Federalism — Notes

What is Federalism?

Federalism is a system of government where power is divided between a central authority and various constituent units of the country. This division ensures that both the national government and the governments of smaller regions (like states or provinces) have their own powers and responsibilities, and neither can unilaterally abolish the other or take away its powers.

Federalism contrasted with unitary government

In contrast to federalism, a unitary government is one where either there is only one level of government, or if there are sub-units, they are subordinate to the central government. In a unitary system, the central government can issue orders to regional or local governments, and these subordinate units are answerable to the centre. The powers of regional governments in a unitary system can be withdrawn by the central government.

Key features of federalism

Federalism is characterized by several core features that ensure power-sharing and accommodate diversity:

1. Two or more levels of government: A federal system always has at least a central government and one or more regional (state or provincial) governments.
2. Distinct Jurisdictions: Each level of government governs the same citizens but operates within its own specific jurisdiction in matters of legislation (law-making), taxation (levying taxes), and administration (implementing laws).
3. Constitutional Guarantee: The powers and jurisdictions of each level of government are clearly defined and guaranteed by the constitution. This constitutional backing means that one level of government cannot take away the powers of another.
4. Unilateral Changes Prohibited: Fundamental provisions of the constitution that define the federal structure cannot be changed by one level of government alone. Changes require the agreement of both the central and regional levels.
5. Dispute Resolution: Courts play a crucial role as interpreters of the constitution. If disputes arise between different levels of government regarding their respective powers, the highest court acts as an umpire to resolve them.
6. Financial Autonomy: Each level of government has its own specified sources of revenue, ensuring its financial independence and ability to function without being entirely dependent on the other level.

Remember

The key to federalism is that both the central and regional governments have powers that are constitutionally protected and are not dependent on each other for their existence and authority.

Exam-smart

Case study questions might present a scenario where a central government tries to impose a policy on a state without consulting it. You would need to identify this as a violation of federal principles, as state governments in a federal system have their own powers.

Two types of federations: Coming together and Holding together

Federations can be formed through two primary routes, which reflect different historical contexts and lead to variations in power distribution:

1. 'Coming together' Federations:

• How it works: Independent states come together voluntarily to form a larger political unit. By pooling their sovereignty, they retain their individual identities while gaining increased security and collective strength.
• Examples: The United States of America (USA), Switzerland, and Australia are classic examples.
• Power Balance: In this type, all constituent states usually have equal powers and tend to be strong relative to the federal government.

2. 'Holding together' Federations:

• How it works: A large country that might otherwise be a unitary state decides to divide its power between the central government and its constituent states or regions. This is often done to accommodate significant regional diversity and prevent secession.
• Examples: India, Spain, and Belgium are examples.
• Power Balance: In this category, the Central Government often tends to be more powerful vis-à-vis the states. Sometimes, different constituent units may have unequal powers, with some granted special authorities.

Remember

'Coming together' federations emphasize equality among constituent units, while 'Holding together' federations may have a more powerful central government and varying degrees of power for states.

Exam-smart

A question might describe a situation where a country was formed by smaller kingdoms uniting for common defense. You would identify this as a 'coming together' federation, implying stronger regional governments. Conversely, a country with a long history of strong central rule that later granted more autonomy to regions would be a 'holding together' example.

What Makes India a Federal Country?

The Indian Constitution declares India as a Union of States. While the word "federation" isn't explicitly used, the Indian Union is founded on federal principles. India's federal structure is characterised by a two-tier system of government (Union and State governments), later expanded to a three-tier system with the addition of local self-governments (Panchayats and Municipalities). Each tier has its own jurisdiction, defined by the Constitution.

Distribution of Legislative Powers: Union List, State List, Concurrent List

The Constitution outlines a clear three-fold distribution of legislative powers between the Union Government and the State Governments. This ensures that laws are made in specific areas by the appropriate level of government.

• Conflict Resolution: In the case of a conflict between Union and State laws on a subject in the Concurrent List, the Union Government's law prevails.

Remember

The rationale for the Union List subjects is the necessity of a single, consistent approach nationwide, while State List subjects cater to regional needs and local governance.

Exam-smart

A case study might present a scenario where a State law conflicts with a Union law on a Concurrent List subject. You'd need to identify the subject, the list it belongs to, and state that the Union law would prevail.

Residuary Powers

Subjects that are not covered under any of the three lists, or new subjects that emerge after the Constitution was drafted (like computer software), fall under residuary powers. The Union Government alone has the power to legislate on these residuary subjects.

Remember

This allocation reflects the principle that in a "holding together" federation like India, the central government retains significant authority over matters not explicitly assigned to states.

Exam-smart

A question could ask about the government's power to legislate on a new technology not mentioned in the Constitution. The answer would involve identifying this as a residuary power belonging to the Union Government.

Special Status of Some States

Not all states in the Indian Union have identical powers. Some states, due to their unique social and historical circumstances, enjoy special status under specific provisions of the Constitution (e.g., Article 371). Examples include Assam, Nagaland, Arunachal Pradesh, and Mizoram. These special provisions often relate to:

• Protection of land rights of indigenous peoples.
• Preservation of their culture.
• Preferential employment in government services.
• Restrictions on non-residents buying property.

Remember

Special status is a pragmatic approach to accommodate diversity and protect the interests of specific regions within the federal framework.

Exam-smart

A source-based question might describe a region with unique cultural practices and ask why it might have special constitutional provisions, linking it to the concept of special status.

Union Territories

Certain geographical units within India are designated as Union Territories. These are areas that are too small to be independent states and cannot be easily merged with existing states. Examples include Chandigarh, Lakshadweep, and Delhi.

• Union Territories enjoy very little power compared to states.
• The Central Government has special powers in their administration.

Remember

Union Territories represent a distinct category of federal units where direct central control is exercised due to their size, strategic importance, or administrative convenience.

Exam-smart

A data interpretation question might provide information about the administrative structure of different Indian territories and ask you to identify which ones are Union Territories and why they have less autonomy than states.

Constitutional Amendments and Federalism

Modifying the power-sharing arrangement between the Union and State Governments is not a simple process.

• Any significant change requires a special majority in both Houses of Parliament (at least two-thirds majority).
• Furthermore, such amendments must be ratified by the legislatures of at least half of the total states.
• The judiciary plays a crucial role in overseeing the implementation of constitutional provisions and resolving disputes over the division of powers.

Remember

This stringent amendment procedure safeguards the federal structure and prevents unilateral changes by the Union Government.

Exam-smart

A scenario might describe a proposed amendment to shift a subject from the State List to the Union List. You would need to explain the constitutional process required for this change, including parliamentary majority and state ratification.

Linguistic States

The creation of states on the basis of language was a significant step in India's federal journey.

• Initially, some leaders feared this would lead to the country's disintegration, but it has, in reality, made India more united and administration easier.
• Many old states have been reorganized, and new ones created, based on language, culture, ethnicity, or geography (e.g., Nagaland, Uttarakhand, Jharkhand).
• This process acknowledges and accommodates diversity, a core principle of federalism.

Remember

The formation of linguistic states demonstrates that federalism can be strengthened by recognising and accommodating regional identities and aspirations.

Exam-smart

A question might ask about the impact of linguistic states on Indian federalism, requiring you to discuss how it strengthened national unity and improved governance.

How is Federalism Practised?

While constitutional provisions are essential for federalism, their success also depends on the democratic politics within the country. The real success of federalism in India is attributed to:

• The spirit of federalism: A shared commitment to the system.
• Respect for diversity: Valuing the differences among regions and communities.
• Desire for living together: A collective will to maintain unity despite diversity.

Federalism is further supported by the fact that both the Union and State Governments have the power to raise resources by levying taxes, enabling them to manage their assigned responsibilities effectively. The judiciary acts as an umpire in case of disputes regarding the division of powers.

Remember

Federalism is not just about constitutional texts; it thrives on political practices, mutual trust, and a shared commitment to democratic principles.

Exam-smart

A case study might present a situation where a State government claims insufficient financial resources to implement a national policy. You would need to discuss how tax-levying powers and the cooperative spirit of federalism are crucial for such scenarios.

Language Policy

India's federal structure was tested not just by redrawing state boundaries but also by its approach to language policy. The Constitution of India did not declare any single language as the national language. Instead, it identified Hindi as the official language, acknowledging that Hindi is the mother tongue of only about 40% of the population.

Safeguards for Other Languages

To ensure inclusivity and prevent linguistic dominance, the Constitution established several safeguards:

• Recognised Scheduled Languages: Beyond Hindi, 21 other languages are recognised as Scheduled Languages by the Constitution. This recognition is significant for cultural and political representation.
• Examination Options: Candidates appearing for examinations for Central Government positions have the freedom to choose any of the recognised Scheduled Languages for their examination. This promotes wider participation and reduces barriers based on language.
• State Official Languages: Each State has the autonomy to decide its own official language(s). Much of the day-to-day government work is conducted in the official language(s) of that specific State.

The Controversy over English

A key challenge arose regarding the use of English. The Constitution initially proposed to stop the use of English for official purposes in 1965. However, this led to strong protests, particularly from non-Hindi speaking States, who feared Hindi's imposition.

• Demand for Continued English Use: Many States demanded that English continue to be used for official purposes.
• Protests in Tamil Nadu: The movement demanding the continuation of English use became particularly violent in Tamil Nadu.
• Government's Response: The Central Government responded by agreeing to allow the continuation of English alongside Hindi for official purposes. This decision aimed to de-escalate tensions and accommodate diverse linguistic preferences.

While this compromise helped avoid a crisis similar to Sri Lanka's, some critics argued that it favoured the English-speaking elite. Nevertheless, the promotion of Hindi remains an official policy, but it is implemented with the understanding that the Central Government cannot impose Hindi on States where other languages are predominantly spoken. This approach reflects a cautious attitude towards language, prioritizing flexibility and avoiding linguistic coercion.

Remember

The Indian Constitution grants Scheduled Status to certain languages, ensuring their recognition and promoting diversity. The decision to allow the continued use of English alongside Hindi for official purposes was a critical step in managing linguistic diversity and preventing national disintegration.

Exam-smart

A case study question might present a scenario where a non-Hindi speaking state is facing pressure to adopt Hindi. Students would need to apply their understanding of India's language policy, the constitutional provisions for Scheduled Languages, and the historical context of the English language debate to explain why imposing Hindi would be problematic and what alternative approaches (like those adopted in India) could be considered.

Centre-State Relations

Restructuring Centre-State relations is a crucial way federalism is strengthened in practice. The effectiveness of constitutional power-sharing depends on how political parties and leaders adhere to these arrangements.

Evolution of Centre-State Relations

• Early Years (Same Party Rule): For a long time, the same party ruled at the Centre and in most States. This led to State governments not fully exercising their autonomy as federal units.
• Rival Party Rule: When different parties ruled at the Centre and in the States, the Central government sometimes misused the Constitution to dismiss State governments controlled by rival parties. This undermined the spirit of federalism.
• Post-1990 Era (Coalition Governments): The rise of regional political parties and the emergence of coalition governments at the Centre after 1990 significantly changed Centre-State relations.
• Coalition Government: A government formed by the alliance of at least two political parties, usually with a common program.
• This era fostered a new culture of power-sharing and respect for the autonomy of State governments.
• Supreme Court's Role: A significant Supreme Court judgment made it difficult for the Central government to dismiss State governments arbitrarily, further strengthening federalism.

Decentralisation in India

India's vast size and internal diversity necessitate a third tier of government below the State level. This is the principle of decentralisation.

• Rationale: Problems are often best solved at the local level due to people's better understanding of local issues and more efficient resource management. It also allows for direct citizen participation in decision-making, fostering democratic habits.
• Historical Context: Efforts to decentralise power to villages and towns began after independence, with the establishment of Panchayats and Municipalities. However, these bodies lacked regular elections, powers, and resources, leading to ineffective decentralisation.
• Constitutional Amendment (1992): A major step was taken in 1992 to make the third tier more powerful and effective:
• Regular Elections: Constitutionally mandated regular elections to local government bodies.
• Reservations: Seats reserved for Scheduled Castes, Scheduled Tribes, Other Backward Classes, and at least one-third for women.
• State Election Commission: An independent body created in each State to conduct local body elections.
• Power and Revenue Sharing: State governments are required to share some powers and revenue with local governments.

Local Government Bodies

Local government bodies form the third tier of democracy in India.

Panchayati Raj (Rural Local Government)

• Gram Panchayat:
• Covers a village or a group of villages.
• Consists of Ward Members (panch) and a President (sarpanch).
• Directly elected by adult residents of the ward/village.
• Acts as the decision-making body for the entire village.
• Gram Sabha:
• Comprises all voters in the village.
• Supervises the Gram Panchayat.
• Approves the annual budget and reviews the Gram Panchayat's performance.
• Panchayat Samiti (Block/Mandal):
• Formed by grouping several Gram Panchayats.
• Members are elected by Panchayat members in the area.
• Zilla Parishad (District):
• Comprises all Panchayat Samitis in a district.
• Most members are elected.
• Includes Lok Sabha MPs, MLAs of the district, and some district-level officials.
• The Chairperson is the political head.

Urban Local Government

• Municipalities: Set up in towns.
• Municipal Corporations: Constituted for big cities.
• Both are controlled by elected representatives.
• The political head of a Municipality is the Municipal Chairperson.
• In a Municipal Corporation, this head is called the Mayor.

Remember

The 1992 amendment is critical for understanding the current structure and powers of local government in India.

Exam-smart

Questions might ask to compare the powers of the DM/Collector with the Zilla Parishad chairperson, highlighting the difference between administrative and political heads, or to explain the significance of the 1992 amendment in strengthening local self-government.

Experiment in Brazil

Porto Alegre, Brazil, implemented an innovative experiment combining decentralisation with participative democracy.

• A parallel organisation to the municipal council allows local inhabitants to make real decisions for their city.
• Citizens participate in making the city's budget by attending sector (ward) meetings and meetings for city-wide issues.
• This process ensures that public funds benefit all areas, not just affluent ones, and protects slum-dwellers.
• Similar experiments in Kerala, India, have involved ordinary people in local development planning.

Remember

Participative democracy, as seen in Porto Alegre, is a key outcome of effective decentralisation.

Exam-smart

A case study on Porto Alegre or a similar Indian example might be presented, asking students to identify the principles of decentralisation and participation at play, or to suggest improvements based on the Brazilian model.