This chapter lays two foundational blocks, both necessary precursors to the development of a theory of federal safeguards. First, I propose criteria that define a federal structure and provide a list of federations during 1990–2000. Second, I review the current science regarding how the distribution of authority should be calibrated to achieve social goals. In a third section, I trace the European Union's development from a treaty organization to a federation as its purposes evolved.

The main arc of my thesis begins in Chapter 3. Those who are comfortable with the purposes of federalism might choose to skim this chapter.

DEFINING THE FEDERATION

A federation is defined by more than internal geopolitical boundaries. Those boundaries separate independent governments, a status that distinguishes the federation from a decentralized but unitary government. Furthermore, in contrast to the confederation or treaty organization, each level of government, whether state or federal, enjoys a direct relationship with its citizens. The federation is a unique relationship between governments and the people.

A government is federal if it meets the following three structural criteria:

1. Geopolitical Division: The territory is divided into mutually exclusive states (or provinces, lander, etc.). The existence of each state is constitutionally recognized and may not be unilaterally abolished.

2. Independence: The state and national governments have independent bases of authority. In general, this independence is established constitutionally through electoral independence, where each government is held accountable to its constituents, although nondemocratic forms of independence may be available.

3. […]