system and that can be altered only by extraordinary procedures. Every existing federal nation possesses a written constitution, as do most of the other nations incorporating elements of the federal principle. Juridically, federal constitutions are distinctive in that they are not simply compacts between the rulers and the ruled but involve the people, the general government, and the polities constituting the federal union. Moreover, the constituent polities retain local constitution-making rights of their own.
Noncentralization
The political system must reinforce the terms of the constitution through an actual diffusion of power among a number of substantially self-sustaining centers that are generally coincident with the constituent polities established by the federal compact. Such a diffusion of power may be termed “noncentralization.” It differs from decentralization— the conditional diffusion of specific powers to subordinate local governments by a central government, subject to recall by unilateral decision. It is also more than devolution— the special grant of powers to a subnational unit by a central government, not normally rescindable. Noncentralization ensures that no matter how certain powers may be shared by the general and constituent governments at any point in time, the authority to participate in exercising them cannot be taken away from either without mutual consent. Constituent polities in federal systems are able to participate as partners in national governmental activities and to act unilaterally with a high degree of autonomy in areas constitutionally open to them—even on crucial questions and, to a degree, in opposition to national policies, because they possess effectively irrevocable powers.
Areal Division of Power
A third element that appears to be essential in any federal system is the internal division of authority and power on an areal basis (Maass 1959), what in the United States has been called “territorial democracy.” It is theoretically possible to create a federal system whose constituent units are fixed but not territorially based. There were premodern protofederations of nomadic tribes, and some observers have seen federal elements in nations constitutionally structured to accommodate social and political divisions along ethnic, religious, or even ideological lines. Nevertheless, no authentic federal system has existed without an areal basis for the federal division. Historically, when areal divisions of power have given way to divisions on the basis of functional interest, federalism has been replaced by pluralism. In modern democratic theory the argument between Federalists and Anti-Federalists has frequently revolved around the respective values of areal and functional diffusions of power. Theorists who have argued the obsolescence of federalism while endorsing the values used to justify its existence have generally based their case on the superior utility of pluralism (Mogi 1931, 1059–115). Proponents of the federal-areal division argue that the deficiencies of territorial democracy are greatly overshadowed by the neutrality of areal representation of functional interests, and they argue further that any other system devised for giving power to these interests has proved unable to cope with the complexities and changes of interest endemic in a dynamic age while certainly limiting the advantages for local differentiation inherent in the areal system.
Studies of federal systems indicate the existence of other elements that supplement the three basic ones. While all of them are not always present in every federal system, their near universality leads one to the conclusion that they serve important functions in the maintenance of federalism in each. Similarly, while many of them are found individually in various kinds of political systems, it is their combination within a single system structured around the basic elements that is characteristic of federalism.
Maintaining Union
Generally characteristic of modern federal systems are direct lines of communication between the public and both the general and the constituent governments, which allow the public to exert direct influence on both governments and permit them to exercise direct authority over a common citizenry. The people may (and usually do) elect representatives to all governments that serve them. All of the governments may (and usually do) administer programs so as to serve the individual citizen directly. The courts may serve both levels of government, applying the relevant laws directly.
The existence of those direct lines of communication—one of the major features distinguishing federations from leagues—is usually predicated on the existence of a sense of common nationality binding the constituent polities and peoples of federal nations together, another element requisite for the maintenance of a successful federal system. In some countries this sense has been inherited, but in most it has had to be invented. Federalism in Germany has been based on a common sense of an inherited German nationhood. In the United States, Argentina, and Australia, a sense of nationhood had to be at least partly invented. National consciousness soon became second nature in those countries, since none of their constituent states ever had much more than a partially developed national consciousness of its own. Canada, Switzerland, and Yugoslavia have had to invent a sense of common nationality strong enough to embrace “nationality groups” whose intense national feelings are rooted in the constituent polities. In such newly formed federal systems as India, Malaysia, and Nigeria, the future of federalism is endangered by the absence of a common sense of nationality. Contrary to some theories, federalism has not proved to be a particularly good device for integrating diverse nationalities into a single political system unless it has been accompanied by other factors compelling integration.
Geographic necessity has been a major factor promoting the maintenance of union within federal systems, even in the face of strong pressures toward disunion. The Mississippi Valley in the United States, the Alps in Switzerland, the island character of the Australian continent, and the mountains and jungles surrounding Brazil have served as direct geographic influences promoting unity. More political than “natural,” but no less compelling geographically, have been the pressures for Canadian union generated by that country’s neighbor to the south or for the federation of the German states generated by their neighbors to the east and west.
Maintaining Noncentralization
It has been well demonstrated that the constituent polities in a federal system must be fairly equal in population and wealth, or at least balanced geographically or numerically in their inequalities, if noncentralization is to be maintained. The United States has been able to overcome its internal inequities because each geographic section has included both great and small states. In Canada, the ethnic differences between the two largest provinces have served to inject balance into the system. The existence of groups of cantons in different size categories has helped maintain Swiss federalism. Similar distributions exist in every other system whose federal character is not in question.
The existence of a large polity dominating smaller states with which it is nominally federated on equal terms has often been one of the major reasons for the failure of federalism. In the German federal empire of the late nineteenth century, Prussia was so obviously dominant that the other states had little opportunity to provide national leadership or even a reasonably strong hedge against the desires of its king and government. Similarly, even without the problem of the Communist Party, the existence of the Russian Soviet Federal Socialist Republic, which occupied three-fourths of the area and contained three-fifths of the population of the Soviet Union, would have severely crippled the possibilities of maintaining authentic federal relationships in that country.
Successful federal systems have also been characterized by the permanence of the boundaries of their constituent units. This does not mean that boundary changes cannot occur, but it does mean that as a matter of constitutional law such changes can be made only with the consent of the polities involved and that, as a matter of political policy, they are avoided except in the most extreme situations. Boundary changes have occurred in the “classic” federal systems—the United States divided Virginia during the Civil War, Canada has enlarged the boundaries of its provinces, and Switzerland has divided cantons—but they have been the exception rather than the rule, and in every case at least the formal consent of the constituent polities was given. Even in weaker federal systems, such as those of Latin America, state boundaries have tended to remain relatively secure. When boundary changes have been made, as in the postwar redrawing of Lander boundaries in West Germany to account for the diminished territory of the Federal Republic and the alteration of state lines to recognize linguistic unities in India, the essential heartlands of the polities involved have been preserved.
In a few very important cases, noncentralization is both reflected and supported through the constitutionally guaranteed existence of different systems of law in the constituent polities. Though the differences in those systems are likely to be somewhat eroded over time—the extent of their preservation varying from system to system— their continued existence as separate systems and the national mixture of laws that their existence promotes act as great bulwarks against centralization. In the United States, each state’s legal system stems directly and to a certain extent uniquely from English law, while federal law occupies only an interstitial position binding the systems of the 50 states together insofar as necessary. The resulting mixture of laws keeps the administration of justice, even in federal courts, substantially noncentralized (Macmahon 1955, ch. 11). In Canada, the existence of common law and civil law systems side by side is one constitutional guarantee of French Canadian cultural survival. Noncentralized legal systems, a particularly Anglo-American device, are often used in legislative as well as federal unions. They are rare in other political cultures and have become less common in all federal systems established since 1900. More common is the provision for modification of national legal codes by the subnational governments to meet special local needs, as in Switzerland.
The point is generally well taken that unless the constituent polities have substantial influence over the formal or informal amending process, the federal character of the system is open to question. Since many constitutional changes are made without recourse to formal constitutional amendment, the position of the constituent polities must be additionally protected by a constitution designed so that any serious changes in the political order can be made only by the decision of dispersed majorities that reflect the areal division of powers. This protection, which federal theorists have argued is important for popular government as well as for federalism (Diamond 1963), is a feature of the most truly federal systems.
Noncentralization is strengthened in all federal systems by giving the constituent polities guaranteed representation in the national legislature and, often, by giving them a guaranteed role in the national political process. In some federal systems, notably those of the United States and Switzerland, the latter is guaranteed in the written constitution. In others, such as Canada and those in Latin America, certain powers of participation have been acquired and have become part of the traditional constitution.
Recent studies have shown that the existence of a noncentralized party system is perhaps the most important single element in the maintenance of federal noncentralization (Macmahon 1955). Noncentralized parties initially develop because of the constitutional arrangements of the federal compact, but once they have come into existence, they tend to be self-perpetuating and to function as decentralizing forces in their own right.
The United States and Canada provide two examples of the different forms that can be assumed by a noncentralized party system. In the United States, where party responsibility is minimal and virtually nonexistent on the national level, a two-party system has developed, with the parties actually being coalitions of the several state or, in some cases, local party organizations functioning as national units only for the quadrennial presidential elections or for purposes of organizing the national Congress. Party financing and decision making are functions that are dispersed either among the state organizations or among widely divergent factions operating nationwide. In Canada, on the other hand, the parliamentary form of government, with its concomitant requirement of party responsibility, means that at the national level considerably more party cohesiveness must be maintained simply in order to gain and hold power.
The noncentralized party system in Canada has developed through a fragmentation of the parties along regional or provincial lines. The parties with nationwide bases are still divided internally along provincial lines, with each provincial organization autonomous. Individual provinces are frequently dominated by regional parties that send only a few representatives to the national legislature, adding to the fragmentation of the system. Very often, the party victorious in national elections is the one that is briefly able to expand its base to most nearly national proportions.
European-style federal systems where parliamentary government is the norm follow the Canadian model. Australia and Switzerland come closest to paralleling it, and traces of it can be found in the German Federal Republic. A more centralized variation of the same pattern exists in countries like India, in which the national government is dominated by one very large and diffuse national party that is held together nationally by personal leadership but is quite factionalized in the states where it must share the governing power with other parties.
Federal nations with less developed party systems frequently gain some of the same decentralizing effects through what Latin Americans call caudillismo—noncentralized personal leadership systems that diffuse power through strong local leaders operating in the constituent polities. Caudillistic noncentralization is most characteristic of Latin American federal systems but apparently exists in such new federations as Nigeria and Malaysia as well.
The importance to federalism of a noncentralized party system is well illustrated by contrast with those formally federal nations dominated by one highly centralized party, such as the Soviet Union, Yugoslavia, and Mexico. In all three cases, the dominant party has operated to limit the power of the constituent polities in direct proportion to the extent of its dominance.
Ultimately, however, noncentralization is maintained to the extent that there is respect for the federal principle within each federal system. Such respect is necessarily reflected in the immediate recognition by the decision-making publics that the preservation of the constituent polities is as important as the preservation of the nation as a whole. In the words of the American Chief Justice Salmon P. Chase, federalism looks to “an indestructible Union, composed of indestructible States” (Texas v. White 1869). This recognition may be based on loyalty to particular constituent polities or on an understanding of the role played by federalism in animating the political system along certain unique lines. Thus, those who value government by conciliation and partnership, with emphasis on local control, are likely to have respect for the federal principle.
Citizens of a federal nation must show that respect in two ways, by showing selfrestraint and by cultivating the political art of negotiation. Federalism can exist only where there is considerable tolerance of diversity and willingness to take political action through conciliation even when the power to act unilaterally is available. The usual prerequisite to action in federal systems is the ability to build consensus rather than the power to threaten coercion. Western federal nations can furnish many examples of the exercise of national self-restraint in dealing with difficult federal problems. Even in a federal system as centralized as that of India, the constitutional right of the national government to assume control of the state governments is exercised as little as possible—notably when the Communists win local elections—and is then clearly a temporary action.
The historical record indicates that the dual purpose implied in Chase’s dictum has been at least as responsible for the creation of federal systems as has the single interest in political unification. The Canadian confederation came into being not only to create a new nation out of the British North American colonies but also to give Ontario and Quebec autonomous political systems of their own. Similarly, every move toward greater union in the Swiss confederation has been made in order to preserve the independence of the cantons from both outside encroachment and revolutionary centralism (Sharma 1953, 269–75). A good case can be made that similar motivations were important in the creation of Australia, Malaysia, Nigeria, and the United States.
Maintaining the Federal Principle
Several of the devices commonly found in federal systems serve to maintain the federal principle per se and are consequently supportive of both the national government and the constituent polities. Two of these are particularly common and important.
The maintenance of federalism requires that the nation and its constituent polities each have a substantially complete set of governing institutions of their own with the right—within limits set by the compact—to modify those institutions unilaterally. Separate legislative and administrative institutions are both necessary. This does not necessarily mean that all governmental activities must be carried out by separate institutions at each level. It is possible for the agencies of one government to serve as agents of the other by mutual agreement. But each government must have the needed institutions to function independently in the areas of its authority and the structural resources to cooperate freely with the other government’s counterpart agencies.
In this regard, the contractual sharing of public responsibilities by all governments in the system appears to be a central characteristic of federalism. Sharing, broadly conceived, includes common involvement in policy making, financing, and administration of government activities. In contemporary federal systems, it is characterized by extensive intergovernmental collaboration. Sharing can be based on highly formal arrangements or informal agreements. In federal systems, it is usually contractual in nature. The contract—politically a limited expression of the compact principle—is used in formal arrangements as a legal device to enable governments responsible to separate polities to engage in joint action while remaining independent entities. Even where government agencies cooperate without formally contracting to do so, the spirit of federalism that pervades ongoing federal systems tends to infuse the participating parties with a sense of contractual obligation.
In any federal system, it is likely that there will be continued tension between the federal government and the constituent polities over the years and that different “balances” between them will develop at different times. The existence of this tension is an integral part of the federal relationship, and its character does much to determine the future of federalism in each system. The question of federal-state relations that it produces is perennially a matter of public concern because virtually all other political issues arising in a federal system are phrased in terms of their implications for federalism. In this way, federalism imposes a way of looking at problems that stands apart from the substantive issues raised by the problems themselves. This is particularly true of those issues that affect the very fabric of society. In the United States, for example, the race question is a problem of federal-state as well as black-white relations, and the same is true of the cultural question in Canada and the linguistic question in India.
The End Product
The very terminology of federalism is characterized by a revealing ambiguity that is indicative of the end product of federal systems. The word “federalize” is used to describe the unification of “sovereign” states into a federal polity and also the permanent devolution of authority and power within a nation to subnational governments. In this ambiguity lies the essence of the federal principle—the perpetuation of both union and noncentralization.
Viewed from the top, the combination of the elements discussed above results in a federal rather than a central government, that is, a government composed of a nationwide coalition of political institutions, some with predominantly local power bases (such as the national legislature), and others with predominantly national power bases (such as the national bureaucracy). This government, whose power is thus diffused vertically and laterally, functions in cooperation with the constituent polities that it must conciliate in order to act. Decision making is characterized by heavy reliance upon negotiation and bargaining and by minimal reliance upon the exercise of force. Operations are characterized by a measure of disorder, since noncentralization breeds multiple power centers located at or cutting across all levels of government. Each of these centers seeks to keep open routes of access to the others, usually succeeding because it is in the best interests of all to maintain this kind of disorder as part of the “rules of the game.”
Viewed locally, a federal system consists of governmental inputs from different sources whose local connections normally serve to fragment local authority. However, because such a system rewards those who actively seek to reconcile the diffuse elements and bind them together for a larger purpose, local political leaders can control these inputs to a great extent. While this may not prevent the national government from exercising great power at any given time or from increasing its total power over time, it does mean that as long as the federal principle remains operative, the public can and almost invariably does limit certain kinds of national government actions or guides such actions into particular channels (often directed toward strengthening the constituent governments) by invoking the terms of the compact.
Viewed theoretically, these patterns of behavior and the arguments advanced to justify them serve to reaffirm the fundamental principles that (1) the strength of a federal polity does not stem from the power of the national government but from the authority vested in the nation as a whole, (2) both the national government and the governments of the constituent polities are possessed of delegated powers only, and (3) all governments are limited by the common national constitution.
All this should make it apparent that federalism is a form of popular government embodying elements of both republicanism and democracy. The federal structures occasionally adopted by nondemocratic systems must generally be considered “window dressing” except insofar as the injection of the federal principle may serve as a democratizing force in itself. In Yugoslavia, for example, the existence of a federal superstructure has proved useful in fostering such decentralization as the Communist Party leadership wished to allow and may even have played a role in stimulating decentralizing tendencies.
EMPIRICAL AND THEORETICAL DEVELOPMENT
Ancient Protofederal Systems
Long before the term “federal” was invented, there were political systems that embodied elements of the federal principle. The Israelite political system was probably the first example in recorded history of a union of constituent polities based on a sense of common nationality, with national and tribal political institutions and some division of functions between the two partly formalized by a written constitution. As a republic it was never able to overcome the problems of national executive leadership and succession and, after some 200 years, revised its constitution to superimpose a limited monarchy on its federal institutions. Still, as many of the seventeenth-century Federalists noted, it came closer to resembling a modern federal system than any comparable premodern nation. Its classic intellectual product, the Bible, was the first book to discuss the problems of a federal polity.
Permanent leagues of independent states united by a sense of common need but without any sense of common nationhood were found in various parts of the Greek world. They were entrusted with certain matters in the realm of foreign affairs and defense but were in every respect accountable to their member states. The classic example of this system was the Achaean League (251–146 B.C.), a protofederal system often erroneously considered to be the first federal polity (Freeman [1863] 1893). The Greeks left some descriptions of their leagues but no theoretical discussions of the league as a political system. Except for Aristotle’s criticisms, the great Greek political theorists ignored federalism as a political principle because the very idea contradicted their conception of the small, unified polis as the only basis upon which to build the good regime.
Several of the great ancient empires, notably the Persian, Hellenic, and Roman Empires, structured their political systems around the principle of cultural home rule. Since political life was virtually inseparable from the religious and cultural aspects of society in the ancient world, imperial recognition of local constitutions offered a measure of contractual devolution of political power; however, as in more recent examples of this form of imperialism, such home rule was not a matter of local right but represented a conditional grant subject to unilateral revocation by the imperial rulers.
Medieval Experiments
Elements of the federal principle are foreshadowed in medieval feudalism through its emphasis on essentially immutable contractual relationships that permanently link the contracting parties while guaranteeing their rights. However, the hierarchical character of these relationships, coupled with the lack of practical mechanisms to maintain the terms of the contracts, led to the degeneration of those elements in most feudal societies. Another movement in the direction of federalism grew out of the development of medieval commercial towns in central Europe that formed leagues for mutual defense and assistance following the Greek model. The most important development in this period was the first confederation of Swiss cantons in 1291 for mutual aid in defense of their independence. The success of this effort was in no small measure due to its connection, from the beginning, with quasi-popular government. These embryonic federal experiments all proceeded pragmatically while federal theory was confined to juridical discussions of the corporate relationships between polities in the Holy Roman Empire.
Ultimately a fusion of contractual elements from feudalism with political mechanisms from the commercial confederacies gave rise to the immediate antecedents of modern federalism. The Christian states on the Iberian Peninsula created a political system that in its most advanced stages came very close to authentic federalism. During the years of the Spanish Reconquest, most of the peninsula was reorganized under the fuero system, which established local governments with relatively liberal political institutions in order to encourage resettlement. New states were formed through feudalstyle contractual relationships designed to protect local rights. Three of these states joined in a quasi-federal arrangement under the Crown of Aragon, each of them (plus several in Italy added later) retaining its own constitution and governing institutions as well as acquiring representation in the overall Aragonese government. The unification of Spain under a multiple monarchy in 1469 left most of these federal elements intact for the next two and a half centuries, but the demands of the monarchy ultimately subverted them, transforming Spain into a precariously centralized state.
In the sixteenth century, certain emergent civil societies, influenced by the Reformation to return to Scripture as a political source, by the Spanish system of political organization, as well as by local necessity, began to apply federal principles for statebuilding purposes. The Hapsburg heirs to the Spanish crown had applied Iberian principles to the organization of their other European possessions. Their governmental reforms in the Netherlands provided an organizational basis for the federation of the United Provinces in the late sixteenth century. When that country gained its independence, it established a political system that, while unable to solve the most crucial technical problems of federalism, maintained itself in federal style for 200 years, until Napoleon put an end to its existence, leaving a residue of noncentralization that marks the Netherlands today.
The Swiss, in the meantime, were developing their own techniques for combining feudal and commercial elements to create a loose confederation of cantons, which was also influenced by biblical ideas and, perhaps negatively, by contacts with Hapsburg Spain. Achieving full independence in 1648, the Swiss confederation remained loosely leagued for two centuries (except for the Napoleonic interlude), until it adopted a federal constitution in 1848.
First Modern Formulations
The protofederalism of the United Provinces and the Swiss cantons, coming at the outset of the age of nationalism, also stimulated the first serious efforts to formulate federal theories based on modern political ideas. Jean Bodin analyzed the possibilities of federation in light of the problem of sovereignty. Hugo Grotius and Samuel Pufendorf examined federal arrangements as aspects of international law. These theorists all treated federalism as an aspect of international law. Johannes Althusius (1603), analyzing the Dutch and Swiss constitutions, was the first to perceive that federalism was really concerned with problems of national unity. The real father of modern federal theory, he was also the first to connect federalism with popular sovereignty and to distinguish between leagues, multiple monarchies, and confederations. His retention of hierarchical principles and his emphasis on the corporate organization of society both flawed the federal character of his work and reflected the empirical roots of his analysis.
Thus the rise of the nation-state in the sixteenth and seventeenth centuries stimulated federal solutions to the problems of national unification. In all but a few countries on the periphery of western Europe, the application of federal principles foundered on three problems: (1) the conciliation of feudally rooted hierarchies with a system demanding fundamental social equality in order to facilitate the sharing of power, (2) the reconciliation of local autonomy with national energy in an era of political upheaval that required most nations to maintain a state of constant mobilization basically incompatible with the toleration of local differences, and (3) the problem of executive leadership and succession, which is particularly complex in federal systems and was not solved until the United States invented the elected presidency.
Modern Federalism
The rise of modern imperialism also contributed to the emergence of federalism, as indicated by the works of the important prerevolutionary political theorists of the eighteenth century, for example, Montesquieu and Adam Smith. Here, too, the Spanish experience was influential, but it remained for the British to create the requisite popular institutions in their colonization of North America and for the biblically influenced colonists to create the theoretical justification for these institutions. The theoretical ambiguity of those quasi-federal institutions led Americans to assume that their relationship to the British government was federal, while London entertained no such notion (Becker [1922] 1958). The Americans’ response to their view of the imperial system helped them develop the federal ideas they were later to use so creatively.
The founders of the United States of America can be said to have transformed and organized the principles of federalism into a practical system of government. They were able to do so partly because their nation developed without the disadvantages that plagued earlier federal systems. As a postfeudal society, the United States had no serious problem of coping with hierarchies. As a relatively isolated nation, external pressures for centralization were not present for nearly 150 years. American political inventiveness took care of the internal problems of applying the federal principle, though not without having to fight a major civil war to resolve some of them. Though the specific forms of American federalism were not widely imitated with success, its basic principles of organization were emulated by almost every other nation attempting the federal solution to the problems of popular government in a pluralistic civil society. The creation of the theoretical framework for those principles was part and parcel of the invention of federalism. Set forth in its basics in the debate over ratification of the U.S. Constitution, that framework had at its core The Federalist (Hamilton, Madison, and Jay [1787–88] 1961), the classic formulation of the principles of modern federalism. Equally important to the evolution of federal systems, however, were the arguments of those who wished to preserve even greater state autonomy; many of these arguments were transformed into tools to promote extraconstitutional decentralization during the nineteenth century.
From the first, American contributions to federal theory—even those of the few theorists not actively involved in politics—have been rooted in the practical concerns of maintaining a federal system. Most of these contributions have, accordingly, been formulated as discussions of constitutional law. The courts, particularly the federal Supreme Court, have conducted continuing debate on the meaning and character of federalism through the medium of case law. Leading political figures, such as Albert Gallatin, John Calhoun, Abraham Lincoln, Woodrow Wilson, and Theodore and Franklin D. Roosevelt, have made real contributions through their state papers. The pragmatic orientation of those contributions, however, has tended to obscure their more lasting theoretical importance (Anderson 1955).
The French Revolution, while stimulating the development of popular government, was essentially hostile to the spirit and institutions of federalism. Its immediate heirs tried to destroy federal institutions in western Europe in the name of democracy, and the subsequent bearers of its tradition have proved equally hostile to federal ideas—except insofar as some of them have equated federalism with decentralized government.
In the nineteenth century, several of the new Latin American nations, following the United States’ example and also influenced by the federal elements in the Hispanic imperial tradition, experimented with federalism, with distinctly mixed results. Even where federalism survived in theory, the instability of Latin American governments and the frequent recourse to dictatorial regimes hampered its effective operation. Even so, the three largest Latin American nations—Argentina, Brazil, and Mexico—retain federal systems of varying political significance; federal principles are also included in the political systems of Colombia and Venezuela.
In the mid-nineteenth century, European politicians and political theorists, stimulated by necessity, the American example, and the very influential studies of Tocqueville ([1835] 1945), turned to consider federalism as a form of democratic political organization. Though practical applications remained few, numerous works were produced, primarily in the German-speaking countries, where doctrinaire and metaphysical analyses of federalism in relation to the problems of nationalism, sovereignty, and popular consent were in vogue. The most important of these works were the theoretical formulations of Bluntschli (1849–52), based on his observations of federal reorganization in Switzerland, and the historical studies of Gierke ([1913] 1934). In the end, federal principles were used in the unification of Germany, and Switzerland adopted a modern federal constitution. Fully federal solutions were rejected in other nations, but several adopted quasi-federal institutions to meet particular problems of unification and decentralization.
During the late nineteenth century, British interest in imperial federalism was manifested in several ways. Canada and Australia were given federal constitutions and dominion status in 1867 and 1901, respectively, and the foundations were laid for the federal unification of India. British political theorists interested in imperial unity and internal devolution explored contemporary (Bryce [1888] 1909) and historical (Freeman [1863] 1893) federal experiments and presented arguments of their own as to the utility and proper organization of federal systems (Labilliere 1894).
Whereas in the nineteenth century federalism was used to abet ethnic nationalism, in the twentieth it has been used as a means to unify multiethnic nations. Several of the ethnically heterogeneous nations created or reconstructed after World War I, including the Soviet Union and Yugoslavia, formally embraced federalism as a nominal solution to their nationality problems. The United Kingdom added a federal dimension at the same time to accommodate the Irish. The extension of nation-building activities to Asia and Africa, where ethnic diversity is even greater than in Europe, has led to new efforts in the same vein. In nations outside of the totalitarian orbit, such as India and Malaysia, federalism has been used to secure political and cultural rights for the larger ethnolinguistic groups. In Africa, where the survival of separate ethnic groups has been called into question by the native nationalists, federalism has been applied in several nations, including Nigeria and Cameroon, as a device for sharing political power rather than a way to maintain cultural autonomy.
The Contemporary Study of Federalism
The emergence of political science as a discipline in the late nineteenth century stimulated a shift from an explicitly normative to a predominantly empirical interest in federalism. Such noted British scholars as Bryce (1901) and Dicey ([1885] 1961) were the first to study federalism as part of their general interest in political systems. American scholars began their work in the 1870s, as the Civil War generation was passing into history, but their first works still reflected the issues of the war. Thus Burgess (1886) concluded that the utility of the states was dissipated by modern technology just as their power was destroyed by the war, while Wilson ([1885] 1961) accepted the view that the war had wrought great changes but still saw federalism as alive and vital.
Though these men and their colleagues laid the foundations for the empirical study of federal systems with the tools of contemporary political science, federalism as a field of study was neglected for many years. The rise of other problems to attract the attention of scholars, the negation of earlier legalistic and metaphysical approaches, and the decline of normative interest in the federal principle combined to dissuade younger political scientists from examining questions of federal government, except incidentally, until the twentieth century was well advanced.
Renewed interest in the field first developed when American students of public administration found themselves confronted with problems of intergovernmental relations at nearly every turn. The study of intergovernmental relations in the administrative realm brought about significant gains in the understanding of the process of federal government, not the least of which was a growing recognition that the assumptions about federalism underlying their work, borrowed whole from nineteenth-century theorists, needed serious reexamination. Beginning in the 1930s and 1940s, American and British political scientists began to raise fundamental questions about the nature of federal systems and the interrelationships of their governmental components (Anderson 1946). In the 1950s these questions were expanded to include, among others, problems of political influence, the role of political parties, the historical development of federal systems, and the meaning of earlier federal theories (Bachelder and Shaw 1964). By the early 1960s, students of existing federal governments were rediscovering the need to clarify the principles of federalism in order to understand the operation of those governments. Students of comparative government were also becoming increasingly interested in problems of political integration, centralization, and decentralization—all of which stimulated new interest in the systematic study of federalism.
EVALUATION
While many attempts to establish federal systems have ended in failure, such systems, once established, have proved to be most durable. No authentic federal system that has lasted for even fifteen years has ever been abandoned except through revolutionary disruption (as in the case of Germany), and in every such case federalism—showing remarkable resilience—has ultimately been restored. Certain theories to the contrary, there is no evidence that federalism represents a transitional stage on the road to unitary government. No federal system in history has ever “evolved” into a unitary one, nor has any established system been structurally consolidated by internal decision. On the contrary, federal devices to conciliate minority populations have been used in place of force to maintain unity even in consolidated systems. Moreover, federal systems or systems strongly influenced by the federal principle have been among the most stable and long lasting of polities.
At the same time, relatively few cultures have been able to utilize federal principles in government. Anglo-American civil societies have done so most successfully. Even those not fully committed to federalism have, without exception, included elements of the federal principle in whatever systems they have chosen, no doubt because both constitutionalism and noncentralization rate high on the scale of Anglo-American political values.
Of the sixteen formally federal nations that exist in the world today, Australia, Cameroon, Canada, India, Malaysia, Nigeria, and the United States were created under British colonial tutelage. These seven include all the nations established since World War II that have been able to maintain federal systems, and they provide most of the successful examples of federalism in operation. Of the nine remaining federal nations, Argentina, Brazil, and Mexico fall directly within the Hispanic political tradition, and Austria, Germany, and Switzerland, though they follow the Germanic political tradition, were also influenced by Hispanic ideas at some point in their development. Both political traditions have been influential in stimulating federal inclinations in many of the nonfederal nations, but they have been notably less successful in fostering lasting federal institutions; the Hispanic tradition has failed to combine federalism and stability, while the Germanic has tended toward authoritarian centralization. (The three remaining nations, Libya, the former Soviet Union, and former Yugoslavia, are federal in name and formal structure but hardly in any meaningful sense of the term.)
The successful operation of federal systems requires a particular kind of political environment, one that is conducive to popular government and has the strong traditions of political cooperation and self-restraint that are needed to maintain a system that minimizes the use of coercion. Beyond the level of tradition, federal systems operate best in societies with sufficient homogeneity of fundamental interests—or consensus—to allow a great deal of latitude in political operations and to place primary reliance upon voluntary collaboration. The existence of severe strains on the body politic that lead to the use of force to maintain domestic order is even more inimical to the successful maintenance of federal patterns of government than of other forms of popular government. Moreover, federal systems are most successful in civil societies with the human resources to fill many public offices competently and with material resources plentiful enough to allow a measure of economic waste in payment for the luxury of liberty.
BIBLIOGRAPHY: Johannes Althusius, Politica methodice digesta, ed. Carl J. Friedrich (1603; reprint, Cambridge, MA: Harvard University Press, 1932); American Academy of Political and Social Science, Intergovernmental Relations in the United States, Annals, vol. 359, ed. Harry W. Reynolds Jr. (Philadelphia: AAPSS, 1965); William Anderson, Federalism and Intergovernmental Relations: A Budget of Suggestions for Research (Chicago: Public Administration Service, 1946); William Anderson, The Nation and the States: Rivals or Partners? (Minneapolis: University of Minnesota Press, 1955); Vernon V. Aspaturian, “The Theory and Practice of Soviet Federalism,” Journal of Politics 12 (1950): 20–51; Glen L. Bachelder and Paul C. Shaw, “Federalism: A Selected Bibliography” (Michigan State University, Institute for Community Development and Services, 1964); This essay is reprinted from David L. Sills (ed.), The International Encyclopedia of the Social Sciences (New York: Macmillan, 1972). 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Daniel J. Elazar
SEE ALSO: Federal-State Relations; Intergovernmental Relations; U.S. Constitution