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Theme 3 Template
A GLOBAL DIALOGUE ON FEDERALISM
THEME TEMPLATE
Legislative and Executive Governance in Federal Countries
This theme draws on the following countries as case studies: Canada; the United States;
Federal Republic of Germany; Australia; Switzerland; India; South Africa; Malaysia;
Russia; Nigeria, Austria and Argentina.
GENERAL
In all federations, institutional arrangements are needed through which government
decisions are made and put into effect. In some respects, the questions that arise are
shared with any system of government, federal or not. The institutions must be
recognised as legitimate by the people they serve; they must work effectively; they
should be appropriately accountable; the formidable power of the state should be
dispersed between them. In a federal system, however, additional questions arise and
some old questions take on additional meaning. By definition, institutions must be
established for the constituent parts of the federation, as well as for the centre. This raises
questions about which institutions should be separate and distinct, and which, if any,
should be shared. Many federations exist to serve the needs of diverse peoples. In such
cases, particular attention must be paid to designing institutions that will be accepted as
legitimate, in all spheres of government. In any federation, the complex interaction
between the principles of federalism and the principles of representative (and in some
cases direct) democracy inevitably raises questions about the operation of each.
The purpose of this theme is to examine the range of governing institutions used in 12
very different federal or federal-type countries; to consider their rationale and
effectiveness; to explore their interrelationship with federalism. Consistently with the
purpose of the global dialogue, to assist countries to learn from each other's experiences,
country chapters should explain not only the formal institutional arrangements but also
their operation in practice, to enable them to be adequately understood. This template
provides a guide to the information that each chapter should contain. Questions that are
irrelevant to any country should be ignored. If the template omits questions relevant to a
particular country, however, or takes an unduly narrow perspective, please let the theme
coordinators know, so that the template can be adjusted accordingly, to make the
outcomes as useful as possible. In addressing the issues raised in the template, please bear
in mind that whilst a clear description of the constitutional and political reality in each
system (parts A-L) is essential, the analysis and conclusions (parts M-N) are perhaps the
most important parts of the chapter.
Some cross-cutting questions that should be covered at some point in each country
chapter and that should guide the development of the chapter include the following:
- Why is this country a federation? To what extent and how are these reasons for
federalism reflected in the design and operation of institutions?
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- Are the institutions generally accepted as legitimate by the people that they serve?
Are there any significant indications to the contrary, which might or should lead
to change? To what extent is the system overall characterised by the rule of law?
- Does this country tend to prefer governing arrangements that facilitate the
exercise of public power or arrangements that limit and control public power? Is
there a preference for effectiveness and efficiency, or checks and balances?
- Are the institutions of the centre and the constituent parts of the federation
separate and distinct from each other? To what extent and how is co-operation
encouraged? To what extent and how do institutions serve more than one sphere
of government? To what extent and how is power shared within central
institutions?
- What is the impact of the institutional arrangements on the operation of
federalism?
- What is the impact of federalism on the operation of representative government?
- What is the impact of electoral system/s on the operation of legislative and
executive institutions?
- To what extent is there a ladder of political office in central and constituent unit
legislatures and executives? What are the roles and relevance, if any, of incentives
for office, patronage, and corruption?
- To what extent does the operation of institutions in practice diverge from the
formal framework for them?
A INTRODUCTION
- Briefly describe some key features of the country, to assist understanding of your
chapter. What is its population size? What is the size of its territory? Are there
any characteristics of the territory relevant to the structure and operation of the
federation? How many constituent units are there? How do they compare to each
other, in terms of size, wealth and national influence?
- Briefly describe some key features of the system of government. Does it rely
exclusively on representative government, or is there an element of direct
democracy? Is it a republic, or is there still some form of monarchy? Is the legal
system based on the common law, on civil law, on another legal system or on a
combination of influences? Is the system of government stable, recently
established, or unsettled?
- Provide a very brief overview of the institutions of government that exist in this
country, to enable the more detailed material that follows to be put in context.
B THE PEOPLE
- Is the population basically homogenous? Are there significant differences
between segments of the population in terms of religion, language, ethnicity, or
anything else? If so, do these differences help to explain why a federal form of
government was established?
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- On what bases are the boundaries of the constituent units drawn? In particular,
what relationship, if any, do they have to differences between segments of the
population?
- Do people principally identify with the country, with their constituent unit, with
both or with neither?
- Do people consider themselves as citizens of the constituent units, as well as of
the country as a whole?
- Are there significant minorities within constituent units?
- In general, are there any other aspects of the constitution and distribution of the
population in this country that can assist understanding of why the institutions are
established as they are, and how well they work in practice?
C HISTORY
- To what extent and how does history explain the choice of institutions in this
country?
- Did the constituent units precede the centre as organised polities, or vice versa?
Did the institutions first established in one influence the choice of institutions for
the other?
- Has there been a history of conflict between peoples or regions in this country,
which the federal system is designed to resolve? If so, to what extent does this
history explain the choice of institutional arrangements?
- Are there any other aspects of the history that can assist understanding of the
structure and operation of institutions of government?
CENTRAL INSTITUTIONS
D THE CENTRAL LEGISLATURE
1. General
- What are the functions of the legislature, in theory and practice?
- Is the legislature bicameral or unicameral?
- What is the extent and nature of the relationship between the legislature and the
executive branch?
- Is the Head of State a constituent part of the legislature or does he or she play any
other part in the law making process?
- Are there any power-sharing or consociational arrangements built in to the
institutional design of the legislature? For example, rules requiring the inclusion
of minor parties or representatives from all constituent units in parliamentary
committees, inquiries, etc.
2. Lower House
- In accordance with what principles is the lower House composed? What electoral
system is used?
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- What is the rationale for the manner in which the lower House is constituted?
What (if any) is the influence of federalism?
- Who makes the electoral rules for candidates and voters for the lower House?
Within what parameters?
- In practice, what is the usual pattern of membership in this House? What effect
does it have on the operation of the House?
- What is the term of this House? Is it fixed, or can it be terminated early?
3. Upper House
- In accordance with what principles is the upper House composed? What electoral
system is used?
- What is the rationale for the manner in which the upper House is constituted?
What (if any) is the influence of federalism?
- If this House was conceived as a federal House, what was that expected to mean?
In practice, what role does this House play, from the perspective of federalism?
- Who makes the rules for selection of members of the upper House? Within what
parameters?
- In practice, what is the usual pattern of membership in this House? What effect
does it have on the operation of the House?
- What is the term of this House? Is it fixed, or can it be terminated early?
- What are the powers of this House, vis-a-vis the other House?
- How are deadlocks resolved?
E THE CENTRAL EXECUTIVE
1. General
- What are the functions of the executive, in theory and practice?
- Is the system best described as presidential, semi-presidential or parliamentary?
2. Constitution of the political executive
- How is the political executive selected?
- What, if any, is the influence of federalism, on the design of the executive?
- What, if any, is the influence of federalism on the way in which the executive is
constituted and operates in practice?
- Who makes the rules for the selection of the executive? Within what parameters?
- Are there any power-sharing or consociational elements in the constitution of the
political executive? For example, requiring a multi-party executive or a central
executive that contains representation from all regions or ethnic groups. If so, do
these requirements tend to result in consensus or conflict?
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3. Head of State
- Is there a separate Head of State?
- If so, what is the role of the Head of State?
- Does the Head of State play a role in relation to all spheres of government?
- How is the Head of State selected?
- What, if any, is the influence of federalism on the design of this office?
- What, if any, is the influence of federalism on the way in which this office
operates in practice?
- If there is no Head of State, who performs the role of the Head of State? Who
controls the armed forces?
4. Administration
- Does the scope of central administration mirror central legislative
responsibilities?
- What is the relationship between the administration and the executive branch?
- What is the relationship between the administration and the legislature?
- What is the influence of federalism on the structure, composition and function of
the administration?
5. Other institutions
- Are there other central agencies that are influenced by the federal character of the
polity (eg central bank)?
- Are there other central agencies that have a specific federal role? (eg fiscal
equalisation commission)
- Does federalism affect the structure or operation of central regulatory agencies?
F THE CENTRAL JUDICATURE
- Can courts declare actions of the central executive invalid, on constitutional
and/or other legal grounds? Which courts?
- Can courts declare actions of the central legislature to be invalid, on constitutional
and/or other legal grounds? Which courts?
- How is the federal nature of the system reflected in the structure of the judicature?
- Is there a single judicature or are there separate court hierarchies for each
sphere of government?
- If there is a single judicature what role, if any, do constituent units play in
making appointments to it and other decisions about it?
- If there are separate court hierarchies, how is their jurisdiction defined?
Do they merge, or share jurisdiction at any point?
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G INTERGOVERNMENTAL RELATIONS
- Is there formal/informal co-operation between the executives of the various
jurisdictions that comprise the federation? What form does it take? What purpose
does it serve?
- Is there formal/informal co-operation between legislatures? What form does it take?
What purpose does it serve?
- Is there formal/informal co-operation involving the administration? What form does it
take? What purpose does it serve?
INSTITUTIONAL ARRANGEMENTS OF THE CONSTITUENT UNITS
H LEGISLATURES
- Is the role of the legislatures in the constituent units and their relations with the
executive branch broadly the same as in the central sphere?
- Are the legislatures bicameral or unicameral, or a mixture of both?
- If the legislatures are bicameral, what is the rationale for this?
- In particular, are the legislatures designed to provide specific representation for
minority groups? Whether this is their design or not, do they in fact do so?
- What is the composition of the House(s)?
- What is the source of rules for the composition of the House(s)? What are the
parameters for them?
- Do these legislatures play any specifically federal role?
- What is the impact of federalism on the legislatures of the constituent units?
- Does the central Head of State play any role in relation to these legislatures?
I EXECUTIVES
1. Political executive
- Is the executive branch in the constituent units structured in broadly the same way
as at the centre?
- What is the source of the rules for the composition and structure of the executive
branch? What are the parameters for them?
- Is there a separate Head of State? If so, how is this position constituted? If not,
what role, if any, does the national Head of State play within this sphere of
government?
- What is the impact of federalism on the executive branch of the constituent units?
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- Other Institutions
- Are there any relevant sub-national regulatory agencies? What function/s do they
perform?
J ADMINISTRATION
- Does the administration of the constituent units carry out any functions for the
centre (a) directly or (b) indirectly?
- If so, which functions? How are these decisions made?
- How do these arrangements work in practice?
- What is the impact of federalism on the operation of these administrations?
K JUDICATURE
- Can courts declare actions of the executives of the constituent units invalid, on
constitutional and/or other legal grounds? Which courts?
- Can courts declare actions of the legislatures of constituent units to be invalid, on
constitutional and/or other legal grounds? Which courts?
- Do constituent units have their own court hierarchies? If so, is there any central
influence on the structure of these or appointments to them?
L LOCAL GOVERNMENT
- In general terms, what is the institutional structure of local government?
- Which institutions of local government are elected?
- Does the institutional structure of local government reflect population diversity,
by design and/or in practice?
- What is the source of the rules for the establishment and structure of local
government?
- What is the relationship between the decision-making organs of local government
and the institutions of the centre and of the constituent units?
ANALYSIS AND CONCLUSIONS
M CONSTITUTIONAL FRAMEWORK
- To what extent are arrangements for the institutions of government embodied in
the national Constitution or in the Constitutions of the constituent units?
- To what extent are they embodied in legislation?
- To what extent do they derive from convention or practice?
- To what extent and in what way have they evolved over time?
- What are the strengths of this approach?
- What are its weaknesses?
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N THE INTERACTION BETWEEN FEDERALISM AND
REPRESENTATIVE INSTITUTIONS
- What are the effects of the institutional design on the operation of the federation?
What are its strengths? Its weaknesses?
- What are the effects of federalism on the operation of institutions of
representative government? What are the strengths? The weaknesses?
- What future trends are evident at this time?

Global Dialogue is a joint project of the Forum of Federations and the International Association of Centers of Federal Studies.

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