Andreas Ladner Master pmp automne 2015 Politique et institutions 2a Fédéralisme: théorie et pratique dans le monde

Objectifs –Connaître différentes approches/conceptions du fédéralisme –Positionner et caractériser le fédéralisme en Suisse | Diapositive 2 |

Fédéralisme – esprit de cloche(r)s? | Diapositive 3 | Mix&Remix, L'Hebdo 16/02/06

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Un petit problème à Zurich | Diapositive 6 |

L‘importance des différents niveaux administratifs sur la vie quotidienne | Diapositive 7 | Source: Size and Local Democracy: Pourcentages de réponses „grande influence“

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Plan de la présentation 1)Origines, définitions et fonctions du fédéralisme 2)Fédéralisme dans le monde 3)Fédéralisme en Suisse a)Institutions b)Processus législatifs c)Fédéralisme d'exécution | Diapositive 9 |

1) Origines, définitions et fonctions du fédéralisme Remarque préliminaire –La signification du fédéralisme varie d'un contexte (pays, langue) à l'autre –fédération, confédération, Etat décentralisé,... | Diapositive 10 |

Origines théoriques –Johannes Althusius ( ) –Charles Louis de Montesquieu ( ) –Jean-Jacques Rousseau ( ) –Immanuel Kant ( ) –James Madison, Alexander Hamilton, John Jay: The Federalist Papers (85 articles, ) –et autres... | Diapositive 11 |

Appenzell | Diapositive 12 |

Les catholiques d'A., aidés par ceux de Suisse centrale, parvinrent à convaincre le roi d'Espagne de l'importance d'une adhésion de leur canton (Philippe II y était d'abord opposé). Les cantons catholiques souhaitaient renforcer ainsi leur fragile majorité face aux protestants. Le fossé entre Appenzellois était devenu si profond que, toutes les tentatives de médiation ayant échoué, les Confédérés n'exclurent plus une scission du canton. Une landsgemeinde extraordinaire des rhodes extérieures à Hundwil accepta la partition le 2 juin 1597 et l'assemblée de la paroisse d'A. prit une décision semblable le 15 juin. Six arbitres, tant protestants que catholiques (de Zurich, Lucerne, Schwytz, Nidwald, Glaris et Schaffhouse), désignés lors de la Diète fédérale du 29 juin, négocièrent avec les deux parties et aboutirent à l'Acte de séparation du 8 septembre 1597, qui réglait le partage définitif en deux Etats, les demi-cantons d'A. | Diapositive 13 |

Federalist Paper No. 51 In a single republic, all the power surrendered by the people is submitted to the administration of a single government; and the usurpations are guarded against by a division of the government into distinct and separate departments. In the compound republic of America, the power surrendered by the people is first divided between two distinct governments, and then the portion allotted to each subdivided among distinct and separate departments. Hence a double security arises to the rights of the people. The different governments will control each other, at the same time that each will be controlled by itself. | Diapositive 14 |

Définitions possibles Essai de définition (1) –"Le fédéralisme est une organisation politique dans laquelle les activités du gouvernement sont divisées entre les gouvernements régionaux et un gouvernement central, de sorte que chaque type de gouvernement décide sur ses activités" (Riker 1975: 101). Essai de définition (2) –"Le fédéralisme implique une distribution fondamentale du pouvoir entre de multiples centres (…), pas la délégation de pouvoirs d'un centre unique (...)" (Elazar 1997: 239).  idée fondamentale: division du pouvoir | Diapositive 15 |

Approches et conceptions du fédéralisme –Approche socio-philosophique: fédéralisme en tant que modèle d’organisation sociale et politique –Approche juridique: fédéralisme en tant que structure constitutionnelle et organisation de l’Etat –Approche politologique: fédéralisme en tant qu’institution et en tant que contexte de l’action –Approche économique: fédéralisme en tant que répartition (économiquement) optimale des compétences | Diapositive 16 |

Avantages et inconvénients écono- miques de la décentralisation Les avantages de la décentralisation? Les avantages de la centralisation? exercice/discussion | Diapositive 17 |

Point de vue économique: avantages d’un système décentralisé Décision de la mise en place ou non d’une politique publique est prise dans les unités décentralisées -> préférences des citoyennes et citoyens sont mieux respectées. Principe de l’équivalence fiscale mieux respecté. Unités décentralisées sont en concurrence, produisent moins cher et sont plus novatrices. Coûts de la planification et de la décision politique sont moindres car les préférences des citoyennes et des citoyens sont connues. | Diapositive 18 |

Point de vue économique: avantages d’un système centralisé Certaines prestations ne peuvent pas être fournies au niveau des petites unités décentralisées (Unteilbarkeiten). Moins d’effets de débordement (Spill overs) au niveau des grandes unités décentralisées. Contraintes de coordination: moins (et donc plus grandes) d’unités décentralisées demandent moins de coûts de coordination et décision. Economies d’échelle: prestations peuvent être fournies meilleur marché pour l’ensemble du territoire. | Diapositive 19 |

Plan de la présentation 1)Origines, définitions et fonctions du fédéralisme 2)Fédéralisme dans le monde 3)Fédéralisme en Suisse a)Institutions b)Processus législatifs c)Fédéralisme d'exécution | Diapositive 20 |

Confederations or unitary states Alliance Federalism Unitary state Centrifugal state Centripetal state Co-operation Objectives: autonomy and diversity Objectives: integration and equality of living conditions Centralized organization in all domains Single purpose alliance (e.g. Nato) Confederation (e.g. EU) Confederal federal state (e.g. Canada, Switzerland, US) Unitary federal state (e.g. Germany, Austria) Decentralized unitary state (e.g. France) Centralized unitary state with centralized steering unit (communist republics) Quelle: Stalder, Kurt (1999). Föderalismus und Finanzausgleich. Schriftenreihe der Fachgruppe für kantonale Finanzfragen. Solothurn: Verlag FkF. | Diapositive 21 |

Federalism and devolved governments (Anderson 2008) In confederal systems, the central government is a legal creation of the constituent units (see the two oldest countries US and CH). Important here is the autonomous constitutional existence. In unitary systems, any regional governments are legal creations of the central institutions (devolution). Some unitary countries are more decentralized than some federations. Unitary countries such as Colombia, Italy and Japan have relatively strong regional governments. France and Peru are moving towards significant devolution to elected regional governments. In some countries such as the UK there are some regions asking for devolution. | Diapositive 22 |

Residual Power In bottom-up federations residual power is in the hands of the constituent units In federations that emerged from previously unitary regimes, residual power is in the hands of the federal state | Diapositive 23 |

Federalist countries | Diapositive 24 |

Importance of Federalism 40 per cent of the world’s population almost all democracies with large areas and/or populations are federal democratization brings along federalism (Argentina, Brazil, Mexico) with Belgium, Ethiopia and Spain formerly unitary countries become federalist Federalism has been adopted in post-conflict democracies (Bosnia, Democratic republic of Congo, Iraq, Sudan, South Africa) The EU has a number of federal characteristics Anderson (2008:1ff) | Diapositive 25 |

About 25 states | Diapositive 26 |

Saint Kitts and Nevis | Diapositive 27 |

India | Diapositive 28 |

29 La Belgique

Kanada | Diapositive 30 |

Common characteristics At least two orders of government, one for the whole country and one for the regions with different elections A written constitution with some parts which cannot be amended by the federal government alone A constitution that formally allocates legislative and fiscal powers to the two orders of government ensuring some genuine autonomy for each order Usually some special arrangements in the upper houses for the representation of the constituents units giving to smaller units greater weight than they would merit An umpire procedure to rule on constitutional disputes between governments A set of processes and institutions for facilitating or conducting relations between governments Anderson, George (2008). Federalism: an Introduction. Forum of Federations, Ontario: Oxford University Press. | Diapositive 31 |

Names of the constituent units States: Australia, Brazil, Ethiopia, India, Malaysia, Mexico, Nigeria, US Provices: Argentina, Canada, Pakistan, South Africa Länder: Austria, Germany Cantons: Switzerland Regions, communities: Belgium Autonomous communities: Spain Regions, republics, autonomous areas, territories, cities: Russia | Diapositive 32 |

Distinctive characteristics A.Territorial structure, disparities in terms of population and economy B.Division of tasks and services between the different levels C.Income and spending of the different levels D.Tax autonomy, tax system, formal and material harmonisation E.Role of the federal units in the decision making process of national level F.Financial disparities between the federal units and mechanism of equalization Stalder 1999: 3 | Diapositive 33 |

The Constituent Units From 2 (St. Kitts and Nevis, Bosnia-Herzegowina) to 50 (USA) or 86 (Russia) The largest unit may be bigger than many countries (Uttar Pradesh in India: 160 million people, California: 34 million) Some units may be very tiny: Nevis has only 12,000 people, AI has 15,000. In some countries one or two units encompass the majority of the population (St. Kitts 75 %, Flanders 58 %, Punjab in Pakistan 56 %) In other countries the largest unit constitute a small part of the population (California 12 %, Moscow 7 %, Zurich 17.3 %) Anderson (2008:14ff.) | Diapositive 34 |

Important distinction Symmetric federalism –All federal units have the same tasks, competences and resources Asymmetric federalism –There are differences between the federal units, especially as far as their autonomy is concerned | Diapositive 35 |

Examples Federations typically divide their territory into one main class of unit (Switzerland) Some federations have special territorial units with lesser constitutional status usually making them subject to the central government (the national capital district -> Washington DC; remote and thinly populated territories -> Canada; special tribal areas, overseas territories, Québec) Anderson (2008:16) | Diapositive 36 |

Symmetric: On paper or in reality? | Diapositive 37 | -> asymmetric federalism

Congruent versus incongruent federalism Congruent: The federal units are ethnically and culturally similar to the state as a whole. Incongruent: The federal units differ from each other. Each unit is more homogeneous than the state as a whole. | Diapositive 38 |

Examples Argentina, Austria, Australia, Brazil, Germany, Mexico, the United States have a clearly dominant language and relatively low levels of religious or ethnic diversity In Switzerland, India, Canada, Ethiopia, Spain, Belgium or Russia the diversity is reflected in the composition of the constituent units. Units are more homogeneous. Anderson (2008:17f.) | Diapositive 39 |

Very important distinction: Who Does What and How? Basically two different approaches: Dualist Models: Different jurisdictions are assigned to each order of government, which then delivers and administers its own programs (Canada, Brazil, US). Integrated Models: Many shared competences and the constituent-unit governments often administer centrally legislated programs or laws (Germany, Austria, South Africa, Spain). India and Switzerland have strong features of both. Australia is dualist in administrative arrangements, but has many areas of concurrency. Anderson (2008:21 ff.) | Diapositive 40 |

Integrated Models (-> co-operative federalism) For most subjects central government sets framework legislation that constituent units can complement with their own legislation. In these areas the government of the constituent units delivers programs -> small civil service for central government Challenge: Restricting the detail of central government policy making Sometimes there is also joint decision making. Federal law must be approved by all constituent units (Germany) | Diapositive 41 |

Dualist Models Each order of government delivers programs in the area of its responsibility using its civil service and departments, the federal government is thus present throughout the country. In all dualist constitutions there are some shared or concurrent powers (very few in Canada and Belgium, many in Australia). Where powers are concurrent, federal power is usually but not always paramount. | Diapositive 42 |

Switzerland’s strategy for the future Clarifying responsibilities? Division of tasks? Disentangling tasks? -> «Conventions programmes» | Diapositive 43 |

Patterns of distribution of power in different policy area Defence: always federal sometimes constituent units (CU) Treaty ratification: almost always federal, sometimes CU Major physical infrastructure: usually federal, sometimes concurrent, joint or shared or CU Primary and secondary school: usually CU, occasionally concurrent, rarely federal Post secondary education and research: no clear pattern Pensions: either concurrent, joint, shared or federal Health care: usually CU, sometimes concurrent, joint or shared Police: usually shared, occasionally concurrent or joint, rarely federal or CU joint = to orders make concurrent decisions; concurrent = both make laws in defined areas; shared = different legal powers, decisions are made independently | Diapositive 44 |

Relationship between the federal units Competitive federalism –There is competition between the different federal units to the benefit of the citizens (exit, voting by feet) Solidary federalism –Compensation of disadvantages among the federal units, equalization systems, co-operation. | Diapositive 45 |

Competition Many economist argue that a federation should minimize the extent to which constituent units use tax competition to influence companies and individuals to locate in a particular area (limited control over mobile taxpayers). Danger: downward spiral of tax rates, loss of revenues, focus on other taxes. Some economist favour fairly extensive tax competition because they believe it can promote better services (Anderson 2008: 31). | Diapositive 46 |

Different revenue and spending arrangements In some countries, the central government dominates the levying and collection of revenues as well as the delivery of programs. In other countries, the constituent units play a more important role in the collection of revenues and their expenditures are larger. | Diapositive 47 |

Central-government revenues relative to total government revenues | Diapositive 48 |

Central-government direct spending relative to total government spending | Diapositive 49 |

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Transfers to constituent units In all countries central government raises more revenue than it spends for its own needs. Some transfers are unconditional, others are conditional (and for example promote the achievement of national purposes or standards). | Diapositive 51 |

Central transfer relative to constituent-unit spending | Diapositive 52 |

Tax system Income tax and value added tax Which shares go to the different tiers? Who decides on the tax rate? | Diapositive 53 |

Income tax SchweizKanadaUSADeutschlandÖsterreich Einkommenssteuer (Lohnsteuer) Einziehende Stelle Bund, Kantone, Gemeinden Bund, ProvinzenBund, Staaten Steuerverbund (Gemein- schaftssteuer) Bund Anteil Bund Anteil Gliedstaatenca Anteil lokale Ebeneca Steuerföderalis- mus Bund regelt Steuerbasis und Progression, über die Höhe entscheiden Provinzen Steuerföderalis- mus harmonisiert (Verteil- schlüssel) Nach Stalder 1999, eigene Ergänzungen | Diapositive 54 |

VAT SchweizKanadaUSADeutschlandÖsterreich Wahrenumsatz- steuer Anteil Bund Anteil Gliedstaaten Anteil lokale EbeneSpezialsteuern Weitere Umsatzsteuern VerteilungVerteilschlüssel Nach Stalder 1999, eigene Ergänzungen

Disparities: transfers and redistribution systems Usually there are transfers from central government to the constituent units. In Switzerland and Germany there also transfers from richer to poorer constituent units. What is the aim of the equalization: minimal standards, same level, within a range, super-equalization? The importance of unconditional transfers in equalization programs varies. Conditional transfers can also include equalization considerations. Central government spending (investments) in specific areas can also have a equalizing effect. | Diapositive 56 |

Vertical Relations In federations the two houses the parliament are constituted on different representative principles, with one chamber (usually the upper house) using a formula based on constituent units whereas the system for the lower house is closer to the representation by population are elected or namend in different ways can have quite similar or distinct powers | Diapositive 57 |

Bundesrat (Germany) Probably the most distinct Upper House Länder delegates are not elected but named by their governments and officially led by their minister- presidents Legislation that affects the Länder must be approved by the Bundesrat | Diapositive 58 |

Representation in the Upper House Equal number of members from each full constituent units: Argentina, Australia, Brazil, Nigeria, Mexico, Russia, South Africa, Switzerland Unequal number with weight given to population: Austria, Belgium, Canada, Ethiopia, Germany, India | Diapositive 59 |

Power of the Upper House US: Senate has all power of the House of Representatives, but it alone approves key appointments, declarations of war and treaties. Argentina, Australia, Brazil, Switzerland: absolute veto power Germany: Veto over matters affecting Länder and suspensive veto over other matters India, Nigeria: veto of the Upper House can be overridden in a joint sitting of the two Houses Austria, Malaysia, Spain: Suspensive veto only Canada: extensive legal powers but only uses them to revise and delay Belgium: Veto on all matters that can affect the federal system. | Diapositive 60 |