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8th class:Self-Rule: Distribution of Powers
Thomas Fleiner
Prof. Thomas Fleiner*/ Prof. Dr. Lidija R. Basta Fleiner
Theories and Praxis on Peace, Federalism, and Human Rights
2nd Week: PART II – PRAXIS: Federal Institutional Principles and Designs.
Effects upon Peace within State
Problems:
Solidarity e.g. Belgium, UK, Italy
Globalization – Intergovernmental RelationshipWelfare State, New Deal USAFederal Spending power Common Law Continental LawForeign investment Competition
Human Rights – Right to be equal
Devolution without shared Rule GB
Wars; TerrorismGlobalization Localization Intergovernm
ental Relations
Coope
rativ
e Fe
dera
lism
Asymmetry Threats of Secession
Financial Discipline
Main Questions:
Purpose of Distribution
Who decides?
Concept and Technique of Distribution
Criteria
What is distributed
Distribution to - Whom? - What entities? - Border-lines?
Asymmetric Distribution
History
Who decides
Constitution maker
Federal Legislature
Both
Court (US, EU)
Common Law: Family Law, Property Law, Contract, Criminal Law, Procedure, commercial law etc.
Residual power
Governmental System
Purpose of Distributionand Criteria
LegitimacyDiversity
Efficiency
Democracy
Justice
Financial CapacityNeed for Coordination
Interest of the task limited to the region
Need for a uniform solution
Closeness to local population
Subsidiary Principle
Commerce Clause
Necessary and Proper Clause
Purpose Criteria Principles
Equality
Security
Flexibility
What is distributed
Branches ofGovernment
Constitution MakingLegislationExecutionJudiciary
FinancialCompetences
Income:Taxes, Grants,Bonds, Loans
Expenditures
FinancialEqualisation
GovernmentalTasks
Foreign PolicyIncl. Defence
PoliceEducation, Cul-tureHealth, EnvironmentEconomy andDevelopment
Mineral Resource, Water etc.Public Services
Civil Law Common Law
Individual / col-lective rights
CommonLaw, Codi-fication Spending
PowerOpting out localdeviation
Administ
rativ
e Federa
lism
Treaties Dualism
Canada
Techniques of Distribution
Exclusive
Parallel
Concurrent
General Clauses
Detailed Regulations
Concept Technique
Bottom up
Top Down
Parallel Distribution
Supremacy
Const
itutio
n – Pr
actic
e
Income and Expenditures
Income
Taxes
Services
Funds
Loan
Expenditures
Mandates
Investments
Grants
Debts
Bu
dg
et
Leg
isla
tion
Transfer
State
FiscalFederalism
Fed
State
Local
Decentralized
No autonomyIncomeExpenditures
No autonomyIncomeExpenditures
Autonomy Income
Autonomy Income
VerticalEqualization
HorizontalVerticalEqualizat.
HorizontalEqualiz.
Centralized
Decision onmost Taxes
BudgetBudget contr.
Decision onFed. Taxes
Fed. Budget
Autonomy Budget
Autonomy Budget
General Issueswith regard
toFiscal Federalism
Strong decentralized states (Quasi Federal):Spain and South AfricaRich and Small versus Big an poor
Centralized decentralized federationsAsymmetric Federations
Cooperative Federalism
Local Government
Australia
Brazil
Canada
German
IndiaMalays
Nigeria
Russia
Spain
South Af
CH USA
PopMilli
20 184 32 82 1090 24 924 144 40 47 8 296
Aerea000 km2
7687 8512 9985 357 3288 330 924 17075 505 1223 41 9631
Cdpcapit
32 4 35 33 0.7 5 0.5 4 24 5 37 42
Fisc Fede dual
Coop.indep.
dualCoopInterdep.
dualDualassymetr
CoopInterdep.
dualDualassymetr
CoopInterdep.
dual dual
LocalGovt.Cst.
no yes no no yes no yes no no yes yes no
StatecontrLoc.
strong
weak
strong
strong
strong
strong
strong
strong
strong
strong
strong
varies
Range locGvt.
limited
extensiv
extensiv
limited
limited
limited
limited
limited
limited
limited
extensiv
extensiv
Equalization
strong revexpe
fair
StrongRevenDisp.reduc
Strong reve.s.exp
fair fair fair fair fair fair fairweak
FinancingFederal Mandates
Traditionally: Fiscal powers for : Peace, Order and Good GovernanceExpansion: due to war and judicial Interpretation Australia, USAThreats of Secession: Russia, India
Combating terrorism racial equality: USA, mioritiesNatural resource-management, environmental Pro-tection: Brazil Nigeria, USADebt management fiscal discipline Brazil
Common economy and welfare
In General: unfunded or underfunded mandates
TaxingPowers
Highly Centralized (75% or more): Malaysia, South Africa, Australia
Centralized (60-75%): Brazil, India Russia, USA
Highly decentralized: (only 37%): Switzerland
Decentralized: (40 to 50%): Canada, Nigeria
Taxing competence:wide powers: Switzerland, Canada, USA,
Nigeriarestrained: South Africa, Spain, Malaysia
AustraliaExpenditure competence:
high: Malaysia, Switzerland, Germany, Canada, USA
low: India, Spain ex.aut.regions
Harmonization
Tax system is harmonized in:Switzerland, Australia, CanadaGermany, Malaysia RussiaSpain
Not harmonized in: USA, Brazil, India
Borrowing: all federal States exceptNigeria, requires governmentalapproval (Germany?)
No race to the bottom, but also in some statescompetition
IntergovernmentalFiscal
TransferReduction of
Regional FiscalDisparities
Three objectives:
Bridging vertical fiscal gaps
Bridging fiscal divide between nations
securing a common economic union through establishing national minimumstandards in social and infrastructure services.
Conclusion
Clarity and Consensus for responsibilitiesFinance should follow function to strengthenResponsibilitiesTo ensure fiscal discipline all governments mustBe made to face the fiscal consequences of theirdecisions
Securing a common economic union through unimpe-ded goods and factor mobility and national minimum standards for social services and infrastructure is the best guarantee for political and economic stabilityand regional convergence in the long run.Properly designed intergovernmental transfers can strengthen results based accountability and also enhan-ce competition for the supply of public goods, fiscal harmonization, state and local government accounta-bility, and regional equity. Institutional arrangements for managing intergovern-mental conflicts play an important role in the smooth working of a federal system.