If in Teaching Guide 8 we saw how historically different political units tried to get together in order to be more powerful, namely the Composite monarchies, the Swiss Confederation or the German Customs Union (Zollverein), today we will see which, so far, is the most effective Union of States: the Federal Model.
But before getting there it is important to understand that federalism is a type of union in which different independent states get together to be more powerful at the international level.
1. Federalism: an effective way to enable different states to act together
Federalism comes from the Latin word, foedus, meaning 'treaty', 'compact' or 'contract'. Foedus comes itself from the word, fides, meaning 'trust'.
We have already seen in Teaching Guide 8 different ways in which independent territories : -kingdoms, states, cantons- agree to cooperate to get stronger. Under a same sovereign (Composite monarchies), signing an agreement of confederation like the Swiss Rutli Oath of 1291, or adopting a “treaty” of economic cooperation, as it was the case of the Zollverein, the 19th century German Customs Union.
The Federal union goes a step further. Some independent states decide to act together, and for strengthening their union, they decide to have a common legal link; a Federal constitution that creates a new State over the cooperating states. A very efficient way of making a really strong union.
All this seems a little complicated and confusing in theory. But it becomes much simpler if we follow history, concretely if we discover how appeared the first modern Federal state: The United States of America.
2. A Confederation of 13 States to fight the British.
We already know from Teaching Guide 4 how the British colonization of North America brought 13 different colonies and how these after the Declaration of Independence of July 4, 1776 united to fight the British Crown. In order to lead war against their common enemy the 13 different colonies agreed on signing in 1777 a cooperation agreement: the Articles of Confederation.
Once they won the War in 1783 this Agreement became the first US common Constitution as it was compulsory for the new 13 independent States. But it was a very weak legal link, because it didn’t make disappear every state’s own constitution, government and legal system. The only common institution that kept these bunch of states together was the Continental Congress, a non permanent Assembly where the 13 States sent elective representatives.
The problem was that they only met when they were in trouble, and even so, if they agreed on anything it was extremely difficult to implement the common decision as they had not a common budget, nor a common executive to enforce the agreement.
Congress was clearly not a very operative instrument for facing crisis. Like the one that affected the State of Massachusetts in 1786: the Shay Rebellion.
The anarchy resulting from the rebellion of an angry farmer that had lost his property for not having been able to pay his mortgage, could not be prevented by the Congress of the Articles of Confederation. Finally the mess created by Shay had to be solved by the wealthy citizens of Massachusetts who paid from their pocket an army to reduce the rebels.
The good news was that the Shay Rebellion was a lousy precedent that rendered the US Founding Fathers nervous and forced them to lobby for reaching a stronger union.
3. The Federal Debate
George Washington, Alexander Hamilton, James Madison and some other capital figures of the new US nation considered that the 13 Colonies could not survive a major crisis, especially if the British, the French or the Spanish –in this time countries much more powerful than the United States- decided to attack them. So they decided they needed a tighter union.
A big debate started with on one side some defending that states should remain completely autonomous, and others that considered they should choose the “Federalist option”, which meant creating a more solid tie among the confederate states.
In fact they considered necessary to enact a new common constitution which would create a brand new super state, that would have in certain areas more power than the individual member states. To make it short, they wanted a stronger union more operative that would ensure a greater protection over internal anarchy situations like Shay’s rebellion or external dangers from international powerful nations.
It was a long and fierce debate as the representatives of some States did not want to give up their full autonomy. But finally, adversaries reached a compromise that was set in writing in a very short new common constitution (September 1787).
The new Union had a strong President elected by the States and a powerful Congress integrated by a double legislature: one representing the states (Senate) and another one representing the citizens (House of Representatives). There was a very strict separation of powers in order to avoid the new super state to be too powerful. Everything was implemented to ensure that the new “Federal State” would be controlled by the states integrated in it.
Finally the US Constitution, was approved through a complex ratification process, that required the enactment of a Bill of Rights (1791), that were given constitutional value as the first 10 amendments to the new Constitution. When all the 13 colonies got finally into the Federal Union, they elected as first President George Washington (1789-1797).
The US Federal State was however still not fully consolidated when the Antifederalist Thomas Jefferson was elected as the third US President in March 1801. Jefferson thought that the Federal Union was far too strong and tried to weaken it.
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But fortunately for the US Federal Union, the Chief Justice of the US Supreme Court, John Marshall (1801-1835) invented the Judicial Review principle that established the supremacy of the constitution over politics. The strict application of the Rule of Law preserved the Federal Union.
But it was not enough, because states were deeply divided about one crucial question: Slavery. Some States (essentially in the South) relied economically on slaves of the big plantations, while others (in the North) had a lot of small properties and a lot of industry. Originally there was a balance between Slave and Free States in the common federal institutions. But as the US kept on growing adding new territories and new states, things became complicated.
4. Preventing the dismantlement of the Federal Union through Civil War
The expansion of the Union from the 13 initial States to the actual 50, was performed mainly through the legal instrument called the Northwest Ordinance of July 1787, because initially it was provided for the lands situated in the Northwest Territory that includes the actual states of Ohio, Indiana, Illinois, Michigan, Wisconsin and Minnesota.
But at the end, as it was fully operational, was used to integrate most of the new 37 states to the Union.
The territorial enlargement of the US was a long process that did not go without tensions, including a devastating Civil War (1861-1865) between the Slave and the Free States. At the end, Lincoln won the war and the Federal Union was preserved, but at what cost.
The causes that brought the US Civil War persist to a certain extent. The huge fight for civil rights that Malcolm X, Angela Davies or Martin Luther King endured during the 1960’s persist with movements like Black Lives Matters.
And as far as the Federal Government is concerned, there are still today tensions between the Republicans that defend the independence of the States and the Democrats who on the contrary are always willing to reinforce the Federal power.
5. Copying the American Federal Union
The important point is that, despite all these problems, the US are a World power because they have been able to consolidate a strong Federal Union that compatible with a considerable autonomy of its member states. Despite the difficulties of its consolidation, the American Federal State has become a very Powerful Union that in our days still has a determinant influence in the whole World.
The Federal way has definitely worked in the American case, and this is why “plural states” all over the world have chosen the Federal model and the Presidential System to consolidate the union among its parts.
This is why, besides the United States of America, the Federal Model was finally adopted by some important states as Mexico (since 1824), Argentina (since 1853), Canada (since 1867), Brazil (1889), Australia (since 1891), Germany (since 1949), the Republic of India (since 1950), or the Russian Federation (since 1991).
It is not the case of Spain, a country that, as you know, come from a composite monarchy model, and has not achieved the unification of all its t-historical territories in a centralized model of state. Spain tried to become a Federal State in 1873, but now it has a weird formula: a unitary state but highly decentralized in 17 territories that have a great deal of autonomy. In fact they are called “Autonomies”, a system created by the Spanish Second Republic in 1931 with the weird name of “Integral State”. After 1978 Constitutional Spain is officially dubbed the State of the Autonomies. An ambiguous system that does not prevent that in some “Autonomies” there are strong movements in favour of total independence: Namely the Bask Provinces and Catalonia. May be adopting the form of a clear Federal State, thing would be easier.
The advantages of the Federal State model did incline European Nation States, after the disastrous World Wars of the first half of the 20th century, to consider the possibility of adopting the Federal model, as a way of unite and get back the possibility of having some influence at the World level after 1945.
6. A Federal option for a disunited Europe
Adopting the Federal model in Europe so far, however, has proven to be very difficult for several reasons: European States have been independent for centuries, they do not share the language, and they don't have common institutions. Remember that after the signing of the Westphalia Treaty (1648), the Universal model give its way to a Europe of independent States that fought each other to reach the supremacy in the Old continent. And after the French Revolution and the appearance of the nation-state it was even more difficult. This is why, as you have seen in Teaching Guide 5, all along the 19th century European Nation-States were extremely keen in keeping intact their sovereignty in the context of the Colonial expansion. A situation that brought the Armed Peace, and, finally, World War I and the disaster of the Versailles Treaty (1919).
The Europe of the Versailles Treaty (1919)
Only when Europe was in ruins in 1918, some eminent figures started considering that European States they should get together in order to form a powerful union at the world level to confront the US and the USSR.
But despite some attempts at integration, like the Pan-European Movement of Count Coudenhove Kalergi (1923) or the Briands proposal for a European Union (1929), rising tensions due to strong nationalism led to another European suicide: World War Two.
It is interesting however that even between 1939 and 1945 each side tried to reinforce some kind of union of States to get stronger. We have to mention the short attempt for a Franco-British Union (June 1940) tried by De Gaulle and Churchill.
And then Hitler tried to create a United Europe under the banner of National-Socialism creating a network of Vassal States.
As a reaction there was a anti-hitlerian Europe with different initiatives to develop a way for European integration. The most effective one was the customs and economic union created by Belgium, the Netherlands and Luxemburg: the BENELUX (5 September 1944).
After 1945 followed some years of disarray, a period in which the destroyed European States were obliged to ask Americans for money in order to survive. First in total disorder creating a Dollar gap, and, finally, in 1947, thanks to the initiative Truman's Secretary of State, George Marshall they got a coordinated aid.
Which it was great, not only for the money, but because it obliged the needed European States to work together if they wanted to receive American aid for reconstruction. The Marshall Plan could be considered from this perspective the first step towards a united Europe after World War II.
The success of the Marshall Plan gave way to the first real attempt of creating an integrated Europe. I am talking about the Congress of the Hague (may 1948), aimed at establishing a Federal Europe. At the end it was a failure, but at least it enabled the foundation of the Council of Europe (1949), with its extremely useful Human Rights Court that from Strasbourg protect Europeans citizens from the abuses of their respective governments.
Nevertheless it was clear that in 1949 the World belonged to the Americans and the Russians. If Europeans wanted to survive they had to get together. But discarded the federal model, they had to find their own way. And this is what we are going to see in the three last Teaching Guides.
INSTRUCTIONS: First read the text included in your Materials (pages 211 to 252), before proceeding to answer the Concrete Questions, the Concepts and the General Questions.
Concerning the Basic Chronology (pages 253-254) You should get familiar with all the dates.
TOPIC FOR DISCUSSION IN CLASS: Would you like a Federal option for Europe?
Please consider the following aspects:
1. Understand the essence of the Federal model of State integration. Consider the differences with other models: Empire, Composite monarchies or Confederation.
2. Consider the US Federal approach. Why it appeared. Which were the main difficulties it faced for assuring its consolidation. How work the relationship between the States and the Federal State.
3. How should European States procede in order to move to a Federal Europe.
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