Federal System – UPSC Notes – Indian Polity

A federal system and a unitary system are two types of governments based on how the national government and regional governments interact. In a unitary government, all powers belong to the national government, and regional governments, if they exist, get their authority from the national government. Examples of countries with a unitary system include Britain, France, Japan, China, Italy, Belgium, Norway, Sweden, and Spain.

On the other hand, in a federal government, the Constitution divides powers between the national government and regional governments, and both can operate independently in their own areas. Countries like the US, Switzerland, Australia, Canada, Russia, Brazil, and Argentina follow the federal model. In a federal system, the national government is often called the Federal government, Central government, or Union government, while the regional government is referred to as the state government or provincial government.

Comparison of Federal and Unitary Governments

Federal Government	Unitary Government
1. Dual Government (national government and regional government)	1. Single government (national government with the option to create regional governments)
2. Written Constitution	2. Constitution may be written (France) or unwritten (Britain)
3. Division of powers between the national and regional government	3. No division of powers; all powers vested in the national government
4. Supremacy of the Constitution	4. Constitution may be supreme (Japan) or not supreme (Britain)
5. Rigid Constitution	5. Constitution may be rigid (France) or flexible (Britain)
6. Independent judiciary	6. Judiciary may be independent or not independent
7. Bicameral legislature	7. Legislature may be bicameral (Britain) or unicameral (China)

The word ‘federation‘ comes from the Latin word ‘foedus,’ meaning ‘treaty‘ or ‘agreement.’ So, a federation is a new political system created through a treaty or agreement among different units. These units can be called states (like in the US), cantons (as in Switzerland), provinces (as in Canada), or republics (as in Russia).

Federations can be formed in two ways: integration or disintegration. In the first case, weaker or economically struggling independent states join together to form a strong union, like the United States. In the second case, a large central state becomes a federation by giving autonomy to provinces to support regional interests, such as Canada.

The United States is the world’s first and oldest federation, established in 1787 after the American Revolution (1775–83). It consists of 50 states (originally 13 states) and is considered a model federation. The Canadian Federation, formed in 1867, comprises 10 provinces (originally 4 provinces) and is also quite old.

Federal Features of the Constitution

The Constitution of India has federal features, explained below:

1. Dual Polity: The Constitution establishes a dual polity with the Union at the Centre and states at the periphery. Each has sovereign powers assigned by the Constitution. The Union handles national matters like defense, foreign affairs, currency, and communication, while states manage regional matters like public order, agriculture, health, and local government.
2. Written Constitution: It’s not just a written document but the world’s longest Constitution. Initially, it had a Preamble, 395 Articles (in 22 Parts), and 8 Schedules. Currently (as of 2016), it consists of a Preamble, about 465 Articles (in 25 Parts), and 12 Schedules. It details the structure, organization, powers, and functions of both the Central and state governments, preventing misunderstandings.
3. Division of Powers: The Constitution divides powers between the Centre and states through the Union List, State List, and Concurrent List in the Seventh Schedule. The Union List has 100 subjects, the State List 61, and the Concurrent List 52. Both levels can make laws on concurrent list subjects, but in conflicts, Central law prevails. The Centre gets residuary subjects not in any list.
4. Supremacy of the Constitution: It is the supreme law of the land, and laws enacted by the Centre and states must comply with it. The Supreme Court or high courts can declare them invalid through judicial review. All government organs must operate within the Constitution’s prescribed jurisdiction.
5. Rigid Constitution: The federal structure’s integrity and the Constitution’s supremacy require a rigid amendment process. Provisions related to federal structure (Centre–state relations and judicial organization) can be amended only by joint action of the Central and state governments. Such changes need a special majority in Parliament and approval from half of the state legislatures.
6. Independent Judiciary: The Constitution sets up an independent judiciary led by the Supreme Court, serving dual purposes. First, it safeguards the supremacy of the Constitution by wielding the power of judicial review. Second, it acts as a mediator, resolving conflicts between the Centre and the states or among the states themselves. The Constitution incorporates safeguards such as security of tenure for judges and fixed service conditions to ensure the judiciary operates independently from the government’s influence.
7. Bicameralism: Our Constitution outlines a bicameral legislature, featuring an Upper House (Rajya Sabha) and a Lower House (Lok Sabha). Drawing a parallel, think of it as a two-tiered structure – the Rajya Sabha represents the diverse states within the Indian Federation, while the Lok Sabha stands as the voice of the entire Indian populace. Despite being considered the lesser powerhouse, the Rajya Sabha plays a crucial role in preserving federal equilibrium, acting as a check against undue interference from the Centre. It’s akin to a seesaw, ensuring a balance in representing both state and national interests.

Unitary Features of the Constitution

In addition to the federal features mentioned earlier, the Indian Constitution also has some unitary or non-federal aspects:

1. Strong Centre: The distribution of powers favors the Central government and is not very fair from a federal perspective. Firstly, the Union List contains more subjects than the State List. Secondly, the more crucial matters are listed in the Union List. Thirdly, the Centre has ultimate authority over the Concurrent List. Lastly, the remaining powers are kept with the Centre, whereas, in the US, they belong to the states. This setup makes the Central government very powerful.
2. States Not Indestructible: In India, unlike other federations, states have no right to territorial integrity. The Parliament can unilaterally change the area, boundaries, or name of any state with a simple majority. This makes the Indian Federation an “indestructible Union of destructible states,” unlike the US, which is described as an “indestructible Union of indestructible states.”
3. Single Constitution: In typical federations, states can create their own Constitution separate from the Centre. However, in India, states don’t have this power. The Constitution of India includes not only the Centre’s Constitution but also those of the states. Both the Centre and states must operate within this single framework, except for Jammu and Kashmir, which has its own Constitution.
4. Flexibility of the Constitution: The process of constitutional amendment is less rigid in India than in other federations. The majority of the Constitution can be amended by the Parliament’s unilateral action, either with a simple or special majority. Only the Centre can initiate amendments, while in the US, states can also propose amendments.
5. 5. No Equality of State Representation: In the Rajya Sabha, states in India have representation based on population, varying from 1 to 31. In contrast, the US Senate follows the principle of equal representation for states, with each state having two members. This equality is seen as a safeguard for smaller states.
6. Emergency Provisions: India’s Constitution specifies three types of emergencies – national, state, and financial. During an emergency, the Central government gains extensive powers, and the states come under total Centre control. This transforms the federal structure into a unitary one without formally amending the Constitution, a feature not found in other federations.
7. Single Citizenship: Despite having a dual polity, India’s Constitution, like Canada’s, adopts the system of single citizenship. There is only Indian citizenship, with no separate state citizenship. In contrast, other federal states like the US, Switzerland, and Australia have dual citizenship, encompassing national and state citizenship.
8. Integrated Judiciary: In India, we have a unified judicial system with the Supreme Court at the top and state high courts below it. This single system of courts enforces both Central laws and state laws. In the US, they have a different setup, where federal laws are enforced by federal courts, and state laws are handled by state courts.
9. All-India Services: While the US has separate public services for the Federal and state governments, India has additional services like IAS, IPS, and IFS that work for both the Centre and the states. Members of these services are trained and controlled by the Centre, and this is a bit different from the federal setup.
10. Integrated Audit Machinery: The person who checks and audits the accounts in India, known as the Comptroller and Auditor-General, not only looks at the accounts of the Central government but also those of the states. However, the President appoints and removes them without asking the states. This can limit the financial independence of the states. In the US, the person responsible for this doesn’t have a role in the state accounts.
11. Parliament’s Authority Over State List: Even within their specific responsibilities, the states don’t have exclusive control. The Parliament can make laws on state matters if the Rajya Sabha agrees it’s in the national interest. This happens without changing the Constitution, and it’s important to note that this can occur without any emergency.
12. Appointment of Governor: The leader of a state, known as the governor, is chosen by the President and can be removed by the President. The governor acts as a representative of the Centre in the state, which means the Centre can influence state matters. In the US, states have an elected head, which is a bit different from our system.
13. Integrated Election Machinery: In India, the Election Commission manages elections for both the Central government and state governments. However, this body is formed by the President, and the states don’t have a say in its creation or removal of its members. On the flip side, the US has separate systems for conducting elections at the federal and state levels.
14. Veto Over State Bills: The governor has the authority to set aside certain types of bills approved by the state legislature for the President’s consideration. The President can choose not to approve such bills, not just the first time but also after a second review. This means the President has an absolute veto (and not a suspensive veto) over state bills. In contrast, in the US and Australia, states operate independently within their areas, and there’s no provision for this kind of reservation.

Critical Evaluation of the Federal System

Looking at the information above, it’s evident that India’s Constitution differs from traditional federal systems like the US, Switzerland, and Australia. It includes many features leaning towards a unitary or non-federal structure, tipping the power balance in favor of the Centre. This has led constitutional experts to question the federal nature of the Indian Constitution.

According to KC Wheare, the Constitution of India is “quasi-federal,” leaning more towards being a unitary state with subsidiary federal features. Santhanam identifies two factors contributing to this unitary bias: the Centre’s dominance in finances and states relying on Central grants, along with the influence of a powerful planning commission controlling development.

However, not all political scientists agree with this characterization. Paul Appleby sees the Indian system as “extremely federal,” Morris Jones calls it “bargaining federalism,” and Ivor Jennings describes it as a “federation with a strong centralizing tendency.” Granville Austin terms it “cooperative federalism,” emphasizing that the Indian federation is unique, meeting the country’s specific needs.

B.R. Ambedkar, a key architect of the Indian Constitution, clarified that it establishes a dual polity and isn’t a loose league of states. He noted that the Constitution can be both unitary and federal as needed, dispelling the criticism of over-centralization. Ambedkar emphasized the fundamental federal principle that legislative and executive authority is partitioned by the Constitution itself, making the states and the Centre co-equal.

In Bommai Case (1994): The Supreme Court established that the Constitution is federal, with federalism as its ‘basic feature.’ It clarified that although greater power is given to the Centre compared to the states, it doesn’t imply that states are mere extensions of the Centre. States possess an independent constitutional existence and are not subordinate entities. Even in emergencies or specific situations, where the Centre may override state powers, this doesn’t undermine the essential federal nature of the Constitution. Such instances are exceptions, not the rule. The federalism in the Indian Constitution is not just for administrative convenience; it’s a principled stance, reflecting our own historical process and a recognition of ground realities.

In India, federalism is a delicate balance between two conflicting considerations:

1. The normal division of powers, allowing states autonomy within their domains.
2. The need for national integrity and a strong Union government during exceptional circumstances.

Several trends in the functioning of the Indian political system highlight its federal spirit:

1. Territorial disputes between states, such as the Maharashtra-Karnataka conflict over Belgaum.
2. Disputes over the sharing of river water, like the Karnataka-Tamil Nadu disagreement over Cauvery Water.
3. The rise of regional parties and their governance in states like Andhra Pradesh, Tamil Nadu, etc.
4. The creation of new states to fulfill regional aspirations, as seen in Mizoram and more recently, Jharkhand.
5. States demanding increased financial grants from the Centre to address developmental needs.
6. States asserting autonomy and resisting interference from the Centre.
7. The Supreme Court imposes procedural limitations on the use of Article 356 (President’s Rule in the States) by the Centre.

Frequently Asked Questions (FAQs) about Federal System

1. Q: What is the fundamental difference between a federal and unitary government?
   • A: In a federal government, powers are divided between the national and regional governments, operating independently. In a unitary government, all powers belong to the national government, with the option to create regional governments.
2. Q: Which countries follow a unitary system of government?
   • A: Britain, France, Japan, China, Italy, Belgium, Norway, Sweden, and Spain are examples of countries with a unitary system.
3. Q: What is the significance of the term ‘federation’ in political systems?
   • A: A federation is a political system created through a treaty or agreement among different units, such as states, cantons, provinces, or republics.
4. Q: How can federations be formed, and what are the two ways mentioned?
   • A: Federations can be formed through integration (weaker states forming a strong union) or disintegration (a central state becoming a federation by granting autonomy to provinces).
5. Q: Which countries were the first and oldest federations in the world?
   • A: The United States (established in 1787) and Canada (formed in 1867) are the world’s first and oldest federations.
6. Q: What are the federal features of the Indian Constitution?
   • A: The federal features include a dual polity, a written constitution, division of powers, supremacy of the constitution, rigid constitution, independent judiciary, and bicameral legislature.
7. Q: How does the Indian Constitution exhibit unitary features alongside federal features?
   • A: Unitary features include a strong Centre, the Parliament’s authority over state matters, single citizenship, integrated judiciary, and appointment of the governor by the President.
8. Q: Why is India’s Constitution sometimes described as “quasi-federal”?
   • A: India’s Constitution is termed “quasi-federal” due to its unitary bias, where the Centre holds more power, particularly in finances, and states rely on Central grants.
9. Q: What did the Bommai Case (1994) establish regarding the federal nature of the Indian Constitution?
   • A: The Supreme Court affirmed that the Indian Constitution is federal, with federalism as its ‘basic feature,’ emphasizing states’ independent constitutional existence.
10. Q: How does federalism manifest in the Indian political system’s functioning?
    • A: Federalism in India is evident through territorial disputes, conflicts over resource-sharing, regional party governance, the creation of new states, and states asserting autonomy while resisting interference from the Centre.

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