Federal and Unitary Governments
This chapter attempts to explain the territorial dimensions of politics through
comparing Federal and unitary states.
Territorial distribution of power is an important element because the geographical
setting of political authority affects administrative system.
There is no need to stress that politics has a territorial dimension. Modern state is a
new form of political entity in which its area of influence and control is
characterized with definite territorial boundaries.
Rulers in every form of political regime tend to develop a complex system of
organization to take resources from their territory while continuing the willingness
of the population to remain within the control of the state.
 To achieve a political control over people and territory, the modern state
consists of three basic structures as essential parts of its political apparatus.
(a) The central government (merkezi hükümet)
(b) Field offices of central government in cities, towns and villages (tasra teskilati)
(c) Sub-national governments such as elected regional and local authorities (devletaltı birimler- yerel ve bölgesel yönetimler)
There has been a tendency since the 1980's concerning the changing shape of
territorial distribution of power in modern sates by which sub-national governments
have began to gain much power within the state.
This tendency provides additional reasons towards studying the two solutions to the
territorial organization of power.
Federalism
Legal sovereignty is shared between the federal (central) government and
constituent units.
A federal constitution creates two layers of government, with specific functions
allocated to each.
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The center is responsible for external relations (including defense, foreign affairs,
immigration) and some common domestic functions, such as the currency.
The constituent units are responsible for education, cultural affairs and law
enforcement. Residual powers that is to say powers, which are not exercise by the
center, are also taken by the constituent units.
The existence of particular number of constituent units with particular functions is
under the guarantee of the constitution. Any change or modification aiming at
reorganizing the powers or functions of them requires a constitutional amendment.
The existence of a protection of rights and powers of constituent units through
constitutional means is the basic characteristic of federal states, which separates
them from unitary states.
The constituent units are represented in national policy-making through an upper
house in which each sub-unit has equal representation.
Despite the existence of the above common elements of federalism, functions of the
constituent units tend to be different from one federation to another.
However, it is possible to say that federalism is accepted as a practical solution to
the problem of arranging territorial distribution of power in particular cases:
1Firstly, the principle of federalism is common in large countries. In this
sense, federalism seems to be able to solve some bureaucratic problems in large
states where local sub-units cannot be ruled efficiently by the center.
2Secondly, federalism leads to the emergence of a geographical pluralism,
which seems to be attractive for countries, which attempt to maintain the unity of
the state (in multi-ethnic, multinational societies).
3-
Federalism may provide economic and military advantages.
4It permits `unity within diversity`. Unlike a unitary state, a federal state is
respectful to the local, national, and ethnic identities.
* Federation should be distinguished from a confederation:
In a confederation, the central authority is less powerful than the component units.
There is a weaker link between component units in a confederation.
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A confederal government generally does not have its own mechanism for taxation,
law making and law enforcement. Because, these functions are performed by
sovereign members of a confederal state.
Another important characteristic of a confederal state is that common policies and
decisions require unanimity among member states. (Commonwealth of independent
states-BDT)
(European Union?)
The Origins of Federalism;
(a) Voluntary Federation; the study of history of federations in the world shows us
that a federation may emerge from a voluntary agreement (compact - firmly united)
between previously autonomous states. The USA (1987), Switzerland, Canada and
Australia are of this kind.
(b) Imposed federalism: The constituent units are unified by a colonial or external
power so as to form a single political entity. In Latin America and some British
colonies, federalism was imposed by such an external power with no internal
intention towards establishing a larger unit of federation.
It is important to note that federalism requires the constituent units to give up
particular powers to the central government in the expectation of greater benefits to
come.
It is argued that voluntary federations emerge when there is an external threat,
which is realized as a, enemy for constituent units.
- A federation may be attractive for constituent units when they believe that it will
provide particular advantages in the international arena.
The European Union, which may be considered as a contemporary example of
federation, has been created believing that common market would promote
economic development.
- Federations are also useful for managing the problems derived from ethnic
diversity. Federal state is able to incorporate ethnic differences within a broader
political community in which every ethnic group finds opportunity to continue its
existence.
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For example, federalism in Switzerland integrates 23 cantons, three languages
(German, French, Italian) and two religions (catholic and protestant).
Belgium is another federal state, which consists of linguistically divided
communities.
- European federalism, which includes federal practices of Austria, Germany and
Switzerland, has different origins from the American federalism.
- Federalism in the USA is based on a contract in which constituent units came
together to create a central unit with limited functions.
- European federalism, on the other hand depends on the idea of cooperation
between levels of government.
* European federalism is based on two important norms:
The moral norm is solidarity, and the operating norm is subsidiarity. The idea,
which shows the core feature of European federalism, is that decisions should be
taken at the lowest level possible but with the central government offering overall
leadership.
- As classic example of European federalism, in Germany, the constituent units are
expected to provide contribution to the success of the whole, in exchange they are
treated with respect by the central government.
- European federalism is called collaborative federalism. Three procedures found in
European federalism have encouraged its collaborative character.
1- Both federal government and constituent units have the right to pass
legislation in several areas.
2- The central government passes “framework laws”, which provide a
general outline for policies, which are then detailed in sub-unit
legislation.
3- Sub-national units are given responsibility under the constitution for
carrying out (executing) federal law.
We have to note that unlike the United States, German federalism depends on
independence between the two levels of authority (between Landers and federal
center).
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Federal (central)- constituent unit relations
The relations between central government and sub-national units in federation
involve two crucial (most important) points.
1- First, a federal government may create the potential conditions of an inherent
conflict between national government and sub-units. Such a conflict may also arise
between sub-units. This conflict is a product of uncertainties of the constitution.
2- Secondly, intergovernmental relations cannot be established in short term but
evolve gradually.
To understand such relations between central government and sub-national units in
a federation we may use two different conceptual frameworks.
Dual Federalism and a system of intergovernmental relations (IGR)
* Dual federalism refers to a situation where the central government and subnational units hold separate or independent areas of action.
Each level of government performs particular functions. So there is a clear division
about which level of government is entitled with particular functions to perform.
However, the growing demand for an integrated economy and society has
diminished the possibility of such division of powers between the two levels of
government.
For this reason dual federalism has been replaced by a system of intergovernmental
relations in which every level of government works together.
So, intergovernmental relations mean a set of complex political-administrative and
financial interactions between all levels of government by which several functions
are performed at all levels without creating an obvious division of power.
In most federations, the central government tended to gain much influence over
financial issues.
This can be seen as natural, because taxation should be organized at national level
in order to establish a well functioning and efficient system of taxation.
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Financial flows between central government and sub-units create the basis of fiscal
federalism.
The emergence of a centralized national economy requires an overall planning and
regulation at national level.
* In a federal state, constituent units have little incentives to spend much money for
infrastructure, for example road networks. Therefore, the central government must
plan and provide financial support if not build and operate, the national road
system.
By the end of the 1980’s however, it is observed that, budged deficits at national
level, forced central governments to reduce their financial support to sub-national
units.
Assessing federalism
1-Federalism is a natural arrangement for large states. It provides for checks and
balances on a territorial basis.
2-It keeps some governmental functions closer to the people.
3-It allows for the representation of different identities within the political system.
4-It leads to a healthy competition between constituent units.
5-Citizens and firms have alternatives; if they dislike governance in a particular
constituent unit they can move to another.
6-It provides economic, political and military advantages.
But federalism may lead to particular negative results:
1- It may create both inefficient and ineffective government because it requires
a consensus between central government and constituent units. Sometimes,
decisions cannot be taken quickly.
2- Federalism complicates accountability of politicians because they are able to
refuse their responsibilities concerning a failure in any policy through
passing their responsibility to another level of government.
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3- It is also argued that federalism, in Germany for example, has become
geographical corporatism where a sub-national unit is able to bloc national
decision-making.
4- The most important criticism is that federalism distributes power by territory
when the key conflicts in society are social rather than geographical.
5- It does not incorporate minority groups such as women and indigenous
people (native) into the federal framework.
6- Despite the arguments of those who see federalism as a practical solution for
ethnic diversity, federalism does not have an effective formula to establish a
harmony among ethnic groups. (Yugoslavia)
Unitary State
It is a form of government in which powers are concentrated in the central
government.
There is a central government which holds sovereignty. Sub-national units exist but
they do not have autonomous powers from the central authority.
Sub-national units are entitled with particular powers to make policy and
implement them.
But it must be stated that such authority of sub-national governments requires
permission of the central authority.
National government can abolish lower levels.
Unitary states are norm in smaller countries where there is no deeper division in
population.
The concentration of sovereignty in the hands of central government cannot be
accepted as an adequate framework to understand politics of unitary states.
Despite the reality that the central authority is the single holder of sovereignty, this
does not mean that unitary state is necessarily centralized in its operation.
* As a result of a new tendency emerged in the 1990’s many unitary states have
attempted to transform more functions to the lower levels.
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Spain is typical example of such development where a strict unitary state was
transformed into a decentralized system with autonomous powers provided for
regions and communities.
Until the middle of the 1970’s Spain had been ruled by a dictatorship led by general
Francisco Franco. In the transition to democracy a new constitution was adopted
with radical transformation of powers to the sub-national units.
It is argued, today, that Spain represents a place in the boundary line separating
federal and unitary states.
Strategies to dispense powers to the sub-national units.
1- Deconcentration) :
It refers to the relocation of central government employees away from the
capital, which enables field offices to benefit from local knowledge, and allows
the central government to concentrate on general issues. (It can be used in both
federal and unitary states)
2- Decentralization:
Refers to delegation of policy-execution (making) to independent bodies. (it is
the most radical way of dispersing power) (Scandinavia)
3- Devolution:
The center grants decision-making autonomy to lower levels (UK, Spain)
* Considering the relationships between central government and local units we
can divide unitary states into two groups:
Dual System: refers to a specific relationship between central and local
governments where local units operate separately from the central authority. Local
governments are not parts of central government.
In a dual system, local governments have a freestanding status with the right, which
enables them to establish their own internal organization and employ staff on their
own conditions of service.
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Staff tends to move horizontally rather than vertically. The center holds ultimate
authority but local government employees are not treated as with civil servants of
central government. Britain.
Fused System
Central and local government are joined in an office such as the prefect where a
central government representative is charged with particular powers to inform the
center about the activities of local government.
In this system, the central government has a mechanism to control local
government. France is the classic example of fused, centralized system of local
government organization. The prefect, which is called “The Commissioner of the
republic” is influential figure in local government.
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