Federalism

Definition

A form of government whereby the States and the National Government possess sovereign powers
to ensure that they can perform their respective functions and mandates while maintaining political
cooperation, balance, harmony, continuity and integrity. The States must manage their domestic
affairs and maintain organizational viability, but must also contribute for the sustenance of the
National Government (Brittanica, n.d.)
A state in which there is a constitutionally guaranteed division of powers and competencies between the
central government and the constituent federal units (regions, states, etc.,)

The principle of combined “self-rule and shared rule” (Rivera)

Federalism provides a constitutional organization that allows action by a shared government for certain
common purposes while permitting for autonomous action by constituent units of government for
purposes that relate to preserving their distinctiveness, with each level directly responsible to its
electorate. He also cited three major lessons from the various experiences on federalism since 1945:

“First, federal political systems do provide a practical way of combining, through representative
institutions, the benefits of unity and diversity, but they are no panacea for all of humanity’s political ills.
Second, the degree to which a federal political system can be effective will depend upon the extent to
which there is acceptance of the need to respect constitutional norms and structures and upon an
emphasis on the spirit of tolerance and compromise, Third, effectiveness also depends upon whether the
particular form or variant of federal system that is adopted or evolved gives adequate expression to the
demands and requirements of the particular society in question.” (Watts, 2002)

Federal systems have typically emerged in response to at least two important historical realities:

• 1) the need for greater unity and security by constituent states in the face of serious military threats,
especially external ones.

• 2) the need to sustain the integration and diversification of polities divided by deep ethnic, religious,
linguistic differences, especially when such divisions assume separatist forms. (Rivera)

Why Countries Go Federal?

There are theories that are useful lens in understanding the reason why countries shift to a federal
form of government. The first theory is the “ideational theory of federalism.” This theory states
that the impetus for the shift to a federal form of government hinges on the consensus of society,
in general, including the political decision and opinion makers. This theory can help explain the
origin of federalism in the United States. The framers of the Constitution of the United States, such
as James Madison, saw federalism as the means to share resources across states while at the same
time respecting the accountability of the states. (Rodden, 2005)

The second theory is the “cultural-historical theory of federalism”. Under this theory, what makes
countries embrace federalism is attributable to the cultural differences among the population. The
Canadian version of federalism, which respects the cultural diversity of the provinces, can be partly
explained through this theory.

The third theory is the “social contract theory of federalism”. This theory suggests that federalism
is tenable if there is a balance of an equally strong National and State governments, in which
neither the national nor the state entities can overpower the other. Some of the countries that
adopted federalism can be analyzed using this theory, especially the United States and Switzerland.

The fourth theory is the “infrastructural power theory”. This theory advances the idea that a central
government creates regional governments or states not because of the need to secure military
power, but because of infrastructural power. (Ziblatt, 2006) Michael Mann describes
infrastructural power as the capacity of a national government to enforce political will to regional
governments or the states (Lai & Slater, 2006). A federal government that cannot implement policy
within its jurisdiction will fail regardless how militarily powerful it is.

Political scientist Jose Abueva, for instance, espouses a transformation of the existing decentralized
unitary system to a federal system by 2010.

He proposes that the transition to a federal state be done in two phases in a span of ten years starting
2000 to 2010 to allow for a careful examination of proposed constitutional changes, discussions and
exchanges of ideas throughout the nation, and acting on the changes together as a whole. The ten-year
period will also prepare the nation for such a change in the political system. The first phase, according to
him, will require the amalgamation of the existing 14 administrative regions plus the Autonomous Region
of Muslim Mindanao (ARMM) into 10 larger administrative regions and granting them more substantial
regional and local autonomy. This process that he calls “regionalization” should continue until 2009-2010.
The second phase will be the constitutional amendments or revisions to institute a federal system as well
as other reforms that will be drafted and completed in 2008-2009. The ratification will be done in a
plebiscite to be held in 2009. He envisages the amended or revised constitution to take effect in 2010.

“Meanwhile we have to accelerate the process of government decentralization under the 1987
Constitution both ways: by de-concentrating national government administration to the regional centers
and by devolving more national government functions to the local government units through continuing
amendments to the Local Government Code of 1991. At the same time, we have to reorient our people…
towards greater self-reliance and responsibility through local governance and development, including
developing their capacity to raise more local revenues and generate funding for local development, and
to attract investments.” (Abueva, 2000)

Senator Aquilino Pimentel, a major proponent of the move to adopt a federal system of government, in a
primer presented at the annual convention of the Integrated Bar of the Philippines at Tacloban City last
April 2002 identified two main reasons why the federal system is better than the present unitary system.
According to him the federal system has the structures needed to: a) hasten the economic development
among the various regions of the country by allocating power which at present is concentrated in the
central government to the regions that will be converted to federal states. The devolved powers will allow
the federal states to mobilize their resources for development without being hindered or controlled by
the central government; and b) dissipate the causes of the recurrent armed Moro challenges against the
government and, thereby, lay the basis for a just and lasting peace in Central and Southwestern Mindanao.
(Pimentel, 2002)

1. The basis for establishing a federal system is that the Philippines has already achieved sufficient national
unity and democratization, including a measure of decentralization and local autonomy. The latter will
follow about a decade’s transition of “regionalization” and increased local autonomy involving both the
national government and the local governments.

2. Specifically, the 1987 Constitution’s design for the development of participatory democracy, local
autonomy, and an active role for civil society in governance was a result of the growing difficulties and
frustration with the country’s highly centralized unitary system during the authoritarian regime that
started in September 1972.

3. Federalism will respond to the demands of local leaders for their release from the costly, time-
consuming, stifling, and demoralizing effects of excessive centralization and controls by the national
government in the present unitary system.

4. The structures, processes, and responsibilities of the federation will challenge and energize the people
and their state and local governments. Such further democratization will encourage creativity, initiative
and innovation, spur interstate competition, and foster state and local self-reliance instead of continued
dependency.

5. A federal system will greatly increase the capacity of the people and the government to deal with the
country’s problems because the removal of the centralized structure that impose and sustain local
dependence and stifle local initiative and resourcefulness will provide greater freedom and home rule.
Therefore, they will be more interested in state and local governance because it is closer to them and will
deal with under-development – local poverty, unemployment, injustice, inadequate social services and
infrastructure, and low productivity.

6. In a federal structure that will consolidate the 80 provinces of the Philippines into 8 to 10 larger,
integrated and more efficient and viable regions called states, substantial, faster and equitable
development for the whole country is more likely to be achieved.

7. By participating in meaningful and challenging politics and governance at the state and local levels that
impact directly the lives of the constituents, the people will be more empowered than if they continued
to be alienated from their weak local governments and spectators in the affairs of far away national
government institutions in the nation’s capital. Moreover, the people’s liberty will be protected by the
further dispersion of power in the government and the society.

8. By governing the nation through interdependence and interaction with the states as regional
governments, using the national language and a global language (such as English), the federal government
will be better able to achieve and sustain national unity and identity. At the same time the states will be
able to nurture, protect and enhance their regional cultures institutions and also contribute to national
cultural development. Together the federal government and the states will be able to develop and sustain
the nation’s cultural diversity and social pluralism.

9. A federal system will also be better able to respond to the external threats to national security and the
challenges of globalization by strengthening the nation-state’s capacity to deal with its critical internal
problems and development.

10. As a special metropolitan local government, Metro Manila, the present national capital, will have the
structure of a state and will be able to deal more effectively with its problems as the nation’s principal
metropolis. A planned new federal capital at the former Clark Air Base in Central Luzon will enable the
federal government to function more efficiently by having the principal institutions and offices of the
federation located in proximity to one another and accessible to Metro Manila by rapid transit. (Abueva,
Towards a Federal Republic of the Philippines with a Parliamentary Government by 2010, 2002)

Ten-year Preparation Plan prepared for the adoption of a Federal Government (Brilalntes, 2002)

Year Action
One Setting up of an institution(may be based in an academic institution, or may be a network of
consortia of institutions) that will serve as the base of information related on federalism
(databank models of federal government, facts and figures on proposed states, and current
local governments, proceedings of local and international conferences on federalism,
devolution and local autonomy, policy papers and position papers on federalism, etc.,)
Design of a web-page on the Federalism Movement in the Philippines
Laying the groundwork for a network on federalism (civil society, academe, “politicians”, etc.,)
Full implementation of decentralization as defined by the Local Government Code that is
fundamental in laying the ground for local autonomy of sub-national institutions which is
lynchpin of federalism.
Two Formalization of Network Federalism
ID Cards issued to members of the Movement for a Federal Republic of the Philippines (MFRP)
Recruitment of members of MFRP
Organize local chapters for the MFRP
Network with international organizations supportive of federalism (such as the Canada-based
International Forum of Federations) to harness their support
Launching the web-page on the MFRP
Conduct of public consultation on amendments on the Local Government Code
Begin the massive information dissemination campaign for federalism
Three Organize local chapters for the MFRP
Conduct of public consultations on amendment on the Local Government Code
Conduct Seminars, Workshops, Conferences on Federalism
 Four Implementation of amendments to the Local Government Code within the context of full
devolution
Conduct seminars, workshops, conference on Federalism
Five Conduct seminars, workshops, conference on Federalism
Six Election of delegates to the Constitutional Convention
Conduct seminars, workshops, conference on Federalism
Seven Holding the Constitutional Convention that would consider the shift from a unitary to a federal
form of government
Conduct seminars, workshops, conference on Federalism
Eight National Government Agencies affected by federalism will conduct an inventory of resources
and equipment that will be affected by the federalism process
Conduct of consultation with personnel of national and local government agencies that will be
affected by federalism
Conduct seminars, workshops, conference on Federalism
Nine Conduct seminars, workshops, conferences on Federalism
Ten Adoption of the Constitution of the Federal Republic of the Philippines
Conduct seminars, workshops, conferences on Federalism

(Brillantes & Moscare, 2002)

Federal Government and Its Benefits

On Tax

Locals Decide For Themselves

locals being able to decide for themselves, more power over funds, resources, promotes
specialization, possible solution to the Mindanao conflict, decongestion of Metro Manila, lessens
dependence in Manila, brings government closer to the people and encourages competition.

Archipelagic Characteristics

Since Philippines is frequently visited by typhoons, it is difficult to reach some islands making it
hard to respond to their immediate needs He then added that the best system of governance under
these circumstances is one that is sufficiently decentralized. The response mechanism to natural
calamities must be locally crafted, suitable-for the most part to local conditions. In general, how
to minimize adverse impacts of natural calamities or how to turn negative developments relative
to nature into regional assets should be comparatively easy for the local leaders to work on.

Scope for Innovation and Experimentation

Federalism has room for innovation and experimentation. Two local governments can have two
different approaches to bring reforms in any area of public domain, be it taxation or education.
The comparison of the results of these policies can give a clear idea of which policy is better and
thus, can be adopted in the future.
States have more autonomy to focus on economic development using their core competencies and
industries. The state of Central Luzon can focus on becoming an agricultural hub. The state of
Mimaropa, home to Palawan, can choose to use eco-tourism as its primary launch pad.

Federal Government and Its Disadvantages

Conflict of Authority
Sharing of power between the center and the states includes both advantages and disadvantages of
a federal organization. Sometimes there can be overlapping of work and subsequent confusion
regarding who is responsible for what. For instance, in times of disaster, what is the division of
responsibilities between state and national governments?

Framing of Incorrect Policies

Philippine society is made up of a multiplicity of interconnected and highly interdependent and
interacting parts—political subdivisions, geographic regions, communities, ethnic groups,
political, economic, religious and other types of institutions, and so on. Choices made and actions
taken in any of these components of society in pursuit of their respective interests invariably affect
the rest of the country, both positively and negatively.

Regionalism Over Patriotism

The mark of a great country is just how patriotic and prideful the citizens are to be a part of it.
Federalism, since it promotes smaller level of government, it also promotes smaller levels of pride.
It can begin to pit one region against another and take away from the feeling of patriotism that
should be present all over the entire country.

Uneven Development Among States

Some states may not be as ready for autonomy as others. Some states may not be as rich in natural
resources or skilled labor as others. States with good leaders will progress faster while states with
ineffective ones will degrade more than ever because national government will not be there to
balance them out.

https://cgvlomibao.wordpress.com/2016/11/20/federalism-pros-and-cons/

The following are some types of federalism according to how powers and functions between federal
government and state/local government are distributed:
1. Cooperative federalism

2. Competitive federalism

3. Coercive federalism

In Cooperative federalism, federal and state/local governments share responsibilities in certain

areas/services to ensure the operation of national programs throughout the country. The following
countries possess this type of federalism: Ethiopia, Germany, South Africa, United Arab Emirates, United
States, Venezuela and Yugoslavia.

In Competitive federalism, the federal government has a limited role in state/ local government. On the
other hand, state/local governments has a bigger role in managing their own affairs. The following
countries possess this type: Pakistan, Belgium, Australia, Brazil, Micronesia, Switzerland and United
Kingdom.

In Coercive federalism, the federal government continues to ‘direct’ both national and state policy. Laws
of state/local governments may be preempted by the federal government. Nigeria, which has a federal
military government, is the best example for this type of federalism.
Each type of federalism carries with it advantages and corresponding disadvantages which, to a large extent,
different from other types. For instance, coercive federalism of Nigeria, being dominated by federal military
government was just an evil incarnate of the very same system it had tried to avoid (e.i Dictatorship). The same
disadvantage is not present in competitive federalism, where the power of the federal government is greatly reduced
to give way to a more powerful local/federal government. One disadvantage of competitive federalism which is not
present in coercive federalism is that in the former, call for national obedience and mobilization is quite difficult
because of the powerful local political players, whose persona and influence, at some points, orchestrate the social
behavior of their constituencies. In the case of coercive federalism, call for national obedience is easy because of
the overwhelming authority of the federal military government.

are we ready for federalism?

After carefully weighing the advantages vis a vis the disadvantages of a particular type of federal system, another
issue that must be resolved is whether we, as a nation, ready for federalism right at the moment. This question was
answered by Prof. Mina Ramirez, President of the Asian Social Institute (Manila), in the negative. She pointed out
that Philippine political leaders, Filipino mindsets and values, and socio-cultural dimensions are not ready yet for
another system (such as federalism).1

1
In Socio-Cultural Dimensions of Federalism, posted on http//: www.kat.ph, accessed on Dec 11, 2007. Prof. Ramirez
does not absolutely dislike federalism, she even advocated for a Swiss Model of federalism for the country. However, she is aware
that before federalism is considered. Issues on whether we are ready as a people must be addressed. In her opinion, at the moment,
we are not ready.
(1) Let us examine our political leaders.

Most of our politicians are from wealthy families. Being so, they represent the sentiments of their class rather than
their poor and lower class constituencies. In a survey result shown by Eric Gutierrez of the Philippine Center for
Investigative Journalism in his book entitled Ties That Bind (1994), it was noted that only 13 members of the House
of Representatives representing 6.6% belong to the Lower Middle Class and all the rest belong to either Upper
Middle Class (49.2%) and Upper Class (44.2 %). 2 (See Fig.4) Generally, federal systems of what ever kind should
encourage wider participation by the populace, be it in policy formulation, planning, administration and electoral
processes. It would be extremely difficult, though admittedly possible, for a participatory governance to take place
without politicians from wealthy families sacrificing some of their personal interests.

Turncoatism is commonplace. Turncoatism means that politicians in our country switch parties almost every
elections. They do not run under a party because of its platforms and principles but because they consider several
factors, such as (a) party resources/finances; (b) winnability; (c) surveys; and (d) networks. That is the reason why a
candidate would change affiliations when another party demonstrates edge over one or two of these factors. In the
1994 elections, (right after EDSA II) many politicians, including then Congressman Villar, crossed party lines and
joined other politicians to organize a senatorial line up called K4. In the last 2007 elections, because of Gloria
Arroyo’s decreasing popularity, Sen. Manny Villar joined the very same party or group led by its figure head Erap
Estrada, whose impeachment, for the most part, was his (Villar) making. This character of our politicians is an
indication that they are not politically matured and thus are not fitted to take on another form of government. For
a politician to be matured, he must represent the ideals and principles of a party in various issues even if it would
cause him his post. Sadly, this is absent in most of our politicians.

(2) Next is Filipino Mind Sets.

Prof. Ramirez emphasized that genuinely good or morally upright Filipinos do not want to dip their fingers into
politics.3 They do not want to join the dirty game played by dirty players. There are two reasons I can think of, these
are: (1) they are afraid that politics would change them to worse instead of them changing the political culture; or
(2) they are aware that it is exceedingly difficult to win over well ingrained political figures. Some Filipino poor take
their chances in elections not because of noble designs but because they want to earn extra money from kickbacks,
bribes, SOP, and professional lobbying. Filipino mind set towards elections is equally alarming. Most Filipino voters
choose their candidates on the basis of, but not limited to (a) winnability; (b) utang na loob; (c) face-value (hitsura);
(d) charisma; (e) media exposures; (f) eloquence; (g) pakikisama; etc. Majority do not vote on the basis of (a)
capability; (b) leadership skills; (c) knowledge of the job; (d) moral upbringing; and (e) fortitude. These are only few
manifestations of political immaturity of some Filipinos.

2
These figures are based on the 1992 Declaration of Assets and Liabilities; Personal Resumes; and other information.
3
In Socio-Cultural Dimensions of Federalism.
(3) Socio/Cultural dimensions.

Federalism does not promise to dismantle these well entrenched political clans. There is even a prospect that they
would be more powerful and influential because of the decentralization of authority and power. This was shown in
a study that was conducted by Prof. Emmanuel De Guzman for his masteral dissertation submitted to the Sociology
Department of Ateneo De Manila University. 4 For his analysis, Prof. De Guzman argued that the Local Government
Code of 1991 which guaranteed autonomy to LGUs, while maintaining the central unitary government, failed to tear
down the political clan operating in the research site.

According to Prof. De Guzman, the Code’s provisions for local autonomy, for one, granting corporate status 5 to LGUs
actually open the way to further entrenchment of traditional-patrimonial leaders. He claimed that by granting
corporate status to LGUs, the Code also accords them the powers normally conferred to private corporations such
as the power to generate and apply resources, enter into contracts, and negotiate and secure grants. These political
and economic powers granted to LGUs gave local dynasty opportunity to easily conspire with National Government
Agency functionaries who are supposed to check these powers. They also provide clan members with additional
resources to secure the personal loyalty of their henchmen and paint a philanthropic picture themselves by being
patrons, brokers, job givers, saviors in emergencies, even guardian angels of local people. More importantly, the
provisions strengthen the dynasty’s capacity for unilateral control of provincial power.

, in federal type of elections, it is almost certain that local elites could easily win votes. Clans in power can cleverly
utilize their money and influence to win votes. For instance, in a municipality with only 10 to 15 thousand voters, a
candidate can take the mayoralty position by just spending one thousand pesos per voter or a total of 10 million
pesos. This amount is not enormous for a candidate who earns an average of 100 million pesos from both legitimate
and illegitimate businesses. Admittedly, this electoral practice is also prevalent in the unitary system of government
that we have today and it is not likely to be addressed by Federal system either. Hence, the attributes of federalism
make this practice more widespread and rampant.

Uneven Distribution of Wealth among Local Units.

It can lead to neglect of some regions.

(1) Spillovers

This disadvantage is especially important with political decentralization and federalism. Activities undertaken in one
region can affect the activities and well-being in other regions. These spillover effects can work both ways, positive
as well as negative. Positive spillover effects create advantages for other regions. For example, when a region has
a very good educational system, eventually some of the well-educated citizens will move to other regions. These

4
Emmanuel C. De Guzman, ‘The Local Government Code and the Reconstitution of Power in a Philippine Municipality’,
In The Loyola Schools Review Vol.1, (Quezon City, Office of Research and Publications, ADMU, 2001), pp. 67-88.
5
Local Government Code of 1991, Title 1, Chapter 2, Sec. 14.
regions will then also benefit from the better educational system in other regions. But what are alarming are its
negative effects. Negative spillover effects mostly have to do with pollution created in one region which spreads to
other regions. The provision of public goods that produce positive spillovers will be too low. This is because the
benefit that the public good produces for other regions is not taken into account by the region which produces the
public good.

(1) States and local governments lack sufficient expertise in several areas.

States and local governments may lack sufficient expertise in the following areas:

1. Defense
The national military forces as it is now is having difficulty in countering terrorism because of several factors : (1)
limited resources; (2) Poor intelligence system; (3) Corrupt Military officials; (4) Crude and outdated war machineries
and (5) scarce number of recruits.
For sure, (1) local government units cannot equal the limited resources of the national government, they are far
behind; (2) cannot forge wide network as the national military organization; (3) and they have scarcer number of
would be recruits.
a young federal government that we are to start, fragmentation in the military is in the horizon. Why? Local units
would initially be overwhelmed by the power dispersed to them and hence would have the tendency to establish a
provision in their independent constitutions their own military force. This is to protect and shelter the power they
possess. It would be difficult, if not impossible, to secure local powers without the use of might and arms.
2. Environmental Problems
3. Advent of International criminality
4. Disaster Avoidance and Management
the Philippine Government established National Disaster Coordinating Council (NDCC) . It is mandated to establish
policy guidelines on emergency preparedness and disaster operations involving rescue, relief and rehabilitation.
Corollary to this, disaster management has become uncomplicated. Now, if federalism could not provide the same
organization and harmony, disaster management would be difficult.

The difficulty would lie on the fact that in federal system of government there is likely a confusion of functions and
responsibility between Federal government and State Government in case of disasters.

(2) State and local officials tend to be parochial.

Local leaders like governors, mayors and others would tend to be bothered so much with their local concerns,
disregarding national interests

What federalism cannot do?

(3) Federalism cannot solve the Mindanao Conflict—

In a federal system, the likely scenario is this: families will continue to war against each other because they would
compete in the political arena where local control and power is the prize. Hence, Federalism, in its hope to eliminate
and resolve the problem in Mindanao would not be effective. Moreover, federalism would even contribute to further
the proliferation of these family conflicts.

(4) Federalism cannot solve the problem of poverty---

whether regional growth rates in decentralized periods are higher than in centralized periods, provided that the
national growth rates are similar. In this approach, they did not find a positive relationship between decentralization
and growth

there is no positive relationship between decentralization and economic growth.

(5) Federalism cannot addressed the continuing cry for cultural recognition---

Federalism’s banner is ‘unity amidst cultural diversity’

Conclusion

“We need to focus upon our oneness as a people. Let us highlight the positive things we have in common, rather
than our differences. For a nation is bound by the things that it loves or identifies with. The essence of nationhood
is thinking, feeling, and caring for the nation as a whole, not only for an elite minority, one’s region or sector but for
the vast majority of our people---whether Christian, Muslim, Lumad, peasant, poor, women, leftist, loyalist or other”

Conclusion

Another concern that should be addressed in pushing for a federal system is the capacities and
capabilities of the state and local governments. While preparing for federalism, the government should
be more decentralized. It is necessary to promote and develop self-reliance in the local governments that
will be converted to states. They should have the capability and resources to function effectively as states
under a federal government. They should be enabled to respond to the needs and demands of the
community and fulfill their roles under a federal set-up. Parallel movement, therefore, of devolution and
federalism is vital.

The move toward federalism should be purposive and deliberative. The process should also be
participatory and broad-based. Various sectors of society must be involved to effect change that will be
beneficial to the nation. Time to study, discuss, debate and consider other alternatives for change is
important. As Abueva put it, “we should not repeat the haste under pressure in making our present (1987)
Constitution.” (Brillantes & Moscare, 2002)