Professional Documents
Culture Documents
Comparative Public
Law
COURSE FACULTY
-
DR. DEEPAK SHARMA
MODULE
CLASSIFICATION OF
CONSTITUTIONS
FEDERAL-UNITARY
PARLIAMENTARY-PRESIDENTIAL
3
Module Outline
Unitary MEANING,
ADVANTAGES,
Government DISADVANTAGES.
5
Meaning
“agents of the Centre for the purpose of local rule and autonomy”
Suitable only for small countries with homogeneous population, Unsuited for
country of vast extent, where there is a variety of local conditions and
diversity of standards and conceptions.
CONCEPTUAL
FRAMEWORK,
Federal DEFINITIONS,
Government MERITS & DEMERITS,
9
Conceptual framework
Federalism is derived from the Latin word ‘foedus’ which means agreement.
In fact federation is an agreement between two types of government sharing
power and controlling their respective spheres.
Strength- Union is composed of many states- bound to be stronger in their collective capacity
Lesser chances of despotism. Checks and Balances. Units don’t allow centre to be despotic &
vice-versa
Greater economy- units generate their own taxes, reducing dependence on Centre. In cases of
merger of smaller units, pooling of resources
No promptness of action
Federations in the USA, Australia, Switzerland and Canada too emerged because
of the factors as enumerated above.
17
Forms of distribution of power
I II III
• When the constitution • When the powers • When the powers of the
Centre are defined; there is
specifies powers of the of the Provinces are a Concurrent List in which
national government defined and the both the Centre and the
and gives the residuary powers States can legislate.
• However, the State's
residuary powers to are vested in the powers have not been
the federating units. Centre defined and the residuary
powers are vested with
•Eg- USA & Earstwhile them.
• Eg- The Canadian
USSR
Federation • Eg- Australia
18
Types of federalism
2. DUAL FEDERALISM
Dual federalism, also known as layer-cake federalism or divided sovereignty, is a
political arrangement in which power is divided between the federal and state
governments in clearly defined terms, with state governments exercising those
powers accorded to them without interference from the federal government.
Generally this is the concept of balancing the scales of power between a large,
sweeping government and a more local, centralized one.
3. COOPERATIVE FEDERALISM
Cooperative federalism, also known as marble-cake federalism, is a concept
of federalism in which federal, state, and local governments interact cooperatively and
collectively to solve common problems, rather than making policies separately but more
or less equally or clashing over a policy in a system dominated by the national
government.
It was popular in US all the way through the Great Depression, the Second World War, the
Cold War and up until the 1960s.
Lines between the two governments’ powers are blurred within this approach.
4. COMPETETIVE FEDERALISM
The competitive federalism involves the competition amongst the states and
also the Centre for the economic benefits within the economy.
Historically, confederations have often proved to be a first or second step toward the
establishment of a national state, usually as a federal union.
Eg- the federal union of modern Switzerland was preceded by a confederation of the
Swiss cantons
The federal constitution of the United States is the successor to the government of the
Articles of Confederation(1781-89)
23
Confederation and Federation
CONFEDERATION FEDERATION
Held by the member states. In a Held by the federal government.
1.Sovereignty
Confederation, the federal In a Federation, the federal
government is accountable to government will hold the
the member states, who are the ultimate authority and the
member states will be
ultimate authority.
subordinate to it
The central authority of a
confederation is usually a weak
2. Central The central authority of a
body appointed by the member
Authority states. federation is a federal
government which governs the
member states.
The units have the right of
3. Right of secession
secession No such right to the units.
24
..continued
CONFEDERATION FEDERATION
It fails to provide for an It has a well established
4. Strength of the
effective executive authority executive authority at the
Central and lack viable central Centre
executive governments
5.Status of Units
Equal May or may not be
6.Apex Judiciary
Decisions Not necessarily Binding for the State and the
binding Centre
Eg ICJ
25
..continued
CONFEDERATION FEDERATION
7.Subject matter Governs the relation Governs the citizens as well
between states, no
authority over citizens
Division of Powers
Independent Judiciary
A Bicameral Legislature
27
Division of Powers
Federalism means the distribution of powers of the state between the central and
the state governments. The basis of such distribution of power is that in matters of
national importance, in which a uniform policy is desirable in the interest of the
units, authority is entrusted to the centre and matters of local concern remain with
the states.
In a Federation there should be clear division of powers so that the units and the
centre are required to enact and legislate within their sphere of activity and none
violates its limits and tries to encroach upon the functions of others
28
Supremacy of the Constitution
A federal state derives its existence from the constitution. The constitution in a
federal state constitutes the supreme law of the land.
As Prof. K. C. Wheare rightly says, “ these two institutions the supremacy of the
constitution and the written constitution are, then essential institutions to a
federal government.
Federal v Unitary
A COMPARATIVE
forms of ANALYSIS
government
33
1. Checks
However,
In federal Government, the powers are divided between the federal government and
the units, and each is independent in its own affairs.
34
2. Supremacy of the Constitution
However,
In a unitary government, the Centre can pass any law which it considers to be for
the good of the people. There is absolutely no limitation or restriction on its powers.
35
3. Separate entity
In a federation, there is a strong desire on part of the units to maintain their separate
entity
However,
In a unitary government, the units merge themselves into the Central Government
and lose their separate entity.
36
4. Suitability
The unitary government works successfully where the people are relatively
homogenous.
However,
A federal Government serves the needs of a country where the different parts have
varying interests that demand satisfaction.
37
5. Need for written and rigid
Constitution
Every federal government must have a written Constitution and that must be a
rigid one.
However,
1 INDIA
PATTERNS OF
2 USA
FEDERALISM 3 CANADA
4 AUSTRALIA
39
PATTERN OF
FEDERALISM IN INDIA
40
Federal nature of Indian Constitution- Matter of
controversy?
Sir. Ivor. Jennings feels, that India is a federation, with a strong centralizing
tendency.
W.H.Morris Jones, held the view that “Indian federalism was a kind of cooperative
federalism where bargaining took place between the centre and the states, but
ultimately a solution came out and both agreed to co-operate.
42
..continued
Marcus Franda, remarks that in India, there is not one model of federalism but in
practice various models of federalism are in operation. The Centre has encouraged
different models of relations with the different states, and hence a varied mode of
federalism is perceivable
43
Federal features of Indian
Constitution
1. Division of Powers-
In a Federation there should be clear division of powers so that the units and the
centre are required to enact and legislate within their sphere of activity and none
violates its limits and tries to encroach upon the functions of others.
The Seventh schedule contains three legislative lists which enumerate subjects of
administration viz., Union, State and Concurrent lists.
The union list consists of 97 subjects, the more important of which are defense,
railway, posts and telegraph, currency etc.
The state list consists of 66 subjects, including public order, police,
administration of justice, public health, education, agriculture etc.
The concurrent list embraced 47 subjects including criminal law, marriage,
divorce, trade unions, electricity etc. The residuary powers have been vested in
the central government.
44
If, for any reason, any organ of the state dares to violate any
provision of the constitution, the court of law is there to ensure
the dignity of the constitution, which is upheld at all costs.
45
4. Authority of Court
The constitution has provided for a Supreme Court, and every
effort has been made to see that the judiciary in India is
independent and supreme.
The Supreme Court of India can declare a law as
unconstitutional if it contravenes any provisions of the
constitution.
In order to ensure the impartiality of the judiciary, our judges
are not removable by the executive and their salaries cannot be
curtailed by the Parliament.
47
5. Bicameral Legislature
1. Single Citizenship
The makers of the Indian constitution have provided only a single citizenship. But
usually the federal constitutions provide dual citizenship, that is, national, and state
citizenships.
Among the world federations, the United States and the Swiss Republic provide the dual
citizenship.
Though the Indian constitution provides the concept of dual polity, in this case it has
departed from the federal principle
49
2. A strong Centre
In India, the centre is very strong. Though our constitution has adopted the federal principles, it has been
gradually heading towards a strong centralized constitution.
Our constitution clearly demarcates the division of powers between the centre and the states. The distribution
of powers is presented in the eleventh part of the constitution. The three lists are embodied in the seventh
schedule of the constitution.
The union list consists of 99 subjects. The state list covers 61 subjects and the concurrent list consists of 52
subjects. The residuary powers are with the centre.
In America, Australia and Switzerland the constitution has specifically enumerated the powers of the federal
government.
In all these federations, the residuary power rests with the states. Our constitution follows the Canadian model.
The centre and the state has powers to make the laws on the concurrent list, but if there is a conflict between the
two, then the central law will prevail over the state law.
This shows that the centre is strong in India.
50
3.Single Constitution
6. Unitary in Emergencies:
The Indian constitution has given emergency powers to the
president. During the time of emergency, the central
government will become powerful. Even it makes the laws on
the state list also; the states will lose their voice.
54
11. Parliament’s authority over state list- Article 249, 250, 252, 253 etc
55
14. Veto over State bills- Governor can reserve certain bills for assent for the
President and President can withhold assent in the 1 st as well as 2nd instance.
PATTERN OF FEDERALISM IN USA
According to this basic principle, the U.S. national government possesses all
those powers delegated to it by the national constitution and the states
possess all those powers which the U.S. Constitution neither delegates to the
national government nor prohibits the states from exercising.
Enumerated Residual
Powers Powers
(Original.
Implied Inherent &
Powers Largely undefined
Inherent
Powers in
Foreign Affairs
62
Delegated Powers - The Sphere of
National Authority
The inherent powers of the national government are powers that do not depend
on the constitutional delegations of power, neither delegation by enumeration nor
delegation by implication.
These powers grow out of the very existence of the U.S. central government as
the instrument of a sovereign nation-state.
66
..continued
iii. Exercise the general police power - the power to protect the public health, public
safety. public morals, and public welfare within the borders of a state; (The general
police power of a state is the power to regulate the conduct of individuals within the
borders of that state in order to protect the health, safety, morals, and welfare of the
citizens of the state. In short, it is the power of the state to act in the public
interest within the state -power to regulate human conduct to safeguard and promote
the general welfare, or common good of the state.)
iv. Protect life and property and maintain order within a state, under ordinary conditions;
ii. spend public funds in the public interest, i.e., spend the taxpayers' money to provide
for the general welfare, or common good,
vii. exercise the power of eminent domain, i.e., the right to take private property for
public purposes, and
viii. Regulate intrastate commerce, i.e., regulate trade and other economic activities
carried on within the borders of a state.
71
NECESSARY & PROPER CLAUSE: THE
CONSTITUTIONAL BASIS OF THE IMPLIED POWERS
"The Congress shall have power ... to make all laws which shall be
necessary and proper for carrying into execution the foregoing
[17 express, or enumerated] powers, and all other powers
vested by this Constitution in the government of the United
States, or in any department [branch] or officer thereof."
72
Necessary and Proper Clause - The
Literal Meaning
Firstly, the clause defines the content of the supreme law of the land in the
U.S.A. - the law which is superior to and takes precedence over all other laws and
public policies in the country. The supreme law of the land is defined to include:
i. The provisions of the U.S. Constitution;
ii. All national laws made in pursuance of the U.S. Constitution, i.e., all congressional
statutes and federal court decisions that are in harmony with the provisions of the
U.S. Constitution;
iii. All treaties made under the authority of the United States, i.e., all treaties made
in accordance with the procedure of treaty making prescribed by the U.S.
Constitution.
Secondly, the National Supremacy Clause requires that all state judges (as well as
federal judges) be bound by the supreme law of the land, regardless of any
contrary provisions in state constitutions or state statutes. Thus, any legitimate
exercise of national authority under the U.S. Constitution supersedes any conflicting
state decisions or actions.
76
THE DECISION IN MCCULLOCH V.
MARYLAND (1819)
FACTS
In 1816, Congress chartered The Second Bank of the United
States in the state of Maryland.
The state appeals court held that the Second Bank was
unconstitutional because it was without any specific constitutional
authorization for the federal government to create a bank.
77
Questions involved
Does Congress, under the U.S. Constitution, have the power to incorporate a
bank, even though this power is not listed, or enumerated, in the Constitution as
one of the expressly delegated powers of Congress?
Can the State of Maryland, without violating the U.S. Constitution, tax the bank
notes issued by the Baltimore Branch of the Bank of the United States, a bank
which was created by an act of Congress and designed to function as the central
bank for the entire country?
In other words,
Can a state legally tax an instrumentality of the national government?
78
Supreme Court’s answer to
question no. i
Held:
Reasoning:
The authority to establish a bank is not among the enumerated, or express, powers of
Congress. However, Congress possesses implied powers as well as the expressly
delegated powers.
A major source from which the implied powers of Congress can be drawn is Article I,
Section 8, Clause 18 - the Necessary and Proper Clause, or Elastic Clause.
This clause grants to Congress the power to make any laws necessary and proper for
exercising its enumerated powers. "Necessary and proper" means "appropriate," not
"absolutely necessary," "essential," or "indispensable."
Congress may legally utilize any means that are appropriate to the exercise of its
enumerated powers.
In short, Congress may legally exercise not only every power expressly delegated to it
by the U.S. Constitution, but also every power which can be reasonably implied from
80
Supreme Court’s answer to
question no. ii
Held
Reasoning
The national government is supreme in the exercise of the powers assigned to
it by the U.S. Constitution. The national government and its agencies and
instrumentalities must be free from nullification and destruction by the states.
Since the power to tax is the power to negate and destroy, the states cannot
legally tax any agency or instrumentality of the national government.
In other words, the states do not have any right to interfere in the
constitutional functions or operations of the national government. State laws,
policies, actions, agencies, or instrumentalities cannot legally be used to
impede, hinder, thwart, or nullify exercise by the national government of its
82
Writing for the Court, Justice Breyer said the fact that the law was
several steps removed from any of the enumerated powers of Article I
was not fatal. Justices Thomas and Scalia dissented, arguing that the
law "executes no enumerated power," and was therefore
unconstitutional.
88
FEDERAL CONSTITUTIONAL LIMITATIONS ON
STATE AUTHORITY
Article I, Section 10, of the U.S. Constitution prohibits the states from
i. entering into treaties, alliances, or confederations with foreign nations,
ii. coining money,
iii. emitting bills of credit, i.e., issuing paper money,
iv. making something other than gold or silver tender in payment of
debts,
v. passing a bill of attainder,
vi. passing an ex post facto law,
vii. passing a law impairing the obligation of contracts, and
viii. granting titles of nobility.
89
b. Conditional Prohibitions:
ii. The Due Process Clause:- Prohibits any state from depriving a
person of life, liberty, or property without due process of law.
The head of state for the federal government is the Monarchy; however,
his/her role is primarily ceremonial under Canada’s contemporary system of
government
99
The bulk of federal power lies with the federal head of government and his/her executive
council, which are officially referred to as the Prime Minister and the Cabinet as well as the
elected legislative chamber, the House of Commons.
The second federal legislature, the Senate, is an appointed body and exercises considerably
less power relative to the elected House of Commons.
Another key federal institution is the federal judiciary. This includes the Supreme Court of
Canada which is appointed by the federal government and is the highest court in the country.
Other important federal-level courts include the Federal Court of Appeal, the Federal Court ,
the The Court of Canada, etc.
Another important federal institution is the national public service. This includes all of the
federal government departments and agencies, which are responsible for helping the federal
100
Section 91: Powers of Parliament
Federal 91. It shall be lawful for the Queen, by and with the Advice and
Parliament Consent of the Senate and House of Commons, to make Laws for
the Peace, Order, and good Government of Canada, in relation to
all Matters not coming within the Classes of Subjects by this Act
assigned exclusively to the Legislatures of the Provinces; and for
Federal greater Certainty, but not so as to restrict the Generality of the
residual foregoing Terms of this Section, it is hereby declared that
power (notwithstanding anything in this Act) the exclusive Legislative
Authority of the Parliament of Canada extends to all Matters
coming within the Classes of Subjects next hereinafter
enumerated; that is to say,
List of Federal
Powers
101
Enumerated powers
30 subjects – Section 91
Examples-
Ferries between a Province and any British or Foreign Country or between
Two Provinces.
Currency and Coinage.
Banking, Incorporation of Banks, and the Issue of Paper Money.
Weights and Measures.
Bills of Exchange and Promissory Notes.
Including last entry 29- Such Classes of Subjects as are expressly excepted
in the Enumeration of the Classes of Subjects by this Act assigned
exclusively to the Legislatures of the Provinces.
102
Section 92, 92A & 93 - Exclusive Powers of Provincial
Legislatures
The term “concurrent powers” here means that both levels of governments
are constitutionally permitted to legislate in these areas. In other words, it is
a shared area of jurisdiction in which the federal government and provinces
may both enact laws.
104
The Supremacy Clause
Section 52.(1)
1982 Constitution
Section 38. (1) An amendment to the Constitution of Canada
may be made by proclamation issued by the Governor General
under the Great Seal of Canada where so authorized by
a. resolutions of the Senate and House of Commons; and
b. resolutions of the legislative assemblies of at least two-thirds
of the provinces that have, in the aggregate, according to the
then latest general census, at least fifty per cent of the
population of all the provinces.
106
Judiciary and division of Powers
1. Exclusive powers of
4 Commonwealth
2. Concurrent Powers
1 2 3
444 3. Exclusive powers of
the States
4. Denied Powers
113
1. Exclusive Powers of the
Commonwealth
Section 52
Section 90
Section 114
Section 115
114
Section 52- Exclusive powers of the Parliament
The Parliament shall, subject to this Constitution, have power to make laws for
the peace, order, and good government of the Commonwealth with respect to:
i. trade and commerce with other countries, and among the States;
ii. taxation; but so as not to discriminate between States or parts of States;
iii. bounties on the production or export of goods, but so that such bounties
shall be uniform throughout the Commonwealth;
iv. borrowing money on the public credit of the Commonwealth;
v. postal, telegraphic, telephonic, and other like services;
vi. the naval and military defence of the Commonwealth and of the several
States, and the control of the forces to execute and maintain the laws of the
Commonwealth;
vii. .
viii. .
ix. .
xxxix
118
xxxiii. the acquisition, with the consent of a State, of any railways of the State on terms arranged
between the Commonwealth and the State;
xxxiv. railway construction and extension in any State with the consent of that State;
xxxv. conciliation and arbitration for the prevention and settlement of industrial disputes extending
beyond the limits of any one State;
xxxvii. matters referred to the Parliament of the Commonwealth by the Parliament or Parliaments of
any State or States, but so that the law shall extend only to States by whose Parliaments the
matter is referred, or which afterwards adopt the law;
xxxviii. the exercise within the Commonwealth, at the request or with the concurrence of the
Parliaments of all the States directly concerned, of any power which can at the establishment of
this Constitution be exercised only by the Parliament of the United Kingdom or by the Federal
Council of Australia;
119
The High Court majority, led by Isaacs J, held that the Commonwealth could bind
the State governmental employers under the “conciliation and arbitration” power
in respect to industrial disputes.
The laws of the Commonwealth and the States have full operation within the
subjects upon which they have power to legislate, subject to section 109 in the
event of inconsistency.
Commonwealth laws could bind the States and State laws could bind the
Commonwealth.
Significance
Latham CJ stated:
‘ if all laws passed by the Commonwealth parliament
imposing taxes of any kind were held to be valid,
then the taxation power alone would enable the
Commonwealth to pass laws upon any subject
whatever by imposing a tax upon specified acts
and omissions.’