联邦主义理论与实务研究

郭国汀 · 发表于 11/13/2013 01:01:54

Theidea of Government services: States have a strong and leadingrole in responding to domestic needs, and crucial for developing nationaldomestic policy and programs. Responsibility for government functions can be share in three majorways: through policy making, finance, and administration,[1] to offer effective and qualityGovernment services as cheap as possible.Citizens have become increasing by dependent on a wide range of publicinstitutions for the prevision of services-education, poverty relief, publichealth, and health care, work place protections and supports, the regulation ofmarkets, transportation, environment protection, parks and recreation-the listgo on. Roosevelt’s New Deal, Johnson’s Great Society, Reagan’s 1981-1982 cutsin federal domestic spending, all extending the government services which includingeducation, health, welfare, streets and highways, parks and recreation, policeand fire protection social service libraries, the arts, child care, aid for theaged and disabled, drug treatment. Same sex marriage, assist suicide, legalize drugs,nude park. Public policy such as family law and foreign affairs, dualfederalism, public health, trade and expert promotion and highway construction,environment protection and civil rights, education, health and welfare,transport, public security, social insurance, interest; intergovernmentalrelation, homeland security, toward more cooperative model of intergovernmentalrelations which is called the cooperative federalism.

[1] KimberleyS.Johnson, Governing The American State: Congress and The New Federalism,1877-1929. Princeton & Oxford Princeton university press. 2007.P.15

郭国汀 · 发表于 11/13/2013 01:02:27

Thephilosophical foundations of American federalism,the common wealth legacy of failed English republican revolution of the 17century, in the writings of James Harrington, the works of Machiavelli, JohnLocke, Algernon Sydney, John Milton, David Hume, Rousseau and CharlesMontesquieu.[1] The idea of federalism involving such termsas : Representation, consent, authority, legitimacy, obligation,responsibility, accountability, virtue, morality, humility, sovereignty, law,power and the common good or general welfare; These in turn have spawned therule of law, balance of power, and separation of powers, public versus privateinterest, tradition and hierarchy. It focus on political ideas and movement;liberty, equality, justice, natural rights, constitutionalism, democracy,republicanism, whiggism, toryism conservatism, liberalism, secularism, voluntarism,and utility.

[1] MichaelBurgess, Comparative Federalism Theory and Practice. London, Roultege,2006. p.67

郭国汀 · 发表于 11/13/2013 01:10:28

Themain reason for federalism

ThomasHobbes’s famous remark that “a general inclination of all mankind, a perpetualand restless desire for power after power, that cease only in death”[1];whileJ.S.Mills’ prominent notice that “ the natural tendency of political power tobe abused to promote the particular purposes of the hold;” Montesquieu’seminent principle of Separation of Powers[2],and Tocqueville’scelebrated observed “the power extends its arm over the whole community,prevents, compress, enervates, extinguishes and stupefies people, till eachnation is reduced to nothing better than a flock of timid and industrialanimals, of which the government is the shepherd”. [3]
To describe the dangerousLeviathan, American Political scientist Thomas Dye observes that “all governments,even democratic, are dangerous. They wield coercive power over the wholesociety. They tax, penalize, punish, limit, confine, order, direct, andregulate. They seize property, restrict freedom, and even take lives, all underthe claim of legitimacy”. [4] Asto current world, American political scientist Kimberley Johnson sharply pointout: Political institutions and public policy appear to be out control,dominated by an unholy alliance of career politicians, special interest groups,and Government bureaucrats. Each pursues its own agenda rather than the broaderpublic interest. [5]

Fromabove famous statements we can safely said that to deal with the imperfecthuman nature, such as crazy desire for powers, prevent the abuse the politicalpowers, in order to protect people avoid the tyranny with separated the power and restrain thedangerous Leviathan, is the main reason why human being choice the federalism.

[1]Hobbes justified the creation of government by arguing that it was the onlyalternative to anarchy, a war of all against all, and life is ‘solitary, poor,nasty, brutish and short’. Only the ‘continual foul and danger of violentdeath’ justified the establishment of a Leviathan.

[2]
Montesquieu, De le sprit des lois, (Paris,Garnier, 1973) I . p.141-44. Quota Dye1990, p.8.

[3] Alexis deTocqueville, Democracy in America, translated by George Lawrence,FontanaPress 1994

[4] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.1

[5] KimberleyS.Johnson, Governing The American State: Congress and The New Federalism,1877-1929. Princeton & Oxford, Princeton university press. 2007.P.1.

郭国汀 · 发表于 11/13/2013 01:13:02

The origin offederalism

It is said the federal idea roots in the Bible, which is thecompact between God and the Israelites. Federalism originates from the Latinword ‘foedus’ which means compact or covenant. Historically,the federalism represented a political compact between two different levelpolities.[1] In16 century, a German thinker Johannes Althusius asserted the idea of ‘sharedsovereignty in a contractual union between the constituent political entities’,[2] hewas named as the ‘father of federalism’. Thus, Federal ideas, concepts andprinciples have existed long time immemorial, but the modern federal system, isfirst emerged at American. [3]Many forefathers came to American with the love of adventure, some in the hopeof making fortune or securing wealth, the largest desire to escape thetyrannical rules; they sought freedom and liberty of action, for the privilegeof self-governing they willingly endured privation in a wilderness. [4]

Thephilosophical foundations of American federalism are mainly the in the works ofJames Harrington, Machiavelli, John Locke, Algernon Sydney, John Milton, DavidHume, Rousseau and Charles Montesquieu.[5] Asan expert in federalism British political scientist Michael Burgess noted that“Republicanism means that popular sovereignty, political authority enshrined inthe people, and self-government base on consent. Three political ideas andmovement of the American federal experience: republicanism, democracy andconstitutionalism, embraced the elemental notions of liberty, equality, justice,representation, consent, authority, legitimacy and accountability.[6]Thefounding fathers created the compound republic government (between federal andunitary nation) and name it ‘federal’. [7]

Fromthe origin of federalism, we believe that seek for freedom and self-rule andget rid of tyranny is the motion for people to create the federal system, toprotect individual’s rights.

[1] Jan Erk, ExplainingFederealism, London, Routledge. 2009. P.2

[2] Jan Erk, ExplainingFederealism, London, Routledge. 2009. p.3

[3] MichaelBurgess, Comparative Federalism Theory and Practice. London, Roultege,2006. p.73

[4] Henny L.West, FederalPower: Its Growth and Necessity,New York, Georgh H. Doran Co. 1918.P.15.

[5] MichaelBurgess, Comparative Federalism Theory and Practice. London, Roultege,2006. p.67

[6] MichaelBurgess, Comparative Federalism Theory and Practice. London, Roultege,2006. p.69

[7] MichaelBurgess, Comparative Federalism Theory and Practice. London, Roultege,2006. p.74

郭国汀 · 发表于 11/13/2013 01:14:58

What is themeaning of federalism?

To define any term is not easy job. The conceptions of federalism areextremely rich. There are numberless definition about federalism, but hardlyaccepted commonly. Federalism and federation have the similar meaning; sometimeeven exchange used, but usually the former focus on idea, later mainly concerninstitutions and political organization.

Thepolitical scientist K.C.Wheare defines federalism as “a form of governancewhere the orders of government are coordinate and independent”;[1] althoughthis definition is concise, it seems did not tell reader the clear meaning ofthe term. Daniel Elazar defines federalism as “ the mode of politicalorganization that unites smaller polities within a political system bydistributing power among general and constituent governments in a mannerdesigned to protect the existence and authority of both national andsub-national political system enabling all to share in the overall systemdecision-making and executing process”;[2] thisdefinition has the merit to certify sphere of the federal system divide andshare political power between central and local government, but bear them inmind proved a hard work. Political scientist Paul E.Peterson defines federalismas “a system of government in which powers are divided between higher and lowerlevels of government in such a way that both levels have a significant amountof separate and autonomous responsibility for the social and economic welfareof those living within their respective jurisdictions”;[3]thisdefinition is similar as the former one also hard to remember. However, political science Professor ThomasDye point out that Federalism is not merely a decentralized nationalgovernment, neither the existence of administrative units of the national government,nor intergovernmental relations. It is not an effect to achieve cooperationbetween the national government and state and local governments in carrying outnational policy. Federalism is not a managerial concept, nor representation ofstate or local units of government in the national government. [4]State and local governments are political systems. Their primary functionremains political, not managerial.

Thus, Federalism has broader and narrow meaning, the formerincluding decentralization of government, administrative,managerial and cooperation between government; later only limited to politicalpowers; the simplest definition is “self rule plus dividing andsharing powers”; Itis both societal and institutional phenomenon, former like ethnicity, languageand class are usually territorially based; later denotes the institutionalconfiguration of the political system. [5]Federalism and federations are about structuring and organizing politicalpower; itsstructure ensured that the national government and the sub-states each hadtheir respective and limited sphere; its organization show as the dualgovernment, national one would remain small and limited.[6]

Federalgovernment emerges in response to diversity and conflict within a society; itallows ethno-linguistic diversity peoples, with conflicting policy preferences,to be brought together in a single nation[7],and it permits different cultural communities to coexist and serves to protectminorities; Because the Federalism is political system with the ideas ofcombining self-rule and share rule, where more levels of government aresovereign within their specified jurisdiction;

A federal arrangement in essence is partnership, founded by acovenant, whose internal relationships reflect the special kind of sharing thatmust prevail among the partners, base on a mutual recognition of the integrityof each partner, to foster a special political unity[8]. Federalismattempts to maintain the delicate balance between the federal governmenttendency to favour centralization and the will of the units to preserve andexpend their own power.

Federalism is a liberal idea; territorial self rule cannot exist inany meaningful in an authoritarian regime; such as so-called federalism informer communist regimes, Soviet union, Yugoslavia,Czechoslovakia, even China has so called “minority national autonomous district”, which all are fake for people under totalitarian regime without liberty atall. Thus, the logic of federalism that each level of government is sovereignwithin its own jurisdiction.

A federation is a polity compounded of strong constituent entitiesand a strong general government, each possessing delegated powers by the peopleand empowered to deal diversity with the citizenry in the exercise of thosepowers.Federation is an “auxiliary precaution against the monopoly abuse of power by asingle centralized government”.

Thevalue of federalism provides protection of individuals from the immense powerof government; facilitates party competition, stimulates politicalparticipation, assists in managing conflict.[9]Pluralism among elites is behaved to provide better protection for individualliberty than a single elite. Restrictions are safer than a strongand vigorous state, because it is less likely to be oppressive. Dispersed anddivided power is less dangerous than concentrate power, and the cumbersomedecision-making procedures in a federal state make it less likely thatunpredictable eruption of popular sentiment will be reflected in public policy.Even if government tries to be oppressive, other lever, and judiciary, willprevent it from doing too much harm[10].Therefore,the federal system offers better protection for minority rights thannon-federal systems.

[1] K.C.Wheare, FederalGovernment, London: Oxford University Press. 1946. P.3.

[2] Elazar, DanielJ. TheAmerican Partnership: Intergovernment Cooperation in 19 Century USA.Chicago: University of Chicago Press. 1966, p.2. see Dye 1990.

[3] Peterson, PaulE., CityLimits. Chicago: University of Chicago Press. 1981.P.67

[4]In the US Supreme court’s Garcia decision(1985) defined federal system as “the legislature of the national government iscomposed of individuals elected from sub-national units of government .” Thomas Dye complained “such a vacuousdefinition”! He criticized the Supreme court as the interpreter of theconstitution and arbiter in disputes between states and nation, wronglyrejected the original constitutional formulation of federalism in the case.

[5] Jan Erk, ExplainingFederealism, London, Routledge. 2009. P.1

[6] KimberleyS.Johnson, Governing The American State: Congress and The New Federalism,1877-1929. Princeton & Oxford Princeton university press. 2007.P.1.

[7] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.177

[8] See DanielElazar, “ Exploring Federalism”, quota Reeta C. Tremblay, Mapping the Political Landscape,Thomson Nelson. 2005. p.261.

[9] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.176-77

[10]TheFederalist. Edited by JacobE.Cooke, Connecticut, Wesleyan University Press, 1961. No 10. p.56-65

郭国汀 · 发表于 11/13/2013 01:18:21

Theprinciple of federalism

Federalism have several principles, the first one is to divide political powersand create checks and balances in the political system, that is, offer a protectionagainst absolutism and authoritarianism through limits power and make politicalpower check and monitor other powers; the second principles have the territorialdispersion of power with dividing and sharing powers and competition betweendifferent level of governments;[1] thethird principle is that government seeks to reconcile unity anddiversity, through exercise of political power with multiple autonomous levels;the fourth principle is combine the self- rule and shared rule. Link differentunits to pursuit of common ends while maintaining the respective integrities ofall parties. Diffusion of power between central and local governments, Sharedecision making and executive process, maintain respective integrities.

Therefore, through divide and share powers and check and balancepolitical system, autonomy, self government, the federal system offer the bestpossible of protection for minority and individuals, for the largest and mostdangerous abuser is government itself.

[1]Michael Burgess,ComparativeFederalism Theory and Practice. London, Roultege, 2006. p.84

郭国汀 · 发表于 11/13/2013 01:20:33

Competitionfederalism theory best explain why choose the federalism

Whyfederations arise in political reality? According to The Federalist paper, themilitary and foreign affairs and internal security were the principle objectsof concern. Federalism protect minority and enables culture, linguistic,religious, and ideological diversities to flourish. The federalism combines theeconomic advantages of large size with the possibilities for self-governmentthat exist in a small political community.

Preventingtyranny and protecting minority and individual’s rights is the mainconsideration of the United States founding fathers, because Mass are incurablyfactious, mischievous, passionate, selfish, the awesome powers of governmentmay be abused by selfish majority. Republic principle alone could not restraingovernment. Democracy offers little protection to individuals, democraticpolitical process alone cannot restrain governmental powers. Periodicelections, party competition, voter enfranchisement, and political equality mayfunction to make government elites more responsive to popular concerns, butthese processes do not protect minorities or individuals, from governmentdeprivations of liberty or property. Democratic political processes alone couldnot be depend on to restrain governmental power and protect the liberties ofindividuals. Federalism is not only competition between the national governmentand the states; it is also completion among states and local government. Thus,the main reason to choose the federalism is use federalism as a tool to protectthe minority and individual’s rights against the Leviathan tyranny.

ThomasDye create the theory of competition federalism is really eloquence, heexplained that the encourage not of rivalry among states and local governmentsto offer citizens taxpayers the best arrange of public service at the lowestcosts. [1]Constitutional arrangements must be devised so that the personal interest ofgovernment officials coincides with the public interest. The solution to theproblem of adjusting the self-interests of government officials to publicinterests is competition; Rather than rely on the better motives of statesmen,the funders sought to construct a government system incorporating the notion of‘opposite and rival interest’. [2] Thus,Federation is an auxiliary precaution against the monopoly abuse of power by asingle centralized government. Officials personal motives to enforceconstitutional limits on government power to protect individual’s right, thesolution the found advanced were federalism and the separation of powers withinthe national government. Federalism is the creation of ‘opposite and rival’interests among governments.[3]

ThenThomas Dye from the market perspective to argue that a market economy depend onvoluntary exchange, individual choose whether to enter into agreements base ontheir own calculation of net benefits to themselves. They affect the marketboth when they enter into agreements and when they decline to do so.Individuals are assumed to act in their own self-interest. Competitionstimulates them to offer more to other at lower costs. The competition ofpersonal incentives and competition creates efficiency in society as a whole,raising output and lowing costs. The market process working best when there aremany buyers and sellers, freedom of entry and exist, good information, andprotection of private property. Markets maximize individual choice, rely onvoluntary exchange rather than coercion, and provide personal incentives forsocietal progress. [4]Competition in the private market place forces sellers to become sensitive topreferences of consumers. Competition among governments forces public officialsto become sensitive to the preference of citizens. Just as the market place,lessened competition among governments results in higher taxes, poorerpreference, and greater inefficiencies in the public sector. Competition is thedriving force behind innovation. Intergovernmental competition inspires policyinnovation.[5]

Dyefurther asserted that competitive federalism, state and local governmentscompete for consumer-taxpayers by offering the best arrange of public good,service, at the lowest possible costs. Atruly federal government can achieve a far better match between preferences andpolities than a centralize government imposing uniform policies throughout thenation. Competitive federalism forces governments to improve services andreduce costs, to become efficient. It forces governments to make betterestimates of citizens preferences for public goods.[6]

RestrainingLeviathan is a problem of checking its growth as well as controlling its power.It may grow in response to the accumulated demands of interest groups, each ofwhich seeks concentrated benefits for itself knowing its costs can be diffusedthroughout society; or as a result of bureaucratic expansionism, or thepersistent demands of public employees backed up by the exercise of their vote.[7]

Federalismmust grant some political and financial independence, some responsibilities fordeciding about policy and paying for these policy decisions, to state and localgovernments if they are to be truly competitive. These governments must be ableto pursue a range of public policy, to provide a variety of public services.The costs of these policy decisions must be borne by the people in thesejurisdictions. Competition requires that voter-taxpayers within states andcommunities bear burdens as well as the benefits of their own choices.[8]

Federalismis a defense against tyranny. The main political goal on preventing the abuseof power; Creating “opposite and rival interest” within government protectminorities and individuals from abuse by particular governing elites or popularmajorities, either within the states or in the nation as a whole. A federalsystem, with many rival and competitive governments better protects individualliberty than a single government. But only a truly competitive federalismoffers protection against abusive government. But the most federalism ofmodern, are non-competitive and offer little protection against tyranny. [9]

[1] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.2

[2]Thomas R.Dye, American Federalism Competition Among Government, Toronto,Lexington Books. 1990, p.3Madison in No 51 of The Federalist point out that “Inthe compound republic of American the power surrendered by the people is firstdivided between two distinct governments, and then the portion allotted to eachsubdivided among distinct and separate departments. Hence a double securityarises to the rights of the people. The different governments will contracteach other; at the same time that each will be controlled by itself”.

[3] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.3

[4] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.14

[5] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.15

[6] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.14

[7] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.21

[8] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.5

[9] Thomas R.Dye, AmericanFederalism Competition Among Government, Toronto, Lexington Books.1990, p.6

郭国汀 · 发表于 11/13/2013 01:24:50

Conclusion: Except formilitary and security reason, dealingwith the human being’s crazy desire for powers, prevent the abuse the politicalpowers by government, in order to protect people avoid the tyranny withseparated the power and restrain the Leviathan, is the main reason why humanbeing create the federation; Seeking and fighting for freedom and liberty, self-rule and self-government is the motionfor people to establish the federal system. To protect minority and individual’srights,
federalsystem through “self rule plus shared rule” or “dividing and sharing powers”, ina complicated partnership political arrangement, protect people’s rights.Although some federal system were response to ethno-linguistic or religious andcultural diversity and conflict, there are a number of federal government haveno such factor, for example, Australia is closer to Germany and Austria in hisethno linguistic homogeneity. It has no territorially based diversity, the mostimportant political salient social cleavage remained class, and Australianpolitical system remains formally federal with nationwide political division.It is the most homogeneous federal system; [1]but the contents of politics have often divided the Australian politicallandscape. [2] Federalismas a liberal idea whileas a protection of individuals from the immense power of government, withPluralism among elites combine Restrictions with Dispersed and divided politicalpower, create checks and balances in the political system, although decision-makingprocedures might cumbersome under federal system, which finally provide thepeople, especially minority and individuals, the best possible protection against the Leviathan’s dangerous andinevitable abused power deprive people’s liberty and property.

[1] WilliamH.Riker, Federalism: Origin, Operation, Significance. Boston; LittleBrown & Co. 1964, p.113

[2] Jan Erk, ExplainingFederealism, London, Routledge. 2009. p.94

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