Federalism and Its Potential Application PDF

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL
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FEDERALISM AND ITS POTENTIAL APPLICATION TO THE

REPUBLIC OF THE PHILIPPINES
A Thesis Submitted to the

Faculty of the Graduate School of the
University of Santo Tomas
In Partial Fulfillment of the Requirements

For the Degree of Master of Arts (Political Science)
RONALD M. CASTILLO
March 2011
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ACKNOWLEDGEMENT
Ad majorem dei Gloria (that in all things God may be glorified). This
work is a blessing from the Creator and to him the researcher pours out the cup of
his highest gratitude and sings his most heartfelt praises. The researcher also
proffers his deepest thanks to these individuals, vessels of the aid of the Almighty.
In their very personal way, they each played an important role to him as he
undertook the task of searching and documenting knowledge of the science of
power for this paper.
Dr. J. Fernand Tanguay O.P. his thesis adviser, who took a fledgling
graduate student under his wing, and under whose tutelage this work was polished
into what it is now. His first hand and scholarly expertise in the researchers field
of study is matched by his patience, understanding, and caring of a true Father in
both the ecclesiastic and familial sense.
Ms. Maricel B. Punzal English editor and the researchers ashke (Trans.
from Tayledras1 beloved), who has always been there for him as both friend and
counselor.
Guiding mentors at the Graduate School who have shared their own
unique sparks of wisdom in training this humble researcher. The gems of wisdom
that each of them has shared to the researcher became invaluable tools in
composing this thesis: Dr. Jaime Jimenez (Socio-economic Development), Dr.
Consuelo Estepa (National Security Administration), Dr. Michael Anthony Vasco
1
Fictional language in Mercedes Lackeys The Heralds of Valdemar novels. Among the favorite
set of books shared between the researcher and his editor.
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(Thomasian Logic and Critical Reason), Dr. Milagros Tanlayco (Research

Writing).
His inspiring undergraduate students from different colleges and
disciplines; Karen Deus, Jeaneth Casimero, Joan Trinidad, Kamille de Leon, Nico
Pascual, Maicah Manapat, Hancellie Abrero. Their particular brightness of mind
and warmth of friendship were foods for the soul for their professor as he
undertook his thesis writing.
The very helpful staff of the UST Graduate School and the Office of
Graduate Research: Ms. Rowena Batoon and Ms. Christina Barbosa.
Ms. Edlyn Briones who may not have been the researchers student, has
been a true and very much appreciated friend during critical times of the research
process.
Ms. Cecille Salorio, his dear aunt, whose young at heart attitude has been
with her nephew, reminding him to have fun and enjoy life as he pursued his
career goals career.
Ms. Jennifer Normand, his ever-dearest cousin and kababata, whose bond
remains even with the physical distance of the oceans.
Mr. Justin C. Aricheta his first-brother, the researchers inspiration not
just in writing this thesis, but in many of his endeavors.
Most importantly, Mrs. Asuncion M. Castillo his mother, whose love
and support has always been there for her son even beyond death.
Her
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appreciation for his son and his works has always been the driving force for his
future achievements.
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DEDICATION
This Opus is made in undying memory to the researchers mother

Mrs. Asuncion Castillo y Maglaqui
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ABSTRACT
This research reviews the characteristics of federalism and explores the possibility of it
being used to create, in due course, a new XXI century Constitution, in keeping the
political and economic development of the Philippines in this age of globalization. To
achieve this objective, four federal constitutions operating in successful countries (three
are G-8 members) were comparatively studied for similarities. Federalism was created
by the Americans at the Philadelphia Convention of 1787 better known as the Federal
Convention. It is being used by 24 countries spread across continents. This in itself is a
justification to pursue a possible application to the Philippines, a country of dispersed
inhabited islands, belonging to different regions and cultures but all united under one
strong single national identity. Based on comparative study, there are seven essential
features of a federal political system: 1) Two levels of government existing in their own
right under one constitution; 2) Central government directly elected by the electorate of
the whole country, making laws and taxation applicable to all citizens; 3) Regional
government units exercising constitutionally delegated powers over its members; 4)
Allocation of sources of revenue between the two levels of government; 5) Written
constitution as binding contract among regional units, and which cannot be amended
unilaterally; 6) An umpire to rule on disputes; 7) Processes and institutions to facilitate
intergovernmental interaction and coordination. Federalism may be symmetric or
asymmetric, centralized or decentralized. However, Federalism facilitates devolution of
legislative and administrative power, and de-concentration of economic powers while
uniting the varied regional units.
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TABLE OF CONTENTS
Title Page .
Certificate of Originality .
ii
Approval Sheet
iii
Acknowledgement ...
iv
Dedication
vii
Abstract ....
viii
Table of Contents .
ix
List of Tables ...
xiii
List of Figures ..
xiv
CHAPTER I INTRODUCTION
A. Background of the Study ..
B. Statement of the Problem ..
11
C. Significance of the Study ..
12
D. Objective of the Study ..
12
E. Theoretical Framework
Federalism ..
13
Principle of Division of Powers .
14
Constitutional Division of Power ..
15
Geopolitical Division of Power .
17
F. Conceptual Framework
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General Framework
19
Specific Framework ...
24
G. Scope and Limitation
24
H. Hypothesis .
25
I. Definition of Terms
26
CHAPTER II: LITERATURE REVIEW

A. Foreign Literature ..
31
Federalism and State Building
31
Federalism and Management of Heterogeneous Systems ..
41
Federalism and Political Economy
44
B. Local Literature .
49
Federalism and the Philippine Situation .
49
CHAPTER III: RESEARCH METHODOLOGY ...
53
CHAPTER IV: DATA PRESENTATION AND ANALYSIS

A. The Seven Essential Features of a Federal Political System .
58
1. Two levels of government existing in their own right under,

one constitution
58
2. A Central Government directly elected by the electorate of

the whole country, making laws and taxation applicable to all
citizens ..
61
3. Regional Government Units exercising constitutionally

delegated powers over their members ..
72
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4. Allocation of sources of revenue between the two levels of

government ...
80
5. A written constitution as a binding contract among regional

units, and which cannot be amended unilaterally
83
6. An umpire (Supreme/Constitutional Court) to rule on

disputes
85
7. Processes and Institutions to facilitate intergovernmental

interaction and coordination
93
B. Three Potential Applications of A Federal Convention to the

Republic of the Philippines
1.
99
Consolidation of Territory through Devolution of
Legislative, Administrative, and Judicial (lower court) Powers

(Geopolitics) .
2.
Accommodation
of
Cultural
Idiosyncrasies
99
through
Devolution (Political Culture) .
110
3. Stimulation of Development and Managing Regional Fiscal

Disparities through Deconcentration of Economic Forces
(Political Economy) ..
118
C. Simulation ..
122
CHAPTER V: SUMMARY OF FINDINGS, CONCLUSION, AND

RECOMMENDATIONS FOR FUTURE RESEARCH
A. SUMMARY ..
126
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B. CONCLUSION .
130
C. RECOMMENDATION
133
BIBLIOGRAPHY ...
135
APPENDIX: Comparative Matrices of Relevant Constitutional Provisions

in the Model Countries
149
CURRICULUM VITAE ..
178
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LIST OF TABLES
Table 1 - The Four Philippine Constitutions
Table 2 Facilitating Processes and Institutions in a Federal System .
93
Table 3 Geographical Comparison of the Four Model Federations and

the Philippines
103
Table 4 Demographic Comparison of the Four Model Federations and

the Philippines .
112
Table 5 GDP Per Capita (PPP) of the Four Model Federations and the
Philippines
114
Table 6 Regional Average Income and Average Savings of Families at

Current Prices (values in thousand pesos) 2000, 2003 and 2006
115
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LIST OF FIGURES
Figure 1 Concept of the Federal System ..
20
Figure 2 The Philippines with Federal National State and the Regions as
Components States ..
21
Figure 3 Research Design
53
Figure 4 Map of the U.S. Federation Featuring the Regional Levels (50
States) .
104
Figure 5 Map of Canadian Federation Featuring the Regional Levels

(10 Provinces and 3 Territories) .
105
Figure 6 Map of the Australian Federation Featuring the Regional

Levels (6 States and 2 Territories) ..
106
Figure 7 Map of the German Federation Featuring the Regional Levels

(16 Lnder) .
107
Figure 8 Map of the Philippine Archipelago Featuring the Regional

Levels (17 Regions)
108
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CHAPTER I
INTRODUCTION
law must attend to the ordering of individual things in such a
way as to secure the common happiness. - St. Thomas Aquinas,
Summa Theologiae
A. Background of the Study

1. Liberalization of Philippine Democracy
In more than four centuries, Filipinos have expressed their love of freedom
and liberty. Through historic struggles and endeavors, the Philippine political
system culminated to an independent state ruled under the principles of
democracy. The Philippines has had four constitutions including the present
Freedom Constitution.1 These constitutions have always followed principles of
the democratic ideal. Now, twenty two years after the advent of this Freedom
Constitution, the necessity for studying constitutional changes or even the
adoption of a new constitution arises.
The problem originates from the possibility that one of the democratic
principles can be abused or mismanaged. Thomas Hobbes said that democracy is
based on the situation wherein people gather together to establish or manage a
government. To this he adds that by virtue of voluntarily gathering together for
such a purpose, these individuals agree to be ruled by what is the consensus
among the majority (Tuck and Silverthorne, 1998). From this, a new power
1
The 1987 Constitution has been dubbed Freedom Constitution since it was implemented after
the restoration of democracy and after the fall of the dictatorial regime of former President
Ferdinand E. Marcos.
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arose. This is the political power of the majority. This majority wields both the
power to make decisions for everyone, and the power to implement such
decisions.
The majority power is just the same as the concept of the General Will of
Jean-Jacques Rousseau in The Social Contract.
According to the renowned
political philosopher, the General Will can sometimes not lead towards the good
of all, since it is the result of contending individual wills (Will of All). There is a
chance that groupings of peoples wills may not anymore be representative of the
common good but only the good of a certain group or faction (Dahl, Shapiro, and
Chebub, 2003).
The majority power as applied to the Philippines could lead to an illiberal
democracy.
The Philippines is an archipelago composed of 7,100 islands.
Several of these islands are populated by peoples of unique cultures, languages,

and traditions.
Governing over all these territories and peoples is a central
government located in Metro Manila. Manila is a metropolis, center of both

government and economy, at the heart of the largest island located to the north of
the country.
Observing the Philippines, one would notice how unequal the
regions are. It is noticeable that Metro Manila and its immediate adjoining cities
enjoy greater opportunities of development. In contrast, the farther one territory
is from the capital, the less opportunities for development it has.
In a study on the political philosophy of Jean-Jacques Rousseau, Miller
quoted Rousseau as advocating the idea that countries with a large extent of
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jurisdiction should steer clear of placing too much power in capital cities (Miller,
1984). In addition, John Stuart Mill also considers centralization as detrimental to
the promotion of liberty in a political system (Collini, 1992). A more recent
study, Fareed Zakaria (1997), managing editor of Foreign Affairs Journal
emphasized that compared to the dangers of anarchy, the greatest threats to
human liberty and happiness in contemporary times result from brutally strong
centralized states.
A democracy is simply a determination of the source of and/or holder of
the power to rule. A charter that guides a political system that promotes true
liberty of the people must have proper provisions. It is the Rule of Law that is
basically the source or foundation of the peoples liberties. According to John
Locke in his Second Treatise on Government, the purpose of the Law is not to
remove freedom or constrict it, instead the purpose of law is to safeguard freedom
and extend its benefits to more people (Spector, 1992). Locke further argued that
the blessings of liberty cannot be had if there is no law.
This research extended such a concept to a dysfunctional law, one that
does not accomplish the common good. In order to secure the blessings of liberty,
the law must contain proper mechanisms. Without proper mechanism in the law,
then it will become what Locke was against removal of freedom and constraint
to liberty.
This constraint occurs in the Philippine democratic system due to the
centralization of power in the hands of the national government created by the

present constitution.
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The 1987 Constitution has provided for a degree of
decentralization and local autonomy. Yet as current situations in the Philippine

political economy portray, these provisions are insufficient to stimulate political
liberty for the various regions and local governments under the national
government. Observations of economic indicators from years 1970 2005 show
great gaps between the National Capital Region2 and the other regions in terms of
1) domestic production, 2) economic growth rates, 3) infrastructure, 4) access to
utilities such as water and electricity, 5) poverty incidence, and 6) the GINI3 Ratio
(Hill, 2006).
Such a situation exists because the powers to plan, organize, and control
remains largely in the hands of the national government. In addition to this,
economic means to pursue development are concentrated in the same way. Power
is identified with the national government as it has been granted by the
constitution. The national government merely decides what responsibilities to
delegate to the local government units. In this circumstance, the little leeway in
planning, organizing, and control that these territories have becomes restrained
rather than increased.
In comparison with European history, political participation increased
when power was re-concentrated towards local governments and regional
councils (Zakaria, 1992).
The region where Metro Manila and the Seat of the Philippine Central/National Government is
located.
3
Human Development Index Standard economic measure of income equality/inequality.
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Hence there is a necessity to push for the upgrading of the Philippine

Constitution from a simple democratic system into liberal democratic form of
government. John Rawls, prominent political scientist, said in his principles of
justice and fairness, each person is to have an equal right to the most extensive
basic liberty compatible with similar liberty for others (Zwolinsky, 2009). And
it is not just simply the rights and liberties of individuals that must be
engendered in the constitution to promote liberal democracy.
With the
Philippines being an archipelago having heterogeneous groups of peoples, the

rights and autonomy of regions must also be given due recognition.
According to the angelic doctor, St. Thomas Aquinas, caution should be
observed with the changing of human law for change lessens its binding strength;
the law may be altered only if such change can produce greater benefit for the
common good, thus furthering its capacity to bind (Dyson, 2002).
A system of government that not only remains in stasis with no
development but also has a tendency to promote the interests of the few instead of
the common good, has to be modified for the better. This has to be made in such
a way that the principles that champion the rights and liberties of individual
citizens and their respective regions are incorporated. Federalism can be an
option for such a change.
The historian Arthur Schelesinger (1997) enumerated among others the
high impact of culture and religion as a stress on democratic systems. In the
Philippine context, there is a great variety of regional cultures, and more
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specifically, a great divide between the Muslim population in Mindanao and the
Catholic majority. A Filipino scholar, Nathan Gilbert Quimpo (2001), attributed
this situation among the reasons for the 40 years armed conflict in Mindanao.
This research can help in finding a solution to this problem since it explores the
capacity of asymmetric federalism to grant regional autonomy while retaining
territorial and sovereign integrity.
2. Tracing Back Philippine Constitutions
The Philippine political system has had a succession of four written
constitutions including the current one. First was the Malolos Constitution of
1899. Second was the Commonwealth Constitution of 1935. Third, the Marcos
Sponsored Constitution of 1973. And finally, there is the Freedom Constitution
of 1987.
The constitution of 1899 was made as a result of the Filipino desire for
liberty and self-government. Yet it was unable to have a full span of time to be
implemented and be enjoyed by the Filipinos. This was because the historic event
of the Philippine-American war escalated a month later. However in its time, this
constitution contained principles that promoted liberty and democracy, as well as
the separation of church and state. Its first article declared that the citizens are
the source of sovereign powers (Article 3, Title 1). In addition to this, Article IV
contained a list of rights of the citizens of the republic.
The 1935 Constitution was created under the auspices of the American
Civil Government. This Constitution finally established the Philippines as a free

country.
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And like its predecessor, it promoted the ideals of liberty and
democracy, and separated church and state. It also contained a bill of rights and
provisions for the extension of the right of suffrage to women (Article V, Section
1).
The Filipino state fathers decided to keep the unitary system of
government rather than promoting a federal system following the model of the
USA, undoubtedly because they judged that the country had to be united given the
fragmented islands and cultural groups.
The content of the 1973 constitution in terms of democracy and liberty
follows the same principles, yet its intent was different from its predecessors.
According to Philippine Historian Sonia Zaide, the movement then for
constitutional change was spurred, among others, by necessities of empowering
the Commission on Elections and the General Auditing Office, and the necessity
of decongesting the Presidents powers (Article, V, Section 1). But when the
constitution was finally drafted and ratified it was one under the sponsorship of
President Marcos desire of maintaining his dictatorial regime over the country
(Zaide, 1999).
The 1970s events portrayed that the Filipinos wanted a revised
constitution that adapted to the needs of the time (i.e. promotion of democracy).
But as history unfolded, a revised constitution was made; however, this revised
constitution suited not the needs of the people. Rather it suited the needs of
President Marcos.
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Table 1.
The Four Philippine Constitutions
CONSTITUTION
BACKGROUND
Malolos
Filipinos
Constitution:
fighting
1899
have
for
from
FEATURES
been Promotes
freedom Unitary;
democratic
Guides
Spanish Executive
ideals;
the
to
Chief
observe
colonization (Philippine decentralization

Revolution 1896-1899).
administrative
and
autonomy ( Title
VII, Article 47).

Commonwealth
The yoke of colonial Promotes
Constitution:
government was about Unitary;
1935.
democratic
No
provision
ideals;
for
to be removed, Filipinos decentralization.

were gradually trained
by the United States of
America in the art of
Government.
Marcos
Sponsored
Period of Martial Law Promotes

under President Marcos.
democratic
ideals;
Promoted
the
Unitary;
Constitution:
Parliamentary
1973.
government;
System
of
Contained
provisions for promoting local
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autonomy of local government

units ( Article II, Section 10).
Freedom
Constitution:
1987
People
Power Promotes
democratic
ideals;
Revolution
against Unitary; Contained provisions for
President Marcos and decentralizing local government

Restoration
of units (Article 10, Sections 3 and
Democracy.
14), for promoting autonomy of

local government units (Article
10, Sections 2 and 5), and for two
Autonomous Regions (Article 10,
Sections 15-21).
The 1973 constitution is also different since it advocated a parliamentary

system of government as opposed to the presidential system of the previous
constitutions.
The 1987 Constitution went into effect after the People Power revolution
toppled the Marcos Dictatorship.
It reiterated the principles of democracy,
liberty, and human rights. In addition, it restored the presidential system of

government and focused on the accountability of government officials to the
people.
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It is also important to note that the 1987 Constitution was drafted not by
representatives chosen by the people, but by forty eight Commissioners appointed
by the de facto and eventual de jure President Corazon Aquino (De Leon, 2008).
These four constitutions provided a system guided by democratic ideals
through a representative national government. The national government in each
of these constitutions followed the unitary system of government, in executive
and administrative authority over the whole Philippines in the hands of the
President.
It is worth noting that all four constitutions followed the unitary system.
Three of these constitutions, namely the 1899, 1973, and 1987 expressly desired
degrees of autonomy for local government units.
For example, the 1899
Constitution stipulates that the president must adhere to the most liberal policy of
decentralization (Article VII, Title 57) in administering over towns and
provinces. Both 1973, and 1987 Constitution incorporated the promotion of local
autonomy in their declaration of state policies. In addition to this, the 1987
Constitution added provisions on decentralization; and for special autonomous
regions such as that of Muslim Mindanao and that of the indigenous Cordilleras.
It can be observed that the early constitutions aimed at creating a unified
nation out of a diversity of cultural heritages, scattered on so many islands. In
world history, the centralization of the legislative, administrative and judicial
authorities goes back to Napoleon who wanted to unify his Empire to facilitate the
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control of all elements of power. It is a characteristic of former colonies to have

"anything that counts" in the capital city.
This thesis sought to discover a potential 21st century constitution for the
Philippines.
Through a methodical system, it can adapt to the political,
geographic, economic, and cultural characteristics of the country. And thereby

promote the blessings of liberal democracy, economic fairness among the regions,
and strengthen its national unity.
B. Statement of the Problem
This study sought to show the relevance of federalism principles of
decentralization and de-concentration as important constitutional concepts as
applicable constitutional concepts to the Republic of the Philippines.
In doing so, the study necessitates investigation of the following queries:
1. How does the federal system of government promote liberal
democracy?
2. How does the federal system of government create equal opportunities
for regional economic development?
3. How does the federal system of government help preserve national
unity?
4. Why is the federal system of government an appropriate system for the
Republic of the Philippines?
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C. Significance of the Study

This research holds credence to the study of political science by being able
to study the suitability of changing the political system of the Philippines from
unitary to federal by a comparative analysis of model federal countries.
Moreover this research is important because:
Politically, it studies a method of making the Philippine political system a
liberal democracy through federal decentralization of power while preserving
national unity, territorial and sovereign integrity.
Economically, it explores an avenue for stimulating Philippine political
economy through de-concentration of economic forces throughout the various
regions of the country.
Administratively, it researches on a more publicly accessible government
system through the de-concentration of administrative authority and skills.
Lastly, this research can explore a solution towards the settlement of
armed conflict in the region of Muslim Mindanao.
D. Objective of the Study
This thesis aims to analyze the potential application of federalism for the
Republic of the Philippines. Furthermore, it intends to discover how federalism
can be an option for the liberalization of Philippine democracy, while preserving
national unity, sovereign and territorial integrity; and for the creation of
possibilities for regional development in the Philippines.
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E. Theoretical Framework
1. Federalism
The conduct of this study was guided by the principles of federalism.
Federalism as a political science theory has been first codified in The Federalist
Papers by American legislators Alexander Hamilton, John Jay, and James
Madison in 1788. From then on, several scholars have focused on federations.
Among such scholars included Daniel J. Elazar, who became founder of the
Center for the Study of Federalism and author of multiple studies on the same
subject.
In 1776, the United States of America was able to achieve the innovation
of the union of former colonies turned independent states into a composite
structure of a federation, and according to Lipson (1997) this [federation] has
been a distinctive, enduring, and influential contribution of America to the art of
government. It is an innovation since it was the Americans who experimented
with and formalized the notion of federation.
According to the United Nations (2006) and the Forum of Federations
(2009), out of 193 countries in the international community, there are 24 countries
having federal political systems with their own idiosyncrasies. Among these
countries the United States of America, founded 1776; Canada, founded 1867;
Australia, founded 1901; and Germany, founded 1949; are states that have
successful experiences in federalism, decentralization, liberal democratization,
and regional economic development.
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Liberalization and regional economic development can result from

federalization and decentralization because the powers that are geographically
distributed are the following: legislative, executive and administrative, since these
are the standard active powers of the sovereign. It coincides with political will
and free management particularly when it is made more accessible to the hands of
the common individual or of the specific regional or sub-national governments in
a specific territory.
Distribution of power can either be guided by decentralization or
centralization policies. It is important to note though that decentralization exists
both in unitary systems and federal systems.
The same holds true with
centralization. Federal and unitary systems can be both centralized in authority

or vice versa. It all depends on the manner that a country chooses to do so.
Decentralization works side by side with de-concentration.
While
decentralization focuses on power, de-concentration focuses on the economy and

administration. This research holds the theory that federalization coupled with
proper decentralization and de-concentration may preserve liberalization and
regional economic development, at the same time, it may promote national unity,
sovereign and territorial integrity.
2. Principle of Division of Powers
In an essay in memory of Daniel J. Elazar, Ronald Watts has quoted the
esteemed political scientist as defining federalism in the context of being a
covenant that combines self-rule with shared-rule (Watts, 2000). It is this very
14

concept of federalism that holds significance in this research.
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Self-rule and
shared-rule follow a system of division of powers which is important for

liberalization and regional economic development.
Within the government, power can be split in two ways: separation and
division.
Federalism is concerned with the division of power.
In the book
Comparing Political Systems (Bertsch, 1991), division of power is considered as

vertical since it follows successive levels (or tiers). It has government agencies
that exist in at least two levels: local and national. James Danziger in his book
Understanding the Political describes this division of powers as areal or byarea since it follows geographic locations. This is so because the spread of
authority is divided by region or provinces.
3. Constitutional Division of Power
Federalism is closely related to the concept of decentralization. Both
federalism and decentralization distributes governmental powers in levels or
geographic methods. Yet, the unitary system can also decide to decentralize
while remaining unitary. However, federalism is unique in its manner of dividing
power.
Guided by the principle Potestas delegata non potest delegari4 (Moreno,
1998), in a unitary system of government, the constitution grants governmental
powers to the national government. The national government in turn gains the
prerogative to delegate powers and responsibilities to the local governments if it
4
Delegated authority cannot be delegated {Trans. From latin in Morenos Philippine Law
Dictionary.
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decides to decentralize.
PAGE
The national government retains supervision and
practically holds a patriarchal relationship with the local government. The powers
that the unitary central government can delegate are the gray areas or powers
unspecified by the constitution. Hence the unitary central government cannot
delegate the powers that have already been delegated to it by the constitution.
In comparison, in a federal system, the constitution delegates powers to
both the federal government (national state) and regional/provincial governments
(component states).
This is a Supremacy of the Constitution rather than
supremacy of the central government, thereby supporting the rule of law.

This is beneficial because, component states do not have to be dependent
to the federal state since they have pre-defined powers and responsibilities within
their jurisdictions.
The removal of the patriarchal relationship makes the
regions/provinces more independent and capable of using their own political wills
and resources for their own benefit. In this situation, component states can even
enter into political and economic relationships with each other. Moreover, these
states can have healthy economic competition for the pursuance of development.
Since the power of the component states in a federal system come from
the constitution and not from the national state, the political system becomes more
liberal with the promotion of regional/provincial autonomy in a community of
regional or provincial states. Autonomy promotes, among other benefits, the
securing of happiness of the region/province and by extension the citizens. In
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doing so, these regions/provinces would choose to remain united with each other
and preserve the territorial and sovereign integrity of the national state.
4. Geopolitical Division of Power
The federal division of power is geopolitical in nature. Federations are
characterized by alliances and covenants between politically organized groups.
This is illustrated in ancient times during the Roman and Ottoman Empires (Flora,
1999), in the time of the founding of the United States of America, and during
these contemporary times. Empires and current federal countries all have either
wide extent of territories, far flung areas, or a number of distributed islands. Due
to distance, difficulty of travel or communication from the capital, some of the
territories and provinces require to be placed under rulers with properly defined
authority to make and implement decisions for the purpose of efficient
management.
Federations have two geographic levels: the upper level in charge of
national concerns covering the entire territory, and an intermediate level in charge
of respective local concerns by region or province. These intermediate levels by
virtue of geographic distance, location, or racial and ethnic composition have a
distinct socio-political existence. By the constitution delegating power, authority
and jurisdictions, they gain adequate political and managerial powers. By virtue
of geographic factors coupled with constitutional delegation of powers, these
intermediate level states are autonomous parts of a whole comprising the
national state.
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Land, distance, and other geographic factors such as dispersed islands are
not the only geopolitical factors in a federal system. In political culture, the
people occupying a particular land area are usually united by race, language,
history, customs, religions and traditions. Sometimes a country can be composed
of a variety of these groups.
These groups can have separate interests and
idiosyncrasies that can cause stress to the unity, peace, and security of the
country.
Decentralization and de-concentration in a federal system allows
accommodation of the individualities of these groups as represented by their

regions/provinces.
5. Handling of Gray Areas
Aside from simple interaction, there is the existence of gray areas. Certain
powers and responsibilities between the national state and the component states
are blatantly obvious in a written constitution. Yet, it may sometimes occur that
some powers and responsibilities are not properly delegated. These are the gray
areas.
Adjudication is an important concern in federalism in addition to the
division of power.
The existence of individual intermediate level states
interacting with each other and interacting with the national state (not to mention
interacting with society) eventually leads to disputes between such power holders.
Thus the concern arises on to whom and how the power to adjudicate must be
organized. The third sovereign power of government the judicial power must
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be protected in its neutrality between the national state and the component states.
This ensures the perpetuation of regional/provincial liberty and fairness.
F. Conceptual Framework
1. General Framework
For a better understanding of the federal system, this thesis used two
conceptual diagrams: one followed a general concept, and another applied it to the
Philippines. Figure 1 was inspired by Daniel J. Elazars concept of self-rule
combined with shared-rule (Watts, 2000). According to Elazar, federalism is
the linking of individuals, groups and polities in lasting but limited union in such
a way as to provide for the energetic pursuit of common ends while maintaining
the respective integrities of both parties. It is illustrated in the context wherein
there are two levels of power in a federal political system.
The first level is at
the center (hexagon) which is the national state. The second level is a set of
component states which are located around the central state (circled diamonds).
In this framework, interactions regarding relationships and regarding
power between the national state and the component states are shown by the black
double arrow lines. Interactions among component states are shown by the red
dotted double arrow lines. The double arrows represent mutual interactions, in
comparison to one sided interaction (characterized by the unitary system which
tends to be patriarchal).
succeeding paragraphs.
These interactions become more evident in the
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Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
National
State
Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
Component
State
Figure 1 Concept of the Federal System
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Cordillera
Administrative
Region
Cagayan
Valley
Ilocos
Region
Philippine
National State
Central
Luzon
National
Capital
Region
CALABARZON
Bicol Region
MIMAROPA
Eastern
Visayas
Western
Visayas
Central
Visayas
Zamboanga
Peninsula
Northern
Mindanao
CARAGA
Davao
Region
SOCSARGEN
Autonomous
Region of
Muslim
Mindanao
Figure 2 The Philippines with Federal National State and
the Regions as Component States
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The national state consolidates its authority through the consent of the
component states as manifested by a binding constitution (large blue circle) that
respects autonomy (small blue circles around each component states). This single
national state represents in general all the component states. It has powers over
national concerns or purposes with which the entire country is affected.
The component states on the other hand have competent jurisdiction
within a defined area in the country. Being states with independent powers from
the center they have the capacity for self-determination both in managing sociopolitical matters and in the pursuance of economic goals. For example they have
the capacity to decide on fiscal and business related policies, and on educational
standards within their jurisdiction. In doing so, they can compete with other
regions. Such interrelationships are shown by the red dotted lines in Figures 1
and 2.
These levels exist by virtue of the constitution (the blue circles: both large
and small). It recognizes and defines what powers and jurisdictions these levels
have. Thus, in contrast to the unitary system wherein the powers of the local
governments are reliant on the decision of the national government to delegate, in
the federal system, the fact exists that both national and local states already have
their respective competencies and areas of authority as granted by the
constitution. It could also be noted that the constitution (circle) binds all the
components together into one distinct whole, thus preserving national unity,
sovereignty, and integrity of the islands in the territory.
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The recognition of regional governments as component states exemplifies

the concept of self-rule as stylized by Daniel J. Elazar.
The power of the
national state represents shared-rule. These are federal concepts that can be
applied along systemic characteristics of democracy and liberalism.
In a democracy, the people gather together to form a government. In this
federal structure, regions are independent powers that are gathered together to
pool resources into the national government. By doing so they are united as one
single entity with the advantages secured by a federalized state.
Like a
democratic government, the central state of a federation pursues goals that are for
the common good of all the component states (represented by connections
through the black double arrows in Figures 1 and 2), and is sovereign by virtue
of consent from the constitutionally autonomous component states.
In a liberal government, individuals have the capacity to pursue,
happiness, freedom of choice, life, health and other factors that can contribute to
the dignity of a human person. The federal structure applies this principle to
groups of people aggregated through regions. The various regions are granted
equal opportunities for the pursuance of happiness, freedom of choice, life, health
and other important factors for the benefit of their constituent citizens. This is
made possible through the recognition of the regions as component states by the
constitution and through the twofold process of decentralization of power and deconcentration of economic forces.
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2. Specific Framework
Figure 2 applies the above mentioned principle over the Republic of the
Philippines. As seen on the diagram, each of the 17 regions of the Philippines is
represented as component states. And each is named after the corresponding
region.
These regions have people sharing similar cultures, languages, and
tradition. Aside from these, there is the national state the Philippines which
represent all of these regions as one single entity.
The components states interact mutually with each other (represented by
the red dotted double arrow lines), and with the national state (black double arrow
lines). They have constitutional powers and control of economic forces within
their respective areas (as shown by the small blue circles). They also interact with
the national state (as shown by the black lines). And they are all bound together
and guided by the constitution (the large blue circle encompassing all component
states along with the national state).
It is the constitution that defines the
situation, defines power and holds the component states together in unity with the
national state.
G. Scope and Limitation
1. Scope
This thesis studied the federal structures of four working constitutions:
United States of America (18th Century), Canada (19th Century), Commonwealth
of Australia (20th Century), and Federal Republic of Germany (20th Century). It
analyzed constitutional similarities and possible differences. Furthermore, this
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study focused only on characteristics of federal constitutions that 1) built up

political systems into liberal democracies, and 2) promoted regional economic
growth. It concerned itself only with factors that a) decentralized governmental
power, b) de-concentrated economic forces, and c) preserved unity along with
sovereignty and territorial integrity.
This study used a qualitative survey of constitutions of different countries.
It searched for good mechanisms that fostered liberal democracy and regional
economic growth. By doing so, it helped provide an unprejudiced basis or a test
for federal principles for potential application into the Philippine political system.
2. Limits
This thesis neither surveyed the attitudes of Filipinos on the changing of
the Philippine constitution nor a studied Filipino outlook on federalism. Also, it
was not an advocacy for or against any of the proposals circulated for charter
change in the Philippines. It rather aimed at an objective study of the theory of
federal states and an inquiry on its applicability to the Republic of the Philippines.
In the conduct of the study, the researcher did not consider any other
federal state or country other than the ones listed above.
In examining the
constitutions of the above mentioned constitutions, an authorized English

translation of the German Constitution was used.
H. Hypothesis
In the conduct of this study the researcher took into account the following
hypotheses:
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1. Federal states have proper mechanisms for promoting liberal

democracy applicable in the Philippines.
2. Federalization may have proper methods for stimulating equal
opportunities for regional economic development.
3. Federalism may be an option for preserving national unity, sovereign
and territorial integrity.
I. Definition of Terms
1. Concepts of Democracy
Autonomy The status of being able to make and implement decisions without
having to depend on anothers authority or consent.
Cultural Idiosyncrasies Unique manner of habits and behavior shared by
members of a particular socio-political or ethno-linguistic group within a
political system.
A political system may contain several socio-
political/ethno-linguistic groupings, thus it may exhibit a varied,

sometimes conflicting set of cultural idiosyncrasies.
Cultural Accommodation Process of satisfying the needs and wants as
demanded by the cultural idiosyncrasies of several groupings of people
within a political system.
Democracy The government system by the peoples' collective political power
(Gamer, 2009).
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PAGE
According to Rousseau, a political system or government wherein men

unit[es] their separate powers in a combination strong enough to
overcome any resistance, uniting them so that their powers are directed
by a single motive and act in concert (Dahl, Shapiro, and Chebub).
Liberal Democracy A political system characterized by: reliance of the political

power to govern on fair and free elections; the rule of law; methods of
division of or separation of political powers; and the protection of basic
liberties to life, health, pursuit of happiness, property, choice, and selfdetermination5.
Nation A large group of people having diverse backgrounds; such as origin,
language, religion, and traditions. However, they remain as one singular
entity, united politically, economically, and militarily under one flag, and
speaking with one voice to the international community (Gamer, 2009).
2. Concepts of Federalism
Federal System In Elazars Political Theory, a political system that is
characterized by having several component states in addition to the
national state.
These components are component authorities having
constitutional powers capable of discharging concerns within their

respective jurisdictions.
The national state on the other hand has
constitutional powers capable of discharging concerns in the national level

(Watts, 2000).
5
Definition adapted from both (Locke in Goldie, 2009) and (Zakaria, 1997).
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Federal State Is one in which central and regional governments are sovereign,
each in its respective sphere, and in which the actions of these
governments are coordinated (Wheare, 1963).
Asymetric Federalism As described by Tarlton (2006), a federal system of
government wherein sub-national state governments have a certain degree
of divergence, in terms of purposes and goals, away from those of the
national state and the other sub-national state governments.
Symmetric Federalism A federal system of government wherein sub-national
state governments have a certain degree to have similarities, in terms of
purposes and goals, with that of the central state and the other sub-national
state governments (Tarlton, 2006).
Federalism the belief in support for and the endorsement for the act of forming a
federation (Burgess, 2006).
Federalization The process of creating a federal system of government.
3. Concept of Supremacy of the Constitution
Supremacy of the Constitution In a federal state the constitution is the supreme
law and any law which is inconsistent with the provisions of the
constitution is of no force or effect (Tanguay, 1992).
4. Concepts of Division And Dispersion of Power
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Competent Jurisdiction Powers exercised by a particular government over

specific aspects of life of its constituents (e.g. business, health, education
policies).
Decentralization A reallocation of constitutional powers of government more
so in particular for local governments or component state governments
than for the central government, considering that there is a set amount of
authority by the government over the people and the economy (Rodden,
2004).
De-concentration A reallocation of the capacity to regulate and promote the
economy, administrative skills, and access to public service, more so in
particular for local governments or component state governments than for
the central government.6
Territorial Jurisdiction Powers exercised by a particular government over a
defined territory.
5. Concepts of the Unitary System
Unitary System A system wherein, local government can only be an intrasovereign subdivision of one sovereign nation. It cannot be an imperium
in imperio (Bernas, 2003).
- As defined by Danziger, a political system that concentrates by
constitutional means all constitutional powers needed to discharge with
every state concern into a single central government, this same central
6
Researcher stipulated definition applied to the economy and adapted from the definition of
decentralization, as cited above.
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government has the discretion to grant and distribute some of its powers to
several local governments which are spread geographically and which are
under jurisdiction of the central government.
Unitary State A sovereign state governed as one single unit. The constitution
grants governmental powers to one supreme central government. Any
administrative divisions (sub-national units) exercise only powers that the
central government chooses to delegate.
centralized or decentralized.
A unitary state may be
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CHAPTER II
REVIEW OF RELATED LITERATURE
A. Foreign Literature
1. Federalism and State Building
The study of federalism necessitates a multi-lens approach that looks into
the internal structure of such a political system. The political system has many
component parts. Federalism as a means of molding a political system within the
boundaries of a given country must contain intrinsic characteristics that allow it to
perform the task it was adopted for.
Political analists and researchers have directed efforts to the study of
brining about a modern state. A state capable of facing the problems that threaten
civilized society, promoting the well being of the people, and protecting the rights
of citizens. Contemporary political theories and reaserch findings discuss various
method included among them is how federalism could affect the building or
remodelling of a nation states system.
Ghani, Lockhart, and Carnahan in their 2006 paper discovered threats to
the stability of states, and posited solutions to such problems. A much earlier
work by Li (2002) pointed out the source and a possible soulution for state
fragmentation. Wagner (2005) and Rodden (2004) used two different approaches
on exploring how federalism directs or handles the distribution of power from the
center of the nation states government to its periphery. Lastly, Jaeger (2002)
analyzed the interaction of pure modern applications of government by using a
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systematic lens to observe federal system and presidential system functions in a

world where the use of electronic access to government is fast growing.
The state being the political manifestation of society and the government
which is its means of controlling power must be structured in such a way as to
ensure security. Among such research on state-building is collaborative work by
Ashraf Ghani, Clare Lockhart, and Michael Carnahan (2006). These authors
attribute the fall of states and governments to 1) inability to enforce dominion in
terms of duties and maintaining jurisdiction, 2) dispersion of authority agencies
from the core state, 3) secessionist groups and ideals, 4) uncontrollable tensions
and continuous struggles between groups in society and between society and the
state, 5) harsh policies and actions for the purpose of suppressing rebellion and
opposition. As a means of correcting such tendencies for failure, the study adds a
conversion of components within the sociopolitical system. These conversions
include establishment of a system where the following characteristics are present:
1. Legitimate monopoly on the means of violence;
2. Administrative control;
3. Management of public finances;
4. Investment in human capital;
5. Delineation of citizenship rights and duties;
6. Provision of infrastructure services;
7. Formation of the market;
8. Management of the states assets(including the environment,
natural resources, and cultural assets);
32

9.
PAGE
International relations (including entering into international

contracts and public borrowing);
10. Rule of law (Ghani, Lockhart and Cranahan, 2006)

It is important to note that current situations in the Philippines match with
the reasons for state failure listed by the preceding authors. Among these were
the first, third and fourth reasons cited above. Hence there is the necessity for
change in the Philippine system. In addition to, the second reason for state
failure, which is dispersion of authorities and government agencies, is a possible
result of mismanaged decentralization or centralization in the Philippine unitary
system. Thus it is important that the change be guided as to avoid the rise of
another problem for the political system.
In this paper, Wagner made an expository analysis explaining and
detailing Vincent Ostroms works that lead to the development of a framework for
conceptualizing the development of a good government via federalism.
According to Wagner (2005), Ostroms model for the making of a good
government requires the balanced use of two related activities. One of these is the
use of a moral imagination that incorporates past experiences and knowledge that
develops into ideas that can properly shape society. The other activity is to
undertake a scholarly inquiry if a chosen form of government can improve or
hinder certain operations or activities within the system. This is important to this
thesis since it posits a framework for the study of federalism as can be applied in
the Philippine context.
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Ostroms framework begins by assuming that self-governance is the right

option within the social system. From this, he proceeds to argue that those factors
and process that promote self-governance which are: polycentrism, free markets,
and decentralization lead to a good government structure. These factors and
processes combined make up a democratic government that is federal in nature
(Wagner, 2005). With this framework, Ostrom has developed an evolutionary
process guided by democratic principles that undergo federalist processes thereby
leading to good government. This is an important factor as a guiding principle
against the possible replay of cases of malfunction in some states that were clad
with federal political systems.
Another approach to good governance is by the use of or development of
proper instruments of measurement. Jonathan Rodden has made a masterful
research on methodologies regarding degrees of federalism and decentralization.
It is important to note that Rodden separates federalism from decentralization as
different concepts however seemingly complementary they are.
Roddens
research also categorizes three modes of decentralization: fiscal, policy and

political.
Methodologies studied, incorporated and proposed by Rodden were
analyzed to specifically target all four concepts of fiscal decentralization, policy
decentralization, and political decentralization, and federalism. Methodologies
included proper sources of data, measurement and considerations of application.
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Fiscal decentralization data, according to Rodden, first starts with finance

statistics such as those from the International Monetary Fund data. Yet Rodden
argues that such data is not enough as to observe deep analysis of government
spending decentralization. To this he proposed a modification of data sets by
locating the regulatory framework for sub-national finance (Rodden, 2004).
Next, policy decentralization can be measured by a score system that
assigns such single or two point scores on whether or not a countrys authority
regarding several aspects of policymaking and administration is placed in the
hands of the local authority or the central authority respectively.
Political
decentralization on the other, Rodden proposes, can be measured by an index

score system that assigns zero to two point scores on whether sub-national
executives were elected by the people or appointed from the center.
Lastly, Rodden measures federalism not by simply the location of power
or the actual distribution of power, rather, he argues on the context of covenants.
According to Rodden, federalism has its etymologic roots in the Latin word
foedus, which translates to covenant.
This applies significantly on the
understanding of federalism. It deepens the meaning as to actual autonomy of the

composite states of a federal system. Hence, according to Rodden, it is the
arrangements of this covenant, contract, bargain, or agreement between the subnational states, and between the sub-national states and the central state that must
be measure and studied.
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Such proposals by Rodden support the thesis that the constitution of a

federal political system is a good start in discovering the dynamic processes that
make such a system work. Additionally, Rodden points out the following benefit
from the application of a properly structured federal system:
government
accountability and safeguards against corruption since the local governments can
be engaged much easier by the people and within a more manageable setting. In
contrast though, Rodden also asserts the following pitfalls that the federal system
when abused can lead to. First is that federalism can block the shares of growth
and benefits from the national level due to excess misrepresentation between the
various sectors of the territory. Another is an extension of the first, that the
division of power between national and local authorities can cause a hindrance to
national economic planning. These application theories are grim reminders of
what this thesis must consider in analyzing the changing of the Philippine
constitution into a federal system of government. The political system is to be
applied or changed in order to improve the existing order and/or correct
irregularities and problems. Mishandled policy changes to the very heart of the
political system the constitution could cause drastic feedbacks that can be
insignificant changes or more governmental problems or worse a failure of the
state.
Several studies cited above promote a movement from centralism towards
a dispersion of authority into the hands of component states. This way leads to
the duality of consolidation and fragmentation of power (Hooghe and Marks,
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2003). According to Elazar, federalism is a way of promoting consolidation of

power even if the population is diversified (Watts, 2000).
Yet federalism in
process distributes power into vertical levels and in spread of area.
Thus
federalism has two seemingly incompatible components that must be used in

harmony for a healthy formation of a political system. Lisbet Hooghe and Gary
Marks have made a study on ways to disperse the power of the state while
preserving the functionality and integrity of the system.
According to their
findings, the rearrangement of the political system in a power dispersive manner

can cause impediments towards and within the state. To this, both authors have
studied advantageous ways to do such a process without causing damage to the
state.
Hooghe and Marks made two means of solving this dilemma. These were
Type I and Type II governance. Both of which are characterized by how they
have been organized to address specific issues raised by both authors. Their types
of governance are guided by the following considerations:
1. Should jurisdictions be designed around particular
communities, or should they be designed around particular
policy problems?
2. Should jurisdictions bundle competencies, or should they
be functionally specific?
3. Should jurisdictions be limited in number, or should they
proliferate?
4. Should jurisdictions be designed to last, or should they be
fluid? (Hooghe and Marks, 2003).
These two researchers Type I governance strictly follow the first options
in each question, while Type II contains characteristics that have the second
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option to each of the questions above. However that both authors used such
typology with a focus on federal governments, both types apply to federal and
unitary structures.
Since dispersion of powers apply to both in terms of
decentralization. What is significant with this study by Hooghe and Marks adds
to the literature of finding ways of building a good government for the unique
situations that pervade in the socio-political system of a given country.
In
conjunction with the study of politics as a science of power and government, state
formation and government restructuring must have proper educated guidelines.
This is to ensure a lasting and functioning government that can provide for the
benefit of the people.
Another important concern of the political scientist is to guard the state
from the phenomenon of state fragmentation. State fragmentation is a danger to
both territorial and sovereign integrity within a given country. Jieli Li traces
historical events in specific cases to find causes and safeguards against such a
threat.
According to Skocpols concept of state autonomy, both the state and
social groups within the territory can have opposing concerns (Li, 2002). To this,
Li juxtaposed Tillys 1993 argument that revolutionary situations lead to
particular cases of state fragmentation in order to analyze situations in Russia,
Yugoslavia, Iran and China.
Lis research applies also to the Philippine situation since conflict in the
Muslim areas of the Philippines may also lead to secession. Li argues though that
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groups calling for cession are simply the part of the process of state fragmentation
and not the antecedent. What then is or are the antecedents? Li enumerates most
importantly the interaction caused by changes in power relations between states,
and the eventual territorial strategic position of the central state. Next is the
connection of the territorial strategic position of the central state, and its ability to
manage resources. Finally, there is the connection of the quantity and kind of
resources, and the degree of the capacity of the central state to enforce its will
within the territory.
As federalism has been an innovation in the art of government, Electronic
Access to Government hereafter referred to as E-government is another design for
the purpose of easy access of the people to the government and its services.
Jaegers study, published in 2002, examined dynamics between E-government
practices and the main guiding principles of the American constitution.
According to the study by Jaeger, E-government pertained to 24-hr access to
government services, information, goods, benefits, and activities, bridging the
elements of the government together through one portal. This system, however
useful as it may be, pose possible conflicts to two fundamental principles of the
United States constitution. These two principles are 1) the principle of separation
of powers and 2) the principle of federalism. Jaeger iterates both principles as
principles that separate powers, in contrast, E-government is a uniting factor,
bringing together what has been separated into union for easy access to the
people.
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E-government is a policy from the center. It creates legal relationships

between the federal government and the component states.
One example
provided by Jaeger was with the Office of Management and Budget. In the
scenario, E-government provided better means for states and localities to make
their report requirements, it also provided such states and localities better means
to participate in providing services to the citizens alongside the federal
government. Such situation, Jaeger notes, places the component states under
liability to the federal government created by E-government system. The same
study noted other problems with data integration which could threaten the
individuality of laws within the each states or localities jurisdiction.
From Jaegers study it is important to note two aspects important to this
thesis. First, that Federal policy affects government bureaucracy especially on
how they could become more efficient or more prone to legal squabbles of
liabilities, and that the same bureaucracy have significant dynamics that have
implications to the basic law of the state. One way of achieving good government
is by having a more efficient delivery of goods and services or a means for
citizens to access such goods and services. As Jaeger has illustrated federal
systems can have positive and at the same time constraining effects to
policymaking, even for the purpose of efficient public service. Second is that
states and localities in a federal system are not characterized simply by having
been categorized by the federal government. These states and localities have
individual traits shared among its constituents that are governed by laws designed
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to meet the customs and traditions or, if not simply the values shared within a
specific states jurisdiction.
2. Federation and the Management of Heterogeneous Systems.
Tools always have the capacity to work in two opposite ways. A scalpel
can be used by a surgeon to save a life, or it can be used to stab a person and
cause harm. Federalism is also a tool as much as it is used to organize the system
of government in a given system. But as all tools must be used for the common
good, so must federalism. As stated by Elazar, federalism can help accommodate
dissident groups or areas that pose a threat to the integrity of sovereignty and
territory. On the other hand, in a case study by J. Isawa Elaigwu over state
building in one of the African Nations, he depicted a grim abuse of the flexibility
of federalism. This study published in 2003 in Publius narrates how the federal
system of government in Nigeria was able to accommodate the unique political
concept of Islam.
Nigeria adopted such a system to as a means of aggressive subnationalism between Christian and Muslim groups.
The author Elaigwu has
described the society of Nigeria as having a high level of religious tolerance and
as the government history of Nigeria unfolded from the 1800s to the 1900s,
Muslim religious contexts on law and justice were eventually incorporated into
the constitution.
These include the pervading force of Sharia and the
implementation of Zakkat over Islamic personal matters (Elaigwu, 2003). In

contrast to the Philippine unitary system wherein the whole of the Philippines is
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placed under a secular government with Sharia courts operating only in the
Muslim areas, it is observable in the study by Elaigwu that the reverse is true in
the Nigerian experience.
Nigeria not only had local lower courts, but the
constitution also provided for upper courts, Sharia court of appeal, and even a
Supreme Sharia in Zamfara (Elaigwu, 2003).
Eventually problems occur.
Systemically the change created feedback in the society in addition to the results
of actually having the implementation of a Sharia law in such an extensive
manner.
Immediate opposition arises from Christian groups. Quoting Elaigwu,
Christians were not expected to be taken to Sharia courts yet there were indirect
effects to the same such as closure of hotels, bans on the sale of alcohol and
discrimination in contract awards and in permit licenses. Aside from opposition,
there were other issues on the implementation of Sharia. These issues include
severity of punishments in the Sharia penal code, and gender issue in the
administration of justice. Punishments in the Nigerian Sharia penal code included
the decapitation, amputation and stoning to death. The legal system also has a
tendency for harsh punishment for women under trial with adultery and yet men
escape punishment for lack of evidence and technicalities (Elaigwu, 2003).
The case study of Elaigwu reminds a very important fact for the Philippine
project of constitutional revision. There is a proper extent for accommodation of
ethnic, cultural, and religious groups. Proper safeguards must be established to
maintain balance in the adoption of policies. These policies not only affect single
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individuals but a great number of people. The flexibility of the federal system
must be able to accommodate and yet at the same time must retain the capacity of
a political system which is responsible for guiding and molding the nation into a
stable state that promotes true justice and human rights.
Ronald L. Watts contributed to the Publius compilation of essays in
memory of Daniel Elazar with a tributary exposition of the great political
scientists works. Elazar was a great political comparativist who has specialized
on the study of federal political systems around the globe. He was the founder of
the Center for the Study of Federalism, a valuable member of both the
International Association of Centers for Federalism, and of the Forum of
Federations.
In this research essay, aside from making a historiography of
Elazars accomplishments in establishing research institutions on comparative

federalism, Watts also made a discourse on Elazars Comparative Federalism. By
doing so, Watts was able to create a panorama on Elazars theories on federalism.
Elazar is attributed with the argument of federations as covenants of
various autonomies ruling their own jurisdictions alongside with a collective
power of administration. From this he is also credited for observations in the
variations in which decentralizations can occur in federal systems (Watts, 2000).
Hence federal systems do not immediately entail decentralization.
It simply
creates a situation for further decentralization by recognizing the individuality of

states. According to Watts, comparisons by Elazar pointed out variations in the
manner of decentralization of power between federal countries.
Hence
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decentralization or the extent of it does not actually define federalism. Rather it is

the presence of sub-states and central states. These sub-states and central states
compose the true self-rule and collective rule respectively in the ideas of Elazar.
Another concept that Elazar put forward is the application of federal
flexibility upon issues of civil conflict or internal threat leading to possible
breakdown of state or cession. According to Elazar, the use of federalism can
lead to conflict resolution and the possibility of eventual concord. This is a useful
theory in application to the Philippine situation and the objective of creating a
stable peace in Muslim Mindanao. The study by Elazar proposed not simply
federation but also confederation as a solution to ethnic conflict. Based on several
cases though, both in the observations of Elazar and Watts, either federations or
confederations have both difficulties and successes in the containment of peace.
Thus in application, the theory of Elazar on the capacity of federal and
confederated states to resolve civil ethnic aggression within the polity of system is
relative to particular situations and contexts. Such is a significant lesson for this
thesis and for the Philippine government. The federal theory does not easily
apply universally; hence the distinctive characteristics of particular successes
must be discovered as an aid in applying a federal system of government to a
specific country, or else change might not actually lead towards the desired result.
3. Federalism and Political Economy
The basic economic theory on federalism lies on the assumption that
federal political systems lead to a better economy.
This concept has been
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practiced and has brought about the blessings of national wealth to some countries
able to harness its full potential. Political Economy researchers Rodden and
Wibbels (2002) and more recently Brueckner (2006) used both quantitative and
qualitative analysis to test federalism effect on federalism.
Both of which
removed the federalism-decentralization dichotomy. What Rodden and Wibbels

called the fiction of federalism is that simply decentralizing is not federalism.
Rather there are other compoenets of unique to federalism that brings about the
economic blessings particular to its model countries (Rodden and Wibbels, 2002).
In Fiscal Federalism and Economic Growth, Brueckner uses logical
mathematical models in explaining and achieving a sophisticated delving into the
nature of federal influence over the economy in a given political system.
Brueckner took into account various models and empirical findings from several
works, including among others, those of Alesina and Spoalore (1997), Oates
(1972), Tiebout (1956). From these findings he tested several formulas that
compared and explained the relationship of several factors that lead to better
opportunities of economic growth under two circumstances: federal system and
unitary system.
Brueckners method tested the idea that national-local level shifting of
government expenditure regarding the provision of public goods has an effect on
economic growth. It is further assessed that such effect is more positive on the
economy in a federal system. Such an effect is attributed to the fact that the
transfer of government expenditures in a federal system provides a situation
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wherein public goods provided are adapted to the varying wants of constituents.
This extends the economic theory of federalism into the theory of federalism as a
flexible system of government that can adapt to heterogeneous cultures,
ethnicities and religious backgrounds. The same differences such backgrounds
dictate upon individual consumers and/or consumer groups, their preferences in
turn have an effect on the economy of the nation as a whole.
Cultural, ethnic and religious backgrounds aside, Brueckner also adds the
following factors as that lead to the federal systems successful economic
operation: First are savings made possible by government provision of public
goods. Second is the jurisdiction over taxation which is the resource of the
government in the provision of public goods. Last is the jurisdiction over the
provision of public good provided by the government to its constituents
(Brueckner, 2006).
Jurisdictions in the last two factors are clearly delineated in the vertical or
areal distribution of government authority. Brueckner introduced in his study that
the preferential backgrounds of constituents and the jurisdictions of governments
over the economy in a political system are both temporal and areal. Temporal
jurisdiction involves human development from youth to adulthood which shapes
preferences.
Areal jurisdiction is dependent on location which unifies by
proximity of residence, business location, or the backgrounds of member

individuals and groups.
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The study by Brueckner, however vastly technical in terms of

mathematics, yields great insight for the student of federalism by having
discovered hidden factors within the mechanism of federal political systems. It
lends guidance to this thesis by the goal that devices that make a federal system
successful in local ethnic peacekeeping, and promotion of proportional regional
economic development must be discovered. Aside from these, based on findings
from other literature in the field of comparative federalism such as Elaigwu,
Jaeger, Li and Watts discussed above, as they describe possible negative feedback
with a mismanaged federal system application the goal of searching for
safeguards incorporated into the structure of a federation must also be discovered.
Federalism as a political-economic theory traces its roots to the times of
Madison, Jay and Hamilton in writing the Federalist Papers.
Although
applications of the theory eventually end up with modifications.

Having a federal system of government does not necessarily lead to
growth. Jonathan Rodden and Erik Wibbels in a quantitative comparative study
published in World Politics in 2002 both expressed the fiction of federalism
based on the data that there are great differences on economic performance of
federal countries. Their study classified six hypotheses into three macroeconomic
aspects in federalism. These aspects of management in federalism were: 1) Fiscal
Federalism, 2) Political Federalism, and 3) Jurisdiction Structure. The topics the
hypotheses focused on were on the increase of, decrease of, and control over
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deficits, inflation and expenditures. The hypotheses tested in the study were
worded as follows:
H1)
H2)
H3)
H4)
H5)
H6)
A federations capacity to control deficits and inflation

declines as levels of expenditure decentralization increase.
declines as levels of vertical fiscal imbalance increase.
The effects of expenditure decentralization (H1) and
vertical fiscal imbalance (H2) are conditioned on one
another.
increases when political parties create incentives for
cooperation between the center and provinces.
decreases with the share of total provincial expenditure
carried out by the largest province.
decreases as the number of provinces increases (Rodden
and Wibbels, 2002)
After statistical tests on the variables, Rodden and Wibbels found

varying results among each of the hypotheses. It is significant to observe that
these two authors concluded: other things being equal, increased decentralization
of expenditures in federations is associated with lower deficits and inflation.
In addition to this, both authors found that the relationships between
governments have influence over economies of federal systems. This study by
Rodden and Wibbels adds to the argument for systematic checks for the planning
of a federal system. Simply adopting federal systems or simply decentralizing
power is not enough. The study points out that the relationships of components in
political systems have effects on the economy. Thus the mechanism that provides
or controls such relationships must also be checked for better state planning.
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B. Local Literature
1. Federalism and the Philippine Situation
The Philippine socio-political system has had problems similar to those
discussed by Ghani, Lockhart and Cranahan at the beginning of this chapter.
These problems that threaten to destabilize the state include the states loss of
legitimate monopoly on the means of violence (as evidenced by use of violence
by insurgent groups), inadequate administrative control in the peripheral regions,
the need for efficient management of public finances, and the need for
development and investment in human capital.
Philippine scholars such as
Arizala (2005), Abueva (2001), and Quimpo (2001) conducted researches either
specifically on the problem and its roots or delved into the merits of the currently
proposed solution.
Both Arizala and Abueva directed their knowledge on constitutional
principles to analyze the use of federalism to bring about advantageous results in
the Philippine socio-political system. Quimpo on the other hand researched on
the Mindanao insurgency problems and sought answers. Among the Quimpos
findings is that federalization is an applicable solution in diffusing the armed
conflict in the Philippine south through a political system that accomodates their
socio-political culture.
Attorney and former Philippine ambassador Rodolfo A. Arizala wrote an
article for The Lawyers Review. In this article, Atty. Arizala traced historical
influences into the formation of the Philippine Bicameral, Presidential, Unitary
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system of government. Although, he focused more on the bicameral - unicameral

and presidential - parliamentary change, he still made an adequate discussion on
federalism. He made a citation on antecedents for federalism, a list of countries
with federal governments and classifying them between Federal Republics and
Democratic Federal State Systems. Despite failing to discuss the substantive
difference, if any for such a distinction between federal systems of government.
In addition to this, Arizala also commented on cultural similarities between the
Americans and the Swiss, both of which have federal forms of government.
Atty. Arizalas scholarly essay though was ambiguous with his support for
the Philippine adoption of a federal system of government. However, he provided
caution as to the possibility of change since the Swiss and the Americans had to
undergo a lengthy and hard experience before being able to make such a
government work. But in general, Atty. Arizala opposed the policy of changing
the constitution for the purpose of dealing with current problems because of
historic examples in the evolution of the Philippine constitution.
In comparison, Professor Jose V. Abueva, President of the Philippine
Political Science Association, fervently supported the concept of Philippine
federalism. In an article published in the Journal of the Integrated Bar of the
Philippines, he itemized several rationales for such a plan.
These rationales
though were listed as a set of several hypotheses on what advantages the federal
system could give the Philippines. These included promotion of democracy, local
responsiveness, people empowerment, territorial consolidation, and strengthening
50

of the nation-state.
PAGE
From these hypotheses, Abueva proceeds to discuss
theoretical applications of the parliamentary system, and then promotes a draft

constitution for a Federal Republic of the Philippines.
Still, such advantages posited by Abueva remain as hypothesis until 1) the
plan actually is implemented and the Philippines practices federalism for several
years enough to gain results, and 2) studies can be made for the Philippines
suitability for a federal system of government.
responsibility of the second step.
This thesis takes on the
By studying constitutions of successful
countries, the Philippines can learn and adopt the fruits of such experienced
countries and have a new constitution made to adapt to its problems.
Focusing on the Moro insurgency problem that has for years persisted in
the Mindanao area of the Philippines, Nathan Gilbert Quimpo (2001) has explored
solutions posited in an article published in Asian Survey.
Quimpo narrated
experiences by recent Presidents such as Presidents Estrada and Ramos that lead
to temporary arrangements but not lasting solutions to the hostilities in Mindanao.
Quimpo also used a historic trace as to the cause of such hostilities. Here he
attributed the hostilities in Mindanao to the differences between Christian and
Muslim culture, religion and perspective on government. This situation he further
avers escalates to the level of the nation-state.
According to Quimpo, the Muslims resent being placed under the
authority of state whose power mainly comes from the majority of its populace, a
populace which is composed by a majority of Christians.
This situation
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overwhelms the political system and suppresses the Muslim people within the
system. Hence the armed conflict arose that continued since the Spanish arrived
to spread the Christian word to the Philippine islands.
Such hostilities can be solved according to Quimpo through the following
options for Moro self-governance: a) secession, b) accommodating the idea of an
Islamic state or System, c) regional autonomy, and d) federalism. Secession is not
really a viable option since it threatens the integrity of the Philippine territory and
sovereignty. Regional autonomy on the other hand has already been used in the
1987 Constitution and as events prove, has not been able to solve the problem.
Simply granting a degree or high degree of freedom is not the proper solution. As
Quimpo has posited, being placed under a Muslim majority government is the
root of the hostilities. Hence the solution must be one that accommodates such as
solution.
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CHAPTER III
RESEARCH METHODOLOGY
United States
of America
Canada
Commonwealth
of Australia
Federal
Republic of
Germany
S
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S
T
H
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Y
Figure 3. Research Design
A
P
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Method
This study underwent two stages of qualitative content analysis of four
federal constitutions. Namely those constitutions are of (1) the United States of
America, (2) Canada, (3) Australia, and (4) Germany. On the first stage, these
constitutions were evaluated comparatively to seek the commonality of provisions
on (a) decentralization of political power and (b) de-concentration of economic
forces and administrative skills. Through this method, the researcher was able to
consolidate both firsthand and substantive data on developing a theory of
federalism.
The second stage evaluated how the two elements of theory in the first
stage became antecedents respectively leading to processes and applications of (a)
liberalization of democracy, (b) creation of opportunities for regional economic
development, and (c) national unity, sovereign and territorial integrity. Through
this method, the researcher was able to analyze how to apply federalism to the
Philippine Republic.
Sampling
This thesis studied only the constitutions of four states of federal
countries. These states are the United States of America, Canada, Australia, and
Germany. These samples have been chosen for their successes in the federal
system experience. Also these states combined represent the continents of North
America, Europe and Australia, which creates a diversified manner of data
collection.
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Design
The research design utilized for comparative qualitative method was the
Most Similar research design (Burnham, 2004). It has been patterned after John
Stuart Mills Inductive Method of Reasoning (Method of Agreement). This is
supplemented by the constitional-structutralist research method of Zachary
Elkins,7 Tom Ginsburg,8 and James Melton9 of the Comparative Constitutions
Project (University of Illinois).
The model constitutions were studied and data on similar provisions were
observed. The significance of provisions was based on the two antecedents of (1)
decentralized constitutional powers of government, and (2) de-concentrated
economic forces and administrative skills. These consolidated provisions were
juxtaposed with descriptive information on processes and practices from each
country.
In application, since political, territorial, socio-cultural, and economic
benefits were correlated from the two antecedents, they also became a set of
theory for the grounded application of federal principles as antecedents to
desired results of: (a) liberalization of democracy, (b) creation of opportunities of
regional economic development, and (c) preservation of national unity alongside
sovereign and territorial integrity (See Figure 3).
Data Gathering
Department of Political Science University of Illinois

College of Law and Department of Political Science University of Illinois
9
Department of Political Science University of Illinois
8
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Raw data was observed from the above mentioned constitutions regarding
the following content:
1) Apparent provisions that delegated powers of the
national state government. 2) Apparent provisions that delegated powers of the

component states. 3) Undesignated powers between the national state and the
component states (Gray Areas).
The same contexts were used to guide the
researcher in seeking out actual examples of processes and practices in each

country through secondary sources from written and seminar presented works on
the model federal countries.
Data Categorization
Gathered data was categorized in the following scheme:
1. Theory
a. Liberalization of democracy in the model constitutions through
decentralization of constitutional powers of government and
administration.
b. Creation of opportunities for regional economic development
in the model constitutions through de-concentration of
economic forces and administrative skills.
2. Application
a. Liberalization of Democracy in the Philippines through federal
decentralization of constitutional powers of government and
administration.
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b. Creation of opportunities for Regional Economic Development

in the Philippines through federal de-concentration of
economic forces and administrative skills.
c. Preservation of national unity, sovereign and territorial
integrity in the Philippines.
Analysis
The data from the four constitutions were evaluated by taking into account
processes of two important factors. First is on how provisions on decentralization
of constitutional powers of government lead to liberalization of democracy.
Second is on how the de-concentration of economic forces leads to the creation of
opportunities for regional economic development. Through this analysis, a theory
was formed that can be applied to the Republic of the Philippines regarding the
status of democracy and regional economic development. In addition to this, the
researcher analyzed the possibility of a by-product between the two processes.
This is the preservation of national unity, sovereign and territorial integrity in the
Philippines.
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CHAPTER IV
DATA PRESENTATION AND ANALYSIS
A. The Seven Essential Features of a Federal Political System:
Through an analysis of the written constitutions of the four countries, the
similarities yielded results which this research stipulates as the seven essential
features of a good, working federal political system.
Together, these seven
essential features constitute a Federal Convention (Tanguay, 1979), a set of

guiding principles inherent in the constitutions (convention, covenant) of model
federal countries. These characteristics are as follows:
1st Essential Feature:
Two levels of government existing in their own
right under, one constitution.

The written constitutions of U.S. (1776), Canada (1867), Australia (1901),
and Germany (1949), are each a sovereign state. Each of these federal countries
are composed of regional governments called states (United States and Australia),
provinces (Canada), or lnder (Germany). These states are unified into one single
federal state by a single Constitution.
Each of these levels of government (federal/national and regional) have
competent powers to rule within their respective territories. Such powers will be
further discussed in the 2nd Essential Feature (for the Federal/Central
Government) and the 3rd Essential Feature (for the Component State
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Government). What is most significant in this foremost feature is the recognition

of existence and its resulting benefit within the system.
The constitutions of these countries name regional divisions as individual
states, individual provinces, or individual lnder that compose the unity of the
Federation and delineate means on how each state can participate in national and
local levels of government. Through this process, it is the constitution which
grants legal recognition to the named locations as existing component states,
provinces or lnder.
This in effect grants the right of their respective
governments to rule within their area of jurisdiction.

The Constitution of the United States of America lists the member states
which were present at its ratification. It also provides a means for new states to
be admitted into the Union (Article IV. Section 3).
These states are given
governmental voices in the Federal Legislature whose Lower House (House of

Representatives) is composed of Representatives from each state, and is
numbered in proportion to each states population (Article I. Section 2). The
Upper House of the legislature (Senate) is composed of Senators, two (2) for each
state (Article I. Section 3). The Chief Executive (President) is chosen through a
set of Electors representing each of the states, the number of Electors for a
particular state is equal to the number of Senators and Representatives entitled to
it in Congress (Article II. Section 1).
Comparatively, Section 22 of the Canadian Constitution lists the Provinces
which compose its Federation. Sections 146 147 are provisions that compose
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part IX of the constitution, and it delineates means for the admission of new
provinces. Section 22 classified provinces into Four Divisions, and provided that
each division be entitled to 24 Senators each. Sections 37 40 assigned the
number of House of Commons Members for each of the provinces.
In the Australian Constitution, Section 26 lists the original states of the
Commonwealth. This same section apportions the number of Representatives for
the Lower House. Section 7, on the other hand, ensures that the number of
Senators should always be equal even if the numbers are eventually increased by
Parliament.
The preamble of the German Constitution lists the lnder that are united
within the Federation. The German Upper House (Bundesrat) is composed by
members, which are appointed by Land (lnder) governments. Each Land is
entitled to at least three (3) votes. The number of votes a land is entitled to
increases by two/two million inhabitants, by four per six million inhabitants, and
by six per seven (or more than seven) million inhabitants. Each Land government
can appoint Bundesrat members equal to the number of votes it is entitled to
(Article 51).
As evidenced above, recognition creates an environment wherein the
multifarious territories; each having their own cultural personalities can be happy
or content. This is so since they are given identification as existing Constitutional
political entities. They have their own government, which is represented, and can
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exercise powers to legislate, administer the laws, and dispense justice within their
bounds.
2nd Essential Feature: A Central Government directly elected by the
electorate of the whole country, making laws and taxation applicable
to all citizens.
The national government level in a Federal Political System is known as
the Federal Government.
Its very existence is a unifying factor within the
federation. What makes this system effective is the manner of choosing the
Federal Chief Executive and the members of the Federal Legislatures. In addition
to this, the Constitution grants supervisory powers to these Federal organs of the
government over the entire territory of the federation. These powers further act as
means to consolidate the component states into a cohesive whole.
Such
institutionalization of powers by the Constitution furthers unity within a diverse

political system.
a. Manner of Choosing the Chief Executive.
The Chief Executive holds the reigns of administrative power. As such,
he or she must have the confidence of the varying component states of the
Federation. It is through a process of universal suffrage, based on the proportion
of the states populations, that stability, support, and thus obedience from the
local governments is secured.
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The President of the United States of America is chosen by a group of

Electors, who are citizens appointed by each state through the direction of their
respective legislatures. The number of Electors that represent a state equals the
whole number of Senators and Representatives to which that state is entitled to in
Congress (Article II, Section 1).
The Federal President (Head of State) of Germany is elected by a group of
legislators also termed as the Federal Convention (Article 54, Paragraph 1). This
convention consists of members of the Bundestag and an equal number of
members elected by the parliaments of the lnder on the basis of proportional
representation (Article 54, Paragraph 3).
On the other hand, the Federal
Chancellor (Head of Government) of Germany is elected by the Bundestag

(Article 63).
b. Powers of the Chief Executive
The making of laws requires several minds, pooling their knowledge,
wisdom, and experience together. The execution of laws requires a single pair of
hands wielded by one authority. This individual is the Chief Executive or the
Head of Government. Having a singular person in charge of national supervision
and administration ensures unity and focused implementation of policy. The
manner of his/her election as described above establishes support from each of the
regional levels. And the powers ascribed to him/her by the constitution allows
him to ensure justice and fairness in the throughout the federation.
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The Chief Executive in each of the compared countries exercise the

following powers: approval of national laws (United States, Article I, Section 7),
(Germany, Article 82, Paragraph 1); command of martial forces (United States,
Article II, Section 2), (Canada, Section 13), (Australia, Section 68), and
(Germany, Article 65a); representing the federation internationally, entering into
agreements (treaties) for the federation (Canada, Section 132), and (Germany,
Article 59); appointment of Judges of the Supreme Court (as consented to by the
Legislative Body) [Canada, Section 99, Subsection (1)], [Australia, Section 72,
Subsection (ii)], and (Germany, Article 60, Paragraph, 1).
c. Election and Apportioning of Members of the Federal Legislature.
In terms of the Federal Government, the manner of apportioning the seats
within the legislative bodies is of utmost of importance. Just as election conveys
support for the chosen legislator, a system of fair and proportional allocation of
representatives for each of the states ensures that the laws created by the Federal
Legislature are accepted and obeyed in every component state. This is so because
the states are properly represented. The states assume or are aware that when any
Federal law is made, each of their unique concerns and idiosyncrasies have been
voiced by their representatives and have been given consideration.
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1) The Upper House

The upper house of the legislatures of U.S., Canada and Australia are all
styled as the Senate. (United States, Article I, Section 1), (Canada, Section 17),
and (Australia, Section 1). The German upper house is called the Bundesrat
(Article 51).
In the U.S. (Article I, Section 3, Paragraph 1), the Senate is composed of
two (2) senators from each state chosen by that states Legislature.
The Canadian Senate is composed of Senators. In the Constitution, the
Senate consists of four Divisions, with each division having twenty-four (24)
Senators.
The Divisions and their respective provinces are: 1) Ontario; 2)
Quebec; 3) The Maritime Provinces (Nova Scotia, New Brunswick, and Prince
Edward Island); 4) The Western Provinces (Manitoba, British Columbia,
Saskatchewan, and Alberta).
The same constitutional provision (Section 22)
proportionally allocates how each province gets a share in the 24 seats allocated
to their respective divisions.
The Senate of Australia was initially composed of six (6) from each of the
original states.
This system can be changed by Parliament, increasing or
decreasing the number, to ensure an equal number of representation. However, it

is prohibited that no original state shall have less than six Senators (Section 7).
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2) The Lower House

The U.S. (Article I, Section 1) and Australian (Australia, Section 1)
legislative lower houses are both called House of Representatives in Canada
(Section 17) it is called the House of Commons, and in Germany it is the
Bundestag (Article 51).
The House of Representatives in the U.S. is composed of representatives
who are apportioned according to the population of their respective states (Article
I, Section 2). The same is true with Representatives in the Canadian House of
Commons (Canada, Sections 37, 40, 41, 50, 51, 51A, and 52.), the Australian
House of Representatives (Section 24), and the German Bundestag (Article 51).
d. Federal Control over Militia.
Certain areas of life under the federation are placed within the powers of
the federal legislature instead of those of the component states. This general
policy takes into consideration the concerns of the regions, states, provinces, and
lnder who compose the Federation. Through such measures, uniformity, order,
fairness and unity is achieved and ensured.
The Rule of Law again is made ever present through its guidance over
general state affairs partnered with equalization of opportunities through certain
measures of federal intervention. Without this, there will be a potential for chaos
in the political, social and economic systems. This is so because the lack or
absence of federal intervention leads to imbalance in the scheme of allotted
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chances of resources or misuse by the local governments. Certain situations

where in some areas develop while others do not, or that some areas increase in
political power while others do not arise will continue without some form of
monitoring or control from the federal government. The following discussions
discuss the most prominent and common powers granted to the federal
government by the constitutions of the four countries.
The basis to establish and maintain an armed force comes from federal
legislation. The use of force is important to remain within the hands of the
federation, not within the component states. This holds true to all four model
countries (United States, Article I, Section 8, Paragraphs 1, 12, and 13), (Canada,
Section 91, Subsection 7), [Australia, Section 51, Subsection (vi)] and (Germany,
Article 73, Paragraph 1). If the component states gain the power to have militia,
then the balance and unity of the federation can be threatened.
The particular constitutions of the United States and the Commonwealth
of Australia even go as far as prohibiting the states to have troops or create and
support any military or naval force without the consent of their respective federal
legislatures (United States, Article I, Section 10, Paragraph 3), (Australia, Section
114).
e. Federal Taxation Power.
In each of the four written constitutions studied, all four have provisions
regarding a certain degree of taxation power reserved for the Federal Government.
This is to ensure a source of revenue fund for the general use or lifeblood of the
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Federal Government. It also functions as a resource pool for the general welfare
or aid resource for the member states when needed. Among the four models, two
countries can be paired as having similarities with each other. The others are
unique. To illustrate; both Canada and Australia use a system of Consolidated
Revenue Funds to equalize their system. On the other hand, United States and
Australia both have general provisions that prohibit certain policy actions from
the legislatures of states in order to ensure equality and order.
Finally, the
constitution of Germany has guidelines for concurrent legislative powers

(Article 74) and joint taxes between the federal government and the lnder
(Article 106, Paragraph 3).
It is apparent that federal political systems contain provisions that allow
for federal intervention that can equalize the socio-economic arena, and grant true
opportunities for states not suitably equipped to pursue development goals. This
is what makes the four constitutions similar in principles and goals however
unique the processes or means.
The United States, Canada, Australia, and Germany are similar in the
sense that their Constitutions place general legislative powers of taxation to the
Federal Legislature (United States, Article I, Section 8, Paragraph 1), (Canada.,
Section 91, Subsection 3), [Australia, Section 51, Subsection (ii)] and (Germany,
Part X). The same reference in the U.S. Constitution expressly states that such
measure is for the purpose of uniformity, and in Australia [Section 51, Subsection
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(ii)] such measure is to regulate against discrimination between states or parts of

states.
In contrast, the German Constitution (Article 105, Paragraph 1) grants to
the Federation exclusive legislative power of taxation only over customs duties
and fiscal monopolies. Paragraph 2a of Article 28 grants the lnder power to
legislate regarding taxes on consumption and expenditures as long and insofar as
they are not substantially similar to taxes imposed by federal law (Article 28,
Paragraph 2a).
A fair system of taxation is ensured by having it placed within the set of
powers of the federal legislatures. All four countries have varying practices on
granting the taxation power. In the U.S. (Article I, Section 8, Paragraph 1), the
power to lay and collect taxes, duties, imposts and excises is a sole power of
Congress to ensure uniformity. In Canada (Section 91, Subsection 3), raising of
money by any mode or system of taxation is an exclusive legislative power of
Parliament.
However, Section 92, Subsection 2 also provides the Provincial
legislatures powers for direct taxation in order to raise their own funds for
pursuing their needs and goals.
In Australia [Section 51, Subsection (ii)], the power to tax is reserved for
the Parliament of the Commonwealth to regulate against discrimination between
states or between parts of states. However, in Germany (Article 105, Paragraph
1), only customs duties and fiscal monopolies are placed within exclusive powers
of the federation. The system of concurrent powers in the German Constitution
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guide which kinds of taxes should be legislated over by the federation or by the
lnder (for the purpose of equal living conditions, maintenance of legal or
economic unity) (Articles 72, 105, and 106).
These provisions in the four models serve a three-fold purpose. The
Federal power over taxation is a means for maintaining order and unity in revenue
sources. It allocates sources of funds for use by the Federal Government. And
finally, they are also means for helping states, in order to balance the economic
environment, by providing opportunities for less able states.
f. Federal Legislative Management over Currency.
Currency must be uniform throughout the federation to support a proper
regulation of trade and commerce. The federal legislatures are responsible for the
creation and regulation of the various forms of currency; paper money, coin, legal
tender among others (United States, Article I, Section 8, Paragraph 5), (Canada,
Section 91, Subsection 14), [Australia, Section 51, Subsection (xii)], (Germany,
Article 73, Paragraph 4).
g. Federal Legislative Power to Borrow Money for the Federation.
The governments borrowing of money for use of the public, and hence on
the credit and responsibility of the public, must be made in a forum where the
states representatives can speak for them. In the four constitutions, the power to
borrow money on such situation is placed in the hands of the federal legislature
(United States, Article I, Section 8, Paragraph 2),
(Canada, Section 92,
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Subsection 4), [Australia, Section 51, Subsection (iv)] and (Germany, Article
115).
h. Federal Legislative Power over Postal Service, Communication,
Rails and Navigation.
Communication and long distance transport is important within the
federation to ensure unity and smooth flow of administration. Federations are
composed of several states, are usually large in terms of territory, and may even
have component territories in outlying islands. Hence it is imperative that the
federal legislature be able to govern by means of law making basic means of
communication such as postal service and or telecommunications (United States,
Article I, Section 8, Paragraph 7), (Canada, Section 91, Subsection 5), [Australia,
Section 51, Subsection (v)] and (Germany, Article 73, Paragraph 7).
Long
distance transport such as railways that connect component states and means of
navigations also fall under the same jurisdiction of the federation (Canada,
Section 91, Subsection 10. Navigation and Shipping), (Australia, Section 98,
Subsection (xxxii) Rails, Navigation and Shipping) and (Germany, Article 73,
Paragraph 6a - Federal Railways, and Article 74, Paragraph 21. Navigation and
Shipping)
i. Federal Power to Handle Foreign Affairs.
The national government of a federation has the power to handle affairs
and dealings with foreign powers, nations, and states. This power is not simply
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an application of general policymaking power and administrative power. It is a

manifestation that regional governments are all parts of a single whole, and that
single whole is the entirety of the federation. By fact, the federation as a country
is which is represented internationally by the national level government.
In administrative application, the constitution of the U.S. (Article 1,
Section 3) grants the president powers to receive ambassadors, and that of Canada
grants the executive government powers to perform obligations arising from
treaties with foreign countries (Section 132). In policymaking, the legislatures of
all these countries are specifically granted powers to regulate trade with foreign
countries. The Supreme Courts of each have jurisdiction over cases affecting
treaties and relations with foreign political persons.
Germanys case is made unique with the express constitutional provisions
that the lnder may legislate to conclude treaties with foreign states (Article 32).
However, this power is held in check within the same constitutional article that
such treaties conducted by the lnder must be given consent by the German
Federal Government.
j. Federal Authority to Admit New States.
The admission of new members into the federation is a decision that
involves all the current members. Hence the power to admit new states and
provinces within the United States, Canada and Australia is handled by their
respective federal legislatures (Article IV, Section 3, Paragraph 1).
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Germany only differs since its Constitution (Article 29, Paragraph 1)

instructs on the possible creation of new lnder by delimiting pre-existing lnder.
In this system, federal law creates the delimitation with respect to regional,
historical, and cultural ties, economic efficiency, and the requirements of local
and regional planning. This delimitation is then confirmed by a referendum held
among the population of the affected pre-existing lnder (Article 29).
In addition to admitting new states, it is also the federal legislature which
is in charge for the uniformity of regulations regarding aliens and citizenship
through naturalization (United States, Article I, Section 8, Paragraph 4), (Canada,
Section 91, Subsection 25), [Australia, Section 51, Subsection (xix)], and
(Germany, Article 74, Paragraph 4. And Article 73, Paragraph 2).
3rd Essential Feature:
Regional
Government
Units
exercising
constitutionally delegated powers over their members.

a. Constitution
Preserves
Pre-existing
Laws
in
the
States/Provinces/Lnder.
Federations are exemplars in the practice of the rule of law.
The
Constitution forges the union of the federation. It accomplishes this by having the
existence and powers of the local governments based on constitutional devolution
rather than based on the whim of the federal government. It is also practiced
through the upholding by the Constitution of the laws of the states which compose
the Federation. Such recognition of the identity of every individual local state,
province or Land via the instrument of the law, instead of those men and women
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who compose the National or Federal Government, creates a situation of equality

and respect for autonomy.
The Constitution of Canada contains several provisions that perform such
function of upholding the laws of the component states.
In Canada, the
Constitution preserves pre-Union existing laws, and compositions of Provincial

Offices until otherwise provided for in the Constitution, or until otherwise
altered by Parliament. Such Sections of the Canadian Constitution include:
Section 64 constitution of the Executive Authority of
Provinces,
Section 84 election procedures,
Section 88 constitution of the Legislature of each of the
Provinces of Nova Scotia and New Brunswick,
Section 122 customs and excise laws of each Province,
Section 129 laws in force in Canada, Nova Scotia, or New
Brunswick at the Union, and all courts of civil and criminal
jurisdiction, and all legal commissions, powers, and authorities,
and all officers, judicial, administrative, and ministerial.
Section 130 all officers of the several Provinces having
Duties to discharge in relation to Matters other than those
coming within the Classes of Subjects by this Act assigned
exclusively to the Legislatures of the Provinces.
In Australia, Chapter V of the Constitution contains provisions pertaining
the composite states of the Federal Commonwealth. Sections 106, 107, and 108
begin the first three provisions of this chapter. Section 106 preserves pre-existing
Constitutions of the original states or of eventual established or admitted states.
Section 107 preserves the powers of original state parliaments or of future
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established or admitted states (unless such powers are vested by the Federal
Constitution to the Parliament of the Commonwealth). And Section 108 preserves
pre-existing state laws (statutes) relating to any matter within the powers of the
Parliament of the Commonwealth... and until provision is made in that behalf by
the Parliament of the Commonwealth, the Parliament of the State shall have such
powers of alteration and of repeal in respect of any such law.
Part II of the German Constitution defines basic guidelines for the
Federation and for the lnder. In this part of the Constitution, Article 28 which
belongs to this part of the Basic Law is a promise granting constitutional order
within the lnder through self-government; it also ensures that such
constitutional order is guided by principles of republican, democratic, and
social state governed by the rule of law [boldface added].
b. Constitution Recognizes Local Government Right to Land, Assets,
and Property.
Closely attached with the concepts of liberty and autonomy is the capacity
to own property and other assets, particularly land. The Canadian Constitution,
Section 109, ensures that Lands, Mines, Minerals, and Royalties belonging to the
several provinces before the Union are retained by the provinces to which such
are situated or located. Section 117 compliments it, and it states, The several
provinces shall retain all their respective public property not otherwise disposed
of in this Act, subject to the Right of Canada to assume any lands or public
property required for fortifications or for the defense of the country.
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The Australian Constitution mentions in several Sections including

Section 85 (Transfer of state property when public service is transferred to the
Commonwealth), and Section 98 (Taxation of property of Commonwealth or
State) the actual capacity of states to hold property.
In the German Basic Law, 134 (Succession to assets of previously existing
lnder and corporations) and Articles 135 (Succession to Reich assets) delineate
the fact that lnder have rights to properties and Land and the capacity for
future/possible allocations of additional such assets.
The American Constitution does not expressly cover such provisions but
Article IV, Section 3, Paragraph 1, which deals with the possibility of formation
or erection of new states from parts of any of the current member states, requires
the consent of the Legislatures of the involved states for a part of their land
(territory) to be used in such creation of a new state.
Thus it emphasizes
territorial property of the states.

Among these four countries, only the Constitution of Canada (Section 92)
provides expressly for the powers of the Provincial Legislatures to manage and
sell public lands belonging to that particular provinces jurisdiction. Germany
(Article 74, Paragraph 1, Subparagraph 15) on the other hand places the transfer
of land, natural resources, and means of production to public ownership or other
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forms of public enterprise under concurrent legislative powers10 between the

Federation and the lnder.
The capacity to hold land and property and to sell such land and property
for profit that can be used for the administration of the state, province or land is a
mark of economic power through a constitutionally allocated resource.
As
previously discussed above, all four written constitutions have items that point to
component states having their own land, property or assets. But with regards to
the selling of such properties for local use, only the Constitution of Canada has an
expressed provision.
This right and capacity of component states within a federation gives them
a basic set of resources to pursue goals for economic development. Land and
property are assets that can be used as means of investment or as capital by the
administrators of a given state. With such means, the states can choose a path
towards their own economic progress without the necessity of reliance upon the
federation.
c. Constitution Grants Local Legislative Power over Natural
Resources.
Among the four Constitutions, Canada (Section 92A) also expressly
provides for Provincial rights and powers to explore, develop, conserve, manage,
and raise money by any mode of taxation in relation to, non-renewable natural
10
Lnder shall have power to legislate so long as and to the extent that the Federation has not
exercised its legislative power by enacting a law for the establishment of equal living conditions
throughout the federal territory or the maintenance of legal or economic unity renders federal
regulation necessary in the national interest (Germany, Article 72).
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resources, forestry resources and electrical energy. In relation to this, Germany

also classifies the power to legislate over natural resources as a concurrent power
between the Federation and the lnder.
d. Constitution Grants Local Legislative Power Over Agriculture.
Agriculture is also a staple of natural economic resources. Both Canada
(Section 95) and Germany (Article 74) has provisions for legislation regarding
agriculture. Canada expressly places agriculture legislations under the hands of
the Provincial legislature.
Germany again makes it a subject of concurrent
legislation. In comparison, both in the U.S. and the Australian Constitutions,

legislative powers over agriculture are undelegated.11
e. Constitution Grants Local Government Power Over Education.
Healthy competition which stimulates growth and development is
imperative to liberal democracy and autonomy. This concept is closely related to
the capacity of regional governments to decide and handle policies on education
in order to ensure quality and a competitive drive for achievement.
The
production of well educated members of society improves growth and

development for the locality, competition between local states to produce higher
quality education extends the benefits to the entirety of the Federation.
In this respect Canada (Section 93) again expressly provides for Provincial
Legislatures to handle education (subject to certain conditions against prejudice in
11
For provisions on how issues regarding undelegated powers are settled, please see Matrix 12 in
the Appendix (Provisions handling Gray Areas).
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the acceptance of members of social denomination). Germany (Article 74) places

such powers over education under concurrent powers. Both the Constitutions of
the United states of America and the Commonwealth of Australia have education
as undelegated powers.12
f. Constitution Grants Local Government Power Over Direct
Taxation.
In conjunction to the capacity to hold property is the economic power to
purchase. Powers for direct taxation granted to the local level grants states,
provinces and lnder is the capacity to fund policies and projects in an
autonomous manner.
This furthers the liberality of the political system and
deconcentration of the economic system. Among the four cases, both Canada and
Germany have expressed constitutional provisions regarding powers of direct
taxation for the provinces and lnder respectively.
In Canada, (Section 92, Subsection 2) expressly allows direct taxation for
revenues of Provincial purpose. Subsection 9 of Section 92 adds powers to
legislate by the provinces over Shops, Saloons, Taverns, Auctioneers, and other
Licenses for the raising of revenues for use of that particular province. Section
92A also adds powers of taxation to provinces for the export from one province to
another of non-renewable natural resources, forestry resources, and electrical
energy.
12
Not delegated - powers to the United States and which are not prohibited to the States are
reserved to the States [United States, Amendment X (1791)].
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In Germany, Article 105, paragraph 2a grants the lnder power to make

laws regarding taxes on consumption and expenditures as long as, and insofar as
they are not substantially similar to taxes imposed by a federal law. Article 106
paragraph 2, enumerates other direct sources of revenue for the lnder: (1)
property tax; (2) inheritance tax; (3) The motor vehicle tax; (4) beer tax; (5) tax
on gambling establishments; and (6) such taxes on transactions that do not accrue
to the Federation pursuant to paragraph 1 or jointly to the Federation and the
lnder pursuant to paragraph 3 of Article 106.
g. Local Jurisdiction of Courts
The power of a state, province or lnder to uphold justice and prosecute
crimes that occurred within its territory is essential to autonomy and liberal
political systems. Both the United States (Article III, Section 2, Paragraph 3) and
the Australian (Section 80) constitution expressly delineates that the trial of
crimes or offences (except for Impeachment United States) shall be held within
the state where such crime or offence is committed. This provision ensures that
the local laws and the local courts will have competent powers to adjudicate over
the trial of crimes committed within their territorial jurisdiction.
Both the United States Constitution, Article III, Section 2, Paragraph 3;
and Constitution of the Commonwealth of Australia, Article 80, provide that the
trial shall be by jury. Thus the judicial system for crimes and offenses are ensured
to be protected by the principles of liberal democracy. This is so since justice is
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ensured through the avenue of a group of peers, weighing and judging the merits
and faults of the case at hand.
4th Essential Feature:
Allocation of sources of revenue between the two
levels of government.
Sources of revenues as reliant on the powers of the federal and local level
of governments have been evidenced above in the discussions of the 2nd and 3rd
essential features. Here in the discussion for the 4th essential feature, the method
of allocation characterized by proper regulation and fairness of allocation is
emphasized.
a. Existence of Consolidated Revenue Funds.
Both Australia and Canada expressly use the term Consolidated Revenue
Fund, which is a pool of duties and revenues collected throughout the federation.
Its purpose is to ensure a general account for the funding of the public service
through the administration of the federal government (Canada, Sections 102 to
106), and (Australia, Section 81).
The Constitution of Canada delineates the charges to the Consolidated
Revenue Fund of Canada as follows. First Charge: Collection, Management and
Receipt of such Duties and revenues (Section 103). Second Charge: Payment of
the annual interests of the public debts of the provinces (Section 104). Third
Charge: Salary of the Governor General (Section 105). And the Consolidated
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Revenue Fund is also charged for the purpose of the Canadian Public Service
(subject to several payments) (Section 106).
Comparatively, the constitution of Australia delineates the charges to the
Consolidated Revenue Fund of Australia as follows.
First Charge: Collection,
Management and Receipt of such Duties and revenues (Section 81).
The
Consolidated Revenue Fund is also charged for: 1. Payment of interests of public

debts (Section 87 Paragraph 2) or of actual public debts of the states (Australia,
Section 105); 2. Salary of Governor General (Section 3) and Ministers of the
state (Section 66); and 3. for the purposes of the Australian commonwealth
(Section 81).
b. Constitution Delineates Sources and Distribution of Revenues.
As discussed above regarding direct taxation, both Canada and Germany
have provisions for direct taxation by the provinces or lnder. A system of direct
taxation is the lifeblood for governments. Direct taxation is an immediate source
of income for financing local activities. It ensures that the provinces or lnder do
not have to ask or wait for funds from the federal government for the pursuance of
any action to develop their locale.
The finances of states in U.S. and in Australia come from taxes as
collected by the Federal government and apportioned to them. Article I, Section 8
of the U.S. Constitution places the power to lay and collect taxes, duties, imposts
and excises into the hands of the United States Congress. The same provision
regulates that all duties, imposts, and excises be the same throughout the country.
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However, direct taxes, according to Article I, Section 3, Paragraph 3, are to be

apportioned to the several states through numeric proportion of the population of
each state in the same manner as the number of House of Representative members
are apportioned.
As for Australia [Section 51, Subsection (ii)], taxation is placed under
control of Parliament to ensure against discrimination between states or parts of
states. Collection and control of customs, duties and excises are placed in the
hands of the Commonwealth Executive Government (Section 86). The same are
ensured to be uniform throughout the commonwealth within two years after the
establishment of the Commonwealth through constitutional provisions (Section
88). Chapter IV (Finance and Trade) of the Australian constitution (Sections 81
82) ensures the proper allocation of revenue through the consolidated revenue
fund, and through other provisions ensuring equal treatment and funding of states
(Sections 81 105A.).
In Germany (Article 105, Paragraph 1 and 2; and Article 106, Paragraph
1), the constitution lists exclusive legislative powers of taxation which are for the
Federation, and for the lnder; it also has a provision guiding concurrent subjects
for tax legislation. It is most important to note Paragraph 1 of Article 107 which
guides for the creation of a federal law to regulate corporation and wage taxes
which allots shares among the lnder. This same federal law created through this
Constitutional provision bestows supplementary shares13 to lnder whose income
13
Not exceeding one quarter of a standard Land share of such a revenue.
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and corporation taxes are below the average of all the combined lnder. This is
done to make equalizations considering the financial strengths of the
municipalities within the lnder, and to allow the Federation to help the weak
lnder in their financial needs (Article 107, Paragraph 1 2).
A written constitution as a binding contract
among regional units, and which cannot be amended unilaterally.

a. Constitutional Statement of Federal Union.
Among the four written constitutions studied, United States, Canada, and
Germany each have statements that affirm the unity or union of the localities
(states, provinces, lnder) as one Federal State.
In both the United States and Germany, this statement of union is
embedded within the constitutions preamble. Thus writes the United States
preamble, We the people of the United States, in order to form a more perfect
Union And the German preamble, Germans in the lnder have achieved
the unity and freedom of Germany in free self-determination.
Comparatively, Canada affirms federal unity through both the preamble
and through its preliminary section of the constitution. The preamble reads,
Whereas the Provinces of Canada, Nova Scotia, and New Brunswick have
expressed their desire to be federally united into One Dominion And Section
3 states:
It shall be lawful for the Queen, by and with the Advice of
Her Majestys Most Honourable Privy Council, to declare by
Proclamation that, on and after a Day therein appointed, not
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being more than six months after the passing of this Act, the
Provinces of Canada, Nova Scotia, and New Brunswick
shall form and be One Dominion under the name of
Canada [boldface added]; and on and after that day those three
provinces shall form and be One Dominion under that name
accordingly.
Through such express statements in the basic law of these federal
countries, the constitution truly becomes a binding document. It keeps together
the components of the federation as one.
It formalizes the unity within the
diversity of territories, cultures and economic disparities.

b. Due Process of Amending the Constitution through the National
Legislature.
The rule of law through the Constitution unifies the component states,
provinces or lnder through its provisions, principles and measures. It cannot
simply be changed by the will of a single member state of the federation.
Changes require a pooling of the thoughts and desires as forwarded by the
citizens votes through the instrument of suffrage which appoints the states
representatives. Hence the power to amend the Constitution remains first in the
hands of the national/federal legislature. It is the Houses of Congress (U.S.), of
Parliament (Canada and Australia), or the Bundesrat and Bundestag (Germany)
which has the power to propose changes or alterations to their respective
countrys Constitutions (United States, Article V), [Canada, Schedule B.
Constitution Act (1982), Part V,
Section 38, Subsection (1), (a)], (Australia,
Section 128) and (Germany, Article 79).
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As an added, unique, practice, the Constitutions of U.S. and Canada

extends to the states/provinces the power to propose amendments for
Constitutional revisions.
In the United States (Article V), two-thirds of the
several states can call for a convention for proposing amendments. In Canada
[Schedule B. Constitution Act (1982), Part V, Section 38, Subsection (1), (b)],
amendments may be authorized through a resolution made through two-thirds of
the provinces. In such a situation, the aggregate of the provinces concerned must
constitute at least fifty percent of the population of all the provinces of Canada
(based on the most recent census).
An umpire (Supreme/Constitutional Court) to
rule on disputes.
The highest judicial authority in the U.S. is the Supreme Court (Article III,
Sections 1, and Article III Section 2, Paragraphs 1 2); in Australia, it is the
Federal Supreme Court otherwise called the High Court (Sections 71, 75, and 76);
in Germany, it is the Federal Constitutional Court (Articles 92, and 93). The
Canadian Supreme Court is not stipulated in the constitution, instead it is both
provided for in Canadian Supreme Court and Exchequer Courts Act, 1875, and
entrenched in Canadian custom.
These courts represent the highest courts in each of the compared
countries. And it is in the wisdom and neutrality of the justices of these courts
with which issues and cases not just between individuals are settled. Moreover,
these courts also are the final arbiter within the federation on issues and cases:
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between a regional level government and another regional level government,

and between a regional level government and the national/federal level
government.
a. Protection of Judicial Independence.
In order to ensure true justice, the following elements are needed:
neutrality through judicial independence, protection from undue pressure or
influence from any of the parties involved (Federal Government, states,
provinces, and lnder), constitutional protection of the entire judiciary (from the
highest to the inferior courts). These are secured in three areas of constitutional
provisions: (1) Manner of Appointment, (2) Protection of Salary, and (3) Security
of Tenure.
The manner of appointment of justices of the Supreme Court is the very
beginning of securing the neutrality and independence of such organ of the
government.
In the United States, the President nominates Judges of the
Supreme Court; the Senate then gives consent (approval through majority vote) as
to the chosen judge, and advice for appointment by the President (Article II,
Section 2, Paragraph 2).
In comparison, Federal Supreme Court Judges in
Germany are half elected by the body of the Bundesrat and half by the Bundestag
(Article 94, Paragraph 1). These examples show that checks and balances (either
through the presidential or parliamentary system) compliment the independence
of the Supreme Court in federal systems.
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A threat to the salary or compensation of a person can influence decision

making. Alexander Hamilton wrote in the Federalist Papers, No. 79: In the
general course of human nature, a power over a mans subsistence amounts to a
power over his will (The Federalist No. 79).
Among the four federal constitutions, only the U.S. has a Presidential
System to separate powers of government, the other three are Parliamentary
Systems which fuses the powers of the government. The significance of this is
that however these constitutions are dissimilar in the system of separation of
powers (3 constitutions fuses power in a parliamentary system); they still provide
means to ensure the independence of judges. To illustrate:
Both the American (Article III, Section 1) and the Australian constitution
[Section 72, Subsection (iii)] provide that the compensation (U.S.) or
remuneration (Australia) of judges shall not be diminished during their
continuance in office. The German constitution on the other hand does not
expressly provide such prohibition but article 97 states: Judges shall be
independent and subject only to the law [Section 72, Subsection (iii)]. Thus
judges are still protected from undue pressures or influence in Germany.
b. Adjudicatory Power of the Supreme Court
The Supreme Court of the United States of America have original
jurisdiction over controversies: to which the United States shall be a party;
between two or more states; between a state and citizens of another state; between
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a state, or the citizens thereof, and foreign states, citizens or subjects (Article III,
Section 2, Paragraphs 1 2).
The High Court (Federal Supreme Court) of Australia has original
jurisdiction in all matters: in which the Commonwealth of Australia is a party;
between states; or between a state and a resident of another state [Section 75,
Subsection (iii) and (iv)].
The Federal Constitutional court of Germany shall rule over cases as
directly quoted in the following sub-paragraphs:
2. In the event of disagreements or doubts respecting the
formal or substantive compatibility of federal law or Land
law with this Basic Law, or the compatibility of Land law
with other federal law, on application of the Federal
Government, of a Land government, or of one third of the
Members of the Bundestag;
2a. In the event of disagreements on whether a law meets the
requirements in the application of concurrent legislative
powers.
3. In the event of disagreements respecting the rights and
duties of the Federation and the lnder, especially in the
execution of federal law by the lnder and in the exercise of
federal oversight;
4. On other disputes involving public law between the
Federation and the lnder, between different lnder, or
within a Land, unless there is recourse to another court;
4b. On constitutional complaints filed by municipalities or
associations of municipalities on the ground that their right to
self-government under Article 28 has been infringed by a law;
[and] In the case of infringement by a Land law, however, only
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if the law cannot be challenged in the constitutional court of

the Land (Article 93, Paragraph 1, Subparagraphs 2, 2a, 3,
4, and 4b)
c. Constitutional Provisions Handling Gray Areas.
Gray areas in the constitution are instances when there is either absences
of legal provisions on particular subjects (undelegated powers), or contradictions
and inconsistencies between laws made by the national level legislature and the
regional level (state, province, lnder) legislatures. Because of this, disputes may
occur regarding execution of laws due to contradictions, inconsistencies or
overlaps. Such disputes that arise due to the gray areas are handled, as discussed
above, by the highest judicial authorities of the particular country.
Also,
functioning as guides for the resolution of such disputes, the four written
constitutions that were studied display their own stipulations that act as
safeguards in the eventuality of problems between laws.
In the United States, Amendment X (1791) stipulated that powers not
delegated to the Federal organs of the government, or those powers not prohibited
to the states, are reserved to the states respectively, or to the people.
The Canadian constitution (Section 92, Subsection 16) assigns to the
provincial legislatures generally all matters of a merely local or private nature in
the province, right after a listing of which specific subjects shall be under their
legislative competency. In conjunction, it also classifies that all subjects listed
under the powers of Parliament (Section 91) shall not be deemed as local or
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private in nature.14 And in addition to these, it is provided that, any class of

subjects shall be considered exclusive powers of Parliament if such a class of
subjects is expressly exempted in the list of powers assigned to the Provincial
legislatures. This ensures a clear delineation of which subjects are Provincial and
which subjects are Parliamentary in nature.
Certain Sections which compose Part V The States of the Australian
constitution regulate any possibility of inconsistencies, particularly with laws that
have been in effect within a state even before the Union of the
Commonwealth. Section 107 saves the powers of the Parliaments of States upon
the time of the Union.
It also stipulates that the former powers of state
parliaments before the Union continue within that same regional level parliament
unless the constitution vests such powers to the national level parliament.
Section 108 of the Australian constitution saves the laws of states which
enter into the Union of the Commonwealth. It is written that a law in force
relating to any matter within the powers of the Commonwealth shall continue in
force within that state. And the parliament of the particular state retains such
powers of alteration and repeal with regards to any such law. Such a legal
arrangement is premised on the requirement that the Parliament of the
Commonwealth does not make any provisions on that particular matter of the law.
14
Section 91, paragraph immediately after Subsection 29.
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In the event that inconsistencies occur among the laws of Australia,

Section 109 expresses that that law of the Commonwealth prevails over the law of
the state; furthermore, the latter is invalid to the extent of the inconsistency.
Within the constitutional provisions of Germany, there are several articles
that manage gray areas and the possibilities of legal inconsistencies.
Article 30 of the German Constitution clarifies authority within the
federation, except as otherwise provided or permitted by the Basic Law, the
exercise of state powers and the discharge of state functions is a matter for the
lnder. Legislative power between the Federation and the lnder on the other
hand is clarified by allowing the lnder to legislate on matters not expressly
conferred to the Federation (Article 70, Paragraph 1); the lnder may also
legislate on subjects that fall under exclusive legislative powers of the federation
if they are expressly authorized by federal law (Article 71).
Legislative powers are further governed by provisions regarding
concurrent legislative powers (Germany, Article 70, Paragraph 2). Concurrent
legislative powers ensure that the legislatures of the lnder may legislate on the
subjects placed under the list of matters found in Articles 74, 74a, 105, 125a.
Such powers of the legislatures of the lnder are conditioned on accounts that:
a. The Federation has not exercised legislative powers over such subject
matter by enacting a law (Article 72, Paragraph 1).
b. The Federation shall have the right to legislate on such matters if and
to the extent that the establishment of (1) equal living conditions
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throughout the federal territory or (2) the maintenance of legal or

economic unity (Article 72, Paragraph 2).
c. A federal law may provide that federal legislation may be superseded
by Land law, if such legislation is no longer necessary or the
establishment of (1) equal living conditions throughout the federal
territory or (2) the maintenance of legal or economic unity (Article 72,
Paragraph 3).
d. The Federation shall have the right to legislate over all other taxes the
revenue from which accrues to it wholly or in part or as to establish (1)
equal living conditions throughout the federal territory or (2) the
maintenance of legal or economic unity (Article 105, Paragraph 2).
e. The Federation shall have the right to legislate concurrently for a state
of defense even with respect to matters within the legislative powers of
the lnder during a state of defense (Article 115c).
Finally the German basic law provides that, in cases of inconsistency or
contradiction between a law of the federation and that of the lnder, Article 31
states, Federal law shall take precedence over Land law.
92

Processes
and
Institutions
PAGE
to
facilitate
intergovernmental interaction and coordination.

As covered in the previous features of the four model federal political
systems, their Constitutions provide the processes and institutions which will ease
the relationship between the federal and local levels of government. Having two
levels of government may seem difficult to manage at first glance, but these
processes and institutions function as safeguards. They help the federal political
system run smoothly.
And however that there are several regional governments that have their
own agendas, these institutions and processes help maintain order, organization
and unity within the federation. There are actual situations on the working and
actions of such institutions and the applications of such processes. This is where
the potential of federalism leads to practicability. Table 2 provides such examples
of actual practice of institutions and processes in the four model countries.
Table 2.
Facilitating Processes and Institutions in a Federal System.
INSTITUTIONS
Federal
Chief
Executive
PROCESSES
Direct actions to
guide and
administer over the
entire nation.
APPLICATION
U.S Bush handling the 9/11
attack and Hurricane Katrina
devastation (2005); Roosevelt
executive orders during the Great
Depression
(1933)
(Gerston,
2007).
Germany The Chancellor
initiates
meetings
among
technocrats and Lander ministers
to discuss economic and other
93
INSTITUTIONS
Federal
Legislatures
INSTITUTIONS
Coordinating
Influence over
national policy.
PROCESSES
Legislative
dynamics through
equal
representation.
Legislative
dynamics through
party politics.
PROCESSES
Management of
PAGE
issues affecting German life

(health, environment, transport)
(Benz, 2009).
U.S. Bush Educational Policies
(2000s), Clinton Environmental
Policies (1990s) (Benz).
Australia The 1999 referendum
on severing Australias links with
the British Crown and becoming a
republic is influenced by federal
concerns since the British Queen
as Head of State is represented
not just in
the federal
government but also in the states
(Saunders, 2005).
APPLICATION
Germany A balanced federal
legislation accrues through a
majority vote requirement in both
the lower house, composed of
popularly elected members, and
the upper house, composed of the
delegates
of
the
Lander
governments (Schmidt).
U.S. Democrat and Republican
influence over policies from the
days of the New deal until the
present. Resulting to legislations
such as: Unfunded Mandates
Reform Act (1995), Personal
Responsibility
and
Work
Opportunity Reconciliation Act
(1996), Class Action Fairness Act
(2005) (Gerston, 2007).
Germany Dynamics of votes
and alliances between Christian
Democratic
Union
(CDU),
Christian Social Union (CSU)
other smaller parties crating
impacts on Chancellor selection
and the passing of bills (Schmidt).
APPLICATION
All Four Countries
94

bodies
exclusively
regional
competence
jurisdiction.
of
varying regional
policies.
and
INSTITUTIONS
Independent
Judiciary
PAGE
Bureaucracies (both federal and

regional)
All Four Countries Local
Lower Courts
Bureaucracies
Canada - Cooperative and
coordinative bodies such as
Canadian Council of Ministers of
the Environment, New Quebec
proposal to formalize a Council of
the federation, Western Premieres
Conference, and Council of
Atlantic Premieres (Dennison,
2003).
Germany - Conference of
the Ministers for Cultural and
Educational Affairs, Conference
of Ministers of the Environment
(Benz) and Intergovernmental
conferences and administrative
networks (Benz).
Canada Regular meetings of
Facilitate
Council of Ministers of Education
interaction and
(Dennison).
coordination
between the Federal Germany - Politikverflechtung
(interlocking politics or joint
Government and
decision-making)
coordination
the Regional
between the federation and the
Governments.
various
Lander.
Public
administration
based
on
benchmarking of efficiency and
performance as an innovative
method of coordination among the
Lander (Benz).
PROCESSES
APPLICATION
U.S. Celebrated cases such as
The Rule of Law.
Brown v. Board of Education
(1954), minimized state powers to
promote national values using
constitutional guarantees; and
Board of Trustees v. Garrett
(2001), enhanced state
government powers regarding the
95
INSTITUTIONS
Regional
Governments
- Executives
and,
- Legislatur
es
PAGE
Americans with Disabilities Act

(Gerston).
Australia Celebrated ruling of
the High Court which increasingly
challenged post-war social policies
of the Federal Labour government
(Patapan,
2009),
on
the
Corporation Law, on the conferral
of state jurisdiction on the federal
court and state power on federal
officials (Saunders).
Germany Celebrated cases such
as those on abortion law, codetermination in industry, and the
constitutionality of the route to
German unification (Schmidt).
Canada - . If a judge gave a
Protection of
decision the government disliked,
Judges and
it could not touch him or her,
maintaining
unless both Houses of Parliament
fairness in the
agreed (Gorsey, 2005).
adjudication
between the Federal Germany The procedure of
selecting Constitutional Court
Government and
Judges ensures a fair and balanced
the Regional
system since the federal
Governments; and
between a Regional government and state government
have equal powers of influence
Government and
(Gorsey).
another Regional
Government.
PROCESSES
Regional
Government
actions:
- Actual
administrative
actions on their
scope of
authority,
- Actual
legislations
within
their
scope
of
APPLICATION
U.S. Connecticut attorney
general
sued
the
federal
government for not providing
enough funds to implement the No
Child Left Behind Act (2001);
California fought for and have
been granted the right to adopt
environmental regulations that are
stronger
the
federal
laws
(Gerston).
U.S.
1997-2007
federal
legislation on minimum-wage was
at of $5.15 per hour, yet twenty-
96
powers.
Initiative
on
issues
within
immediate
location.
PAGE
nine states legislated higher

minimum wages at that same time
frame. Congress has been unable
to propose an amendment to the
U.S. Constitution prohibiting gay
marriage, more than 26 states have
a state constitutional amendment
prohibiting same-sex marriage, and
about 43 states have a statute
restricting marriage to a woman
and a man. Yet, Massachusetts
legalized same-sex marriage in
2004. California, Connecticut,
New Jersey, and Vermont have
established civil unions that offer
gay couples nearly all the legal
rights and responsibilities of
marriage. Hawaii, Maine, and the
District of Columbia permit samesex civil unions that provide
various rights and responsibilities
associated with marriage under
their laws (Kincaid, 2008).
Canada Every province has a
legislative assembly (there are no
Upper Houses) that is very similar
to the House of Commons and
transacts its business in much the
same way. All bills must go
through three readings and receive
Royal Assent by the LieutenantGovernor.
In the provinces,
assent has been refused 28 times,
the last in 1945, in Prince
Edward Island. Members of the
legislature are elected from
constituencies established by the
legislature roughly in proportion to
population (Gorsey).
Germany - States have a
considerable
share
of
the
responsibility for the planning and
formation of public policy through
97
PAGE
a wide variety of institutions of cooperative federalism and through

self-coordination (Schmidt).
U.S. 2001 State initiated actions
on immigration related incidents
(due to 9/11 crisis); 1960 state
initiated anti-sodomy laws in fifty
states (Gerston).
98
PAGE
B. Three Potential Applications of a Federal Convention to the Republic of

the Philippines
1. Consolidation of Territory through Devolution of Legislative and
Administrative Powers (Geopolitics).
The states power must reach very corner of the territory to ensure
consolidation of all its elements and members into one union (Jones, Jones, and
Words, 2004). By doing so, the government is able to attend to the unique needs
of the people living in each particular region. This in return ensures obedience or
acquiescence of the people (and the regions as political entities) to the national
government. This is an actual manifestation of sovereignty within the territory.
However, as the territory grows in size, or if the territory has geographic features
such as being mountainous or archipelagic (which are factors that create natural
barriers) then the central states government is hindered from sending out its
powers across the land to care for the peoples needs and also to gain their support
or obedience.
Figure 4 is a map delineating the geopolitical subdivisions of the United
States. These are: 1) Alabama, 2) Alaska, 3) Arizona, 4) Arkansas, 5) California,
6) Colorado, 7) Connecticut, 8) Delaware, 9) Florida, 10) Georgia, 11) Hawaii,
12) Idaho, 13) Illinois, 14) Indiana, 15) Iowa, 16) Kansas, 17) Kentucky, 18)
Louisiana, 19) Maine, 20) Maryland, 21) Massachusetts, 22) Michigan, 23)
Minnesota, 24) Mississippi, 25) Missouri, 26) Montana, 27) Nebraska, 28)
Nevada, 29) New Hampshire, 30) New Jersey, 31) New Mexico, 32) New York,
99
PAGE
33) North Carolina, 34) North Dakota, 35) Ohio, 36) Oklahoma, 37) Oregon, 38)
Pennsylvania, 39) Rhode Island, 40) South Carolina, 41) South Dakota, 42)
Tennessee, 43) Texas, 44) Utah, 45) Vermont, 46) Virginia, 47) Washington, 48)
West Virginia, 49) Wisconsin, 50) Wyoming, (Washington D.C. - Seat of Federal
Government).
The map in Figure 5 displays Canadas geopolitical subdivisions: 1)
Alberta, 2) British Columbia, 3) Manitoba, 4) New Brunswick, 5) Newfoundland
and Labrador, 6) Nova Scotia, 7) Ontario, 8) Prince Edward Island, 9) Qubec,
10) Saskatchewan. Territories: 1) Northwest Territories, 2) Nunavut, 3) Yukon
Territory.
The geopolitical divisions of Australia are illustrated in the map in Figure
6. It includes: States: 1) New South Wales, 2) Queensland, 3) South Australia, 4)
Tasmania, 5) Victoria, 6) Western Australia. Territories: 1) Australian Capital
Territory, 2) Northern Territory.
Lastly, Germnays geopolitical subdivisions can be observed in Figure 7.
These are as follows: 1) Baden-Wrttemberg, 2) Bavaria, 3) Berlin, 4)
Brandenburg, 5) Bremen, 6) Hamburg, 7) Hessen, 8) Mecklenburg-Vorpommern,
9) Lower Saxony, 10) North Rhine-Westphalia, 11) Rhineland-Palatinate, 12)
Saarland, 13) Saxony, 14) Saxony-Anhalt, 15) Schleswig-Holstein, 16)
Thringen.
The United States, Canada and Australia each have land areas that are all
of great size compared to the other countries in the world. In fact, both the United
100
PAGE
States and Canada occupy the largest expanse of the entire North American
continent; Australia on the other hand is an entire continent on its own. Aside
from having large, single land masses, these countries also have territories that are
separate from their respective mainlands. Given such geographic challenges, all
these countries remain united as one, and the respective national state
governments are sovereign within their respective territories.
The single central government in a unitary political system is impractical
to govern a vast expanse of land, or a land with fragmented topography, since the
various local governments become reliant to its pyramidal hierarchy. With the
distance of the territories, the situation in one area could be different in the others
(such as weather, health related eventualities, school and economic activities).
Through the federal system, the vast territories each gain a constitutionally
empowered government (regional governments: states, provinces, lnder), able to
function and meet the immediate demands of public life in that location. At the
same time, the federal constitution maintains a national level of government
(federal government) which consolidates the scattered regional governments into
a unified whole. This is the practice of devolution, the decentralization of powers
through the covenant of the constitution.
It is through this system that true
consolidation over territory takes place (Jones).

The presence of competent regional institutions, and practice of federal
processes, as evidenced in Table 2 of the previous discussion, substantiates the
fact that a federal system is well suited for managing large areas of territory such
101

as U.S., Canada, and Australia.
PAGE
The Philippines having an archipelagic and
mountainous topography necessitates the federal system to consolidate power and

unity.
The consolidating power of federalism over territory makes it practicable
in the Philippine setting. The Philippines is an archipelagic territory. It consists
of around 7,100 islands.
These islands extend from north to south along a
1,100mi area in the Pacific Ocean. These scattered landmasses are grouped into
Luzon in the north, Visayas in the center, and Mindanao in the south. Studies
show that 95% of the countrys land area and population are situated on 11 of its
largest islands.
These 11 largest islands (excepting the central plain in Luzon)
have the geographic characteristics of being mountainous, and coastlines that are
heavily indented. Manila, the Republics premier city and political, economic and
educational center, has a geopolitical situation of being located on Luzon Island to
the north, and very distant from the south (Jansenn, 2010).
The fact exists that not only government, but also economy and education,
and by extension technology and other blessings of development are centered on
Manila. In a unitary system of government, these create an unequal geopolitical
environment for all the other regions of the Philippines.
As supported by
statistical data from the Philippine National Statistics Office (see Tables 4 and 6),
social and economic indicators by region do not just vary; there is an extreme
tendency for development in the Manila area. There are also some areas where
102

development could be seen.
PAGE
But some areas are but a few when there are
scattered territories in need of self-sufficiency.

Table 3.
Geographic Comparison of the Four Model Federations and the Philippines.
15
PHILIPPINES
18
19
Area
GERMANY
17
9,984,670 sq
km
7,741,220
km
sq
357,022
km
sq
300,000 sq km
Terms of
AUSTRALIA
9,161,966
sq km
9,093,507 sq
km
7,682,300
km
sq
348,672
km
sq
298,170 sq km
Terms of
CANADA16
9,826,675
sq km
664,709 sq
km
891,163
km
58,920 sq km
8,350 sq km
1,830 sq km
3rd
(about half
the size of
Russia;
more than
twice the
size of the
European
Union)
2nd
(slightly
larger than
the US)
6th
(slightly
smaller than
the US
contiguous 48
states)
62nd
(slightly
smaller than
Montana)
72nd
(slightly larger
than Arizona)
Worlds Countries
land
Area in
Area in
Compared to the
Rank in Size
Total
Total
Total
U.S.A.15
sq
Central Intelligence Agency, United States of America in The World Factbook,

https://www.cia.gov/library/publications/the-world-factbook/geos/us.html, 2010, (Last Accessed
August 2010).
16
Central
Intelligence
Agency,
Canada
in
the
World
Factbook,
https://www.cia.gov/library/publications/the-world-factbook/geos/ca.html, 2010, (Last Accessed
August 2010).
17
Central
Intelligence
Agency,
Australia
in
the
World
Factbook,
https://www.cia.gov/library/publications/the-world-factbook/geos/as.html, 2010, (Last Accessed
August 2010).
18
Central
Intelligence
Agency,
Germany
in
the
World
Factbook,
https://www.cia.gov/library/publications/the-world-factbook/geos/gm.html, 2010, (Last Accessed
August 2010).
19
Central
Intelligence
Agency,
Philippines
in
the
World
Factbook,
https://www.cia.gov/library/publications/the-world-factbook/geos/rp.html, 2010, (Last Accessed
August 2010).
103
PAGE
Figure 4.
Map of the U.S. Federation Featuring the Regional Levels
(50 States).20
20
Geology.com. United States Map United States Satellite Image. Geology.com website.
2006.
http://geology.com/world/the
http://geology.com/world/the-united-states-of-america-satellite-image.shtml
image.shtml.
(Last
Accessed October 2010).
104
PAGE
Figure 5.
Map of Canadian Federation Featuring the Regional Levels
(10 Provinces and 3 Territories).21
21
Geology.com. Canada map Canada Satellite Image. Geology.com website.

http://geology.com/world/canada-satellite-image.shtml. (Last Accessed October 2010).
2006.
105
PAGE
Figure 6.
Map of the Australian Federation Featuring the Regional Levels
(6 States and 2 Territories).22
22
Geology.com. Australia Map Australia Satellite Image. Geology.com website.

http://geology.com/world/australia-satellite-image.shtml. (Last Accessed October 2010).
2006.
106
PAGE
Figure 7.
Map of the German Federation Featuring the Regional Levels
(16 Lnder).23
23
Map of Germany.org. Map of Germany. Map of Germany.org website.

http://www.map-of-germany.org/map-of-germany.gif. (Last Accessed October 2010).
2008.
107
PAGE
Figure 8.
Map of the Philippine Archipelago Featuring the Regional Levels
(17 Regions).24
24
Wow Philippines. Provincial Map of the Philippines. Go Package Tourism website. 2010.
http://www.go-package.com/wowphilippines/philippine_map.asp. (Last Accessed October 2010).
108
PAGE
The Philippines is similar in geopolitical situation with the previous four

countries. The Philippines is a fractured territory since its an archipelago with
scattered islands. These Islands are grouped into 17 regions as can be seen in
Figure 8: 1) National Capital Region, 2) Cordillera Administrative Region, 3)
Region I Ilocos, 4) Region II - Cagayan Valley, 5) Region III - Central Luzon,
6) Region IVA Calabarzon, 7) Region IVB Mimaropa, 8) Region V Bicol,
9) Region VI - Western Visayas, 10) Region VII - Central Visayas, 11) Region
VIII - Eastern Visayas, 12) Region IX - Zamboanga Peninsula, 13) Region X Northern Mindanao, 14) Region XI Davao, 15) XII Soccsksargen, 16) Region
XIII Caraga, 17, Autonomous Region in Muslim Mindanao.
By having a federal system of government, the various regional
governments of the Philippines, become States or Provinces, and can have proper
constitutional powers to pursue autonomous socio-economic agenda for
development.
This in application is federal decentralization through
constitutional devolution, which is the redistribution of governmental powers

and recognition of regional governments by means of the principal law of the
land. Because the regions exist with their own levels of government, each having
competent powers over immediate concerns, they can act without need of
dependence on the national government.
Federalism is more practicable since, aside from policymaking and
autonomous administration, the regional governments will have their own
resources to back up their management plans for the area without having to wait
109
PAGE
on decisions and help from the national government. With such a system, the
governments of areas distant from Manila will not anymore imply distance from
civilization and development; having power to decide and implement means that
the regions can compete for development with the neighboring areas and thus
strive for the fulfillment of their own competencies. This stimulates growth both
socially and economically.
2. Accommodation of Cultural Idiosyncrasies through Devolution
(Political Culture).
Diversity in ethnic groupings, religious beliefs, languages, traditions and
customs, creates stresses to the political system. These differences usually stem
from the groupings based on location thus leading to regionalism. When taken
into extremes, these differences tend to escalate as regionalistic division or even
into armed conflict.
The features of federalism have a covenantal effect to the political system.
Through constitutional safeguards that recognize, respect and empower the
identities of regions as having their own governments, these regional level
governments, in return, consents to be bound together under the supervision of the
national level government or federation. In this scenario, the federal level of
government functions as the singular leader among these regional governments,
thus creating a political situation of equality under a covenant the constitution.
This covenant makes the constitution the true sovereign power even if
there are several states each having a government of its own in the federal system.
110
PAGE
Recognition and powers granted by the Constitution allow the regional

governments to make policies that fit the culture, religious beliefs, traditions, and
ethno-linguistic needs of the people within their territory. This is in effect an
application of Elazars idea that the federal system engenders accommodation. It
brings about unity while allowing the differing regions to maintain their cultural
idiosyncrasies (Moots, 2009).
The U.S., aside from having people of Native American Indian heritage is
a hodge-podge of immigrants from everywhere in the world. This mix is enough
to create whole communities of various races and ethnicities. The countrys
groups of peoples also have a tendency to be strongly identified culturally to the
area that they reside in (e.g. Texans, New Yorkers, Californians, Hawaiians).
111
PAGE
Table 4.
Demographic Comparison of the Four Model Federations and the
Philippines.
U.S.A. 25
CANADA26
AUSTRALIA
GERMANY28
Nationality
29
American(s)
Canadian(s)
Australian(s)
German(s)
Filipino(s)
Ethnic Groups
27
PHILIPPINES
White 79.96%, black

12.85%, Asian
4.43%, Amerindian
and Alaska native
0.97%, native
Hawaiian and other
Pacific islander
0.18%, two or more
races 1.61% (July
2007 estimate)
note: a separate
listing for Hispanic is
not included because
the US Census
Bureau considers
Hispanic to mean
persons of
Spanish/Hispanic/Lat
ino origin including
those of Mexican,
Cuban, Puerto Rican,
Dominican Republic,
Spanish, and Central
or South American
origin living in the
US who may be of
any race or ethnic
group (white, black,
Asian, etc.); about
British Isles
origin 28%,
French
origin 23%,
other
European
15%,
Amerindian
2%, other,
mostly
Asian,
African,
Arab 6%,
mixed
background
26%
white 92%,
Asian 7%,
aboriginal and
other 1%
German
91.5%,
Turkish 2.4%,
other 6.1%
(made up
largely of
Greek, Italian,
Polish,
Russian,
SerboCroatian,
Spanish)
Tagalog 28.1%,
Cebuano
13.1%, Ilocano
9%,
Bisaya/Binisaya
7.6%,
Hiligaynon
Ilonggo 7.5%,
Bikol 6%,
Waray 3.4%,
other 25.3%
(2000 census)
25
CIA World Factbook, USA, 2010.

CIA World Factbook, Canada, 2010.
27
CIA World Factbook, Australia, 2010.
28
CIA World Factbook, Germany, 2010.
29
CIA World Factbook, Philippines, 2010.
26
112
PAGE
Religions
Protestant 51.3%,
Roman Catholic
23.9%, Mormon
1.7%, other Christian
1.6%, Jewish 1.7%,
Buddhist 0.7%,
Muslim 0.6%, other
or unspecified 2.5%,
unaffiliated 12.1%,
none 4% (2007 est.)
Languages
15.1% of the total US

population is
Hispanic
English 82.1%,
Spanish 10.7%, other
Indo-European 3.8%,
Asian and Pacific
island 2.7%, other
0.7% (2000 census)
Roman
Catholic
42.6%,
Protestant
23.3%
(including
United
Church
9.5%,
Anglican
6.8%,
Baptist
2.4%,
Lutheran
2%), other
Christian
4.4%,
Muslim
1.9%, other
and
unspecified
11.8%, none
16% (2001
census)
English
(official)
58.8%,
French
(official)
21.6%, other
19.6% (2006
Census)
Catholic
25.8%,
Anglican
18.7%,
Uniting
Church 5.7%,
Presbyterian
and Reformed
3%, Eastern
Orthodox
2.7%, other
Christian
7.9%,
Buddhist
2.1%, Muslim
1.7%, other
2.4%,
unspecified
11.3%, none
18.7% (2006
Census)
Protestant
34%, Roman
Catholic 34%,
Muslim 3.7%,
unaffiliated or
other 28.3%
Roman Catholic
80.9%, Muslim
5%, Evangelical
2.8%, Iglesia ni
Kristo 2.3%,
Aglipayan 2%,
other Christian
4.5%, other
1.8%,
unspecified
0.6%, none
0.1% (2000
census)
English
78.5%,
Chinese 2.5%,
Italian 1.6%,
Greek 1.3%,
Arabic 1.2%,
Vietnamese
1%, other
8.2%,
unspecified
5.7% (2006
Census)
German
Filipino
(official; based
on Tagalog) and
English
(official); eight
major dialects Tagalog,
Cebuano,
Ilocano,
Hiligaynon or
Ilonggo, Bicol,
Waray,
Pampango, and
Pangasinan
113
PAGE
Table 5.
GDP Per Capita (PPP) of the Four Model Federations and the Philippines.30
U.S.A.31
2009
CANADA32
AUSTRALIA33
GERMANY34
PHILIPPINES35
$ 46,000
$ 38,200
$ 40,000
$ 34,100
$ 3,300
$47,700
$39,500
$40,000
$35,900
$3,300
$48,200
$39,600
$39,600
$35,400
$3,300
est.
2008
est.
2007
est.
Canada has socio-linguistic diversity between the English and Frenchspeaking Canadians, in addition to having aboriginal Canadians (Gagnon and
Simeo, 2009). Australian society is diversified among English, Scottish, and Irish
decent; Chinese and South Pacific decent; and also the Australian indigenous
people (Aroney, 2009).
In Germany, the territory is diversified between six poorer eastern lnder
and ten richer western lnder. Aside from this, Germany is also home to peoples
of Turkish ancestries, ethnic Germans from Russia, and other ethnic groups;
and territorial groupings such as: Danes in Schleswig-Holstein, the Sorbians in
Saxony and Brandenburg, and the Frieslanders in Lower Saxony and (also) in
Schleswig-Holstein (Bendel and Sturm, 2009).
30
Note (from Central Intelligence Agency): values are at 2009 U.S. Dollars.
CIA World Factbook, USA, 2010.
32
CIA World Factbook, Canada, 2010.
33
CIA World Factbook, Australia, 2010.
34
CIA World Factbook, Germany, 2010.
35
CIA World Factbook, Philippines, 2010.
31
114
PAGE
Table 6.
Regional Average Income and Average Savings of Families at Current Prices
(values in thousand pesos) 2000, 2003 and 2006.36
Region
Average Income
2000
2003
Average Savings
2006
2000
2003
2006
National Capital Region
300
266
311
56
48
53
Cordillera Administrative
Region
140
152
192
59
26
42
I Ilocos
121
124
142
25
22
19
II - Cagayan Valley
108
126
143
20
27
25
III - Central Luzon
151
160
198
31
22
27
IVA Calabarzon
179
184
210
29
26
23
IVB Mimaropa
99
103
109
20
19
16
V Bicol
95
109
125
13
15
15
VI - Western Visayas
110
111
130
15
14
14
10
VII - Central Visayas
100
121
144
16
19
21
11
VIII - Eastern Visayas
92
103
126
19
19
22
88
93
125
17
18
27
12
37
IX - Zamboanga Peninsula
13
X - Northern Mindanao
108
109
142
25
18
25
14
XI Davao
108
117
135
17
18
19
103
113
114
21
28
18
15
XII - Soccsksargen
38
16
XIII Caraga
82
90
118
12
18
17
Autonomous Region in
Muslim Mindanao39
79
83
89
14
16
14
Mean
Standard Deviation
INCLUDING NCR
Standard Deviation
EXCLUDING NCR
36
121.35 127.29 150.18 23.88 21.59 23.41

52.70
44.12
52.43 13.87
8.25 10.19
26.49
26.71
33.16 11.50
4.82
6.98
Note (from National Statistics Office): Details may not add up to totals due to rounding.
Source: National Statistics Office, 2003 Family Income and Expenditure Survey Final Results,
September 14, 2007, http://www.census.gov.ph/data/sectordata/2003/ie03fr11.htm, (Accessed
October 2010). And National Statistics Office, 2003 and 2006 Family Income and Expenditure
Survey,
Final
Results,
July
9,
2008,
http://www.census.gov.ph/data/sectordata/2006/ie06fr04a.htm, (Accessed October 2010).
37
In 2000, Basilan including Isabela City was under Region IX.
38
In 2000, Marawi City is a part of Region XII.
39
Basilan province (excluding Isabela City), which was part of Region IX in 2000, has been
transferred to ARMM under EO 36.
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PAGE
Among these countries, the covenantal effect of federalism manages

socio-cultural diversity and idiosyncrasies. A federal convention accomplishes
this through practices of: a) Autonomy of the states to respond to and fight for
their jurisdiction cultural and ethnic rights; b) the inter-governmental interactions
between the regional governments and the federal government (Bendel and
Sturm); c) the institutions that interlink these levels of governments and thus the
regions (Bendel and Sturm); d) multiculturalism and intraculturalism practices
imbued in the constitution (Gagnon and Simeon).
In the Philippines, the countrys social environment is described as beset
with cultural and ethno-linguistic issues that create rifts between peoples and thus
divisions within the political system. Carolina Hernandez describes ethnic and
linguistic issues that affect not only the ordinary lives of Filipinos but also affects
Philippine politics:
The major ethnolinguistic groups that have shaped politics were
the Tagalogs, Ilocanos, and Pampangans of Luzon, the Cebuanos
of the Visayas, and the Muslim Maranaos and Tausugs of
Mindanao. Close to the seat of power in Manila, Tagalogs have
exerted the greatest political influence dating back to the
nineteenth-century reformists and their revolutionary successors.
They succeeded in making Tagalog the basis of a national
language called Pilipino at a time when Cebuano speakers
constituted the majority; by 1990 it was the language understood
by most Filipinos. (Hernandez, 1993).
Hernandez posits that ethnolinguistic peculiarities linked to geographical
fragmentation is amplified by difficult travel and communication within the
geographically fragmented territory.
These factors were able to reinforce
regionalism in both culture and politics. More so, it came to pass that a common
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PAGE
opinion among the regions spread that there is a Manila-based, Tagalogdominated colonialism within the system. Given the situation, there have only
been two cases of large scale violence: 1) Muslim separatism lead by the Moro
National Liberation front (MNLF) in Mindanao, and 2) the autonomy movement
led by ethnic communities in the Cordillera Mountains (Hernandez). To bring a
stop to these, the 1987 Constitution has provided for regional autonomy for both
areas, however violence has not yet ceased, the feeling of inequality has not yet
been felt, and economic development is not yet evident in both regions
(Hernandez).
Federalisms
covenantal
process
helps
bind
together
differing
ethnolinguistic groups through accommodation. It does not just give particular

areas with one time benefits that can be considered as merely lip service. This is
so because autonomy granted by the constitution in a centralized system is not
realistic in application since there are only two among seventeen regions which
have been granted such a blessing. Also, even if the unitary system constitution
grants autonomy to local governments, the monolithic structure of the unitary
system inhibits the culture and processes for the regional actors to make good use
of such a blessing they still remain reliant to the center.
In comparison, a country where in the seven features of federalism is used
creates a political situation of actually being able to practice the autonomy spoken
of in the constitution.
Here, the powers have been granted directly by the
constitution rather than commanded by the constitution for the central government
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PAGE
to delegate. Because of this, the power of the regional governments is not granted
nor cannot simply be taken back by men and women who compose the
administration. Hence, the regional governments gain the competency to adapt
policies to their own cultural heritage. And as individuals bound by a covenant,
they are accommodated as one while retaining their own uniqueness.
In addition to this, accommodation through incorporation of a culture of
autonomy cannot be possible when many local governments are reliant to the
central government.
Autonomy is supported since in a federal system, both
governments at the national and regional levels have their own defined areas and
matters of jurisdiction, coupled with actual resources to handle such jobs.
3. Stimulation
of
Development
and
Managing
Regional
Fiscal
Disparities through Deconcentration of Economic Forces (Political

Economy).
Table 5 shows a summary of the economic productiveness of the model
countries juxtaposed with that of the Philippines. United States, Canada, and
Germany are all members of the G8 leaders; all three with the addition of
Australia are all highly economically developed countries.
Based on the
experiences within each of these countries, experts point out that the blessings of
a good economy are well spread among the different regions. This is evidenced
by their comparative Gross Domestic Products (GDP) as measured in terms of
Per Capita (divided according to population).
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PAGE
Applications of the economic blessings of federalism can be seen in the

four model countries. As observed in various studies, in Canada it is noted that
provinces have been enjoying an increase in their fiscal autonomy over the
passing of years. Such as in 1970, total revenues were pegged: for the federal
government at 16.7% of GDP, and the regional governments at 17.6%. And in
1999, revenues had increased marginally: for the federal government to 18.9% of
GDP, and regional governments to 22.7% (Simeon, 2001).
These economic benefits are made possible through the dynamics of
federal relations between the federal and regional governments. In Germany, a
classic practice of autonomy is displayed by the regional governments when they
collaborate to pursue their economic agendas and fiscal policies as opposed to the
dictates of the federal government. This is reinforced by party politics who
jockey for particular policies and civil servants who ensure cooperation among
the different regional governments (Benz).
The same is true in U.S. practices, regional governors actively lobby for
the handling of economic load burdened upon them from the federal government
in Washington (Schram, 2005). A good example is the state support for Personal
Responsibility and Work Opportunity Reconciliation Act (1996) which replaced
the federal cash assistance program for low-income families with children (Aid to
Families with Dependent Children AFDC) with Temporary Assistance for
Needy Families Program (TANF). This legislation granted states more leeway on
how to spend their budget in terms of social welfare, since it is the states and not
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PAGE
Washington who are actually implementing such programs and it is they who
know the situation in their respective jurisdictions (Schram).
These actual scenarios show the exercise of economic rights and powers
by regional governments.
A situation made possible in the system through
federalism. Through it, such rights and powers are enforced constitutionally.
In the Philippines, there is great economic disparity among the regions.
As evidenced by statistical data from both international sources (CIA as shown in
Table 5) and from the Philippine National Statistics Office, regarding the income
and savings of families within each region (Table 6). The figures show the
microeconomic status for families within each region comparing such data
between the regions themselves and a view of the macroeconomic aspect can be
observed. Through this, a comparison is seen on how the regions differ on
economic status in the current unitary political system.
The data shows an imbalance between the National Capital Region
(NCR), which is the center of everything (government, economy, education,
health, technology) in the Philippine unitary system, and the other regions. There
is a big difference in income and definitely in savings between the NCR and the
next region with the highest income and savings (Calabarzon in all three periods).
The statistics of the Standard Deviation show how distant the values are from the
average income and savings and the particular regional values for the same
economic values. All other regions together, excluding NCR, has a Standard
Deviation that is nearly half the value if NCR is included in the computation.
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PAGE
This method of statistical analysis proves the significant inequality or

disproportion between the values in the income and savings for the NCR and the
other regions.
The unitary system, however it promotes autonomy in letter, still
maintains by its nature and practice, a system of dependence by the local
governments to the central government. Manila, in the heart of NCR is the
economic capital with only a few scattered cities able to prosper financially and
technologically.
The local governments are reliant in policymaking and
administration upon the central government regarding aspects of life that are
related to and which support the economy.
These include healthcare (1987
Philippine Constitution, Article XIII, Sections 11 13), education and technology

(Article XIV), and land and natural resources (Article XII).
Federalism applied to the Philippines helps manage this problem in the
economy. The federal covenant curbs power from the central government by
making it a federal government whose purpose is to oversee and maintain unity
rather than interfere in the affairs within each region (e.g. economy, education,
health among others among others).
Having a set of individual regional
governments with legislative and administrative powers over such aspects of

human life stimulates competition.
The autonomy of regional governments is
closely linked to economic forces40 unique to the federal system.
40
Similar to Adam Smiths invisible hand..
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PAGE
These economic forces include a) choices by regional governments of

policies that attract capital, labor and economic activity; and b) choices by
citizens and consumers about which regions to reside or establish a business,
considering policies which satisfy their own entrepreneurial interests (Weingast,
1995). Autonomous choices are the products of deconcentration of economic
forces from a central government. Instead of all the major businesses converging
at a single region or just a few regions, fiscal activity is stimulated among the
regions so that each region itself becomes economically competitive.
C. Simulation:
Through the gathered data, federalism can be applied by following the
seven essential features.
Instead of having a unitary system with local
government units reliant to the central government, the Philippines can have two
levels of government. The first level is the national level government which is a
federal government. The second level of government is the regional level either
to be named as Provinces or States. An example would be: Province or State or
Cordillera, Province or State of Ilocos, Province or State of Cagayan Valley.
Both levels exercise powers that are constitutionally granted upon them.
The Philippine Federal Government will have jurisdiction to administer and
legislate over matters of national concern such as foreign affairs, national defense
and the military, currency, national economy, along with other powers discussed
in Section A of this Chapter. The Philippine Provincial government will have
powers to administer and legislate over matters of immediate concern to their area
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PAGE
of jurisdiction. Such powers include among others, healthcare, education, use of

natural resources and taxation.
The executive and legislative officials of the federal government of the
Philippines will be directly elected by every citizen eligible for suffrage from the
whole country.
Officials of the regional governments (both executive and
legislative) will be directly elected by citizens eligible for suffrage from within
the particular region. Sources of revenue will be constitutionally allocated for the
federal government and for each component of the regional level governments.
Direct election by all voting citizens across the Republic stabilizes the
power of the Philippine Federal Government. It reinforces the single sovereign
power of the Republic; moreover it creates actual popular support for its exercise
of constitutionally delegated powers.
The Supreme Court remains as a single umpire whose powers are based on
the constitution to rule over cases between 1) the two levels of government (the
Philippine Federal Government and a province/state), and 2) between components
of the regional level (cases between one province/state and another
province/state).
Hence each province/state such as Caraga or Mimaropa could sue any of
the other regions for issues of constitutional or economic controversies. The same
applies to situations of controversies between the provinces/states against the
Philippine Federal Government. In this system, the federal government will be
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PAGE
constrained to ensure fairness in managing national affairs with respect to the

regions.
The Justices of the Supreme Court will be constitutionally protected in
areas of their appointment, salaries, and possible removal. This is to ensure free
and fair justice system among the governments. The Supreme Courts will have
lower courts distributed throughout the various regions to hear cases both civil
and criminal between individual persons.
To ensure a smooth flow of the political system, processes and institutions
could be made to coordinate among the various governments. These include
meetings and conferences of Provincial/State executives, the bureaucracy that
permeates the national and the regional levels, actions of the national branches of
the government, and initiatives of the executive and legislative branches of the
regional governments.
In this scenario, the provinces/states can make initiatives for their own
economic development and decisions on legislations that affect the cultural
heritage of their regions. Provinces/state governments can create legislations that
are attractive to businesses both local and foreign to bring in investments into
their regions. Revenues received directly by the provinces from their own tax
sources within their region can be directly used towards the projects that their
regions need.
A federal system empowers the Philippine regions with executive and
legislative governments to pursue agendas for their economic development.
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PAGE
Through this a sense of competition stimulates further needs to gain investments

and attract possible sources of economic capital into their respective regions.
And local government officials become more accountable to their
constituents.
This is so because the provincial/state executive and legislators are
directly elected by them and are situated within the same region. Comparatively,
in the unitary system, people in Caraga Region or even Eastern Visayas Region
will find it is more difficult to hold accountable a national executive who is in
Malacaang (Manila, National Capital Region).
The federal government on the other hand is responsible over matters of
national concern. The encumbrance of managing the entire scattered islands is
lessened, instead it can focus on general administration to ensure balance
development, and smooth flow of government public service to the citizens
among the regions.
Aside from handling foreign affairs, the Philippine Federal Government
takes actions to help regional governments in times of crisis. This similar to the
U.S. President directing the military and other resources during Hurricane Katrina
and during the 9/11 attack, the Philippine President also performs such duties in a
federal system.
.
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PAGE
CHAPTER V
SUMMARY AND CONCLUSION
A. Summary
A particular countrys political system is defined through its basic law
the constitution, which is the modern manifestation of the social contract. This
law, in order to be good, must promote the happiness of the people in every
dimension of life. Such a goal includes granting the means to afford for oneself
not just necessities but the chances or abilities to pursue further development: 1)
liberty and 2) prosperity.
Political Science research has the objective of
discovering ways to build up the political system towards such an ideal objective;
it also has the duty to ensure that the system is built up by cementing national
unity and securing territorial integrity.
United States of America (founded 1776), Canada (founded 1867),
Australia (founded 1901), and Germany (founded 1949) are model countries in
the theory and practice of federalism. More importantly, these countries are
exemplars in championing liberal democratic ideals and economic development.
All four countries enjoy the blessings of liberty and economic
productivity. They are all members of the G20, and three of them, namely, U.S.,
Canada, and Germany, are ranked leaders of the prestigious G8. They are all
industrialized, economically competitive, and have their territories enjoying the
benefits of equal chances of development.
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PAGE
U.S., Canada, and Australia on the other hand each have very large
expanse of territory occupied by a variety of ethnic groups. The wide array of
cultural diversity has a propensity for a local culture of regionalism. Through the
constitutional use and actual practice of a federal convention, these countries were
able to successfully manage issues of regionalism, cultural idiosyncrasies,
equality both in governance and economy while maintaining the unity of their
territory as one country.
Federalism as a political theory has been founded and successfully
practiced by the United States for over two centuries. Currently the Forum of
Federations (an international, non-governmental, scholarly organization engaged
in the study of federalism) lists 24 federations spread across the globe41. Scholars
in political science, public administration, law, and economics have made
substantial research on federalisms merits and flaws, its advantages and
disadvantages.
These scholars range from the great political thinkers such as John Locke
and Jean Jacques Rousseau who laid basic foundations of liberalization and the
social contract idea of federalism. There is the compiled writing of the founding
fathers such as Alexander Hamilton, John Jay, and James Madison which codified
the political thought of the American innovation of federalism. And in
contemporary political science, researchers and political scientists such as Daniel
41
There are also countries in transition to federalism: Iraq and Sudan. And a Sri lanka is
considering to change into a federal system.
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PAGE
J. Elazar, and Vincent Ostrom and William Riker contributed comparative studies
on the applications of federalism.
Together, their works contribute to the body of political knowledge on
federal political theory. These include the capacity of federations to 1) improve
or build up a better structure for the state; 2) improve or manage the sociopolitical conditions of heterogeneous systems or stratified territories; 3) improve
or manage the economy of states,
From the collated literature, experiences from the most successful of these
countries detail processes and benefits that could be reaped by the Philippines
from the use of a federal convention. This study though used a comparative
analysis of written constitutions of model countries by using a logical method
patterned from the tradition of John Stuart Mill, and in the modern constitionalstructuralist research method of Professors Zachary Elkins, Tom Ginsburg, and
James Melton. Theory is further supported through comparative observed42 practices
of institutions and processes within each of the four model governments. Thereby the
research was able to prove the concept and potentialities of a federal convention.
As presented and discussed in Chapter IV, a federal convention is defined

by seven (7) essential features. These are: 1) Two levels of government existing
in their own right under one constitution. 2) A Central Government directly
elected by the electorate of the whole country, making laws and taxation
42
Through secondary data writings of experts who were from the model countries, books,
seminar manuscripts and presentations.
128

applicable to all citizens.
PAGE
3) Regional Government Units exercising
constitutionally delegated powers over its members. 4) Allocation of sources of

revenue between the two levels of government. 5) A written constitution as a
binding contract among regional units, and which cannot be amended unilaterally.
6) An umpire (Supreme/Constitutional Court) to rule on disputes.
And 7)
Processes and Institutions that facilitate intergovernmental interaction and

coordination.
The Philippines is an archipelagic country characterized by local
governments dependent to the central government, regionalism, cultural
idiosyncrasies, and economic disparities.
A federal convention, with proven
effectiveness in the model countries can help solve such issues that fall under
political geography, political culture, and political economy.
Potential applications of a federal convention in the Philippines include: 1)
Decentralization of legislative and administrative powers into two levels of
government through constitutional devolution; 2) consolidation of the fragmented
regions through devolution of legislative and administrative powers; 3)
management of regionalism and cultural idiosyncrasies through federal
accommodation; and 4) stimulation of development and managing regional
wealth disparities through deconcentration of economic forces.
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PAGE
B. Conclusion
Through meticulous comparison and analysis of the written constitutions,
geography, local regional culture, and economy of the United states of America,
Canada, Australia, and Germany, and by correlating the initial findings with
geographic, cultural and economic characteristics of the Philippines in order to
arrive at a refined practicable data, the researcher puts forward the thesis that:
federalism principles of decentralization and de-concentration are important
constitutional concepts that may be applied by the Republic of the Philippines as
supported by the following sub-conclusions;
1. A federal system of government could promote liberal democracy
through applications of the essential features of a federal convention,
these include:
a. Existence under a single constitution of two levels of
government (1st Essential Feature).
b. Each level of government is directly elected (2nd Essential
Feature).
c. The competence and powers of regional units are granted
directly by the constitution to each jurisdiction (3rd and 5th
Essential Feature).
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2. A federal system of government could create equal opportunities for

regional economic development through applications of the essential
features of a federal convention, these include:
a. The regional government units exercising constitutionally
delegated powers over their own area of jurisdiction (3rd and 5th
Essential Feature).
b. Allocation of sources of revenue between the two levels of
government (4th Essential Feature).
3. A federal system of government could help enhance national unity
through applications of the essential features of a federal convention.
These include:
a. A directly elected central government whose Laws and Taxes
are applicable both to areas of competency and territory and
accepted by all citizens (2nd Essential Feature).
b. A written constitution acts as a social contract (5th Essential
Feature).
c. An independent umpire (Supreme Court) rules over disputes
(6th Essential Feature).
d. Processes
and
institutions
facilitate
intergovernmental
interaction and coordination (7th Essential Feature).
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PAGE
4. The seven essential features of a federal system, as evidenced by the

practices in the model countries, would make federalism an
appropriate system of government for the Republic of the
Philippines; also the following applications of a federal system make
it appropriate to meet political challenges faced by the country:
a. The Philippines is an archipelago, composed of 7,100 islands
across seventeen (17) regions. A federal constitution would
help consolidate geopolitical territory through constitutional
devolution of legislative, executive and judicial (lower court)
powers, thus holding the territory together.
b. The Philippine socio-political environment is characterized by
a variety of cultural idiosyncrasies not to mention ethnic
groups and aboriginals. A federal constitution would help
accommodate such idiosyncrasies within the socio-political
environment, through the constitutional social contract that
decentralizes governmental power, thus enhancing regional
development and minimizing regionalism. And,
c. The Philippines is beset by economic disparities among the
regions.
A federal constitution would de-concentrate
economic forces through local government autonomy and
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PAGE
competition by area, thus stimulating chances for a more

balanced regional wealth.
C. Recommendations
In the scholarly practice of political science, there is much debate on the
merits and flaws of federalism. Through unbiased scientific inquiry, this study
was able to posit on federalisms virtues as a potential source of socio-political and
economic benefits in application to the Republic of the Philippines. However, as
scientists concerned with the art of state building, this researcher suggests the
following recommendations on the application of federalism with relation to the
Philippines:
First is that objective research can be made on the knowledge and
perceptions of Philippine citizens regarding federalism and its seven essential
features.
Given that the features of the federal convention can bring about
advantages to the Philippine political system.
Such changes in a countrys
constitution cannot simply be impinged upon the people. If the people have
insufficient knowledge about how to use a particular tool, then it would not be
used efficiently or not even work properly at all. It is by fact the people who
would be living a life under a new constitution. Hence it is imperative that their
reception to such changes in their basic law be taken into consideration.
Second, there must be an assessment on the capabilities of citizens of the
inhabitants of each Philippine region to work as member of a single State within a
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PAGE
federation. Aside from this, assessment must also check for capabilities of these
regions to field state governors, or regional leaders.
If administration and legislation for the regions as states will be placed in
the hands of citizens from those particular areas of jurisdiction, then these
possible leader candidates must be skilled enough to handle the particular duties
involved. There must be ways for sufficient training available for these leaders.
Aside from skill, there must be willingness among the citizens of the regions to
take responsibility over the duties of running a state government within a
federation (in conjunction with the first recommendation).
The previous two recommendations together constitute an analysis for the
suitability of the Philippine Republic to practice federalism. As this research was
able to discover federalisms potential benefits in application to the Philippines,
it is imperative to discover if the people could adapt to such a change in order to
best achieve the possible advantages.
Lastly, there is much debate on Philippine federalization. Politicians push
for or fight against the implementation of federalism in the Philippines. This
research begun and was conducted with the limitation of non-advocacy for any
policy for Philippine Charter Change. It proceeded according to the objective
method of collating federal principles in model countries from the firsthand
source the Constitution.
Analysis was made on how such principles are
practiced based on scholars descriptive narratives of government actions, and

political achievements in model countries.
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PAGE
Model federal countries have similar constitutional principles that are the
keys to bring about consolidation of territory, accommodation of cultural
idiosyncrasies, and stimulation of regional economic development.
The
Philippines have characteristic problems such as fragmented territory,

homogenous socio-political cultures, and disparate economic wealth among the
regions. As evidenced in both Chapter I and further comparative discussions in
Chapter IV, the current unitary system as contained in the constitution is unable to
deal with such political, social, and economic situations.
Based on the findings, federalization could be recommended to be applied
in the Republic of the Philippines. Through the efficient practice of such a system
of government, a) the archipelagos territorial integrity could be consolidated, b)
its regionalism minimized, c) cultural idiosyncrasies accommodated, and d)
economic forces could be stimulated to balance disparate wealth distribution
throughout the regions.
This researchs scholarly findings are recommended that they may be used
as basis for practical applications of federalism in the Republic of the Philippines.
It can be complemented by future directives as proposed above. A sound plan of
action can be made which could build the country into a more democratic,
regionally fair, territorially integrated, and economically developed state.
Through the gathering of facts and objective findings, this research could be used
for further studies in the search for the best concrete, detailed and
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PAGE
factual applications of a federal system adapted to political, administrative, social,

and economic condition of the XXI century Philippines.
136
PAGE
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PAGE
APPENDIX
Comparative Matrices of
Significantly Related Constitutional Provisions in the
Model Countries
Matrix 1.
Component/Member States/Provinces/Lander in the Constitution
Listing/Naming/Recognition
U.S. (1776)
Canada (1867)
Australia (1901)
Germany (1949)
States Represented at
Section 5. - Canada Section 26. (Par. 2) - Preamble - Germans
the Signing - New
shall be divided into Provided
that
if in the Lnder of
Four
Provinces, Western Australia is Baden-Wrttemberg,
Hampshire,
Massachusetts,
named
Ontario, an Original State, the Bavaria,
Berlin,
Quebec, Nova Scotia, numbers shall be as Brandenburg,
Connecticut, New
York, New Jersey,
and New Brunswick follows: New South Bremen,
Hamburg,
Pennsylvania,
(Canada now consists Wales (twenty-six); Hesse, Lower Saxony,
of
ten
provinces Victoria
Delaware, Maryland,
(twenty- MecklenburgVirginia, North
(Ontario,
Quebec, three);
Queensland Western Pomerania,
Carolina, South
Nova Scotia, New (nine);
South North
RhineBrunswick, Manitoba, Australia
Carolina, Georgia.
(seven); Westphalia,
British
Columbia, Western
Australia Rhineland-Palatinate,
Prince Edward Island, (five);
Tasmania Saarland,
Saxony,
Alberta,
(five).
Saxony-Anhalt,
Saskatchewan
and
Schleswig-Holstein,
Newfoundland) and
and Thuringia have
two territories (the
achieved the unity and
Yukon Territory and
freedom of Germany
the
Northwest
in
free
selfTerritories).
determination.
This
Basic
Law
thus
Section
22.
applies to the entire

(allocation of Senate
German people.
seats according to the
Divisions
and
Provinces of each
division).
Admission or Creation of New States/Provinces/Lander
Article IV. Section 3. Section 146. - It shall Section 121. - New Article 29. Section 3.
- New States may be be lawful for the States
may
be - The referendum
admitted
by
the Queen, by and with admitted
or shall be held in the
Congress into this the Advice of Her established
The Lnder from whose
Union; but no new Majestys
Most Parliament may admit territories or parts of
State shall be formed Honourable
Privy to the Commonwealth territories a new Land
or erected within the Council, on Addresses or
establish
new or a Land with
Jurisdiction of any from the Houses of States, and may upon redefined boundaries
other State; nor any the Parliament of such admission or is to be established
State be formed by the Canada, and from the establishment make or (affected Lnder). The
149

Junction of two or
more States, or Parts
of States, without the
Consent
of
the
Legislatures of the
States concerned as
well
as
of the
Congress.
U.S. (1776)
Manner of Choosing
Article II, Section 1. -
Houses
of
the
respective
Legislatures of the
Colonies or Provinces
of
Newfoundland,
Prince Edward Island,
and British Columbia,
to
admit
those
Colonies or Provinces,
or any of them, into
the Union, and on
Address from the
Houses
of
the
Parliament of Canada
to admit Ruperts
Land and the Northwestern Territory, or
either of them, into
the Union, on such
Terms and Conditions
in each Case as are in
the
Addresses
expressed and as the
Queen thinks fit to
approve, subject to the
Provisions of this Act;
and the Provisions of
any Order in Council
in that Behalf shall
have effect as if they
had been enacted by
the Parliament of the
United Kingdom of
Great Britain and
Ireland.
impose such terms

and
conditions,
including the extent of
representation
in
either House of the
Parliament,
as
it
thinks fit.
122. - The Parliament
may make laws for
the government of any
territory surrendered
by any State to and
accepted
by
the
Commonwealth, or of
any territory placed by
the Queen under the
authority
of
and
accepted
by
the
Commonwealth,
or
otherwise acquired by
the Commonwealth,
and may allow the
representation of such
territory in either
House
of
the
Parliament to the
extent and on the
terms which it thinks
fit.
Matrix 2.
The Chief Executive
Canada (1867)
Australia (1901)
PAGE
question to be voted
on is whether the
affected Lnder are to
remain as they are or
whether the new Land
or the Land with
redefined boundaries
should be established.
The
proposal
to
establish a new Land
or a Land with
redefined boundaries
shall take effect if the
change is approved by
a majority in the
future territory of such
Land and by a
majority
in
the
territories or parts of
territories
of
an
affected Land taken
together
whose
affiliation with a Land
is to be changed in the
same
way.
The
proposal shall not take
effect if within the
territory of any of the
affected Lnder a
majority reject the
change;
however,
such rejection shall be
of no consequence if
in any part of the
territory
whose
affiliation with the
affected Land is to be
changed a two thirds
majority approves the
change, unless it is
rejected by a two
thirds majority in the
territory
of
the
affected Land as a
whole.
Germany (1949)
Article 54, Paragraph
150

Elected by Electors
appointed by each
State. The number of
Electors is equal to
the whole number of
Senators
and
Representatives
to
which the State may
be entitled to in
Congress.
The
Electors meet in their
respective States, and
vote by ballot for two
persons, of whom one
at least shall not be an
inhabitant of the same
State as themselves.
The person having the
greatest number of
votes, if sch number
be a Majority of the
whole number of
electors, shall be the
President of the U.S.
Amendment
XII
(1804). - Modifies the
manner of voting:
Electors must name
who they were voting
for as President and as
Vice-President.
PAGE
1. - The Federal
President shall be
elected by the federal
Convention without
debate.
3. - The Federal
Convention
shall
consist
of
the
Members
of
the
Bundestag and an
equal
number
of
members elected by
the parliaments of the
Lnder on the basis of
proportional
representation.
Article 62. - 63. - The
Federal
Chancellor
shall be elected by the
Bundestag
without
debate on the Proposal
of
the
Federal
President.
Amendment
XXIII
(1961).
Section
1.
(procedure granting
the district which is
the Seat of Federal
Government electors
for the President and
Vice-President.)
Matrix 3.
Composition, Manner of Choosing Members, and Purpose of the Federal Legislature
U.S. (1776)
Canada (1867)
Australia (1901)
Germany (1949)
Upper House
Article I, Section 1. - Section 22. - Consists Section 1. - Until Article 51. - 1. The
Two Senators from of Senators equally Parliament otherwise Bundesrat
shall
each State, chosen by representing the four provides, there shall consist of members of
the
Legislature Divisions of Canada: be six senators for the
Land
151

thereof.
Ontario, Quebec, The

Maritime Provinces,
and The Western
Provinces (24 each).
(The distribution of 24
Senators
for
the
clustered
maritime
provinces
and
Western Provinces in
the
division
are
stipulated in Section
22.)
each original State.

The Parliament may
make laws increasing
or diminishing the
number of senators for
each State, but so that
equal representation
of the several Original
States
shall
be
maintained and that
no Original State shall
have less than six
senators. - Chapter I.
governments, which
appoint and recall
them. Other members
of those governments
may
serve
as
alternates.
2. Each Land shall
have at least three
votes; Lnder with
more than two million
inhabitants shall have
four, Lnder with
more than six million
inhabitants five, and
Lnder with more
than seven million
inhabitants six votes.
3. Each Land may
appoint
as
many
members as it has
votes. The votes of
each Land may be
cast only as a unit and
only by Members
present
or
their
alternates.
Section
24.
Composed
of
members
directly
chosen by the people
of
the
Commonwealth. The
number of members
chosen in the several
States shall be in
proportion to the
respective numbers of
their people.
[the
Article 38. - Members

of
the
German
Bundestag shall be
elected in general,
direct, free, equal, and
secret elections. They
shall
be
representatives of the
whole people, not
bound by orders or
instructions,
and
responsible only to
Section 23. - The

Qualifications of a
Senator shall be as
follows: (2) He shall
be either a naturalborn Subject of the
Queen, or a Subject of
the Queen naturalized
by an Act of the
Parliament of Great
Britain, or of the
Parliament of the
United Kingdom of
Great Britain and
Ireland, or of the
Legislature of One of
the
Provinces
of
Upper Canada, Lower
Canada,
Canada,
Nova Scotia, or New
Brunswick, before the
Union, or of the
after the Union: (5)
He shall be resident in
the
Province
for
which he is appointed:
Lower House
Article I, Section 2. Composed
of
Members chosen by
the people of the
several States. The
electors in each State
shall
have
the
qualifications
requisite for Electors
of the most numerous
branch of the State
Legislature.
Sections 37, 40, 41,

50, 51, 51A, and 52. Composed
of
members representing
electoral
districts
within the provinces
through proportionate
representation. (The
manner
of
determining
the
number of members
per district/province is
PAGE
152

Representatives shall
be apportioned among
the several States
which
may
be
included within this
Union, according to
their
respective
numbers (of people).
stipulated in Sections
37, 40, 51, 51A, and
52.)
determination of such
number of members
per State is provided
in subsections (i) and
(ii) of this section]
PAGE
their conscience.
Amendment
XIV
(1868). Section 2. Manner
of
determining
the
each State, which
excludes Indians not
taxed.
U.S. (1776)
Taxation
Article I, Section 8,
Paragraph 1. - The
Congress shall have
Power To lay and
collect Taxes, Duties,
Imposts and Excises,
and general Welfare
of the United States;
but
all
Duties,
Imposts and Excises
shall
be uniform
throughout the United
States;
Matrix 4.
Powers of the Federal Legislatures
Canada (1867)
Australia (1901)
Section
91,
Subsection 3.
the
exclusive
Legislative Authority
of the Parliament of
Canada extends to all
Matters
coming
within the Classes of
Subjects
next
hereinafter
enumerated; that is to
say,
3. The raising of
Money by any Mode
or
System
of
Taxation.
Federal Control Over Militia
Article I, Section 8, Section
91,
Paragraphs 1, - Subsection
7.
provide
for
the Militia, Military and
common Defence and Naval Service, and
general Welfare of the Defence.
United States;
Paragraph 12, - To
raise and support
Section
51,
Subsection (ii). - The
Parliament
shall,
subject
to
this
Constitution,
have
power to make laws
for the peace, order,
and good government
of the Commonwealth
with respect to:
Germany (1949)
1. - The Federation
shall have exclusive
power to legislate with
respect to customs
duties
and
fiscal
monopolies.
(Guide for concurrent
powers over taxation
Articles 72, 105, and
106.)
(ii) taxation; but so as

not to discriminate
between States or
parts of States;
Section
51,
Subsection (vi). - the
naval and military
defence
of
the
Commonwealth and
of the several States,
and the control of the
forces to execute and
maintain the laws of
the Commonwealth;

1. - The Federation
power to legislate with
respect to:
Foreign affairs and
defense,
including
protection
of
the
civilian population;
153
PAGE
Armies, but;
Paragraph 13. - To
provide and maintain
a Navy;
Prohibition Against Local Control Over the Militia
Section 114. - States
Paragraph 3. - No
may not raise forces.
State shall, without
Taxation of property
the
Consent
of
of Commonwealth or
Congress, lay any
State A State shall
Duty of Tonnage,
not,
without
the
keep Troops, or Ships
consent
of
the
of War in time of
Parliament of the
Peace, enter into any
Commonwealth, raise
Agreement
or
or maintain any naval
Compact with another
or military force.
State, or with a
foreign Power, or
engage in War, unless
actually invaded, or in
such
imminent
Danger as will not
admit of delay.
Manage Currency
91, Section
51,
Paragraph 5. - To coin Subsection
14.
- Subsection (xii). Money, regulate the Currency
and currency, coinage, and
Value thereof, and of Coinage.
legal tender;
foreign Coin, and fix
the
Standard
of
Weights
and
Measures;
Borrow Money for the Federation
92, Section
51,
Paragraph 2 - To Subsection 4. - The Subsection (iv). borrow Money on the borrowing of Money borrowing money on
credit of the United on the Public Credit.
the public credit of the
States;
Commonwealth;
Postal Service and Communication

91,
Paragraph 7. - To Subsection 5. - Postal
establish Post Offices Service.
and post Roads;
Rails and Navigation to Link the Federation
Section
51,
Subsection (v). postal,
telegraphic,
telephonic, and other
like services;

4. - Currency, money,
and coinage, weights
and measures, and the
determination
of
standards of time;
Article 115. - 1. The

borrowing of funds
and the assumption of
surety
obligations,
guarantees, or other
commitments that may
lead to expenditures in
future fiscal years
shall
require
authorization by a
federal law.
7. - Postal and
telecommunication
services;
154

Section
Subsection
Navigation
Shipping
10.
91,
and
Section
51.
Subsection (xxxii).
the control of railways
with
respect
to
transport for the naval
and military purposes
of
the
Commonwealth;
Section 98, - The
power
of
the
Parliament to make
laws with respect to
trade and commerce
extends to navigation
and shipping, and to
railways the property
of any State.
U.S. (1776)
Matrix 5.
Preservation of Pre-existing Local Laws
Canada (1867)
Australia (1901)
Section 64. - The Section 106. - The
Constitution of the Constitution of each
Executive Authority State
of
the
in each of the Commonwealth shall,
Provinces of Nova subject
to
this
Scotia
and
New Constitution, continue
Brunswick
shall, as at the establishment
subject
to
the of
the
Provisions of this Act, Commonwealth, or as
continue as it exists at at the admission or
the Union until altered establishment of the
under the Authority of State, as the case may
this Act.
be, until altered in
accordance with the
Section 88. - The Constitution of the
Constitution of the State.
Legislature of each of
the Provinces of Nova Section 107. - Every
Scotia
and
New power
of
the
Brunswick
shall, Parliament
of
a
subject
to
the Colony which has
Provisions of this Act, become or becomes a
continue as it exists at State, shall, unless it
the Union until altered is by this Constitution
under the Authority of exclusively vested in
this Act.
Commonwealth
or
PAGE

6a.
Federal
Railways.
And
Article
74,
Paragraph
21.
Navigation
and
Shipping.
The
operation of railways
wholly
or
predominantly owned
by the Federation
(federal railways), the
construction,
maintenance,
and
operation of tracks
belonging to federal
railways as well as the
imposition of charges
for the use of such
tracks;
Germany (1949)
Article 28. - Federal
guarantee of Land
constitutions and of
local self-government
1. The constitutional
order in the Lnder
must conform to the
principles
of
a
republican,
democratic, and social
state governed by the
rule of law, within the
meaning of this Basic
Law. In each Land,
county,
and
municipality
the
people
shall
be
represented by a body
chosen in general,
direct, free, equal, and
secret elections. In
county and municipal
elections, persons who
possess citizenship in
any member state of
the
European
Community are also
155

Section 122.
The Customs and
Excise Laws of each
Province shall, subject
to the Provisions of
this Act, continue in
force until altered by
the Parliament of
Canada.
withdrawn from the

Parliament of the
State, continue as at
the establishment of
the Commonwealth,
or as at the admission
or establishment of
the State, as the case
may be.
Section 129 - Except

as otherwise provided
by this Act, all Laws
in force in Canada,
Nova Scotia, or New
Brunswick at the
Union, and all Courts
of Civil and Criminal
Jurisdiction, and all
legal Commissions,
Powers,
and
Authorities, and all
Officers,
Judicial,
Administrative,
and
Ministerial,
existing therein at the
Union, shall continue
in Ontario, Quebec,
Nova Scotia, and New
Brunswick
respectively, as if the
Union had not been
made;
subject
nevertheless (except
with respect to such as
are enacted by or exist
under Acts of the
Parliament of Great
Britain or of the
Parliament of the
United Kingdom of
Great Britain and
Ireland),
to
be
repealed, abolished, or
altered
by
the
Parliament of Canada,
or by the Legislature
of the respective
Province, according to
the Authority of the
Parliament or of that
Legislature under this
Act.
Section 108. - Every

law in force in a
Colony which has
become or becomes a
State, and relating to
any matter within the
powers
of
the
Parliament of the
Commonwealth, shall,
subject
to
this
Constitution, continue
in force in the State;
and, until provision is
made in that behalf by
Commonwealth, the
Parliament of the
State shall have such
powers of alteration
and of repeal in
respect of any such
law as the Parliament
of the Colony had
until
the
Colony
became a State.
PAGE
eligible to vote and to

be elected in accord
with
European
Community law. In
municipalities a local
assembly may take the
place of an elected
body.
2. Municipalities must
be guaranteed the
right to regulate all
local affairs on their
own
responsibility,
within
the
limits
prescribed by the
laws.
Within
the
limits
of
their
functions designated
by a law, associations
of municipalities shall
also have the right of
self-government
according to the laws.
The guarantee of selfgovernment
shall
extend to the bases of
financial autonomy;
these bases
shall
include the right of
municipalities to a
source of tax revenues
based upon economic
ability and the right to
establish the rates at
which these sources
shall be taxed.
3. The Federation
shall guarantee that
the
constitutional
order of the Lnder
conforms to the basic
rights and to the
provisions
of
paragraphs 1 and 2 of
this Article.
156
PAGE
Section 130. - Until

the Parliament of
Canada
otherwise
provides, all Officers
of
the
several
Provinces
having
Duties to discharge in
relation to Matters
other
than
those
coming within the
Classes of Subjects by
this Act assigned
exclusively to the
Legislatures of the
Provinces shall be
Officers of Canada,
and shall continue to
discharge the Duties
of their respective
Offices under the
same
Liabilities,
Responsibilities, and
Penalties as if the
Union had not been
made.
Matrix 6.
Significant Powers of the Local Legislatures
U.S. (1776)
Canada (1867)
Australia (1901)
Local Land, Asset, Property
Article IV, Section 3, Section 109. - All Section 85. - When
Paragraph 1. - New Lands,
Mines, any department of the
States
may
be Minerals,
and public service of a
admitted
by
the Royalties belonging State is transferred to
Congress into this
to
the
several the Commonwealth:
Union; but no new Provinces of Canada, (i) all property of the
State shall be formed Nova Scotia, and New State of any kind, used
or erected within the
Brunswick at the exclusively
in
Jurisdiction of any Union, and all Sums connection with the
other State; nor any then due or payable department,
shall
State be formed by the for
such
Lands, become vested in the
Junction of two or Mines, Minerals, or Commonwealth; but,
more States, or Parts Royalties,
shall in the case of the
of States, without the
belong to the several departments
Consent
of
the Provinces of Ontario, controlling
customs
Legislatures of the Quebec, Nova Scotia, and
excise
and
States concerned as and New Brunswick bounties, for such time
well as of the
in which the same are only as the GovernorCongress.
situate
or
arise, General in Council
subject to any Trusts may declare to be
Germany (1949)
Article 134. - Reich
assets
2. The assets of
Lnder
or
other
public-law
corporations
or
institutions that no
longer exist, insofar
as
they
were
originally intended to
be used principally for
administrative tasks
or are now being so
used, not merely
temporarily,
shall
pass to the Land,
corporation,
or
institution that now
performs those tasks.
3. Real property of
157

existing in respect
thereof, and to any
Interest other than that
of the Province in the
same.
Section 117. - The
several
Provinces
shall retain all their
respective
Public
Property
not
otherwise disposed of
in this Act, subject to
the Right of Canada
to assume any Lands
or Public Property
required
for
Fortifications or for
the Defence of the
Country.
necessary;
(ii)
the
Commonwealth may
acquire any property
of the State, of any
kind used, but not
exclusively used in
connexion with the
department; the value
thereof shall, if no
agreement can be
made, be ascertained
in, as nearly as may
be, the manner in
which the value of
land, or of an interest
in land, taken by the
State
for
public
purposes is ascertained
under the law of the
State in force at the
establishment of the
Commonwealth;
(iii)
the
Commonwealth shall
compensate the State
for the value of any
property passing to the
Commonwealth under
this section; if no
agreement can be
made as to the mode
of compensation, it
shall be determined
under laws to be made
by the Parliament;
(iv)
the
Commonwealth shall,
at the date of the
transfer, assume the
current obligations of
the State in respect of
the
department
transferred.
PAGE
Lnder that no longer

exist,
including
appurtenances, shall
pass to the Land
within which it is
located, insofar as it is
not among the assets
already referred to in
paragraph 1 of this
Article.
4. Insofar as an
overriding interest of
the Federation or the
particular interest of a
region requires, a
federal
law
may
depart from the rules
prescribed
by
paragraphs 1 to 3 of
this Article.
5. In all other
respects,
the
succession to and
disposition of assets,
insofar as it has not
been effected before
January 1, 1952 by
agreement
between
the affected Lnder or
corporations
or
institutions
established
under
public law, shall be
regulated by a federal
law requiring the
consent
of
the
Bundesrat.
6. Holdings of the
former
Land
of
Prussia in enterprises
established
under
private law shall pass
to the Federation.
7. Insofar as assets
that on the effective
date of this Basic Law
would devolve upon a
Land or a corporation
or
institution
established
under
public law pursuant to
paragraphs 1 to 3 of
this Article have been
158
PAGE
disposed of by or
pursuant to a Land
law or in any other
manner by the party
thus entitled, the
transfer of assets shall
be deemed to have
taken place before
such disposition.
Management and Sale of Land, Asset, Property
Section
92,
Subsection 5. - In
each Province the
Legislature
may
exclusively
make
Laws in
relation to Matters
coming within the
Classes of Subjects
next
hereinafter
say,
5. The Management
and Sale of the Public
Lands belonging to
the Province and of
the Timber and Wood
thereon.
Agriculture
Undelegated43
Section 95. - In each Undelegated
Province
the
Legislature
may
make
Laws
in
relation
to
Agriculture in the
Province, and to
Immigration into the
Province; and it is
hereby declared that
the Parliament of
Canada may from
Time to Time make
Laws in relation to
Agriculture in all or
any of the Provinces,
and to Immigration
into all or any of the
Provinces; and any
Law
of
the
43

1, Subparagraph 15. 1.
Concurrent
legislative
powers
shall extend to the
following subjects:
15. The transfer of
land,
natural
resources, and means
of
production
to
public ownership or
other forms of public
enterprise;
Article 74. Paragraph

17. - The promotion
of
agricultural
production
and
forestry, ensuring the
adequacy of the food
supply,
the
importation
and
exportation
of
agricultural
and
forestry
products,
deep-sea and coastal
fishing,
and
preservation of the
coasts;
For those with undelegated please see Matrix 12 for Provisions handling Gray Areas..
159
PAGE
Legislature
of a
Province relative to
Agriculture or to
Immigration
shall
have effect in and for
the Province as long
and as far only as it is
not repugnant to any
Act of the Parliament
of Canada.
Education
Undelegated
Direct Taxation
Exclusive to
Federation
Section 93. - In and

for each Province the
Legislature
may
exclusively
make
Laws in relation to
Education,
subject
and according to the
following Provisions:
Undelegated
Section
92,
Subsection 2. - Direct
Taxation within the
Province in order to
the raising of a
Revenue
for
Provincial Purposes.
Exclusive
Federation
Section
92,
Subsection 9. - Shop,
Saloon,
Tavern,
Auctioneer, and other
Licences in order to
the raising of a
Revenue
for
Provincial, Local, or
Municipal Purposes.
Section 92A. - (1) In
each province, the
legislature
may
exclusively
make
laws in relation to
(a) exploration for
non-renewable
natural resources in
the province;
(b)
development,
conservation
and
management
of
nonrenewable natural
resources
and
Article 74. Paragraph

13. - The regulation of
educational
and
training grants and the
promotion
of
research;
to
Article
105,
Paragraph 2a. - The
Lnder shall have
power to legislate
with respect to local
taxes on consumption
and expenditures so
long and insofar as
they
are
not
substantially similar
to taxes imposed by a
federal law.
106 Paragraph 2. Revenue from the
following taxes shall
accrue to the Lnder:
1. The property tax;
2. The inheritance tax;
3. The motor vehicle
tax;
4. Such taxes on
transactions as do not
accrue
to
the
Federation pursuant to
paragraph 1 or jointly
to the Federation and
the Lnder pursuant to
paragraph 3 of this
Article;
5. The beer tax;
6. The
tax
on
160

forestry resources in
the
province,
including laws in
relation to the rate of
primary production
therefrom; and
(c)
development,
conservation
and
management of sites
and facilities in the
province for the
generation
and
production
of
electrical energy.
(2) In each province,
the legislature may
make laws in relation
to the export from the
province to another
part of Canada of the
primary production
from non-renewable
natural resources and
the province and the
production
from
facilities
in
the
province for the
generation
of
electrical energy, but
such laws may not
authorize or provide
for discrimination in
prices or in supplies
exported to another
part of Canada.
(3)
Nothing
in
subsection
(2)
derogates from the
authority
of
Parliament to enact
laws in relation to the
matters referred to in
that subsection and,
where such a law of
Parliament and a law
of
a
province
conflict, the law of
Parliament prevails to
the extent of the
conflict.
(4) In each province,
the legislature may
PAGE
gambling
establishments.
Section
106,
Paragraph
3.
Revenue from income
taxes,
corporation
taxes, and turnover
taxes shall accrue
jointly
to
the
Federation and the
Lnder (joint taxes) to
the extent that the
revenue from the
income tax and the
turnover tax is not
allocated
to
municipalities
pursuant
to
paragraphs 5 and 5a
of this Article. The
Federation and the
Lnder shall share
equally the revenues
from income taxes
and corporation taxes.
The respective shares
of the Federation and
the Lnder in the
revenue from the
turnover tax shall be
determined
by
a
federal law requiring
the consent of the
Bundesrat.
Such
determination shall be
based
on
the
following principles:
1. The Federation and
the Lnder shall have
an equal claim against
current revenues to
cover their necessary
expenditures.
The
extent
of
such
expenditures shall be
determined with due
regard to multi-year
financial planning. 2.
The
financial
requirements of the
Federation and of the
Lnder
shall
be
161

make laws in relation
to the raising of
money by any mode
or system of taxation
in respect of
(a)
non-renewable
natural resources and
the province and the
primary production
therefrom, and
(b) sites and facilities
in the province for
the generation of
electrical energy and
the
production
therefrom, whether or
not such production
is exported in whole
or in part from the
province, but such
laws
may
not
authorize or provide
for taxation that
differentiates
between production
exported to another
part of Canada and
production
not
exported from the
province.
(5) The expression
primary production
has the meaning
assigned by the Sixth
Schedule.
(6)
Nothing
in
subsections (1) to (5)
derogates from any
powers or rights that
a
legislature
or
government of a
province
had
immediately before
the coming into force
of this section.
PAGE
coordinated in such a
way as to establish a
fair balance, avoid
excessive burdens on
taxpayers, and ensure
uniformity of living
standards throughout
the federal territory.
In determining the
respective shares of
the Federation and the
Lnder in the revenue
from the turnover tax,
reductions in revenue
incurred
by
the
Lnder from January
1, 1996 because of the
provisions made with
respect to children in
the income tax law
shall also be taken
into account. 4. The
the Federation and the
Lnder in the revenue
from the turnover tax
shall be apportioned
anew whenever the
ratio of revenues to
expenditures of the
Federation becomes
substantially different
from that of the
Lnder; reductions in
revenue that are taken
into
account
in
determining
the
revenue from the
turnover tax under the
fifth
sentence
of
paragraph 3 of this
Article shall not be
considered in this
regard. If a federal
law
imposes
additional
expenditures on or
withdraws
revenue
from the Lnder, the
additional burden may
be compensated for
by federal grants
162
PAGE
pursuant to a federal
law requiring the
consent
of
the
Bundesrat, provided
the additional burden
is limited to a short
period of time. This
law shall establish the
principles
for
calculating
such
grants and distributing
them
among
the
Lnder.
5. A share of the
revenue from the
income tax shall
accrue
to
the
municipalities, to be
passed on by the
Lnder
to
their
municipalities on the
basis of the income
taxes paid by their
inhabitants.
5a. From and after
January 1, 1998, a
share of the revenue
from the turnover tax
shall accrue to the
municipalities. It shall
be passed on by the
Lnder
to
their
basis of a formula
reflecting
geographical
and
economic factors.
6. Revenue from taxes
on real property and
trades shall accrue to
the
municipalities;
revenue from local
taxes on consumption
and expenditures shall
accrue
to
the
municipalities or, as
may be provided for
by Land legislation, to
associations
of
municipalities.
Municipalities shall
be
authorized
to
establish the rates at
163
PAGE
which taxes on real

property and trades
are levied, within the
framework of the
laws. If there are no
municipalities in a
Land, revenue from
taxes on real property
and trades as well as
from local taxes on
consumption
and
expenditures
shall
accrue to the Land. In
accordance with Land
legislation, taxes on
real property and
trades as well as the
municipalities' share
of revenue from the
income tax and the
turnover tax may be
taken as a basis for
calculating
the
amount
of
apportionment. 7. An
overall percentage of
the Land share of total
revenue from joint
taxes,
to
be
determined by Land
legislation,
shall
accrue
to
the
municipalities
or
associations
of
municipalities. In all
other respects Land
legislation
shall
determine
whether
and to what extent
revenue from Land
taxes shall accrue to
municipalities
(associations
of
municipalities).
8. If in individual
Lnder
or
municipalities
(associations
of
municipalities)
the
Federation
requires
special facilities to be
established
that
directly result in an
164
PAGE
increase
of
expenditure or in
reductions in revenue
(special burden) to
these
Lnder
or
municipalities
(associations
of
municipalities),
the
Federation shall grant
the
necessary
compensation if and
insofar as the Lnder
or
municipalities
(associations
of
municipalities) cannot
reasonably
be
expected to bear the
burden. In granting
such compensation,
due account shall be
taken of indemnities
paid by third parties
and financial benefits
accruing to these
Lnder
or
municipalities
(associations
of
municipalities) as a
result
of
the
establishment of such
facilities.
U.S. (1776)
Article 1, Section 8.
The Congress shall
have
power
to
regulate commerce with
foreign nations
Article 1, Section 10,
Par. 3.. No State shall,
without the Consent of
Congress enter into
any
agreement
or
compact with another
state, or with a foreign
power.
Article 2, Section 3.
[the president] shall
receive Ambassadors
Matrix 7.
Federal Power over Foreign Affairs
Canada (1867)
Australia (1901)
Section 132.
The Section 51 (i).
Parliament
and Parliament shall have
Government
of power to make laws
Canada shall have all for
trade
and
Powers necessary or commerce with other
proper for performing countries.
the Obligations of Section
75
(i).
Canada or of any Original Jurisdiction
Province thereof, as of the Hight Court in
Part of the British all matters arising
Empire,
towards from any treaty.
Foreign
Countries,
arising under Treaties
between the Empire
and such Foreign
Countries.
Germany (1949)
Article 32. - 1.
Relations
with
foreign states shall be
conducted by the
Federation. 2. Before
the conclusion of a
treaty affecting the
special circumstances
of a Land, that Land
shall be consulted in
timely fashion. 3.
Insofar as the Lnder
have
power
to
legislate, they may
conclude treaties with
foreign states with the
165

and
other
Ministers
public
U.S. (1776)
Article III, Section 2,
Paragraph 3. - The Trial
of all Crimes, except in
Cases of Impeachment,
shall be by Jury; and
such Trial shall be held
in the State where the
said Crimes shall have
been committed; but
when not committed
within any State, the
Trial shall be at such
Place or Places as the
Congress may by Law
have directed.
PAGE
consent of the Federal

Government.
Matrix 8.
Local Judicial Authority
Canada (1867)
Australia (1901)
Article 80. - The trial
on indictment of any
offence against any
law
of
the
Commonwealth shall
be by jury, and every
such trial shall be
held in the State
where the offence
was committed, and if
the offence was not
committed within any
State the trial shall be
held at such place or
places
as
the
Parliament prescribes.
Matrix 9.
Delineation of Sources of Revenues
U.S. (1776)
Canada (1867)
Australia (1901)
Consolidated Revenue Funds
Section 103 The Section 81. - All
Consolidated Revenue revenues or moneys
Fund of Canada shall raised or received by
Executive
be
permanently the
charged with the Government of the
Costs, Charges, and Commonwealth shall
one
Expenses incident to form
the
Collection, Consolidated Revenue
to
be
Management,
and Fund,
Receipt thereof, and appropriated for the
of
the
the same shall form purposes
the
First
Charge Commonwealth in the
thereon, subject to be manner and subject to
charges
and
reviewed and audited the
in such Manner as liabilities imposed by
shall be ordered by this Constitution.
the Governor General
in Council until the Section 87, Paragraph
Parliament otherwise 2. - The balance shall,
provides.
in accordance with
this Constitution, be
Section 104. The paid to the several
Germany (1949)
Germany (1949)
166

annual Interest of the
Public Debts of the
several Provinces of
Canada, Nova Scotia,
and New Brunswick
at the Union shall
form the
Second
Charge
on
the
Consolidated Revenue
Fund of Canada.
Section 105. Unless
altered
by
the
Parliament of Canada,
the Salary of the
Governor
General
shall be Ten thousand
Pounds
Sterling
Money of the United
Kingdom of Great
Britain and Ireland,
payable out of the
Fund of Canada, and
the same shall form
the Third Charge
thereon.
Section 106. Subject
to
the
several
Payments by this Act
charged
on
the
Fund of Canada, the
same
shall
be
appropriated by the
for the Public Service.
States, or applied
towards the payment
of interest on debts of
the several States
taken over by the
Commonwealth.
Section 105. - The
Parliament may take
over from the States
their public debts, or a
proportion
thereof
according
to
the
their people as shown
by the latest statistics
of
the
Commonwealth, and
may convert, renew,
or consolidate such
debts, or any part
thereof; and the States
shall indemnify the
Commonwealth
in
respect of the debts
taken
over,
and
thereafter the interest
payable in respect of
the debts shall be
deducted and retained
from the portions of
the surplus revenue of
the Commonwealth
payable to the several
States, or if such
surplus is insufficient,
or if there is no
surplus,
then
the
deficiency or the
whole amount shall be
paid by the several
States.
Section 3. - Salary of
Governor-General
payable out of the
fund
Section 66. - Salaries
of Ministers payable
out
of
the
PAGE
167

Fund.
Prohibition on Preferences in Commerce Between States
Section 99. - The
Paragraph 6. - No
Commonwealth shall
Preference shall be
not, by any law or
given
by
any
regulation of trade,
Regulation
of
commerce,
or
Commerce
or
revenue,
give
Revenue to the Ports
preference to one
of one State over
State or any part
those of another; nor
thereof over another
shall Vessels bound
State or any part
to, or from, one State,
thereof.
be obliged to enter,
clear, or pay Duties in
another.
Finance, Sources of Revenue: Federal Sources
Article I, Section 8. - Section
91, Section
51,
The Congress shall Subsection 3. - It shall Subsection (ii). - The
have Power To lay be lawful for the Parliament
shall,
and collect Taxes, Queen, by and with subject
to
this
Duties, Imposts and the
Advice
and Constitution,
have
Excises, to pay the Consent of the Senate power to make laws
Debts and provide for and
House
of for the peace, order,
the common Defence Commons, to make and good government
and general Welfare Laws for the Peace, of the Commonwealth
of the United States; Order,
and
good with respect to: (ii)
but all Duties, Imposts Government
of taxation; but so as not
and Excises shall be Canada, in relation to to
discriminate
uniform throughout all Matters not coming between States or
the United States;
within the Classes of parts of States;
Subjects by this Act
assigned exclusively Section 86. - On the
to the Legislatures of establishment of the
the Provinces; and for Commonwealth, the
greater Certainty, but collection and control
not so as to restrict the of duties of customs
Generality of the and of excise, and the
foregoing Terms of control of the payment
this Section, it is of bounties, shall pass
hereby declared that to
the
Executive
(notwithstanding
Government of the
anything in this Act) Commonwealth.
the
exclusive
Legislative Authority Section 88. - Uniform
of the Parliament of duties of customs
Canada extends to all shall be imposed
Matters
coming within two years after
within the Classes of the establishment of
Subjects
next the Commonwealth.
hereinafter
enumerated; that is to Sections 81. All
PAGE

1. - The Federation
power to legislate
with
respect
to
customs duties and
fiscal monopolies.
2. - The Federation
shall have concurrent
power to legislate
with respect to all
other
taxes
the
revenue from which
accrues to it wholly or
in part or as to which
the
conditions
provided
for
in
paragraph 2 of Article
72 apply.
1. - The yield of fiscal
monopolies and the
revenue from the
following taxes shall
accrue
to
the
Federation:
1. Customs duties;
2.
Taxes
on
consumption insofar
as they do not accrue
to the Lnder pursuant
to paragraph 2, or
168

say,
3. The raising of
Money by any Mode
or
System
of
Taxation.
revenues or moneys
raised or received by
the
Executive
Government of the
Commonwealth shall
form
one
Fund,
to
be
appropriated for the
purposes
of
the
Commonwealth in the
manner and subject to
the
charges
and
liabilities imposed by
this Constitution.
Section 82. - The
costs, charges, and
expenses incident to
the
collection,
management,
and
receipt
of
the
Fund shall form the
first charge thereon;
and the revenue of the
Commonwealth shall
in the first instance be
applied
to
the
payment
of
the
expenditure of the
Commonwealth.
PAGE
jointly
to
the
Federation and the
Lnder in accordance
with paragraph 3, or
to municipalities in
accordance
with
paragraph 6 of this
Article;
3.
The
highway
freight tax;
4. The taxes on capital
transactions,
insurance, and bills of
exchange;
5. Nonrecurring levies
on
property
and
equalization
of
burdens levies;
6.
Income
and
corporation surtaxes;
7. Levies imposed
within the framework
of
the
European
Communities.
Sections 85 105A.
(other
procedures
allocations of funds.)
Finance, Sources of Revenue: Local/Direct Sources (See Matrix 6. Direct Taxation)
U.S. (1776)
Preamble - We the
People of the United
States, in Order to
form a more perfect
Union,
establish
Justice,
insure
domestic Tranquility,
provide
for
the
common
defense,
promote the general
Matrix 10.
Affirmation of the Union of the Federation
Canada (1867)
Australia (1901)
Preamble - An Act for
the Union of Canada,
Brunswick, and the
Government thereof;
and for Purposes
connected therewith
Whereas
the
Provinces of Canada,
Germany (1949)
Preamble - Germans
in the Lnder of
Baden-Wrttemberg,
Bavaria,
Berlin,
Brandenburg,
Bremen,
Hamburg,
Hesse, Lower Saxony,
MecklenburgWestern Pomerania,
North
Rhine-
169

Welfare, and secure
the
Blessings
of
Liberty to ourselves
and our Posterity, do
ordain and establish
this Constitution for
the United States of
America.
Brunswick
have
expressed their Desire
to be federally united
into One Dominion
under the Crown of
the United Kingdom
of Great Britain and
Ireland,
with
a
Constitution similar in
Principle to that of the
United Kingdom: And
whereas such a Union
would conduce to the
Welfare
of
the
Provinces
and
promote the Interests
of the British Empire:
And whereas on the
Establishment of the
Union by Authority of
Parliament
it
is
expedient, not only
that the Constitution
of the Legislative
Authority
in
the
Dominion be provided
for, but also that the
Nature
of
the
Executive
Government therein
be declared: And
whereas
it
is
expedient
that
Provision be made for
the
eventual
Admission into the
Union of other Parts
of
British
North
America:
Section 3. - It shall be
lawful for the Queen,
by and with the
Advice
of
Her
Majestys
Most
Honourable
Privy
Council, to declare by
Proclamation that, on
and after a Day
therein appointed, not
being more than Six
Months after the
passing of this Act,
PAGE
Westphalia,
Rhineland-Palatinate,
Saarland,
Saxony,
Saxony-Anhalt,
Schleswig-Holstein,
and Thuringia have
achieved the unity and
freedom of Germany
in
free
selfdetermination.
This
Basic
Law
thus
applies to the entire
German people.
170
PAGE
the
Provinces
of
Canada, Nova Scotia,
and New Brunswick
shall form and be One
Dominion under the
Name of Canada; and
on and after that Day
those Three Provinces
shall form and be One
Dominion under that
Name accordingly.
Matrix 11.
Constitution Amendment
Through the Federal Legislature
Article V. - The Schedule
B.
Congress, whenever Constitution
Act
two thirds of both (1982),
Part
V,
Houses shall deem it Section
38,
necessary,
shall Subsection (1), (a). propose Amendments An amendment to the
to this Constitution, Constitution
of
or, on the Application Canada may be made
of the Legislatures of by
proclamation
two thirds of the issued
by
the
several States, shall Governor
General
call a Convention for under the Great Seal
proposing
of Canada where so
Amendments, which, authorized by (a)
in either Case, shall be resolutions of the
valid to all Intents and Senate and House of
Purposes, as Part of Commons;
this
Constitution,
when ratified by the
Legislatures of three
fourths of the several
States,
or
by
Conventions in three
fourths thereof, as the
one or the other Mode
of Ratification may be
proposed
by
the
Congress; Provided
that no Amendment
which may be made
prior to the Year One
thousand
eight
hundred and eight
shall in any Manner
affect the first and
fourth Clauses in the
Section 128. - This

Constitution shall not
be altered except in
the following manner:
The proposed law for
the alteration thereof
must be passed by an
absolute majority of
each House of the
Parliament, and not
less than two nor
more than six months
after
its
passage
through both Houses
the proposed law shall
be submitted in each
State and Territory to
the electors qualified
to vote for the election
of members of the
House
of
Representatives.
When a proposed law
is submitted to the
electors the vote shall
be taken in such
manner
as
the
Parliament prescribes.
But
until
the
qualification
of
electors of members
of the House of
Representatives
becomes
uniform
throughout
the
Commonwealth, only
Article 79. - 1. This

Basic Law may be
amended only by a
law
expressly
amending
or
supplementing its text.
In the case of an
international
treaty
respecting a peace
settlement,
the
preparation of a peace
settlement, or the
phasing out of an
occupation regime, or
designed to promote
the defense of the
Federal Republic, it
shall be sufficient, for
the purpose of making
clear
that
the
provisions of this
Basic Law do not
preclude
the
conclusion and entry
into force of the
treaty,
to
add
language to the Basic
Law
that
merely
makes
this
clarification.
2. Any such law shall
be carried by two
thirds of the Members
of the Bundestag and
two thirds of the votes
of the Bundesrat.
171
PAGE
Ninth Section of the

first Article; and that
no State, without its
Consent, shall be
deprived of its equal
Suffrage
in
the
Senate.
one-half the electors

voting for and against
the proposed law shall
be counted in any
State in which adult
suffrage prevails. And
if in a majority of the
States a majority of
the electors voting
approve the proposed
law, and if a majority
of all the electors
voting also approve
the proposed law, it
shall be presented to
the Governor-General
for
the
Queens
assent.
Through Initiative of a Certain Percent of the Local States or Provinces
Article V. (see above) Schedule
B.
Constitution
Act
(1982),
Part
V,
Section
38,
Subsection (1), (b). An amendment to the
Constitution
of
Canada may be made
by
proclamation
issued
by
the
Governor
General
under the Great Seal
of Canada where so
authorized by (b)
resolutions of the
legislative assemblies
of at least two-thirds
of the provinces that
have, in the aggregate,
according to the then
latest general census,
at least fifty per cent
of the population of
all the provinces.
Matrix 12.
The Judicature
U.S. (1776)
Canada (1867)
Australia (1901)
Independence Through Manner of Appointment
Article II, Section 2,
Section
72,
Germany (1949)
172

Paragraph 2. He
(The President)44 shall
have Power, by and
with the Advice and
Consent of the Senate,
to make Treaties,
provided two thirds of
the Senators present
concur; and he shall
nominate, and by and
with the Advice and
Consent of the Senate,
shall
appoint
Ambassadors, other
public Ministers and
Consuls, Judges of the
supreme Court,
Independence Through Protection of Salary

Article III, Section 1.
44
Text in parentheses added by researcher.
PAGE
Subsection (i) - (ii). The Justices of the

High Court and of the
other courts created
by the Parliament:
(i) shall be appointed
by the GovernorGeneral in Council;
(ii) shall not be
removed except by the
Governor-General in
Council,
on
an
address from both
Houses
of
the
Parliament in the
same session, praying
for such removal on
the ground of proved
misbehaviour
or
incapacity;
1. - The Federal
Constitutional Court
shall consist of federal
judges and
other
members. Half the
members
of
the
Federal Constitutional
Court shall be elected
by the Bundestag and
half by the Bundesrat.
They may not be
members
of
the
Bundestag, of the
Bundesrat, of the
Federal Government,
or of any of the
corresponding bodies
of a Land.
Section
72,

2. - Judges appointed
permanently to fulltime positions may be
involuntarily
dismissed,
permanently
or
temporarily
suspended,
transferred, or retired
before the expiration
of their term of office
only by virtue of
judicial decision and
only for the reasons
and in the manner
specified by the laws.
The legislature may
set age limits for the
retirement of judges
appointed for life. In
the event of changes
in the structure of
courts or in their
districts, judges may
be
transferred
to
another
court
or
removed from office,
provided they retain
their full salary.
173

- The Judges, both of
Subsection (iii). the
supreme
and
(iii) shall receive such
inferior Courts, shall
remuneration as the
hold their Offices
Parliament may fix;
during
good
but the remuneration
Behaviour, and shall,
shall
not
be
at
stated
Times,
diminished
during
receive
for
their
their continuance in
Services,
a
office.
Compensation, which
shall
not
be
diminished
during
their Continuance in
Office.
Powers as Adjudicators Between a Local State and another Local
Local State and the Federal State
Article III, Section 2,
Section
75,
- The judicial Power
Subsection (iii) and
shall extend to all
(iv).
Original
Cases, in Law and
jurisdiction of High
Equity, arising under
Court In all matters:
this Constitution, the
(iii) in which the
Laws of the United
Commonwealth, or a
States, and Treaties
person suing or being
made, or which shall
sued on behalf of the
be made, under their
Commonwealth, is a
Authorityto
party;
Controversies
to
(iv) between States, or
which the United
between residents of
States shall be a
different States, or
Party;to
between a State and a
Controversies
resident of another
between two or more
State;
States;between
a
State and Citizens of
another
State;
between Citizens of
different
States;
between Citizens of
the
same
State
claiming Lands under
Grants of different
States, and between a
State, or the Citizens
thereof, and foreign
States, Citizens or
Subjects.
In all Cases n which a
State shall be Party,
the supreme Court
shall have original
Jurisdiction. In all the
other Cases before
PAGE
1. - Judges shall be
independent
and
subject only to the
law.
State; and Between a

1, Subparagraphs 2, 1.
The
Federal
Constitutional Court
shall rule:
Subparagraphs 2, 2a,
3, 4, and 4b.
2. In the event of
disagreements
or
doubts respecting the
formal or substantive
compatibility
of
federal law or Land
law with this Basic
Law,
or
the
compatibility of Land
law with other federal
law, on application of
the
Federal
Government, of a
Land government, or
of one third of the
Members
of
the
Bundestag;
2a. In the event of
disagreements
whether a law meets
the requirements of
paragraph 2 of Article
72, on application of
the Bundesrat or of
the government or
legislature of a Land;
3. In the event of
disagreements
respecting the rights
and duties of the
174

mentioned,
the
supreme Court shall
have
appellate
Jurisdiction, both as to
Law and Fact, with
such Exceptions, and
under
such
Regulations as the
Congress shall make.
U.S. (1776)
Amendment X (1791).
- The powers not
delegated
to
the
United States by the
Constitution,
nor
prohibited by it to the
States, are reserved to
the
States
respectively, or to the
people.
PAGE
Federation and the

Lnder, especially in
the
execution
of
federal law by the
Lnder and in the
exercise of federal
oversight;
4. On other disputes
involving public law
between
the
Federation and the
Lnder,
between
different Lnder, or
within a Land, unless
there is recourse to
another court; 4b. on
constitutional
complaints filed by
municipalities
or
associations
of
ground that their right
to
self-government
under Article 28 has
been infringed by a
law; in the case of
infringement by a
Land law, however,
only if the law cannot
be challenged in the
constitutional court of
the Land;
Matrix 12.
Provisions Handling Gray Areas
Canada (1867)
Australia (1901)
Section
92, Section 107. - Every
Subsection 16. - In power
of
the
each Province the Parliament
of
a
Legislature
may Colony which has
exclusively
make become or becomes a
Laws in relation to State, shall, unless it
Matters
coming is by this Constitution
within the Classes of exclusively vested in
Subjects
next the Parliament of the
hereinafter
Commonwealth
or
enumerated; that is to withdrawn from the
say, 16. Generally all Parliament of the
Matters of a merely State, continue as at
local or private Nature the establishment of
in the Province.
the Commonwealth,
Germany (1949)
Article 30. - Except as
otherwise provided or
permitted by this
Basic
Law,
the
exercise
of
state
powers
and
the
discharge of state
functions is a matter
for the Lnder.
Article 70, - 1. The
Lnder shall have the
right
to
legislate
insofar as this Basic
Law does not confer
175

Section 91, paragraph
immediately
after
Subsection 29. - It
shall be lawful for the
Queen, by and with
the Advice and onsent
of the Senate and
House of Commons,
to make Laws for the
Peace, Order, and
good Government of
Canada, in relation to
all Matters not coming
assigned exclusively
to the Legislatures of
the Provinces; and for
greater Certainty, but
not so as to restrict the
Generality of the
foregoing Terms of
this Section, it is
hereby declared that
(notwithstanding
anything in this Act)
the
exclusive
Legislative Authority
of the Parliament of
Canada extends to all
Matters
coming
Subjects
next
hereinafter
say,
29. Such Classes of
Subjects
as
are
expressly excepted in
the Enumeration of
the
Classes
of
assigned exclusively
to the Legislatures of
the Provinces. And
any Matter coming
within any of the
Classes of Subjects
enumerated in this
Section shall not be
deemed
to
come
within the Class of
or as at the admission
or establishment of
the State, as the case
may be.
Section 108. - Every
law in force in a
Colony which has
become or becomes a
State, and relating to
any matter within the
powers
of
the
Parliament of the
Commonwealth, shall,
subject
to
this
Constitution, continue
in force in the State;
and, until provision is
made in that behalf by
Commonwealth, the
Parliament of the
State shall have such
powers of alteration
and of repeal in
respect of any such
law as the Parliament
of the Colony had
until
the
Colony
became a State.
Section 109. - When a
law of a State is
inconsistent with a
law
of
the
Commonwealth, the
latter shall prevail,
and the former shall,
to the extent of the
inconsistency,
be
invalid.
PAGE
legislative power on
the Federation.
2. The division of
authority between the
Federation and the
Lnder
shall
be
governed
by
the
provisions of this
Basic Law respecting
exclusive
and
concurrent legislative
powers.
Article 71. - On
matters within the
exclusive legislative
power
of
the
Federation, the Lnder
shall have power to
legislate only when
and to the extent that
they are expressly
authorized to do so by
a federal law.
Article 72, - 1. On
matters within the
concurrent legislative
power, the Lnder
shall have power to
legislate so long as
and to the extent that
the Federation has not
exercised
its
legislative power by
enacting a law.
2. The Federation
shall have the right to
legislate on these
matters if and to the
extent
that
the
establishment of equal
living
conditions
throughout the federal
territory
or
the
maintenance of legal
or economic unity
renders
federal
regulation necessary
in
the
national
interest.
3. A federal law may
provide that federal
176

Matters of a local or
private
Nature
comprised in the
Enumeration of the
Classes of Subjects by
this Act assigned
exclusively to the
Legislatures of the
Provinces.
PAGE
legislation that is no
longer
necessary
within the meaning of
paragraph 2 of this
Article
may
be
superseded by Land
law.
Article 105, (See
Matrix 4. Taxation;
And
Matrix
6.
Finance, Sources of
Revenue:
Federal
Sources
Article 115c.- 1. The
Federation shall have
the right to legislate
concurrently for a
state of defense even
with respect to matters
within the legislative
powers of the Lnder.
Such
laws
shall
require the consent of
the Bundesrat.
177
PAGE
CURRICULUM VITAE
Ronald Maglaqui Castillo attended two Catholic
Institutions: Notre Dame of Greater Manila and the
Royal and Pontifical University of Santo Tomas. He was
awarded a Bachelor of Arts (Political Science) at the
college founded by the late President Jose P. Laurel
Lyceum of the Philippines. And he achieved his Master
of Arts (Political Science) at the Graduate School of the University of Santo
Tomas.
He completed his practicum at the Philippine Senate among the Legislative
Committee Secretaries. As a Civil Servant (Career Service Professional) he has
served as Executive Staff to one of the Departments of Caloocan City
Government.
Currently, he teaches the following subjects, at La Consolacion College
Caloocan:
Philippine Constitution and History, Logic and Ethics, Research
Methodology and Statistics.

As a hobby, he successfully coached the Lyceum Debate Society for three
consecutive years, and was inducted to its Hall of Legends in March 2006. He
also was a judge on Asian Parliamentary Debate in national inter-collegiate
178
PAGE
competitions, and was ranked among the Philippines top adjudicators at the
Philippine Daily Inquirer Inter-collegiate Debating Championship45.
45
3rd Inquirer Inter-collegiate Debating Championship, Quezon City: University of the

Philippines. January 30 February 3, 2004.
4th Inquirer Inter-collegiate Debating Championship, Quezon City: University of the
Philippines. February 26 March 1, 2005.
179

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UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

FEDERALISM AND ITS POTENTIAL APPLICATION TO THE

A Thesis Submitted to the

In Partial Fulfillment of the Requirements

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

(Thomasian Logic and Critical Reason), Dr. Milagros Tanlayco (Research

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

This Opus is made in undying memory to the researchers mother

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

List of Tables ...

B. Statement of the Problem ..

C. Significance of the Study ..

D. Objective of the Study ..

Principle of Division of Powers .

Constitutional Division of Power ..

Geopolitical Division of Power .

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

Specific Framework ...

G. Scope and Limitation

CHAPTER II: LITERATURE REVIEW

Federalism and State Building

Federalism and Management of Heterogeneous Systems ..

Federalism and Political Economy

Federalism and the Philippine Situation .

CHAPTER III: RESEARCH METHODOLOGY ...

CHAPTER IV: DATA PRESENTATION AND ANALYSIS

1. Two levels of government existing in their own right under,

2. A Central Government directly elected by the electorate of

3. Regional Government Units exercising constitutionally

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

4. Allocation of sources of revenue between the two levels of

5. A written constitution as a binding contract among regional

6. An umpire (Supreme/Constitutional Court) to rule on

7. Processes and Institutions to facilitate intergovernmental

B. Three Potential Applications of A Federal Convention to the

Consolidation of Territory through Devolution of

Legislative, Administrative, and Judicial (lower court) Powers

Devolution (Political Culture) .

3. Stimulation of Development and Managing Regional Fiscal

CHAPTER V: SUMMARY OF FINDINGS, CONCLUSION, AND

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

APPENDIX: Comparative Matrices of Relevant Constitutional Provisions

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

Table 2 Facilitating Processes and Institutions in a Federal System .

Table 3 Geographical Comparison of the Four Model Federations and

Table 4 Demographic Comparison of the Four Model Federations and

Table 6 Regional Average Income and Average Savings of Families at

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

Figure 3 Research Design

Figure 5 Map of Canadian Federation Featuring the Regional Levels

Figure 6 Map of the Australian Federation Featuring the Regional

Figure 7 Map of the German Federation Featuring the Regional Levels

Figure 8 Map of the Philippine Archipelago Featuring the Regional

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

A. Background of the Study

UNIVERSITY OF SANTO TOMAS GRADUATE SCHOOL

According to the renowned

The Philippines is an archipelago composed of 7,100 islands.

Several of these islands are populated by peoples of unique cultures, languages,

Governing over all these territories and peoples is a central