Definition and legal foundations of the federal state
Ein Federal state is a special form of union of constituent states into a superior common state, in which both the overall state (federation) and the member states (often referred to as Länder or states) possess their own sovereignty and competences. The federal structure of the state is characterized by a division of state power, typically enshrined at the constitutional level. Federal states exist worldwide in various forms, with the best-known example being the Federal Republic of Germany.
Distinction from other forms of state
Unitary state
In contrast to the federal state, the unitary state (unitary state), in which state authority is organized centrally and the subdivisions do not have their own state quality. The subdivisions, such as regions or districts, are completely subordinate to the central state both legally and organizationally.
Confederation
Der Confederation is a loose association of sovereign states, whose contractually agreed cooperation in certain areas is based on international law. In contrast to a federal state, full sovereignty remains with the member states in a confederation.
Constitutional structure of the federal state
A federal state distinguishes itself through numerous constitutional characteristics, which are explained in the following:
Dualistic state organization
In a federal state, both the federation and the member states are holders of state authority. Both levels have their own organs (e.g., parliaments, governments, courts) and original legislative powers, which are detailed and allocated in the federal constitution (e.g., the Basic Law in Germany).
Constitutionally guaranteed statehood
The constituent states in a federal state possess their own constitutional autonomy, guaranteed by the federal constitution. As a rule, they enact their own constitutions, organize their administrations and judiciary, and exercise original state authority.
Distribution of competences
A core feature is the distribution of competences enshrined in the respective federal state law Distribution of competences. Legislation, administration, and jurisdiction are divided between the federation and the Länder. The federal constitution stipulates which subject matters fall under the responsibility of the federation, which under the Länder, any concurrent competences, as well as procedures for conflict resolution.
Federal coercion and loyalty to the federation
Specifically for handling conflicts, federal state law usually provides for federal coercion clauses, which empower the federation to enforce federal interests in the face of resistance from individual member states. Opposed to this is the principle of loyalty to the federation, which requires dutiful, cooperative collaboration between the federal government and the states and ensures a balance of interests.
Organs and institutions in the federal state
Federal organs
The organs of the overall state typically include the federal parliament, the federal government, and a constitutional court with extensive authority to safeguard the federal order.
Organs of the Länder or member states
The constituent states have their own legislative bodies (e.g., state parliaments), governments, and courts. They are constitutionally assigned their own areas of responsibility, such as in education, police, and cultural affairs.
Participation of the member states
A central feature of federal states is the institutionalized participation of the member states in federal legislation and administration. In Germany, this participation takes place via the Bundesrat.
Principles of the federal order
Autonomy
The autonomy of the member states is elementarily safeguarded by the constitution. The respective state constitutions regulate internal affairs and organization.
Principle of supremacy
In case of conflict, the Principle of supremacyapplies: federal law overrides state law. This clear hierarchy ensures the binding nature and unity of federal law.
Homogeneity requirement
In modern federal states, the Homogeneity requirementrequires that the basic structures of the member states must be compatible with the fundamental principles of the federation. This particularly concerns the principles of democracy, the rule of law, the social state, and the federal structure.
Financial constitution
The financial resources of the federation and its member states are regulated by a federal financial constitution. There are regulations for the allocation of taxes, fiscal equalization, and budget autonomy, to ensure that responsibilities can be adequately fulfilled at both levels.
Legal sources and central regulations regarding federal states
International examples and legal systems
International examples of federal states include the United States of America, Canada, Australia, Switzerland, Austria, India, Brazil, and Nigeria. The respective federal constitutions, such as the U.S. “Constitution”, the German “Grundgesetz”, or the Swiss “Bundesverfassung”, contain the fundamental federal principles, the allocation of competences, and regulations for conflict resolution.
Mechanisms for dispute resolution
Conflicts between the federation and member states are resolved in federal systems by special constitutional courts or judicial bodies tasked with the binding interpretation of the federal order.
Function and significance of the federal state principle
The federal order aims to preserve regional diversity, to provide room for local self-determination, and at the same time to ensure a uniform and effective overall statehood. Vertical separation of powers provides additional control and stability. The concrete structure of a federal state always depends on the respective constitution and its political, cultural, and historical circumstances.
Summary
Der Federal state is a special form of state in which state authority is divided between the federation and the member states, constitutional independence of the Länder, and a regulated participation in federal legislation. Its legal foundations, principles, and institutional structures serve to balance unity and diversity within a superior entity and are extensively regulated by the respective federal constitution. The legal system of a federal state guarantees the independence and autonomy of the member states, while bundling superior competences at the federal level—making a significant contribution to the stability, democracy, and diversity of a country.
Frequently Asked Questions
What legal competences does a federal state have in the federal system of the Federal Republic of Germany?
In the federal system of the Federal Republic of Germany, the federal states, legally referred to as member states, have their own constitutionally guaranteed competences which they may exercise independently. These competences mainly result from the Basic Law (GG), particularly Articles 30, 70 et seq. GG. Here, the so-called principle of “loyalty to the federation” is upheld, which provides for cooperative interaction between the federal government and the states. Legislative power is divided: In certain areas (e.g., education, police, and local law), only the Länder have the right to legislate (Art. 70 GG). In addition, there are concurrent legislative powers, in which the federal government may enact laws (e.g., criminal law, social law), but the Länder may adopt their own regulations as long as the federal government does not exercise its legislative power. Additionally, the Länder are responsible for executing many federal laws (Art. 83 et seq. GG) and participate in federal legislation through the Bundesrat.
How is the constitutional oversight of a federal state carried out?
The constitutional oversight of the federal states is carried out through various mechanisms: On the one hand, federal laws that encroach upon the competences of the Länder may be reviewed by the Federal Constitutional Court for compatibility with the Basic Law (abstract review of statutes). On the other hand, the constitutional courts of the Länder have jurisdiction over matters relating to their state law and constitutions. In the event of a conflict between federal and state law, the primacy of federal law applies according to Art. 31 GG (“Federal law overrides state law”). Additional remedies include constitutional complaints, institutional disputes, and federation-state disputes.
Under what legal conditions can federal competence take precedence over state competences?
The Basic Law expressly states in which cases federal law takes precedence. According to the principle of concurrent legislation (Art. 72 GG), the federal government may enact laws when and to the extent that “the establishment of equivalent living conditions throughout the federation or the maintenance of legal unity in the overall national interest makes federal legislation necessary.” In areas of exclusive legislative power (Art. 71 GG), such as external affairs or monetary law, only the federal government has authority. In addition, in cases of imminent danger, the federal government may temporarily assume tasks by emergency decree. In the event of a conflict between federal and state law, the federal law prevails.
What role does the Bundesrat play from a legal perspective for the federal structure of the federal states?
The Bundesrat is the constitutional body through which the federal states participate in the legislation and administration of the federation. It represents the governments of the states at the federal level, thereby ensuring their influence in the legislative process. According to Art. 50 GG, the Bundesrat “participates in the legislation and administration of the federation and in matters concerning the European Union.” Many laws (particularly those affecting the interests of the Länder) require the Bundesrat’s approval. This right of participation secures the federal balance and prevents one-sided dominance by the federal government. The Bundesrat can also initiate legislation and may refer matters to the Federal Constitutional Court under certain circumstances.
To what extent are federal states authorized to organize their own government under constitutional autonomy?
Pursuant to Art. 28(1) GG, the federal states have the right to enact their own constitution, which must be compatible with the principles of a republican, democratic, and social state governed by the rule of law. State constitutions regulate the state organization (e.g., structure of the state government, state parliament, judiciary) within the constitutional framework set by the Basic Law. The states have extensive latitude, but are bound to the Basic Law with respect to fundamental rights. Thus, their autonomy covers organization, procedure, and content of state policy, as long as they do not contravene superior federal law.
What legal remedies exist if federal states exceed their competences or disregard federal laws?
If a federal state violates its obligations under the Basic Law, various remedial actions are established. A central instrument is the so-called federation-state dispute procedure pursuant to Art. 93(1) No. 3 GG, which may be brought before the Federal Constitutional Court. In serious cases, the federal government may, with the consent of the Bundesrat and in accordance with Art. 37 GG (federal coercion), take measures to compel a state to fulfil its legal or constitutional obligations. Further, institutional disputes, judicial review procedures, or constitutional complaints may be initiated to seek correction.
Are there any legal restrictions on the financial autonomy of a federal state?
The financial autonomy of the federal states is regulated by the Basic Law (in particular, Art. 104a et seq. GG). The states have their own revenues (e.g., state taxes, shares of joint taxes) and must independently cover the expenses of their sovereign tasks. Central to this is the principle of financial autonomy and interstate fiscal equalization, which aims to ensure that all states offer comparable living conditions. However, the states are restricted by federal regulations (e.g., debt brake, Art. 109 GG) in their fiscal policy. Violations may give rise to budgetary correction procedures.
