Class 11 Political Science Notes Chapter 7 (Federalism) – India Constitution Work Book

Alright class, let's delve into Chapter 7: Federalism from our 'Indian Constitution at Work' textbook. This is a crucial chapter, not just for understanding our political system but also frequently tested in various government exams. Pay close attention.

Chapter 7: Federalism - Detailed Notes for Exam Preparation

1. What is Federalism?

• Definition: Federalism is a system of government where power is divided between a central authority (national/federal government) and various constituent units (states/provinces).
• Dual Polity: It establishes a dual polity with two sets of governments operating simultaneously within their respective jurisdictions – one at the national level and the other at the regional/state level.
• Key Features of Federalism (General):
  • Dual Government: National and Regional governments.
  • Written Constitution: Usually rigid, clearly demarcating powers.
  • Division of Powers: Powers are divided between the centre and states (legislative, executive, financial).
  • Supremacy of the Constitution: Constitution is the supreme law; laws conflicting with it are invalid.
  • Independent Judiciary: Acts as an umpire to resolve disputes between centre and states or between states.
  • Bicameral Legislature: Often includes a house representing the constituent units (like Rajya Sabha in India).

2. Indian Federalism: Nature and Characteristics

• Constitutional Basis: India is described as a "Union of States" (Article 1). The term 'federation' is not explicitly used, but the Indian Constitution incorporates key federal features.
• Quasi-Federal / Federalism with a Strong Centre: Experts describe India as 'quasi-federal' (K.C. Wheare) or note its strong centralizing tendency. This is because while it has federal features, it also has significant unitary (non-federal) features favouring the central government.
• Why a Strong Centre?
  • Historical context: Partition of India, need for national unity and integrity.
  • Socio-economic challenges: Need for coordinated planning and development.
  • External threats and internal security concerns.
  • Addressing regional disparities.
• Federal Features in India:
  • Dual Government (Centre and States).
  • Written and longest Constitution.
  • Supremacy of the Constitution.
  • Division of Powers (detailed below).
  • Independent Judiciary (Supreme Court).
  • Bicameral Parliament (Lok Sabha and Rajya Sabha, where Rajya Sabha represents states).
• Unitary (Non-Federal) Features in India:
  • Strong Centre (more subjects in Union List, overriding powers).
  • Single Constitution (unlike USA where states can have their own).
  • Single Citizenship.
  • Flexibility of the Constitution (some parts amendable by Parliament alone).
  • Unequal representation of states in Rajya Sabha (based on population).
  • Emergency Provisions (Articles 352, 356, 360) allowing Centre to assume significant powers.
  • Appointment of Governor by the President (Centre's agent in the state).
  • All India Services (IAS, IPS, IFS) - recruited by Centre, serve in states but under Centre's ultimate control.
  • Integrated Judiciary.
  • Parliament's power to change state boundaries/names (Article 3).
  • Veto over State Bills (Governor can reserve bills for President's consideration - Article 200/201).

3. Division of Powers (Article 246 and Seventh Schedule)

The Constitution provides a three-fold distribution of legislative subjects between the Union and the States:

• List I: Union List:
  • Subjects of national importance requiring uniform policy nationwide.
  • Parliament has exclusive power to make laws.
  • Examples: Defence, Foreign Affairs, Banking, Communications, Currency, Railways, Atomic Energy, Census. (Originally 97, now 100 items approx.)
• List II: State List:
  • Subjects of local or regional importance.
  • State Legislatures have exclusive power to make laws under normal circumstances.
  • Examples: Public Order, Police, Public Health and Sanitation, Agriculture, Prisons, Local Government, Fisheries, Markets. (Originally 66, now 61 items approx.)
• List III: Concurrent List:
  • Subjects where uniformity is desirable but not essential.
  • Both Parliament and State Legislatures can make laws.
  • Rule of Precedence: In case of conflict between Central and State law on a concurrent subject, the Central law prevails (Article 254). Exception: If a state law reserved for President's assent receives it, it prevails in that state.
  • Examples: Criminal Law & Procedure, Civil Procedure, Marriage and Divorce, Education, Forests, Trade Unions, Electricity, Economic and Social Planning. (Originally 47, now 52 items approx. - Note: Education, Forests, Weights & Measures, Protection of Wild Animals & Birds, Administration of Justice were transferred from State to Concurrent List by 42nd Amendment, 1976).
• Residuary Powers (Article 248):
  • Matters not enumerated in any of the three lists.
  • Unlike USA or Australia (where residuary powers are with states), in India, these powers are vested exclusively in the Parliament.

4. Parliament's Power to Legislate on State List Subjects

Under specific circumstances, Parliament can legislate on subjects in the State List:

• Article 249: If Rajya Sabha passes a resolution (by 2/3rd majority) that it is necessary in the national interest. (Valid for 1 year, renewable).
• Article 250: During a National Emergency (Article 352).
• Article 252: If legislatures of two or more states pass resolutions requesting Parliament to legislate on a state subject (applies only to consenting states, others can adopt later).
• Article 253: To implement international treaties, agreements, or conventions.
• Article 356: During President's Rule in a state.

5. Centre-State Relations

• Legislative Relations: (Covered above - Division of Powers, Parliament's power over State List).
• Administrative Relations (Articles 256-263):
  • Obligation of States and Union (Art 256): States must ensure compliance with laws made by Parliament. Union's executive power extends to giving directions to states for this purpose.
  • Control of Union over States (Art 257): Union can give directions regarding construction/maintenance of communication means (national/military importance) and protection of railways.
  • Delegation of Functions: President can entrust functions to state governments with their consent (Art 258). Governor can entrust functions to Union government with its consent (Art 258A).
  • All India Services (Art 312): Common recruitment, training; serve both Centre and States.
  • Inter-State Council (Art 263): Established to promote coordination. Discusses subjects of common interest, makes recommendations.
  • Inter-State Water Disputes (Art 262): Parliament can provide for adjudication of disputes relating to waters of inter-state rivers/valleys.
• Financial Relations (Articles 268-293):
  • Allocation of Taxing Powers: Union List taxes levied & collected by Centre; State List taxes levied & collected by States. Concurrent list has no tax entries. Residuary taxing power lies with Parliament.
  • Distribution of Tax Revenues:
    • Taxes levied by Union but collected & appropriated by States (e.g., Stamp duties - Art 268).
    • Taxes levied & collected by Union but assigned to States (e.g., taxes on inter-state trade consignment - Art 269).
    • Taxes levied & collected by Union and distributed between Union & States (e.g., Income Tax, Union Excise Duties - Art 270). This distribution is based on Finance Commission recommendations.
    • Surcharge on certain taxes for the purpose of the Union (Art 271).
    • Taxes levied & collected by Union and may be distributed (e.g., certain excise duties).
  • Grants-in-Aid (Art 275, 282):
    • Statutory Grants (Art 275): Parliament may provide grants to states needing financial assistance (based on Finance Commission recommendations). Specific grants for promoting ST welfare or administration of Scheduled Areas.
    • Discretionary Grants (Art 282): Both Union and States can make grants for any public purpose (often used by Centre for plan implementation via NITI Aayog/erstwhile Planning Commission).
  • Finance Commission (Article 280): A quasi-judicial body, constituted by the President every five years (or earlier). Recommends distribution of net proceeds of taxes between Centre and States, principles governing grants-in-aid, measures to augment Consolidated Fund of State for Panchayats/Municipalities. Recommendations are advisory but generally accepted.
  • Borrowing Powers: Centre can borrow within/outside India upon security of Consolidated Fund of India (limits set by Parliament). States can borrow within India upon security of Consolidated Fund of State (limits set by State Legislature). State needs Centre's consent to borrow if it owes any outstanding loan to the Centre (Art 293).

6. Role of Governor

• Appointed by the President, acts as Centre's agent.
• Can reserve state bills for President's consideration (Art 200).
• Recommends President's Rule (Art 356).
• Has certain discretionary powers.
• Role often becomes controversial, especially when different parties are in power at Centre and State.

7. Emergency Provisions and Federalism

• National Emergency (Art 352): Centre can give directions to states on any matter; Parliament can legislate on State List subjects. Federal structure essentially converts to unitary.
• President's Rule (Art 356): Imposed on grounds of failure of constitutional machinery in a state. State government dismissed, State Legislature suspended/dissolved. President administers state through Governor; Parliament makes laws for the state. Highly controversial, often alleged to be misused by the Centre. (SR Bommai case laid down guidelines to check misuse).
• Financial Emergency (Art 360): Centre can give financial directions to states, including reduction of salaries.

8. Special Provisions and Asymmetrical Federalism

• India adopts asymmetrical federalism, meaning not all states have identical powers or status.
• Article 370 (Now abrogated): Historically granted special status to Jammu & Kashmir. (Understanding its historical context is important).
• Article 371 and 371 A-J: Provide special provisions for states like Maharashtra, Gujarat, Nagaland, Assam, Manipur, Andhra Pradesh, Sikkim, Mizoram, Arunachal Pradesh, Goa, Karnataka, primarily to meet aspirations of people in backward regions, protect cultural/economic interests of tribal people, or deal with disturbed law and order.

9. Inter-State Disputes and Cooperation

• Inter-State Water Disputes (Art 262): Handled through tribunals set up by Parliament.
• Inter-State Council (Art 263): Forum for discussion and coordination.
• Zonal Councils: Statutory bodies (created by States Reorganisation Act, 1956) to promote cooperation among states in specific zones. Headed by Union Home Minister.

10. Demands for Autonomy and Conflicts in Indian Federalism

• Areas of Tension:
  • Mode of appointment/dismissal of Governor.
  • Discriminatory use of President's Rule (Art 356).
  • Deployment of central forces in states.
  • Reservation of state bills for President's assent.
  • Financial allocations, sharing of resources.
  • Encroachment by Centre on State List subjects.
  • Role of planning/NITI Aayog.
• Demands: States often demand more financial resources, greater administrative autonomy, and respect for the federal principle ('State Autonomy').

Conclusion:

Indian federalism is a dynamic system characterized by cooperation and conflict between the Centre and States. While designed with a strong central bias for unity and integrity, the actual functioning depends heavily on prevailing political conditions. It has evolved over time, with periods of central dominance and periods of greater assertion by states, especially with the rise of regional parties and coalition governments. The judiciary plays a critical role in interpreting the constitutional provisions and maintaining the federal balance.

Multiple Choice Questions (MCQs)

1. Which Article of the Indian Constitution describes India as a 'Union of States'?
   a) Article 3
   b) Article 1
   c) Article 14
   d) Article 21

2. In the Indian federal system, residuary powers (subjects not mentioned in Union, State, or Concurrent lists) belong to:
   a) The States
   b) The Union (Parliament)
   c) The Judiciary
   d) The President

3. Which of the following subjects falls under the Concurrent List in the Seventh Schedule of the Indian Constitution?
   a) Defence
   b) Public Health
   c) Education
   d) Railways

4. Under which Article can the Parliament legislate on a State List subject if the Rajya Sabha passes a resolution in the national interest?
   a) Article 250
   b) Article 252
   c) Article 249
   d) Article 253

5. The Finance Commission is constituted under which Article of the Constitution to recommend the distribution of revenues between the Union and States?
   a) Article 263
   b) Article 280
   c) Article 356
   d) Article 370

6. Which feature is considered a 'Unitary' or 'Non-Federal' characteristic of the Indian Constitution?
   a) Written Constitution
   b) Division of Powers
   c) Single Citizenship
   d) Independent Judiciary

7. The power of the Governor to reserve a bill passed by the State Legislature for the consideration of the President is mentioned under:
   a) Article 356
   b) Article 163
   c) Article 200
   d) Article 213

8. The Sarkaria Commission was set up primarily to examine:
   a) Electoral Reforms
   b) Centre-State Relations
   c) Banking Sector Reforms
   d) Police Reforms

9. Which Constitutional Amendment transferred subjects like Education and Forests from the State List to the Concurrent List?
   a) 44th Amendment
   b) 42nd Amendment
   c) 73rd Amendment
   d) 61st Amendment

10. The Inter-State Council, established under Article 263, aims to promote:
    a) Financial autonomy for states
    b) Coordination and cooperation between Centre and States/among States
    c) Uniform Civil Code
    d) Judicial review powers

Answer Key:

1. b) Article 1
2. b) The Union (Parliament)
3. c) Education
4. c) Article 249
5. b) Article 280
6. c) Single Citizenship
7. c) Article 200
8. b) Centre-State Relations
9. b) 42nd Amendment
10. b) Coordination and cooperation between Centre and States/among States

Make sure you revise these notes thoroughly. Understanding the nuances of Centre-State relations, the division of powers, and the specific Articles mentioned is vital for your exams. Let me know if any part needs further clarification. Good luck!