Open Access Research Article
FEDERAL FRAMEWORKS: A COMPARATIVE ANALYSIS OF INDIAN AND AMERICAN FEDERALISM
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Article Details
"FEDERAL FRAMEWORKS: A COMPARATIVE ANALYSIS
OF INDIAN AND AMERICAN
FEDERALISM"
AUTHORED BY - PORNIMA DATTTRAYA
VYAVAHARE
LLM I YEAR (SEM II)
ROLL NO: 109
MODERN LAW COLLEGE
GANESHKHIND, UNIVERSITY CIRCLE,
PUNE DEPARTMENT OF LAW
ABSTRACT
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Federalism, as a
political system, manifests differently across nations, shaped by
historical, cultural, and institutional factors. This article presents a comparative analysis of federalism in two diverse democracies: India and the United States.
Drawing on constitutional provisions, historical evolution, and
contemporary practices, this study examines key similarities and
differences in the federal frameworks of these nations.
The analysis delves into the
distribution of powers between the central and state governments, mechanisms of intergovernmental relations, and the role
of federal institutions in maintaining political
cohesion and diversity. Through a nuanced examination of federal
structures, this article seeks to elucidate the unique challenges and
opportunities inherent in Indian and American federalism. Insights from
this comparative analysis contribute to a deeper understanding of federal
systems globally and offer valuable perspectives for policymakers and
scholars alike.
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KEYWORDS-
Federalism,ComparativeAnalysis,India,UnitedStates,ConstitutionalProvisions,Intergovernme
ntal Relations,Power Distribution,Federal Institutions,Political Cohesion,Diversity
Management.
INTRODUCTION
When we understand the concept of Federalism is a form of government in which the national
government’s regional, state, or local counterparts cooperate with the
national government on a national level.
More broadly, we can say Federalism means
a division of power and decision-
making control between the central and state governments, with the central and
state governments assigned power and authority with respective spheres. A
federal government is stated as a system of divided Sovereignty. In order to
ensure that excessive power does not cometo the hands of one government, the
federation should focus on a system where there exists mutual interdependence
between the two Governments.1
In contrast to a unitary system, where a single central
government serves as the fundamental and supreme power, a federal system of
government has two levels of government (national and state). The United Kingdom is the perfect
example of a unitary government with Scotland,
Wales, and Northern Ireland each having some authority granted to them by the
British Parliament. What has been observed is that majority of the federal
states share two similar characteristics. First, the states are comprised of
several groups of states or constituent units which existed prior to the
formation of the federation as they were in close proximity to one another and
shared a political and cultural background. Secondly, the aim behind these
units creating a federal structure was to come together as one for
accomplishing various other motives including safety
and administrative efficiency to language and cultural integration. We can say there are two main ways to understand Federalism.2
One way we can say Federalism means to unite people and bring together people
already connected together by ties of Nationality through a political authority
being divided among the different parts of the nation.Federalism, on the other
hand, can be viewed as a way to unite many people without severing their
fundamental links to the particular laws that make up the federal system.As a
result, as long as there is federalism, this trend of mixing centralization and decentralisation is likely to continue.3
1 Vidushi Joshi, Comparative analysis
of federalism in India vs USA, 4 International journal
of advanced legal research 1(2023), available on https://ijalr.in/volume-3-issue-3-2023/comparative-analysis-of-federalism-in- india-vs-usa-vidushi-joshi/#google_vignette , last seen on
24/03/2024.
2 Ibid at 1.
3Supra note 1.
A political system called federalism is founded on the
division of powers between a national government and local
governments. Numerous nations,
including India and the United States,
have adopted this method. Depending on the political
system and constitutional framework of a nation,
the relationship between
the federal government and subnational governments can be divided in
different ways. The constitutional law is made up of both laws in the literal
sense and customs, or conventions, that everyone involved in government accepts
as binding even though they are not laws.
In the sense that their violation may result in legal action
being taken, many guidelines
and practices are not required by the law. Only because it is claimed that the Indian Constitution clearly
delineates the boundaries between the federal and state governments in a manner
comparable to the United States and that legislative and executive power is
split between the federal government and the states.4
What is Federalism?
Federalism is compound
mode of two governments. That is, in one system
there will be a
mixture of two governments – state government with central government. In India, we can
describe federalism as a distribution of authority around local, national, and state governments.
This is similar to Canadian
model of political organization.
Federalism is at its core a system where the dual machinery of government functions. Generally, under federalism, there are two levels of government. One is a central authority which looks after the major affairs
of the country. The other is more of a local government which
looks after the day to day functioning and activities of their particular region.
For example, our Indian Constitution says that India too is a federal country. As you know we have two levels of parliament, the at center
the Union government and at State
level, we have the individual State governments.5
4 Dhruv Goel, Federalism In India And USA: A Comparative
analysis, 3 Indian Journal of Integrated Research in Law 1, 2 (2023), available on https://ijirl.com/wp-content/uploads/2023/05/FEDERALISM-IN-INDIA-AND- USA-A-COMPARATIVE-ANALYSIS.pdf , last seen on
24/03/2024.
5Introduction to Federalism, www.topper.com,available athttps://www.toppr.com/guides/political-science/federalism/introduction-to- federalism/, last seen on 24/03/2024.
Features of
Federalism
The best way to comprehensively understand the federal system is to learn about its features. These characteristics combined to reflect
the true essence
of federalism.6Let us study them.
1. 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.
2. 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.
3. 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.
4. 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.
5. 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.
6. 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
6 Ibid, at 5.
depends on the other for funds to carry out its functions, it really is not
autonomous in its true nature.
Evolution of Indian Federalism
In India, Between 321 and 185 B.C. in Magadha,
the Mauryans for the first time assimilated
a number of kingdoms and republics which might be the first sub-continental
state in Indian history India. The Mughals, beginning with Sher Shah’s land
revenue system and Akbar’s division of his empire into Provinces provide
excellent examples of a federal government.
The turning point in India’s federal scheme came when it
was taken over by the British forces. The genesis of the present federal system in India lies in the Simon Report of May
1930 which supported the idea of a federal government in India. The Government of India
Act 1935 aimed to establish India as a Federation of States.7
Constitutional Framework:
The constitutional framework of India meticulously
delineates the distribution of powers between
the Union (central
government) and the States, establishing a robust federal
structure that maintains a delicate balance between centralized
authority and regional autonomy.
Distribution of Powers
between the Union and States:8
· The Indian
Constitution delineates the powers of governance between
the Union and the
States through three distinct lists: the Union List, State List, and Concurrent
List.
· Union List: Encompasses subjects
of national importance such as defense,
foreign affairs, currency,
banking, and communication. The Union government has exclusive legislative
jurisdiction over matters listed here.
· State List: Includes subjects
of regional interest
such as public health, police,
agriculture, and local government. States have exclusive legislative
authority over items enumerated in
this list.
7 Insights Mindmaps,Federalism
in India,1, available
on https://www.insightsonindia.com/wp- content/uploads/2018/11/Federalism-in-India.pdf , last seen on
1/4/2024.
8 Neelu Kishnani, Indian Federalism: In Theory And Practice,11, International journal of creative
research thoughts,3(2023), available on https://ijcrt.org/papers/IJCRT2312743.pdf, last seen on 1/4/2024.
· Concurrent
List: Contains subjects where both the Union and States can legislate
concurrently, such as criminal law, marriage, bankruptcy, and education. In case of a conflict between Union and State laws on
concurrent subjects, the Union law prevails. Role of Concurrent List and
Residuary Powers:
· The Concurrent List is a unique feature
of Indian federalism, allowing
both the Union and
States to legislate on specified subjects. It fosters cooperative federalism
and facilitates harmonization of laws on shared subjects.
· Residuary Powers:
Any matter not explicitly mentioned in the Union
List, State List, or Concurrent
List falls under the residuary powers. These powers reside with the Union
government, ensuring that in matters not covered explicitly, the central
authority holds legislative jurisdiction. Amendment Procedures and Federal
Balance:
· The Constitution of India outlines
procedures for amendments to maintain a balance
between federal and unitary aspects of governance.
· Amendments
to certain provisions require a special majority in Parliament (two-thirds
majority of members present and voting) and ratification by at least half of
the state legislatures. This ensures the consent of both the Union and the
States in matters impacting federal relations. The Constitutional provisions
pertaining to the distribution of powers, the role of lists, concurrent
jurisdiction, residuary powers, and the amendment procedures collectively form
the backbone of India's federal structure. They provide a framework that
balances the authority of the central government with the autonomy
of the States, fostering a cooperative and resilient federal
system that adapts to the evolving needs of the nation while preserving its unity and diversity.9
Features and Challenges of Indian Federalism:
Division of Powers: Legislative, Executive, and Financial:
·
Legislative Powers: The
Constitution delineates the legislative powers between the Union and States
through the three lists—Union List, State List, and Concurrent List. This
division ensures exclusive, concurrent, or shared legislative authority over specific
subjects, fostering a
9 Ibid at 8.
balanced distribution of powers.
· Executive Powers:
Both the Union and States have their
executive machinery responsible for implementing laws within their respective jurisdictions.
The federal structure allows for the autonomy of states in executing laws
pertaining to State List subjects while maintaining national unity through the
Union's executive authority over Union List subjects.
· Financial Powers:
India practices a system of fiscal federalism where financial resources
are allocated between the Union and States through
mechanisms like tax sharing and grants-in-aid.
However, financial disparities and dependence on the Union for resources often
pose challenges to the fiscal autonomy of States.
Role of Federal Institutions: President, Parliament:
·
President: As the ceremonial head
of the state, the President's role in federalism includes appointing governors,
assenting to bills, and ensuring the smooth functioning of federal institutions.
· Parliament: Comprising the Lok Sabha (House of the People)
and the Rajya Sabha (Council of States), Parliament legislates on Union List subjects and Concurrent List subjects. The Rajya
Sabha represents the interests of States, ensuring their participation in the
legislative process.
Centre-State Relations and Conflicts:
· Challenges
persist in maintaining a harmonious relationship between the Union and States,
often leading to conflicts over jurisdiction, allocation of resources, and
implementation of policies.
·
Issues like disputes over water
resources, distribution of finances, interference in State matters by the Union,
and differing political
ideologies between ruling
parties at the center and in States contribute to these
conflicts.
Language and Cultural
Diversity:
· India's
federalism is deeply influenced by its linguistic and cultural diversity.
Recognizing this diversity, the Constitution provides
for the use of multiple
languages for official
purposes and safeguards cultural rights.
·
Challenges arise in managing
linguistic diversity, ensuring equitable representation, and balancing regional
aspirations without compromising national unity. Conflicts over language
policies and cultural rights occasionally surface, demanding delicate
handling by the federal
structure.
In conclusion, while Indian federalism
presents a robust framework with distinct features in division of powers,
federal institutions, and recognition of diversity, challenges persist in
maintaining a harmonious relationship between
the Union and States. Balancing
the need for a
strong centre with regional autonomy, addressing fiscal disparities, resolving
conflicts, and respecting linguistic and cultural diversity
remain ongoing tasks in India's
federal governance. Achieving
a balance between unity and diversity remains a constant endeavour for Indian federalism.10
Evolution of American Federalism
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1. Founding Era:
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The debates over federalism began
even before the
ratification of the
Constitution. The
Federalists, led by Alexander Hamilton, argued for a strong central government capable
of uniting the states and promoting economic development. In contrast, the
Anti- Federalists, including Thomas
Jefferson and Patrick
Henry, feared the concentration of power in a distant authority and
advocated for greater state sovereignty. The compromise reached
in the Constitutional Convention established a federal system
that divided powers between the national government and the states,
with specific responsibilities allocated to each.
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2. Marshall Court and
National Supremacy:
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Chief
Justice John Marshall played a crucial role in defining the scope of federal power during the early 19th
century. Through landmark decisions such as Marbury v. Madison
and McCulloch v. Maryland, Marshall affirmed the supremacy of federal law and
the authority of the Supreme Court to interpret the Constitution. These
rulings established the principle of implied powers, granting the
federal government broad authority to enact legislation necessary and proper
for carrying out its enumerated powers.
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3. Dual Federalism and States' Rights: The doctrine of dual federalism, prevalent throughout much of the 19th
century, emphasized the separate spheres of authority
between the national government and the
states. Under this framework,
states retained
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10 Supra note 8 at 10.
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significant autonomy in areas such as
commerce, taxation, and law enforcement. The tension between states' rights
and federal authority came to a head during
the Civil War,
as
the conflict over slavery highlighted
the competing visions of Union and secession.
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4. New Deal and Cooperative Federalism:
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The Great
Depression and the subsequent New Deal era marked a significant shift in
American federalism. President Franklin D. Roosevelt's administration
expanded the role of the federal government in regulating the economy,
providing social welfare programs, and addressing national crises. The New
Deal ushered in an era of cooperative federalism, characterized by
collaboration between the national government and the states to address
shared challenges.
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5. Modern Challenges and Unfunded Mandates:
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In recent decades,
American federalism has faced new challenges, including the proliferation of
unfunded mandates and the complexities of intergovernmental relations. As the federal
government imposes requirements on states without
providing adequate funding, tensions have arisen over issues of fiscal
responsibility and state sovereignty. The Supreme Court has grappled with
questions of federalism in cases such as Printz v. United States and National
Federation of Independent Business v. Sebelius, shaping the boundaries of federal power and state autonomy in the modern
era.11
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United States-
1) Enumerated Powers:
Article I, Section 8 of the U.S. Constitution outlines the particular authorities provided
to the federal government, which include the ability to control trade, issue
currency, and manage national security. The Tenth Amendment designates the
extent of federal jurisdiction, reserving all other rights for the states or
the people.
2)
Supremacy Clause:
Supremacy Clause:
11 Sun Hao, Evolution of American Federalism,12, School of politics
and public administration China University
of Political Science and Law Beijing,4,6(2015),available on file:///C:/Users/pourn/Downloads/Evolution_of_American_Federalism.pdf, last seen on 1/4/2024.
3) Article VI of the United
States Constitution states
that federal law is the "supreme law of
the land," as stated in the Supremacy Clause.so establishing the superiority of federal
statutes and treaties over state laws that contradict with one another.
3) Separation of
Powers:
In order to avoid the consolidation of
power, the legislative, executive, and judicial departments of government are
each equipped with a check-and balances mechanism established by the United
States Constitution. Both the federal and state levels are subject to this
division of powers, with each branch having certain duties and roles.
4) Bill of Right:
The
first ten amendments to the US Constitution make up the Bill of Right, which
lists personal rights and liberties such as freedom of expression, the
press, and religion. These amendments, which place restrictions on the power of
the federal and state governments, guarantee the protection of fundamental
liberties.12
Case Laws Related
India is not a federal
State in the traditional sense of the word, the Apex Court stated
in Pradeep Jain V. Union of India13. It is not an agreement between
independent States that have joined forces to create a union by reneging on
unquestionably federal principles. The Supreme Court reiterated the following
in Ganga Ram Moolchandani v. State of Rajasthan14: The Indian
Constitution is fundamentally federal in form and is distinguished by the traditional features of a federal
system, namely supremacy
of the Constitution, power sharing
between the Union and States,
and the existence of an independent judiciary. Similar sentiments were voiced
by the Supreme Court in ITC LTD v. Agricultural Produce Market Committee15.
The Supreme Court expanded the doctrine's importance as
being superior to any parliamentary law
in the 1978 Maneka Gandhi v. Union of India16 case. The ruling
states that if a parliamentary act broke the fundamental principles of the constitution, it cannot be regarded
as a
law. This important
fundamental rights assurance
was hailed as a singular
illustration of
12 Shubham Sinha, Federalism In U.S.A. And India: A Comparative Study,6, Indian Journal of Law and Legal Research,5,7(2019), available
on https://3fdef50c-add3-4615-a675- a91741bcb5c0.usrfiles.com/ugd/3fdef5_efdb291dcbfd4261a794067598d1b5f2.pdf, last seen on 1/4/2024.
13 Pradeep Jain V. Union
of India,1984 AIR 1420, 1984 SCR (3)
942.
14Ganga Ram Moolchandani v. State of Rajasthan, AIR 2001 SUPREME
COURT 2616.
15ITC LTD v. Agricultural Produce
Market Committee.
16 Maneka Gandhi
v. Union of India, 1978 AIR 597, 1978 SCR (2)
621.
judicial independence in upholding the sanctity of fundamental rights.
Fundamental Rights, which can only be changed
by a constitutional amendment, serves as a check on not only the executive
department but also the legislatures of the federal
and state governments. The rights granted
by Article 19 may be temporarily suspended
as a result of the declaration of a state of emergency.
The most significant federalism
ruling of the 1998–1999 session was Alden v. Maine17. It comes to
the conclusion that the fundamental precept of the rule of law, "where
there is a right, there is a remedy," is in danger due to the Court's
interpretation of the Eleventh Amendment and the sovereign immunity
doctrine, which has limited the federal government's ability to authorize private
lawsuits against states for breaking federal law.
Conclusion
In
conclusion, the contrast
of the federal systems in India and the United
States has shown that these two nations view
federalism in very different ways. The United States uses a dual federalism
system that emphasises the autonomy of state governments within their
respective spheres of authority, in contrast to India, which has chosen a cooperative federalism model that places an emphasis on cooperation
between the federal government and state governments. Although both India and
the United States have chosen federal systems of government, there are
significant differences between their models of federalism. The American
federal system is based on dual federalism, where the federal and state
governments operate autonomously within their respective spheres of authority.
In contrast, the Indian federal system is characterised by a three-tiered
structure of government and cooperative federalism. Policymakers and academics
who wish to research and contrast federal systems in various nations must be
aware of these variations.
Federal systems in India and the United States have been significantly shaped
by the historical background of federalism in those countries. The development of federalism in India
has been affected by the legacy of colonialism and the need to balance
the demands of various
linguistic, ethnic, and religious groups. The need to safeguard state autonomy
and strike a balance between the federal government's and state governments'
authority led to the development of the federal system
in the United States. Another
crucial element of federalism
that has been examined in this research
paper is state autonomy and power. The United States
17 Alden v. Maine, 527 U.S. 706 (1999).
has a more decentralized federal
system with higher
state autonomy and power, whereas
India has faced difficulties in increasing state autonomy and power. In
both India and the United States, political groups
play a crucial role in managing the relationship between
various levels of government. Overall, the contrast
of the American and Indian
federal systems has shed light on
the advantages and disadvantages of various federalism models. Federalism continues
to be a crucial part of the political
landscape in both India and the
US, and while there are areas
for improvement in both systems, it is crucial for both policymakers and
citizens to comprehend its dynamics.
Article Information
FEDERAL FRAMEWORKS: A COMPARATIVE ANALYSIS OF INDIAN AND AMERICAN FEDERALISM
Authors: PORNIMA DATTTRAYA VYAVAHARE
- Journal IJLRA
- ISSN 2582-6433
- Published 2024/04/05
- Issue 7
About Journal
International Journal for Legal Research and Analysis
- Abbreviation IJLRA
- ISSN 2582-6433
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