TARABA STATE UNIVERSITY JALINGO

Course Outline
1. Conceptualization: Federalism; Features, difference between federalism and confederalism

2. Theories of federalism: Legal/Institutional theory, Sociological theory, Process theory and

Bargaining theory

3. Evolution of federalism

4. Types of federalism

5. Overview of Nigerian federalism; Origin, structure, features, contending issues and problems

6. Intergovernmental Relations in Nigerian federalism

7. Comparative case studies- USA, Germany. Australia, Switzerland, India, Russia and others

*Federalism*
THE word federalism is derived from the Latin word “FOEDUS” which means TREATY.
*Federalism* is a system of government in which power is divided and shared between a
central (national) government and individual states or provinces. It is a form of government
that is commonly found in larger countries and is characterized by several key features:

*Features of Federalism: *

1. *Division of Powers: * Federal systems clearly delineate the powers and responsibilities of
the central government and the regional or state governments. These powers are often
outlined in a constitution.

2. *Constitutional Basis: * Federal systems are typically based on a written constitution that
specifies the distribution of powers and the relationship between the different levels of
government.

3. *Autonomy of Subnational Entities: * In a federal system, states or provinces have a degree

of autonomy and authority to govern themselves in areas that are not explicitly reserved for
the central government.

4. *Supremacy of the Constitution: * The federal constitution is the supreme law of the land,
and both the central and state governments must operate within the bounds of the
constitution.
5. *Interdependence: * Federal systems often involve cooperation and coordination between
the different levels of government. They may share responsibilities in areas such as defense,
taxation, and infrastructure.
*Difference between Federalism and Confederalism: *

While federalism and confederalism both involve the division of powers between central and
regional governments, they differ significantly in their fundamental structures:

1. *Central Authority: *
- *Federalism: * In federalism, the central government is constitutionally independent and
possesses its own set of powers. It has authority over matters that are specified in the federal
constitution.
- *Confederalism: * In a confederal system, the central authority is weak, and most
significant powers reside with the individual states or regions. The central government's
powers are limited to those granted by the states.

2. *Sovereignty: *
- *Federalism: * In federalism, both the central and state governments are considered
sovereign within their respective spheres of authority. They coexist as equals under the
constitution.
- *Confederalism: * In a confederal system, states or regions retain their sovereignty and can
choose to withdraw from the confederation if they wish, as the central government's powers
are derived from the consent of the member states.

3. *Flexibility and Rigidity: *

- *Federalism: * Federal systems tend to be more rigid, with a fixed constitution that is not
easily altered. Changes to the distribution of powers often require formal amendments to the
constitution.
- *Confederalism: * Confederal systems are more flexible, as member states can modify the
confederal agreement or even exit the confederation more easily than amending a federal
constitution.

4. *Examples: *
- *Federalism: * Examples of federal systems include the United States, Germany, and
Australia.
 - *Confederalism: * The European Union (EU) is an example of a confederal system where
member states retain significant autonomy and delegate certain powers to the EU central
institutions.
THEORIES OF FEDERALISM
Theories of federalism provide different perspectives on how federal systems of government
function and why they exist. Here's a summary of the four major theories of federalism:

1. *Legal/Institutional Theory: *
- *Focus: * This theory emphasizes the importance of the formal legal and institutional
structures that define the division of powers between the central and regional governments in
a federal system.
- *Key Points: * It highlights the significance of written constitutions, judicial review, and the
role of legal institutions in maintaining the balance of power between different levels of
government. Legal/institutional theorists argue that federal systems are primarily defined by
the constitutional framework and the enforcement of those legal principles.

2. *Sociological Theory: *
- *Focus: * The sociological theory of federalism focuses on the social and cultural factors
that contribute to the development and stability of federal systems.
- *Key Points: * According to this theory, federalism often arises in countries with diverse
populations, languages, religions, or historical experiences. Federal systems can help
accommodate and manage this diversity by allowing regional governments to have a say in
matters that are important to their specific communities. Sociological theorists argue that
federalism can foster social cohesion and accommodate different societal groups.

3. *Process Theory: *
- *Focus: * The process theory of federalism emphasizes the dynamic interactions and
negotiations between central and regional governments within a federal system.
- *Key Points: * It suggests that federalism is not static but rather an ongoing process where
governments at both levels constantly engage in negotiations, agreements, and disputes.
These interactions can shape the distribution of powers and responsibilities over time. Process
theorists argue that federal systems evolve as a result of these interactions and adaptations to
changing circumstances.

4. *Bargaining Theory: *
- *Focus: * Bargaining theory examines federalism through the lens of political bargaining
and strategic interactions among political actors.
 - *Key Points: * It posits those federal systems emerge as a result of political bargains and
compromises among different groups or regions with varying interests. These bargains often
involve trade-offs between autonomy and cooperation. Bargaining theorists argue that
federalism can be seen as a solution to the collective action problems faced by diverse regions,
as it allows them to pool resources and share responsibilities while preserving a degree of self-
governance.
THE EVOLUTION OF FEDERALISM
The evolution of federalism is a complex historical process through which the nature and
distribution of powers between central and regional governments change over time. Here's a
summary of the key stages in the evolution of federalism:

1. *Early Experimentation (18th and 19th centuries): *

- *Focus: * Federalism began as an experiment in the late 18th century, notably with the
formation of the United States.
- *Key Points: * During this period, federal systems were established to address the
challenges of governing large and diverse territories. The U.S. Constitution of 1787 became a
model for federalism worldwide, emphasizing the division of powers between federal and state
governments.
- *Examples: * The United States, Switzerland, and Germany established federal systems
during this era.

2. *Centralization (Late 19th to Early 20th centuries):

- *Focus: * During the late 19th and early 20th centuries, many federal systems experienced
a trend towards greater centralization of power in response to various factors.
- *Key Points: * Economic and industrial changes, as well as nation-building efforts, often led
to a concentration of authority in the central government. In some cases, this shift was
accompanied by attempts to assimilate diverse regions or cultures into a unified national
identity.
- *Examples: * Germany's unification under Bismarck and the consolidation of power in the
U.S. federal government during the Civil War era are examples of centralization.

3. *Decentralization and Regional Autonomy (20th Century): *

- *Focus: * The mid-20th century saw a resurgence of interest in regional autonomy and
decentralization.
- *Key Points: * In response to demands for greater local control and recognition of cultural
diversity, some federal systems began to devolve more authority to regional or state
governments. This period also witnessed the emergence of asymmetrical federalism, where
different regions within a country have varying levels of autonomy.
 - *Examples: * Canada's recognition of Quebec's distinct status and the rise of regional
autonomy in Spain are examples of this trend.

4. *Globalization and New Challenges (Late 20th Century to Present): *

- *Focus: * In the late 20th century and into the 21st century, federal systems have had to
adapt to the challenges posed by globalization, technology, and new global issues.
- *Key Points: * Federal governments have been grappling with issues like immigration,
climate change, and international trade, which require cooperation and coordination across
borders. This has led to discussions about the need for centralization in certain policy areas
while maintaining regional autonomy in others.
- *Examples: * The European Union represents an evolving form of federalism as member
states seek to balance national sovereignty with supranational governance.
TYPES OF FEDERALISM
There are different types of federalism that characterize how these powers are distributed and
the relationship between the central and regional governments. Here's a summary of the main
types of federalism:

1. *Dual Federalism (Layer Cake Federalism): *

In a layer cake federalism power are shared between two tier of government { THE
FEDERAL AND THE STATE GOVERNMENT.}
NB, in dual federalism, the powers and responsibilities of the central and state governments
are clearly separated, like distinct layers of a cake. Each level of government has its own set of
powers, and they operate independently in their respective spheres.
- *Key Features: * Dual federalism was prominent in the early years of the United States,
particularly during the 19th century. It emphasized a strict interpretation of the Constitution's
enumerated powers, where the federal government had limited authority.

2. *Cooperative Federalism (Marble Cake Federalism): *

Simply means that the three tiers of government are in unity, they work together.
FOR EXAMPLE, the horizontal cooperation, were it takes place among state on the same level.
AND we have the vertical cooperation where the state as political entity cooperates with the
federal government to make policies.
NB Cooperative federalism blurs the lines between central and state powers. It emphasizes
collaboration and joint decision-making between the two levels of government, often resulting
in an intermingling of responsibilities.
- *Key Features: * Cooperative federalism became more prominent during the 20th century
in the United States. It involves shared programs and resources between federal and state
governments to address complex issues such as education, transportation, and healthcare.
 3. *New Federalism (Devolution): *
New federalism is a return to a greater degree of state autonomy and decentralization. It
involves transferring some powers and responsibilities from the federal government back to
the states, with an emphasis on local decision-making.
- *Key Features: * New federalism gained momentum in the late 20th century as a response
to concerns about federal overreach. It aimed to reduce the size and influence of the federal
government in certain policy areas.

4. *Competitive Federalism: *
Competitive federalism promotes competition between states or regions within a federal
system. States have more independence to develop and implement policies to attract
businesses, residents, or investment.
- *Key Features: * This type of federalism allows for experimentation and diversity in policy
approaches. States compete for economic growth and prosperity by offering different tax
rates, regulations, and incentives.

5. *Administrative federalism
It simply means a system of government where the state government are given the autonomy
to implement federal laws.

*Overview of Nigerian Federalism: *

*Origin:*
Nigerian federalism has its origins in the country's colonial history and its subsequent path to
independence. Nigeria gained independence from British colonial rule in 1960 and adopted a
federal system of government to address its diverse ethnic and regional composition. The
federal structure was intended to accommodate the various ethnic groups and regions within
the country.

*Structure: *
Nigerian federalism is structured as follows:

1. *Central Government: * The central government in Nigeria is based in the capital, Abuja. It
is responsible for matters specified in the exclusive legislative list, such as defense, foreign
affairs, and currency.
2. *State Governments: * Nigeria is divided into 36 states, each with its own government.
These state governments have legislative authority over areas outlined in the concurrent
legislative list, such as education, health, and agriculture.

3. *Local Government Areas (LGAs): * Below the state governments are local government
areas, each with its own local government council. LGAs handle local administrative and
development matters.

*Features: *

- *Ethnic Diversity: * Nigerian federalism is characterized by its ethnic and cultural diversity.
Nigeria is home to over 250 ethnic groups, which can lead to tensions and competition for
resources and political power.

- *Resource Allocation: * One of the key features is the allocation of revenue from oil
resources, which is a significant source of income for the country. The central government
controls the majority of oil revenue, which has led to debates about the equitable distribution
of resources.

- *Revenue Sharing: * Nigeria operates a revenue-sharing formula known as the "federation

account," which allocates funds to the federal, state, and local governments. Disagreements
over this formula have been a source of tension.

*Contending Issues: *

- *Resource Control: * Disagreements between oil-producing states in the Niger Delta and the
federal government over control of oil resources have led to conflicts and demands for greater
resource control by the states.

- *Ethnic and Regional Tensions: * Nigeria has experienced ethnic and regional tensions, often
revolving around issues of representation, resource allocation, and power-sharing. These
tensions have sometimes escalated into violence. Eg jukun and tiv in wukari Fulani and Kona in
kona-garu of jalingo local government area. etc.
- *Security Challenges: * The country faces various security challenges, including insurgency in
the northeast (Boko Haram), ethno-religious conflicts, and clashes between herders and
farmers in different regions, jukun and tiv in wukari etc.

*Problems: *

- *Corruption: * Nigeria has faced persistent issues of corruption at all levels of government,
which hinder development and equitable resource distribution.

- *Inefficiency: * Inefficiencies in governance, service delivery, and infrastructure development

have hindered the progress of the country.

- *Weak Institutions: * Weak institutions, including the judiciary and law enforcement, have
contributed to issues such as corruption and the inability to address security challenges
effectively.

- *Constitutional Reform: * Calls for constitutional reform to address the structure of

federalism, resource allocation, and representation issues have been ongoing, but progress has
been slow.

*Intergovernmental Relations in Nigerian Federalism: *

Intergovernmental relations in Nigerian federalism refer to the interactions, cooperation, and

conflicts between the various levels of government within the federal system, namely the
central government, state governments, and local government authorities.
Here is a summary of key relations:
• Federal state and local government relations.
• Federal-state relations.
• Federal-local relations.
• Local-local relations.

MODELS OF INTER-GOVERNMENTAL RELATIONS

COODINATE MODEL: this model shows that each tier of government does not relay on each
other to survive.
It happens in the USA from 1787-1900 and in Nigeria from 1954-1966
OVER-LAPPING MODEL: in this model, the three tier works together in unity. They relate
among themselves and are inter-dependent. they need each other.
INCLUSIVE MODEL: here the state and local government do not have autonomy. They depend
on the federal government. Here they take orders directly from the military head of state.
NB its mostly found in the military regime.
Here is a summary of key aspect:
*Cooperative Federalism: *
- Nigerian federalism operates under a framework of cooperative federalism, where all levels
of government are expected to work together to address common challenges and provide
public services.

*Constitutional Basis: *
- The Nigerian Constitution provides a legal framework for intergovernmental relations. It
outlines the powers, responsibilities, and functions of each level of government, aiming to
balance the distribution of authority.

*Revenue Sharing: *
- A significant aspect of intergovernmental relations in Nigeria is the allocation of revenue,
particularly revenue generated from oil resources. The federal government controls the
majority of oil revenue and shares it with state and local governments through a revenue-
sharing formula.

*Resource Allocation Disputes: *

- Intergovernmental relations in Nigeria have often been marked by disputes, especially
concerning the allocation of resources. State governments, especially those in oil-producing
regions, have demanded a greater share of oil revenue.

*Ethnic and Regional Tensions: *

- Nigeria's ethnic and regional diversity has influenced intergovernmental relations, with some
regions feeling marginalized and seeking greater autonomy or resource control.

*Security Coordination: *
- In the face of security challenges, intergovernmental relations are crucial for coordinating
efforts between the federal government, state governments, and local authorities to address
issues such as insurgency and communal conflicts.

*Challenges: *
- Intergovernmental relations in Nigeria face several challenges, including disputes over
resource allocation, mistrust between levels of government, and occasional political conflicts
that hinder effective cooperation.
COMPARATIVE CASE STUDY

Comparative case studies of federal systems around the world can provide valuable insights
into how federalism operates in different contexts. Here's a brief comparison of federal
systems in the USA, and GERMANY

1. *United States:*
- *Key Features:* Dual federalism (clear separation of powers), strong central government,
50 states with significant autonomy.
- *Challenges:* Ongoing debates over the balance of power between the federal government
and states, especially regarding issues like healthcare and gun control.

2. *Germany:*
- *Key Features:* Cooperative federalism, 16 federal states (Länder), robust regional
autonomy, strong influence of the federal upper house (Bundesrat).
- *Challenges:* Fiscal federalism issues and disparities among states, such as the East-West
economic divide.
provinces.
OVER VIEW OF THE UNITED FEDERATION
The history of federalism in the United States is a complex and evolving one, shaped by
historical events, political developments, and changes in the interpretation of the U.S.
Constitution. Here is an overview of the history of federalism in the United States, highlighting
key periods and developments:

1. Founding Era (Late 18th Century):

- The U.S. Constitution, drafted in 1787 and ratified in 1788, established a federal system of
government. It created a strong central government with enumerated powers while reserving
other powers to the individual states.

2. Early Republic (Late 18th and Early 19th Centuries):

- The early years of the United States saw debates over the scope of federal and state
powers. Alexander Hamilton's vision of a strong federal government clashed with Thomas
Jefferson's preference for limited federal authority.
3. McCulloch v. Maryland (1819):
- This landmark Supreme Court case affirmed the supremacy of federal law over state law
and established the principle that the federal government possessed implied powers to carry
out its enumerated powers.

4. Civil War and Reconstruction (1861-1877):

- The Civil War was, in part, a conflict over the balance of federal and state powers. The
defeat of the Confederacy reinforced the primacy of federal authority.
- Reconstruction-era policies aimed at rebuilding the South and protecting the civil rights of
formerly enslaved individuals further expanded federal power.

5. Dual Federalism (Late 19th and Early 20th Centuries):

- During this period, there was a clearer separation of federal and state responsibilities, with
the federal government primarily focused on foreign policy and national defense, while states
handled domestic affairs.

6. New Deal (1930s):

- President Franklin D. Roosevelt's New Deal policies in response to the Great Depression
expanded federal involvement in the economy and social welfare, significantly altering the
federal-state relationship.

7. Cooperative Federalism (Mid-20th Century):

- Post-World War II policies and federal grants-in-aid programs created a more cooperative
relationship between the federal government and states, with shared responsibilities in areas
such as education, healthcare, and transportation.

8. Devolution (Late 20th Century):

- In the latter part of the 20th century, there was a trend toward "devolution," where some
federal responsibilities were transferred back to the states. This was exemplified by the welfare
reform of the 1990s.

9. Contemporary Federalism:
- Federalism in the 21st century continues to evolve, with debates over issues like
healthcare, immigration, environmental regulation, and state marijuana laws reflecting
ongoing tensions between federal and state authority.
Throughout U.S. history, federalism has been a dynamic and contested concept, with the
balance of power between the federal government and the states shifting in response to
changing political, social, and economic circumstances. The interpretation of the U.S.
Constitution, Supreme Court decisions, and the political climate have all played significant roles
in shaping the history of federalism in the United States
STRUCTURE OF THE U.S FEDERALISM
The structure of U.S. federalism refers to the division and distribution of powers and
responsibilities between the central (national) government and the individual state
governments. Here's an overview of the key components and principles of the U.S. federal
system:

1. Federal Government:
- The federal government is based in Washington, D.C., and consists of three branches:
a. *Legislative Branch: * The U.S. Congress, consisting of the House of Representatives and
the Senate, is responsible for making federal laws. The House is based on population, while
each state has two senators.
b. *Executive Branch: * The President of the United States is the head of the executive
branch and is responsible for enforcing federal laws and managing the federal bureaucracy.
c. *Judicial Branch: * The federal judiciary, including the Supreme Court and lower federal
courts, interprets the Constitution and federal laws. The Supreme Court has the authority to
settle disputes between the federal government and states.

2. State Governments:
- Each of the 50 U.S. states has its own government, with its own constitution, legislature,
executive branch (usually headed by a governor), and judiciary. State governments have broad
powers to regulate and govern within their own territories.

3. Powers of the Federal Government:

- Enumerated Powers: The U.S. Constitution grants specific powers to the federal
government, including the authority to regulate commerce, establish a currency, declare war,
and make treaties, among others.
- Implied Powers: The federal government also has implied powers that are necessary and
proper for carrying out its enumerated powers, as established in the "necessary and proper
clause" (Article I, Section 8) of the Constitution.

4. Powers of State Governments:

- Reserved Powers: The Tenth Amendment to the U.S. Constitution states that powers not
delegated to the federal government are reserved for the states or the people. State
governments have the authority to regulate many aspects of public life, including education,
criminal justice, and family law.
- Police Powers: States have "police powers," which allow them to enact laws and regulations
to protect the health, safety, and welfare of their residents. These powers cover a wide range
of issues, from public health to environmental regulations.

5. Concurrent Powers:
- Some powers are shared by both the federal and state governments. For example, both
levels of government can levy taxes, enforce laws, and regulate commerce. When federal and
state laws conflict, federal law takes precedence (the Supremacy Clause, Article VI).

- Changes to the federal system can be made through amendments to the U.S. Constitution.
For example, the 14th
CONTENDING ISSUES
U.S. federalism has been a source of ongoing contention and debate since the founding of the
nation. Various issues and conflicts have arisen over the years as the federal and state
governments navigate their roles and responsibilities within the federal system. Some of the
key contending issues in U.S. federalism include:

1. *Balancing State and Federal Authority: * The tension between state and federal power is a
perennial issue. It often arises in areas like environmental regulation, healthcare, education,
and criminal justice, where the roles and responsibilities of each level of government are not
always clearly defined.

2. *States' Rights: * Debates over states' rights revolve around the scope of state autonomy in
governing their own affairs. States may argue for greater sovereignty and independence,
particularly when it comes to issues like taxation, social policies, and healthcare.

3. *Funding and Federal Grants: * Federal grants-in-aid to states have grown significantly over
time. States often rely on federal funding to support various programs. However, this reliance
can lead to concerns about the federal government's influence over state policies and
priorities.

4. *Interstate Compacts: * States may enter into agreements known as interstate compacts to
address issues that cross state lines, such as water management, transportation, and
environmental conservation. These compacts can sometimes lead to disputes among states or
with the federal government.
5. *Criminal Justice and Drug Policy: * Differences in state and federal laws regarding drug
enforcement, sentencing, and criminal justice reform have sparked debates about appropriate
levels of government involvement and the balance between punishment and rehabilitation.

These issues reflect the ongoing complexities and challenges of federalism in the United States.
PROBLEMS OF THE U.S FEDERALISM
U.S. federalism, while a fundamental aspect of the American system of government, has faced
a variety of problems and challenges throughout its history. Some of the key problems
associated with U.S. federalism include:

1. *Inconsistent Application of Rights: * The protection of individual rights can vary depending
on whether an issue is governed by federal or state law. This can lead to inconsistencies in the
application of constitutional rights, especially in areas such as civil rights and civil liberties.

2. *Inequality Among States: * There are significant disparities in resources and capacities
among states. Smaller and less affluent states may struggle to provide essential services,
leading to inequalities in education, healthcare, and infrastructure.

3. *Overlapping Jurisdictions: * Federal, state, and local governments often share

responsibilities in various policy areas, resulting in overlapping jurisdictions. This can lead to
confusion, duplication of efforts, and accountability issues.

4. *Preemption and Conflict: * Conflict and legal battles can arise when federal and state laws
clash, particularly when federal laws preempt state laws. States may feel that their sovereignty
is being undermined, while the federal government may argue that uniformity is necessary.

5. *Economic Interdependence: * The U.S. economy is highly integrated, with state and local
economies deeply intertwined with the national economy. Economic interdependence can
make it challenging for states to pursue independent economic policies.

ADMAR JAJA