1 INTERGOVERNMENTAL RELATIONS
FEDERAL
RESTRUCTURING
(TERRITORIAL FEDERALISM)
PRESENTATION OUTLINE
2
I. Substantive criteria for delimiting regional boundaries
1. Historically established and recognizable regional boundaries
2. Administrative capacity and functional efficiency (economic factors)
3. Socio-cultural factors (group identity)
4. Social, historical and economic ties
II. Modalities/process of creating regional boundaries
1. Bottom-up approaches to determine or modify regional boundaries
2. The establishment of expert commissions to delimit regional
boundaries
3. Political negotiation and compromise
III. Some critical issues in boundary delimitation
1. Number and size of member states
2. Functional viability and administrative capacity
Introduction
3
One of the basic features of federal states is the
existence of constituent units with recognizable
internal boundaries. In federal states that are formed
through a process of aggregation, where formerly
independent units come together under a federal
arrangement, the former independent units largely
maintain their boundaries.
On the other hand, in federal countries that are formed
through a process of disaggregation, where a formerly
unitary state is transformed into a federal state, the
boundaries of the regions have to be delimited. Unitary
states that become federal states have to decide on
the substantive criteria as well as the process of
Cont..
4
The demarcation of internal boundaries in
federal states can be complicated and
controversial. This section explores from a
comparative perspective the different
practical grounds that may inform the
demarcation exercise, the procedures of
giving effect to the substantive standards,
and the institutions tasked with applying
the substantive and procedural criteria to
determine regional boundaries. It also
Substantive criteria for delimiting
regional boundaries
5
The drawing of regional boundaries in a federal state is a
rational exercise that requires the establishment of clear
and logical substantive criteria that will inform the size,
number and borders of the regions. These criteria can be
different in different federal states and are informed by
the motivations and objectives that led to the
establishment of a federal form of government. For
instance, in states where a federal form of government
was established with a view to enhance ethnic
accommodation and self-governance, ethnicity will play
an important role in the determination of regional
boundaries. In practice, boundary demarcation is not an
exact science and the creation of boundaries is a political
process involving a compromise amongst the major
Cont..
6
The most common boundary
demarcation criteria include:
Historically established and
recognizable boundaries;
Administrative capacity and functional
efficiency;
Social, historical and economic ties;
and
Socio-cultural factors (group identity).
1. Historically established and
recognizable regional boundaries
7
The existence of historically recognizable
regional boundaries can provide a concrete
basis for delimiting regional boundaries.
Regional boundaries are easily identifiable in
cases where previously separate units come
together to create a state. In such cases, the
federation can simply maintain those
boundaries. Nevertheless, even in cases where
a federal state emerges from a previously
unitary arrangement, it may be possible to
identify historically recognizable boundaries. In
Spain, for instance, historical boundaries are a
Cont.…
8
The 1978 Constitution recognizes the 50 provinces, which
were created for administrative purposes in the 19th century.
The Constitution allows two or more adjacent provinces with
common historical, cultural and economic characteristics to
agree to form autonomous communities, subject to approval
by the Spanish Legislature.
In principle, no single province may become an ‘Autonomous
Community’. Nevertheless, the National Legislature may
allow individual provinces with ‘historical regional identity’ to
form autonomous communities. In addition, insular provinces
with very little common characteristics with their adjacent
provinces may be granted autonomous status. Similarly in
Iraq, only Kurdistan is constitutionally recognized as a
region. Other regions may only be formed based on the
boundaries of previously existing governorates.
Boundaries of federal member
states
9
The Provisional Constitution of Somalia provides that
the boundaries of Federal Member States should be
based on the boundaries of the administrative regions,
as they existed prior to 1991 (Article 49(5)). Unlike in
Spain, the Constitution does not anticipate possibilities
where a single administrative unit may be established
as a Federal Member State. As such, all administrative
regions must merge with other regions either
voluntarily, or through the decision of the Federal
Parliament based on recommendations of the
Boundaries and Federation Commission. The
Constitution does not seem to anticipate a possibility
where any of the pre-1991regions may be divided
between two or more Federal Member States.
2. Administrative capacity and
functional efficiency (economic
10 factors)
In some federal states that have emerged out of a
unitary state structure, administrative capacity and
functional efficiency are crucial in determining the
number and size of member states. Functional
efficiency may also inform decisions to change
existing or historical boundaries with a view to
reduce their historical relevance and future impact.
In South Africa, for instance, the current nine
provinces were carved out of four recognizable
regions that were promoted during the apartheid
regime. The main purpose behind the demarcation
exercise was to ensure efficiency in establishing
sustainable resource bases, redistributing resources,
Cont.…
11
An expert Commission of
Delimitation/Demarcation prepared
proposals on the number, size and
boundaries of provinces. The proposal
of the Commission to create nine
provinces, which was finalized within a
few weeks, was slightly modified and
approved by the representatives of the
political parties (the Negotiating
Forum).
Cont..
12
In the Somali Provisional Constitution, administrative
capacity and functional efficiency have not been
expressly included as criteria in delimiting the boundaries
of the regions. In the absence of capacity considerations,
some of the newly created states may not be able to raise
sufficient revenues, to deliver important services and
infrastructure, and to formulate and implement complex
social, economic and political policies. The capacity,
resources, and infrastructure of the proposed Federal
Member States should therefore be recognized as a critical
guide to the decisions of the Boundaries and Federation
Commission. As such, even if two or more administrative
regions may wish to merge to become a Federal Member
State, their administrative capacity and functional viability
should be assessed before approving the merger.
3. Socio-cultural factors (group identity)
13
In some federal states, the overriding principle of
political and state organization may be
nationality (race), ethnicity, language,
religion, tribe, clan, or other group identity. In
cases where these groups are geographically
concentrated, the size and boundaries of the
member states of the federation may depend on
the settlement patterns and consent of the ethnic
groups. Under the 1995 Constitution of Ethiopia,
for instance, ethnicity is the main basis of political
organization. As a result, the nine constituent units
are mainly delimited based on settlement
patterns, identity, language, and the consent of
Cont..
14
The Provisional Constitution of Somalia does
not recognize clan or tribal identity as the basis
of political and state organization. In fact, the
Provisional Constitution clearly stresses the
oneness and indivisibility of the Somali nation
and its citizens (Article 8). Nevertheless, the
Constitution does not appear to preclude the
Member States from relying on tribal
settlements patterns in determining the
number and delineating the boundaries of the
districts.
4. Social, historical and economic ties
15
Historically established regional boundaries and ethnic/tribal
settlement patterns are likely to reflect social, historical and
economic ties. Nevertheless, even in the absence of such
regions, it is possible to identify existing social and economic ties
between specific people of neighboring areas. Ignoring such ties
in the establishment of regional boundaries may disrupt existing
relationships, which may create regional tension and continuous
demands for readjustment. Such ties may often be connected to
natural geographical features such as rivers, mountains, and
deserts. It is therefore advisable that the Boundaries and
Federation Commission should conduct studies to identify
existing community ties, as may be determined based on factors
such as transportation and trade patterns. The outcome of such
a study may particularly inform exceptional decisions to deviate
from the principle that the boundaries of Member States should
be based on pre-1991 administrative boundaries.
II. Modalities/process of creating
regional boundaries
16
Once a state has selected the factor or combination of factors
that should provide overall guidance in drawing regional
boundaries, it may employ different strategies to give effect to
it. While some countries follow a bottom-up approach in
defining regional boundaries, others implement a highly top-
down approach. The strategy selected is often influenced by
the substantive standard that guides the demarcation exercise.
For instance, in countries where administrative efficiency is the
primary purpose of establishing a federal state, a top-down
technocratic demarcation may be the most suitable. On the
other hand, referenda and consensual arrangements will be
more important in states that have chosen ethnicity or other
group identity as the basis for determining regional boundaries.
Nevertheless, in all cases, demands for legitimacy and
ownership require the consultation of the people and thoughtful
consideration of their views.
1. Bottom-up approaches to
determine or modify regional
17
boundaries
With the increasing recognition of popular participation
as a necessary precondition for a legitimate and
effective public decision, some states employ
referenda and local initiatives to determine the
boundaries of regions. In Ethiopia, for instance, in
addition to settlement patterns, the consent of the
people concerned is important in determining whether
they will become part of one region or another.
Similarly, several referenda have been conducted in
South Africa to redraw municipal and sometimes
provincial boundaries, in addition to other
constitutional requirements. Moreover, the Ethiopian
Constitution anticipates procedures through which the
legislative council of a concerned ethnic group may
Cont.…
18
The Provisional Constitution of Somalia does not define
the working methods of the proposed Boundaries and
Federation Commission. Nevertheless, there is nothing
in the Provisional Constitution that prevents the
Commission or the Federal Parliament from engaging
the people and even organizing referenda, with the
help of other institutions, such as the Independent
Electoral Commission, before making
recommendations on the delimitation of the
boundaries of the future Member States, although this
will require enormous resources and may face
logistical difficulties. The organization of a referendum
may be particularly important in areas claimed by
different administrative regions.
Cont..
19
For instance, although the South African
Boundaries Commission was not expressly
required to involve the public, it held a
number of public hearings and received
written submissions from a range of
stakeholders. While the Provisional
Constitution does not expressly deal with
the possibility of establishing new Member
States or of readjusting the boundaries of
existing States, the consent of the people
may be important in such processes.
2. The establishment of expert
commissions to delimit regional
20
boundaries
In countries where historically established regions do not exist
or when the historically established regions are out of favor, and
where functional efficiency is the most important driver of the
federalism project, the establishment of expert commissions
can be very helpful. A good example of the involvement of an
expert commission is the delineation of the boundaries of the
provinces in South Africa. The nine provinces were established
based on the recommendations of a fifteen-member expert
Commission of Delimitation/Demarcation of Provinces. The
Negotiating Forum, which was composed of the representatives
of the different political groupings, endorsed only with minor
changes the recommendations of the Commission, which were
based on broad criteria. Similarly in India, the constituent units
were formed based on the recommendations of a small group of
experts, which widely consulted the people. The
recommendations of the experts were largely adopted.
Cont..
21
The Provisional Constitution of Somalia similarly
requires the establishment of a Boundaries and
Federation Commission to provide
recommendations on the number and boundaries
of Federal Member States to the Federal
Parliament. The Commission is an independent and
impartial body whose composition must be
inclusive and representative of all geographical
regions of Somalia (Article 111E(4)). The
Constitution does not outline the mode of
operation of the Commission. Such details are
outlined in the Law establishing the Commission
and in the internal rules of the Commission itself.
3. Political negotiation and compromise
22
Often, the proposals of expert commissions are
subject to political compromise and
negotiation. Indeed, in both South Africa and
India, as well as in Somalia, the final power of
approving the number and boundaries of the
constituent units lies with political organs. This
allows politicians to accommodate the
demands and interests of the dominant social
and political forces. Political compromise and
negotiation is therefore an integral part of the
boundary demarcation process Sometimes,
political negotiation and compromise may be
Cont.…
23
In Ethiopia, for instance, the final Constitution
carved out nine regions and the capital city
from previously existing fourteen
administrative regions. Most of the
determination of the boundaries and number
of the regions was done based on discussions
behind closed doors between the different
factions that overthrew the previous regime.
The extreme politicization of boundary
delimitation may lead to the undue dominance
of transient powers and the establishment of
disparate or unviable states.
III. Some critical issues in
boundary delimitation
24
The decision on the number and boundaries of
constituent units must take several factors into
account. Although any one of the substantive
criteria identified above may be the principal
standard, often the demarcation process
involves a combination of factors and
considerations. Below are some of the issues
that should inform the decision on the number,
size, and boundaries of regions.
1. Number and size of constituent units
25
There are no hard and fast rules on the exact
number of constituent units. Historically, federal
states have had from just two to more than 80
constituent units. The establishment of several
small units may lead to the non-viability of the
units. If the units are too many and too small,
they may not be able to deliver services and
perform other essential functions. This leads to
fragmentation and excessive reliance on the
federal government that will undermine the
independence of the units and broadly the
federalism project. In addition, the existence of
Cont.…
26
The Boundaries and Federation
Commission of Somalia should therefore
endeavor to establish a reasonable
number of Federal Member States big
enough to manage and maintain their
independence but not too big to
threaten the stability, continuity and
territorial integrity of the federation.
2. Functional viability and
administrative capacity
27
Functional viability and administrative capacity may in itself
be the main criteria for demarcating regions. Nevertheless,
this criterion has relevance in almost all situations.
Whichever criteria are used to guide the demarcation of
regional boundaries, the functional viability of the regions
must be an important concern. Although the wishes of the
people and regional elites are important, demarcations
should still have regard to the efficiency and viability of the
regions. The failure of one or more regions to administer
themselves and deliver services might necessitate the
reworking of the demarcation, which can create continuous
challenges. It is therefore important to consider the
capacity of the regions to raise sufficient funds, to attract
necessary human resources, and to develop their
infrastructure.
Overall, the demarcation of regional boundaries is a serious
exercise that requires the consideration of different factors. The
Provisional Constitution of Somalia establishes the Boundaries
and Federation Commission to undertake the internal
delimitation, which is a precondition for the federalism project.
Nevertheless, the Constitution does not provide for detailed
substantive criteria to guide the demarcation of the boundaries
of the Federal Member states. For instance, it is not clear how
voluntary mergers will be initiated and approved (through
popular referenda or the decision of the regional authorities or
clan leaders?). Moreover, the Provisional Constitution is not clear
on whether the merger should always be voluntary or whether
the Commission can also decide to merge two or more regions
regardless of their wishes. It is also not clear whether voluntary
mergers should always be accepted, or whether the Commission
may reject voluntary merges based on legitimate reasons.
28
29
THANK YOU
o you have any questions or
mments?
