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divided between the national government and the regional | governments by the Constitution itself and both operate in their | respective jurisdictions independently. Britain, France, Japan, |
China, Italy, Belgium, Norway, Sweden, Spain and so on have the | unitary model of government while the US, Switzerland, Australia, | Canada, Russia, Brazil, Argentina and so on have the federal |
model of government. In a federal model, the national government | is known as the Federal government or the Central government or | the Union government and the regional government is known as the |
state government or the provincial government. | The specific features of the federal and unitary governments are | mentioned below in a comparative manner: |
The term ‘federation’ is drived from a Latin word foedus which | means ‘treaty’ or ‘agreement’. Thus, a federation is a new state | (political system) which is formed through a treaty or an agreement |
between the various units. The units of a federation are known by | various names like states (as in US) or cantons (as in Switzerland) | or provinces (as in Canada) or republics (as in Russia). |
Table 13.1 Comparing Features of Federal and Unitary | Governments | Federal Government Unitary Government |
Federal Government Unitary Government | 1. Dual Government (that 1. Single government, that is, | is, national the national government |
government and which may create regional | regional government) governments | 2. Written Constitution 2. Constitution may be written |
(France) or unwritten (Britain) | 3. Division of powers 3. No division of powers. All | between the national powers are vested in the |
and regional national government | government | 4. Supremacy of the 4. Constitution may be supreme |
Constitution (Japan) or may not be | supreme (Britain) | 5. Rigid Constitution 5. Constitution may be rigid |
(France) or flexible (Britain) | 6. Independent judiciary 6. Judiciary may be independent | or may not be independent |
7. Bicameral legislature 7. Legislature may be bicameral | (Britain) or unicameral | (China) |
A federation can be formed in two ways, that is, by way of | integration or by way of disintegration. In the first case, a number of | militarily weak or economically backward states (independent) |
come together to form a big and a strong union, as for example, the | US. In the second case, a big unitary state is converted into a | federation by granting autonomy to the provinces to promote |
regional interest (for example, Canada). The US is the first and the | oldest federation in the world. It was formed in 1787 following the | American Revolution (1775–83). It comprises 50 states (originally |
13 states) and is taken as the model of federation. The Canadian | Federation, comprising 10 provinces (originally 4 provinces) is also | quite old–formed in 1867. |
due to two main reasons–the large size of the country and its socio- | cultural diversity. They realised that the federal system not only | ensures the efficient governance of the country but also reconciles |
national unity with regional autonomy. | However, the term ‘federation’ has no where been used in the | Constitution. Instead, Article 1 of the Constitution describes India |
asa ‘Union of States’. According to Dr. B.R. Ambedkar, the phrase | ‘Union of States’ has been preferred to ‘Federation of States’ to | indicate two things: (i) the Indian federation is not the result of an |
agreement among the states like the American federation; and (ii) | the states have no right to secede from the federation. The | federation is union because it is indestructible.1 |
The Indian federal system is based on the ‘Canadian model’ and | not on the ‘American model’. The ‘Canadian model’ differs | fundamentally from the ‘American model’ in so far as it establishes |
a very strong centre. The Indian federation resembles the Candian | federation (i) in its formation (i.e., by way of disintegration); (ii) in its | preference to the term ‘Union’ (the Canadian federation is also |
FEDERAL FEATURES OF THE CONSTITUTION | The federal features of the Constitution of India are explained | below: |
1. Dual Polity | The Constitution establishes a dual polity consisting the Union at | the Centre and the states at the periphery. Each is endowed with |
sovereign powers to be exercised in the field assigned to them | respectively by the Constitution. The Union government deals with | the matters of national importance like defence, foreign affairs, |
currency, communication and so on. The state governments, on the | other hand, look after the matters of regional and local importance | like public order, agriculture, health, local government and so on. |
2. Written Constitution | The Constitution is not only a written document but also the | lengthiest Constitution of the world. Originally, it contained a |
Preamble, 395 Articles (divided into 22 Parts) and 8 Schedules.2 At | present (2019), it consists of a Preamble, about 470 Articles | (divided into 25 Parts) and 12 Schedules.3 It specifies the structure, |
organisation, powers and functions of both the Central and state | governments and prescribes the limits within which they must | operate. Thus, it avoids the misunderstandings and disagreements |
between the two. | 3. Division of Powers | The Constitution divided the powers between the Centre and the |
states in terms of the Union List, State List and Concurrent List in | the Seventh Schedule. The Union List consists of 98 subjects | (originally 97), the State List 59 subjects (originally 66) and the |
Concurrent List 52 subjects (originally 47). Both the Centre and the | states can make laws on the subjects of the concurrent list, but in | case of a conflict, the Central law prevails. The residuary subjects |
4. Supremacy of the Constitution | The Constitution is the supreme (or the highest) law of the land. | The laws enacted by the Centre and the states must conform to its |
provisions. Otherwise, they can be declared invalid by the Supreme | Court or the high courts through their power of judicial review. Thus, | the organs of the government (legislative, executive and judicial) at |
both the levels must operate within the jurisdiction prescribed by the | Constitution. | 5. Rigid Constitution |
The division of powers established by the Constitution as well as | the supremacy of the Constitution can be maintained only if the | method of its amendment is rigid. Hence, the Constitution is rigid to |
the extent that those provisions which are concerned with the | federal structure (i.e., Centre-state relations and judicial | organisation) can be amended only by the joint action of the Central |
and state governments. Such provisions require for their | amendment a special majority4 of the Parliament and also an | approval of half of the state legislatures. |
6. Independent Judiciary | The Constitution establishes an independent judiciary headed by | the Supreme Court for two purposes: one, to protect the supremacy |
of the Constitution by exercising the power of judicial review; and | two, to settle the disputes between the Centre and the states or | between the states. The Constitution contains various measures |
like security of tenure to judges, fixed service conditions and so on | to make the judiciary independent of the government. | 7. Bicameralism |
The Constitution provides for a bicameral legislature consisting of | an Upper House (Rajya Sabha) and a Lower House (Lok Sabha). | The Rajya Sabha represents the states of Indian Federation, while |
the Lok Sabha represents the people of India as a whole. The | Rajya Sabha (even though a less powerful chamber) is required to | maintain the federal equilibrium by protecting the interests of the |
UNITARY FEATURES OF THE CONSTITUTION | Besides the above federal features, the Indian Constitution also | possesses the following unitary or non-federal features: |
1. Strong Centre | The division of powers is in favour of the Centre and highly | inequitable from the federal angle. Firstly, the Union List contains |
more subjects than the State List. Secondly, the more important | subjects have been included in the Union List. Thirdly, the Centre | has overriding authority over the Concurrent List. Finally, the |
residuary powers have also been left with the Centre, while in the | US, they are vested in the states. Thus, the Constitution has made | the Centre very strong. |
2. States Not Indestructible | Unlike in other federations, the states in India have no right to | territorial integrity. The Parliament can by unilateral action change |
the area, boundaries or name of any state. Moreover, it requires | only a simple majority and not a special majority. Hence, the Indian | Federation is “an indestructible Union of destructible states”. The |
American Federation, on the other hand, is described as “an | indestructible Union of indestructible states”. | 3. Single Constitution |
Usually, in a federation, the states have the right to frame their own | Constitution separate from that of the Centre. In India, on the | contrary, no such power is given to the states. The Constitution of |
India embodies not only the Constitution of the Centre but also | those of the states. Both the Centre and the states must operate | within this single-frame. The only exception in this regard was the |
case of Jammu and Kashmir which had its own (state) | Constitution.5 | 4. Flexibility of the Constitution |
The process of constitutional amendment is less rigid than what is | found in other federations. The bulk of the Constitution can be | amended by the unilateral action of the Parliament, either by simple |
majority or by special majority. Further, the power to initiate an | amendment to the Constitution lies only with the Centre. In US, the | states can also propose an amendment to the Constitution. |
5. No Equality of State Representation | The states are given representation in the Rajya Sabha on the | basis of population. Hence, the membership varies from 1 to 31. In |
US, on the other hand, the principle of equality of representation of | states in the Upper House is fully recognised. Thus, the American | Senate has 100 members, two from each state. This principle is |
regarded as a safeguard for smaller states. | 6. Emergency Provisions | The Constitution stipulates three types of emergencies–national, |
state and financial. During an emergency, the Central government | becomes all powerful and the states go into the total control of the | Centre. It converts the federal structure into a unitary one without a |
formal amendment of the Constitution. This kind of transformation is | not found in any other federation. | 7. Single Citizenship |
In spite of a dual polity, the Constitution of India, like that of | Canada, adopted the system of single citizenship. There is only | Indian Citizenship and no separate state citizenship. All citizens |
irrespective of the state in which they are born or reside enjoy the | same rights all over the country. The other federal states like US, | Switzerland and Australia have dual citizenship, that is, national |
citizenship as well as state citizenship. | 8. Integrated Judiciary | The Indian Constitution has established an integrated judicial |
as well as the state laws. In US, on the other hand, there is a | double system of courts whereby the federal laws are enforced by | the federal judiciary and the state laws by the state judiciary. |
9. All-India Services | In US, the Federal government and the state governments have | their separate public services. In India also, the Centre and the |
states have their separate public services. But, in addition, there are | all-India services (IAS, IPS, and IFS) which are common to both the | Centre and the states. The members of these services are recruited |
and trained by the Centre which also possess ultimate control over | them. Thus, these services violate the principle of federalism under | the Constitution. |
10. Integrated Audit Machinery | The Comptroller and Auditor-General of India audits the accounts of | not only the Central government but also those of the states. But, |
his appointment and removal is done by the president without | consulting the states. Hence, this office restricts the financial | autonomy of the states. The American Comptroller-General, on the |
contrary, has no role with respect to the accounts of the states. | 11. Parliament’s Authority Over State List | Even in the limited sphere of authority allotted to them, the states |
do not have exclusive control. The Parliament is empowered to | legislate on any subject of the State List if Rajya Sabha passes a | resolution to that effect in the national interest. This means that the |
legislative competence of the Parliament can be extended without | amending the Constitution. Notably, this can be done when there is | no emergency of any kind. |
12. Appointment of Governor | The governor, who is the head of the state, is appointed by the | President. He holds office during the pleasure of the President. He |
contrary, provided for an elected head in the states. In this respect, | India adopted the Canadian system. | 13. Integrated Election Machinery |
The Election Commission conducts elections not only to the Central | legislature but also to the state legislatures. But, this body is | constituted by the President and the states have no say in this |
matter. The position is same with regard to the removal of its | members as well. On the other hand, US has separate machineries | for the conduct of elections at the federal and state levels. |
14. Veto Over State Bills | The governor is empowered to reserve certain types of bills passed | by the state legislature for the consideration of the President. The |
President can withhold his assent to such bills not only in the first | instance but also in the second instance. Thus, the President | enjoys absolute veto (and not suspensive veto) over state bills. But |
CRITICAL EVALUATION OF THE FEDERAL SYSTEM | From the above, it is clear that the Constitution of India has | deviated from the traditional federal systems like US, Switzerland |
and Australia and incorporated a large number of unitary or non- | federal features, tilting the balance of power in favour of the Centre. | This has prompted the Constitutional experts to challenge the |
federal character of the Indian Constitution. Thus, KC Wheare | described the Constitution of India as “quasi-federal”. He remarked | that “Indian Union is a unitary state with subsidiary federal features |
rather than a federal state with subsidiary unitary features.”6 | According to K Santhanam, the two factors have been | responsible for increasing the unitary bias (tendency of |
centralisation) of the Constitution. These are: (i) the dominance of | the Centre in the financial sphere and the dependence of the states | upon the Central grants; and (ii) the emergence of a powerful |
erstwhile planning commission which controlled the developmental | process in the states6a. He observed: “India has practically | functioned as a unitary state though the Union and the states have |
tried to function formally and legally as a federation.”7 | However, there are other political scientists who do not agree | with the above descriptions. Thus, Paul Appleby8 characterises the |
Indian system as “extremely federal”. Morris Jones9 termed it as a | “bargaining federalism”. Ivor Jennings10 has described it as a | “federation with a strong centralising tendency”. He observed that |
“the Indian Constitution is mainly federal with unique safeguards for | enforcing national unity and growth”. Alexandrowicz11 stated that | “India is a case sui generis (i.e., unique in character). Granville |
Austin12 called the Indian federalism as a “cooperative federalism”. | He said that though the Constitution of India has created a strong | Central government, it has not made the state governments weak |
and has not reduced them to the level of administrative agencies for | the execution of policies of the Central government. He described | the Indian federation as “a new kind of federation to meet India’s |
peculiar needs”. | On the nature of Indian Constitution, Dr. B.R. Ambedkar made | the following observation in the Constituent Assembly: “The |
Constitution is a Federal Constitution in as much as it establishes a | dual polity. The Union is not a league of states, united in a loose | relationship, nor are the states the agencies of the Union, deriving |
powers from it. Both the Union and the states are created by the | Constitution, both derive their respective authority from the | Constitution.”13 He further observed: “Yet the Constitution avoids |
the tight mould of federalism and could be both unitary as well as | federal according to the requirements of time and circum- | stances”.14 While replying to the criticism of over-centralisation in |
the Constitution, he stated: “A serious complaint is made on the | ground that there is too much centralisation and the states have | been reduced to municipalities. It is clear that this view is not only |
an exaggeration but is also founded on a misunderstanding of what | exactly the Constitution contrives to do. As to the relations between | the Centre and the states, it is necessary to bear in mind the |
fundamental principle on which it rests. The basic principle of | federalism is that the legislative and executive authority is | partitioned between the Centre and the states not by any law to be |
made by the Centre but by the Constitution itself. This is what the | Constitution does. The states are in no way dependent upon the | Centre for their legislative or executive authority. The states and the |
Centre are coequal in this matter. It is difficult to see how such a | Constitution can be called centralism. It is, therefore, wrong to say | that the states have been placed under the Centre. The Centre |
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