ASSIGNMENT

TOPIC- FEDERAL FORM OF GOVERNMENT

SUBMITTED TO- DR. VED PRAKASH SHARMA, ASSISTANT PROFESSOR,

POLITICAL SCIENCE, HPNLU, SHIMLA

SUBMITTED BY- JATIN SHARMA, B.A., LL.B. (HONS.), BATCH OF 2021-2026

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 TABLE OF CONTENTS

ACKNOWLEDGEMENT 3

DECLARATION BY STUDENT 4

RESEARCH METHODOLOGY 5

DISCUSSION 6-11

CASE STUDY 12-15

CONCLUSION 16

REFERENCES & LIST OF ACTS 17

PLAGIARISM REPORT 18

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 ACKNOWLEDGMENT
The completion of this assignment could not have been possible without the support and able
guidance of so many people, whose names may not all be enumerated. Their assistance and
contribution is sincerely appreciated and is worth acknowledging.

I would like to thank Dr.Ved Prakash Sharma, Assistant Professor, Political Science,
HPNLU, Shimla and Dr. Santosh Kumar Sharma, Dean, Academic affairs, HPNLU, Shimla
for their help and understanding spirit throughout the making of this assignment. Also, I would
like to thank Mr. Arun Kumar, Librarian, HPNLU, Shimla for his kind help and support.

I would like to thank my parents, relatives and friends who have, in some way or the other
extended their support either financially, morally or emotionally.

Above all , I thank my Creator, Almighty God, the Lord of Lords, The King of Kings, The Most
Merciful One, for His mercy.

Thank you

JATIN SHARMA

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 DECLARATON BY STUDENT

I, Jatin Sharma, student of HPNLU ,Shimla, Enrollment no. 1020212221, hereby declare that
the assignment entitled “FEDERAL FORM OF GOVERNMENT” is made by me in person
and is in compliance with the guidelines provided by Dr. Santosh Kumar Sharma, Hon’ble Dean
Academic Affairs, HPNLU, Shimla. This assignment has NOT been submitted in any other
institution, college or university in India or abroad. I have made my best of efforts to make sure
that plagiarism, if any, is below the prescribed level.

JATIN SHARMA

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 RESEARCH METHODOLOGY
Research methodology tells what methods were used by the researcher in formation of his
assignment. There are several research methodologies which have different uses and they have
different ways to extract information regarding a particular topic.

In this assignment, we have used qualitative research methodology, in which I have come to
know about the phenomenon without the help of statistical method, or without variables, and
descriptive research methodology, which has helped me to describe various aspects of
federalism, its features, merits and demerits of federalism.

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 DISCUSSION

A Government is a political system by which a country or a territory is administered government.

A Government in general consists of legislature, executive, and judiciary. Government is a
means by which organizational policies are enforced, as well as a mechanism for determining
policy. Each government has a kind of constitution, a statement of its governing principles and
philosophy.

While all types of organizations have governance, the term government is often used more
specifically, to refer to the approximately 200 independent national governments and subsidiary
organizations.

Prevalent forms of Governments in the past include monarchy, aristocracy, oligarchy,

democracy, theocracy and tyranny. The main aspect of any philosophy of govt. is how political
power is obtained, with the two main forms being electoral contest and hereditary succession.

FEDERAL FORM OF GOVERNMENT

The term “federalism” is derived from the Latin language, which is considered a dead language,
i.e. it is not in use as of today. The term “foedus” means agreement or a treaty. Due to
centripetal, or centrifugal force, a federal polity comes into existence. A federal form of
government is said to have an agreement between no less than two powers- Central or National
government and State or Provincial government or other units of government. It is a system of
government in which sovereignty is constitutionally divided between the two.

Usually, a federation has two or more levels of government One is the government for the entire
country that is generally responsible for a few subjects of common national interest such as
Defense, External Affairs etc. Other is responsible for local issues such as law & order, water
supply etc. Both these levels of governments enjoy their power independent of the other. State
government has powers of its own for which it is not answerable to the central government.

In the words of James Bryce, “A federal state is a political contrivance intended to reconcile
national unity and power with the maintaining of state rights.”

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J.W. Garner describes federal form of government as “a system in which the government power
is divided and distributed between the centre and the states by the national constitution.

FEDERAL GOVERNMENT V. UNITARY GOVERNMENT

As mentioned before, a federal form of government is a type of government in which power is

dived among the different units of government, i.e. National or central government and State or
provincial government.

But this is not so in the case of a unitary form of government. In a unitary form of government,
all administrative powers given by the constitution is handled by one single government alone,
i.e. the National or Central government. There is no fair division of power.

Following are the major differences between Federal and Unitary forms of government.

FEDERAL GOVERNMENT UNITARY GOVERNMENT

1. Decentralization of power between There is centralization of power.

central and state governments.

2. There is a democratic setup in which all The government is not as democratic as in

governments take part in decision federal system.
making.
3. Constitution is in written form. There may or may not be a written
constitution.

4. It has a rigid constitution which cannot It has a flexible constitution which can be
be amended easily. amended easily.

5. There will be at least two types of There will be only one government for the
governments. entire nation.

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CHARECTARISTICS OR FEATURES OF FEDERAL GOVERNMENT

The following are the characteristics of a Federal form of Government:

1. In a federal government, there will be a written constitution which will rationally divide
the powers and will determine the relationship between the central and state government.
2. Since the written constitution will be rigid in nature, it cannot be altered easily and it will
provide protection of rights for both the governments.
3. Since there will be two or more governments having established relationships, it will
provide enhanced security from foreign threats for both the governments, especially the
state government.
4. There will be Bicameralism, in which there will be two chambers in the Parliament, the
upper and the lower, representing the State and the People, respectively.
5. The people living in a country with federal form of government will enjoy dual
citizenship. Citizens will have membership of both centre and state respectively.
6. An independent judiciary acts as an umpire in order to settle disputes between different
levels of government in the exercise of their respective powers. It also safeguards the
rights of the citizens against the acts of legislature and administrative authorities.

MERITS OF FEDERAL FORM OF GOVERNMENT

1. In a federal form of government, there is a distribution of powers between centre and

state, hence each discharges its duties according to the constitution and there is less
burden of work on the centre.
2. The federal system has two objectives: to safeguard and promote unity of the country,
while at the same time accommodate regional diversity, i.e. Unity in diversity. It is very
essential to a country like India, where there is a multi- cultural, multi- lingual and a
multi –religious society.
3. A federal form of government is against dictatorship (1), since there is a scope for
preventing single despotism. The judiciary ensures the rights of the people are safe and
keeps a check on bureaucratic activities.

(1) A form of government where absolute power is concentrated in the hands of a single person or party.

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DEMERITS OF FEDERAL FORM OF GOVERNMENT

1. There is a lack of uniformity in laws in a federal form of government. Every state has its
own demands and requirement. It is not necessary that there will be same laws
everywhere in a country with a federal structure. This may lead to confusion and tensions
between state to state or centre to state relations.
2. Since, powers and duties on the centre and state are vested by the constitution, there may
be certain powers and duties which are common to both the governments. It is a
possibility that they may run away from their duties and put their burden on each other.
This may hamper center-state relations and will lead to tensions.
3. Since there will be two or more governments in a federal system, the cost of maintaining
and running two or more governments will be more. People will have to pay taxes to two
or more governments.

TYPES OF FEDERALISM

Following are the different types of federalism:

1. Cooperative federalism- In cooperative federalism, there is not a clear distinction of

functions and powers between the center and the state. Instead, there are many areas
where their responsibilities and duties overlap. For example, drug enforcement involves
federal agents, state troopers, and local police. The federal government supplies funds for
education, but the state and local school boards choose curriculum and set qualifications
for teachers. This type of federalism is also known as marble cake federalism. It indicates
that powers given by the constitution are not divided, but shared by the two or more tiers
of government.
2. Dual federalism- The approach followed by dual mode of federalism is to balance the
powers between the centre and the state governments. It believes in clear distinction
between the powers and duties of the center and the state governments. It also believes
that central and state governments can exist even if they hold equal power. This type of
federalism is also known as layer cake federalism. It shows that the different layers, i.e.

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 different tiers of government have their own powers. It is divided by the constitution
itself.
3. Centralized federalism- In this type of federalism, the central government will possess the
legislative power, i.e. the power to make laws on different subjects, and the state or
provincial level of the government will have the executive power to enforce the laws
made by the central government. Countries which follow this type of federalism include
The United Kingdom of Great Britain and the Republic of France.
4. Competitive Federalism- Competitive federalism creates a sense of competition among
central government and state government. It is beneficial for a country for better
economic developments. It is a known fact that in order to make the market flourish,
there should be competition. This will also enhance the services provided by the
governments to its citizens. This also makes the central governments to reduce its
expenditure on the general welfare of the public and focus on issues of immediate
importance like foreign affairs, defense etc.
5. Creative federalism- Creative federalism refers to the type of federalism where more
importance is given to the national government, instead of the state government. The
national government may look up to the state affairs directly. The state government may
be compensated by giving grants to them. The demerit of creative federalism is that it
weakens the state government.
6. Fiscal federalism- In this type of federalism, the center provides financial aid to the state
to support national cause. For example, in India, central government grants money to the
state governments for MGNREGA scheme, which was launched by the then UPA
government in the year 2005.
7. Progressive federalism- In this type of federalism, state governments are given more
power to look after its affairs. This gives the power to state governments to alter the laws
or to add clauses in the laws formed by the central governments. It also gives a chance to
central governments to examine the different results from different states. But this type of
federalism may weaken administrative power of the central government.
8. New federalism- This form of federalism is represented by “block grants”. Block grants
are grants which even out the balance of power shared between the central and the state

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 government. Block grants allowed the states to use the money the way they wanted.
There were no or very less restrictions by the central government.
9. Coming together federalism-In this type of federalism, independent States coming
together on their own to form a bigger unit, so that by pooling sovereign and retaining
identity they can increase their security. This type is called ‘coming together’ federations.
United States of America and Commonwealth of Australia are good examples of coming
together federalism.
10. Holding together federalism- In this type of federalism, a large country decides to divide
its power between the constituent states and the national government. Central government
appears to be more powerful in this type of federalism. Sometimes, special powers are
given to different states or units of the government. Republic of India and Kingdom of
Spain are good examples of holding together federations.

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 CASE STUDY

FEDERALISM IN INDIA
The roots of federalism in India are very deep. Formation of a federal system in India has been a
lengthy process. Some traces of a federal state can be found in the Indian history. However,
federalism was not fully established even under the rule of the Mauryas, the Guptas, and even the
Mughals. It was the British who placed the foundation stone of federalism in India. It was them
who unified India by establishing their dominion from Kashmir in the north to Kanyakumari in
the south; from Indus in the west to Brahmaputra in the east. But how did they make it happen?

During the British Raj, the formation of the federal structure in India started with the Indian
Council of 1909 Act where the central and the provincial councils were given more
administrative powers. A report (Montagu-Chelmsford Report) submitted by the Indian
Constitution Reform Committee in 1918 became the foundation of the Government of India Act
of 1919 which was the beginning of the federal system in a modern India. The Act provided
provision for a system of a dual government i.e. central and provincial government, relaxation of
control of center over the provinces through a set of Devolution Rules, provision to prepare
budget and levy taxes and include elected members in the Upper and Lower Houses of the
Parliament. The genesis of the present federalism in India lies in the Simon Report of May,
1930(1) which supported the concept of federalism in India. During 1930 -33, three Round Table
Conferences were held in which the federal structure of India was discussed. At the conclusion
of the First Round Table Conference in 1930 the British Raj officially accepted the principle that
the form of the new government of India was to be an all India federation embracing British
India and the princely states. The recommendations of the Joint Select Committee later became
the Government of India Act of 1935. Under this Act, the Centre had powers to pass laws on 59
classes of subjects set forth in the Central List, provincial governments had authority to legislate
upon 54 classes of subject as set forth in the Provincial List, and both federal and provincial
governments were permitted to pass laws on 36 classes of subjects set forth in the Concurrent
List. They later became Union list, State list and Concurrent list respectively, about which we
shall discuss about in upcoming section of the assignment.

(1) The Commission published its 2-volume report in May 1930. It proposed the establishment of representative
government in the provinces.

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Let us now have a look on what the Constitution of India has to say about federalism. India has
emerged as an independent nation after a painful and bloody partition. Soon after Independence,
several princely states became a part of the country. The Constitution of India declared India as a
Union of States. According to Part I Section I of the Constitution of India,

“1. (1) India, that is Bharat, shall be a Union of States.

[(2) The States and the territories thereof shall be as specified in the First Schedule.]

(3) The territory of India shall comprise—

(a) the territories of the States;

[(b) the Union territories specified in the First Schedule; and]

(c) such other territories as may be acquired.”

The Constitution of India like the Constitution of United States of America, which is the oldest
federation, no where uses the term "federation" or "federal union" . The Union of India is based
on the principles of federalism. We can see that all the features of federalism mentioned earlier
in the assignment apply to the provisions of the Indian Constitution. The Constitution originally
provided for a two-tier system of govt., the Union Govt. or what we call the Central Govt.,
representing the Union of India and the State governments. Later, a third tier of federalism was
added in the form of Panchayats and Municipalities in the year 1993(1). As in any federation,
these different tiers enjoy separate jurisdiction. The Constitution has clearly provided a system of
distribution of legislative powers between the Union Govt. and the State governments. Thus, it
contains three lists: Union List includes subjects of national importance such as defense of the
country, foreign affairs, banking, communications and currency. They are included in this list
because we need a uniform policy on these matters throughout the nation. Only the Union
Government can make laws related to the subjects provided in the Union List. State List contains
subjects of State and local importance such as police, trade, commerce, agriculture and irrigation.

(1) 73rd and 74th Constitutional Amendments were passed by Parliament in Dec., 1992, and received the consent

of the President of India on 20 April, 1993. Through these amendments local self-governance was introduced in
rural and urban India, i.e. Panchayats and Municipalities.

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The State Government alone can make laws relating to the subjects mentioned in the State List.
Concurrent List includes subjects of common interest to both the Union Government as well as
the State Governments, such as education, agriculture, trade unions, law &order, adoption and
succession. Both the Union as well as the State government can make laws on the subjects
mentioned in this list. If their laws conflict with each other, the law made by the Union
Government will be given more importance.

 Part XI of the Constitution of India has distributed the legislative, administrative and executive
powers between the union government and the state governments of India. Chapter I of Part XI
of Constitution of India gives the Legislative relations (1).Whereas Chapter II provides the
Administrative relations (2).

Subjects which do not fall in any of these lists are called ‘residuary’ subjects. According to the
Constitution of India, the Union Govt. has the power to legislate on these ‘residuary’ or leftover
subjects. We noted above that most federations that are formed by ‘holding together’ do not give
equal power to its constituent units. Thus, all states in the Union of India do not have identical
powers. For instance, in states such as Nagaland, Arunachal Pradesh and Jammu and Kashmir,
where situation is not so stable, the military is given more powers, which can be exercised in the
time of emergency. In the union territory of Delhi, the Police department is not headed by the
government of National Capital Territory of Delhi, but by the Minister of Home Affairs,
Government of India.

The Union territories are small and special areas directly under the administrative control of the
Union government. . These areas, like Daman & Diu, or Dadra & Nagar Haveli or Chandigarh,
the capital city of Punjab & Haryana. The Central Govt. has special powers in running these
areas. . Many of Union territories have been promoted to the status of states. This sharing of
power between the Union government and the state governments is basic to the structure of the
Constitution of India. It is not an easy task to make amendment to this power sharing formula.
The Parliament cannot on its own change this arrangement. Any change to it has to be first
passed by both the Houses of Parliament with at least two-thirds majority.

(1) The Constitution of India Part XI Chap I Art.245-255

(2) The Constitution of India Part XI Chap II Art.256-263

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Then it has to be ratified by the legislatures of at least half of the total States. Many provisions of
the Indian Constitution are not applicable to this State without the approval of the State
Assembly. For instance, the Union government cannot change the boundaries of any state
without the consent of the legislative body of that state. Also, Indians who are not permanent
residents of a particular state cannot buy land or house there. This provision is applicable in
states such as Himachal Pradesh. Similar special provisions exist for some other states of India as
well. They are provided to them because of aspirations of the people of that state, disturbed law
and order situation or to protect the cultural, social, economic, and political interests of the
people in that state.

Article 371(1) provides certain provisions to such states. Article 371 of the constitution of India
is further divided into ten sections (Article 371 A,B,C,D,E,F,G,H,I,J) which give provisions to
states including Maharashtra, Gujarat, Nagaland, Assam, Manipur, Andhra Pradesh, Sikkim,
Mizoram, Arunachal Pradesh, Goa and Karnataka.

(1) The Constitution of India Part XXI Art.371

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 CONCLUSION
After a critical analysis of what federalism is and what are the merits and demerits of it and how
does it work and observation of a federal structure of the Republic of India, we can hereby
conclude that two things are necessary for the implementation and fair practice of federalism.
Governments at different levels should agree to some rules of power sharing. They should also
trust that each would abide by its part of the agreement. A transparent federal system must have
two things; mutual trust and agreement to live together.

As we know that the Constitution of India gives the provision of Concurrent List, which includes
subjects of common interest to both the Union Government as well as the State Governments,
such as education, agriculture, trade unions, law &order, adoption and succession. Both the
Union as well as the State government can make laws on the subjects mentioned in this list. This
is an example of cooperative federalism, where power is shared among the Central and the state
governments.

However there may be disputes among them and center-state relations may hamper. In order to
overcome this problem, the constitution has given importance to the stance of the central
government. This is an example of creative federalism, where more importance is given to the
national government.

Traces of fiscal federalism can also be found in the Indian federal system. As mentioned before,
in a fiscal federation, the center provides funds and supplies to the state governments for
propagating and leading their own agendas. We have seen a number of programs, such as
MGNREGA and Pradhan Mantri Gram Sadak Yojna, in which center distributes funds to the
state governments to promote their own schemes.

For stability in center-state relations, federal form of government is very important. In a country
like India, where exists a huge population of 1.3 billion, having so much religious diversity,
linguistic diversity and regional diversity, a country where different states have different
requirements, federalism is a must.

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 REFERENCES

1. Issues of Democracy, April 1997,Vol.2, No.2

2. Political Theory, O.P. Guaba, Fifth edition, 2009
3. https://www.aees.gov.in
4. https://en.wikipedia.org>wiki>/federalism
5. https://en.wikipedia.org>wiki>/federalism_in_india
6. https://elawtalk.com/types-federalism/
7. https://en.wikipedia.org/wiki/Part_XXI_of_the_Constitution_of_India

LIST OF ACTS

1. The Indian Council of 1909 Act-

https://ccelms.ap.gov.in/adminassets/docs/28042021064540-60890494ae0c3.pdf
2. The Government of India Act of 1919-
https://legislative.gov.in/sites/default/files/legislative_references/GOI%20act
%201935.pdf
3. Government of India Act of 1935-
https://www.constitutionofindia.net/historical_constitutions/government_of_india_act_19
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PLAGIARISM REPORT

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