INTRODUCTION TO THE BASIC CONCEPT OF FEDERALISM

INTRODUCTION:
Federalism is a system of government in which powers have been divided between
the centre and its constituent parts such as states or provinces. It is an institutional
mechanism to accommodate two sets of politics, one at the centre or national level
and second at the regional or provincial level. Both the seats of power are autonomous
in their own spheres. A federal system is different from a unitary system in that
sovereignty is constitutionally split between two territorial levels so that each level
can act independently of each other in some areas.
There are two kinds of federations:
1) Holding Together Federation – in this type, powers are shared between various
constituent parts to accommodate the diversity in the whole entity. Here, powers are
generally tilted towards the central authority. Example: India, Spain, Belgium.
2) Coming Together Federation – in this type, independent states come together to
form a larger unit. Here, states enjoy more autonomy as compared to the holding
together kind of federation. Example: USA, Australia, Switzerland.
Though earliest form of political organization was unitary in nature but due to various
social and economical factors, the unitary states were forced to adopt federal form of
government in order to address the common concerns of the nation. This gave the
concept of Federalism an important historical dimension.
It is the Constitution of United States which first adopted the concept of federal state
and therefore, American constitution was regarded as the model of federal
constitution.
 Shift from Unitary to Federalism
 Shift from Dual Federalism to Cooperative Federalism

DEFINITIONS OF FEDERALISM:
The term federation is derived from the Latin word “Foedus” which means treaty or
agreement, which is made by the different states intending to federate.
1. K. C. Wheare, an authority on federalism says that, “In a federal constitution the
powers of government are divided between a government for the whole country and
governments for parts of the country in such a way that each government is legally
independent within its own sphere.”
2. According to Birch, “A federal system of government is one in which there is a
division of powers between one general and several regional authorities each of
which, in its own sphere is coordinate with the others, and each of which acts directly
on the people through its own administrative agencies.
3. C. J. Friedrich’s description offederation as, “a union of groups, united by one or
more common objectives, but retaining their distinctive group character for other
purposes.” Is as flexible as it can be and summarizes the new approach.
4. According to Ernst B. Haas, “federalism may be operating in both the directions
of integration and differentiation, for both the transformation of the British Empire
into the Commonwealth of Nations and that of European states into a United States of
Europe are federalizing processes.
5. Vile proposed the construction of a set of ‘developmental models’ against which to
interpret the stage a particular federal system had reached at a certain moment in time.
In this perspective, federalism was distinctive merely as a ‘… cluster of different
techniques … used to try to establish and maintain a particular kind of balance or
equilibrium between two levels of government, albeit a moving, changing
equilibrium’
6. Riker: ‘Federalism is a political organization in which the activities of government
are divided between regional governments and a central government in such a way
that each kind of government has some activities on which it makes final decisions’
7. Kelemen: ‘Federalism is an institutional arrangement in which (a) public authority
is divided between state governments and a central government, (b) each level of
government has some issues on which it makes final decisions, and (c) a high federal
court adjudicates disputes concerning federalism’
8. Duchacek’s Yardsticks:
1. Has the Central Authority exclusive control over Diplomacy and Defence as befits
a nation state in reference to other nation state?
2. Is Federal Union constitutionally immune against dissolution by secession?
3. Is the exercise of Central authority as it reaches all citizens directly independent of
the individual approval and resources of the component units?
4. Who has control over Constitution Amendment?
5. Are the component units immune to elimination of their identity and authority?
6. Is there equal representation of unequal units in a bi-cameral system?
7. Are there two independent sets of courts, one interpreting Federal Laws and the
other State Laws?
8. Is there a judicial authority in Central authority but standing above that Central
authority and the component units to determine their respective rights?
9. Who retains the residuary power?
10. Is territorial division of authority clear?

FEATURES OF FEDERALISM:
 The essential feature, which is the definition of federalism is that there are two
levels of governance in the country at least. There can even be more. But the
entire power is not concentrated with one government.
 All levels of governance will govern the same citizens, but their jurisdiction will
be different. This means that each level of government will have a specific power
to form laws, legislate and execute these laws. Both of the governments will have
clearly marked jurisdiction. It will not be that one of the government is just a
figurehead government.
 Another important feature is that the constitution must guarantee this federal
system of government. Which means the powers and duties of both or all
governments must be listed down in the constitution of that country hence
guaranteeing a federal system of governance.
 As stated above the federalism of a country must be prescribed by the
constitution. But it is also important that just one level of government cannot
make unilateral changes or amendments to the important and essential provisions
of the constitution. Such changes must be approved by all the levels of the
government to be carried through.
 Now there are two levels of government with separate jurisdictions and separate
duties. Yet there is still a possibility that a conflict may arise between the two.
Well in a federal state, it will fall upon the courts or rather the judiciary to resolve
this conflict. The courts must have the power to interfere in such a situation and
reach a resolution.
 While there is power sharing between the two levels of government, there should
also be a system in place for revenue sharing. Both levels of government should
have their own autonomous revenue streams. Because if one such government
depends on the other for funds to carry out its functions, it really is not
autonomous in its true nature.