What federalism is: features, forms and routes to federation

Detail

1. What federalism means

• Federalism: a system in which power is divided between a national (central) government and regional governments (states or provinces). Each one is free in its own area.
• Three things make it work:
• A supreme written constitution. It is the source of power for both governments. Neither government gives power to the other.
• An independent judiciary as umpire. The courts settle disputes between the two levels.

• A culture of trust. Laws alone are not enough. The levels must trust each other and agree to live together.

• Two identities: a citizen belongs to two political communities at the same time. Example: a person is both Gujarati and Indian.

• In general terms, federalism joins separate states or polities into one larger structure, and each unit keeps its own integrity [7].
• India's version in its own Constitution:
• Article 1 says "India, that is Bharat, shall be a Union of States". The states and their territories are listed in the First Schedule [2].

• The Seventh Schedule has three lists (Union, State, Concurrent) that divide law-making subjects. Defence, foreign affairs and currency are on the Union side. Law and order, public health and local government are on the State side [4].

• Why "Union" and not "Federation":

• On 4 November 1948, Dr B.R. Ambedkar told the Constituent Assembly that "the use of the word Union is deliberate" [3].
• The reason: India's federation was "not the result of an agreement by States to join the federation". So the states have no right to secede (no right to break away) [3].

• In his words, "Federation is a Union because it is indestructible". He pointed out that the USA had to fight a civil war to settle that its states could not secede [3].

• States are not servants of the Centre:

• On 25 November 1949, Ambedkar said that power is divided between the Centre and the states "by the Constitution itself", not by any central law. On this point the two are "co-equal" [5].
• In S.R. Bommai v. Union of India (1994), the Court said states are not "mere appendages" (add-on parts) of the Centre. "Within the sphere allotted to them, States are supreme." Courts should not read the Constitution in a way that cuts down the states' powers [5].
• In Mineral Area Development Authority v. SAIL (2024), a nine-judge bench repeated that federalism is one of the basic features of the Constitution. Basic features (the basic structure) are the core of the Constitution, which Parliament cannot destroy even by an amendment [5].
• The same case called Indian federalism asymmetric, because it leans towards a strong Centre. It added that this "has not necessarily resulted in weak State governments" [5].

2. Seven key features of federalism (Class 10)

#	Feature	What it means in simple words
1	Two or more tiers	There are at least two levels of government, such as Union and state (India later added local government).
2	Same citizens, separate jurisdictions	Each tier governs the same people, but in its own fixed area of law, taxes and administration. Jurisdiction means the area over which a body has legal power.
3	Constitutional guarantee	Each tier's powers are written in the constitution. Neither tier can take them away alone.
4	Joint consent for core changes	The basic provisions can change only if both levels agree. One tier cannot change them on its own.
5	Courts as umpire	Courts interpret the constitution and the powers of each tier, and they settle disputes between tiers.
6	Specified revenue sources	Each tier has its own sources of money, such as taxes, so it has financial autonomy (freedom to raise and use its own money).
7	Dual objective	The aim is to protect unity while also making room for regional diversity. It rests on mutual trust and an agreement to live together.

• Spread in the world: only 25 of 193 countries are federal, but they hold about 40% of the world's population (NCERT).

3. Federal vs unitary government

• Unitary system: there is only one level of government, or the sub-units are below the centre. The centre can order sub-units and take back their powers. Examples: the UK, France, Sri Lanka.
• Dual polity: two governments, each with its own legislature and executive, run side by side over the same people. This is the federal model. Examples: the USA, Switzerland, Germany, India.

Point	Unitary	Federal
Levels of government	One (or local units below the centre)	Two or more, each with its own powers
Source of sub-unit power	Granted by the centre and can be withdrawn	Guaranteed by the constitution
Change of powers	Centre can change them alone	Core changes need both levels' consent
Dispute settlement	Not needed between levels	Independent courts act as umpire
Examples	UK, France, Sri Lanka	USA, Switzerland, Germany, India, Belgium (since 1993)

• Belgium moved from unitary to federal in 1993. Its regions received constitutional powers that the Centre can no longer take away. The NCERT exercise uses Arts. 1-5 of the Belgian Constitution, which describe Belgium as a federal state made up of Communities and Regions.
• Sri Lanka is still unitary. The Tamil demand for a federal set-up is covered under power-sharing.

4. Two routes to federation

Point	Coming-together federation	Holding-together federation
How it forms	Independent states pool their sovereignty (share their supreme power) to form a bigger unit, while keeping their identity	A large country divides its own power between the centre and its units
Main purpose	Common security, a common economy and a larger market	To hold a diverse country together
Centre vs units	The units are equal and strong	The centre is stronger, and units may be unequal in power
Examples	USA, Switzerland, Australia	India, Spain, Belgium, Nepal (2015)

• India is a holding-together federation.
• The Union is permanent within the borders set by Article 1, and it cannot be broken up [3].
• The states did not sign a pact to join, so they cannot leave [3].

• Some units get special treatment, which is called asymmetric federalism (covered under special provisions and scheduled areas). The Supreme Court also uses "asymmetric" for the tilt towards the Centre [5].

• Nepal is a recent holding-together case.

• The legislature approved a permanent constitution, which was promulgated (formally brought into force) on 20 September 2015 [6].
• It made Nepal a secular federal democratic republic, officially Sanghiya Loktantrik Ganatantra Nepal [6].
• It has a bicameral Federal Parliament: a parliament with two houses, the National Assembly and the House of Representatives [6].
• The country has 7 provinces: Koshi, Madhesh, Bagmati, Gandaki, Lumbini, Karnali and Sudurpashchim. Below them are 77 districts and 753 local units [6].

5. Why federations fail: cautionary cases

• USSR:
• It broke up after 1989.

• The causes were too much central control and Russian dominance over the other republics.

• Others that divided: Czechoslovakia, Yugoslavia and Pakistan (Bangladesh broke away in 1971).

• Canada nearly split between English speakers and French speakers. Quebec held referendums on leaving Canada in 1980 and 1995. Both were lost by those who wanted to leave.
• West Indies Federation (1958-62): a coming-together failure.
• Why it failed:
  • The centre was weak.
  • Each unit ran its own separate economy.
  • The units' leaders were political rivals.
• Result:
  • The federation was dissolved in 1962.
  • The islands later formed the Caribbean Community under the Treaty of Chaguaramas (1973) (NCERT spells it "Chiguaramas").
  • The Community has a common executive and a common court.

• Lesson: the units "could neither live together nor separately".

• Nigerian federation: a federal constitution without trust.

• Formation: the British merged the northern and southern colonies in 1914. The Ibadan Conference (1950) chose a federal form.
• Regional rivalry: the three main groups, the Yoruba (west), Igbo (east) and Hausa-Fulani (north), each controlled a region. Their rivalry led to military rule.
• Police swing:
  • The 1960 constitution made police a joint subject of the federation and the regions.
  • The 1979 constitution gave no police power to the states at all.
• After democracy returned (1999): religion and control over oil revenue still divide the country.
• Lesson: a federal constitution without trust cannot ensure unity.

Prelims Hooks

• Article 1 says "India, that is Bharat, shall be a Union of States". The word "federation" does not appear in it [2].
• Ambedkar (4 Nov 1948) said "Union" was deliberate because Indian federation was not formed by an agreement of states. So states have no right to secede [3].
• In S.R. Bommai (1994), a nine-judge bench said that "within the sphere allotted to them, States are supreme". In MADA v. SAIL (2024), the Court held that federalism is a basic feature [5].
• Seventh Schedule has three lists (Union, State, Concurrent) and divides law-making subjects [4].
• Coming together: USA, Switzerland, Australia. Holding together: India, Spain, Belgium. A common trap is placing Belgium in the coming-together group.
• Belgium became federal in 1993. Sri Lanka is still unitary.
• 25 of 193 countries are federal, and they hold about 40% of the world's population (NCERT).
• Nepal's 2015 Constitution (20 Sept 2015) set up 7 provinces, 77 districts and 753 local units [6].
• West Indies Federation: 1958-62. Caribbean Community: 1973, Treaty of Chaguaramas.
• Nigeria: the colonies merged in 1914. Police control went from joint (1960) to no state police (1979).

Mains Points

• "Indestructible Union of destructible states."
• India's holding-together design gives Parliament power to redraw state boundaries and denies states any right to secede [2][3].
• Yet Bommai (1994) and MADA (2024) protect the states' own sphere as part of the basic structure [5].

• Use this to argue that India is federal with a strong Centre, not simply "quasi-federal" or unitary.

• Trust matters as much as law.

• The USSR, Yugoslavia, the West Indies and Nigeria all had federal forms on paper.
• They failed because of over-centralisation, a weak centre, or ethnic and regional rivalry.

• India avoided this by accommodating diversity, for example by creating linguistic states (1956). This supports the case for cooperative federalism, where the Centre and states work together, as with NITI Aayog (2015).

• Asymmetry is a tool, not a flaw.

• Holding-together federations make unequal arrangements for different units, such as India's special provisions and Belgium's community-based regions.
• This helps keep diverse regions inside one country.

• Counter-argument: too much asymmetry or central tilt can feed alienation. The USSR and Quebec are the warning cases.

• Fiscal side of federalism. A federation is real only if each tier has its own revenue. The Supreme Court treats fiscal federalism (each tier having its own taxes and money to carry out its duties) as an important part of Indian federalism [5]. This links to debates on GST and on devolving tax money to states.