W. W. Norton & Company | American Government Brief 10th Edition

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Chapter 3 - Federalism and the Separation of Powers

Chapter Summary

Introduction: How Do Federalism and the Separation of Powers Work as Political Institutions?

Two important elements of American constitutionalism – federalism and the separation of powers – represent, in part, the Framers’ efforts to divide governmental power. Federalism limits national power by creating two sovereigns: national government and state governments, thereby restraining the power of both. Separation of Powers divides government internally against itself, giving different branches separate functions and forcing them to share power. Federalism and the separation of powers have important consequences for politics and policy in the United States, including how power should be divided between the national government and the states and between Congress and the president.

1) Federalism What is federalism? How are jurisdictional arrangements that are part script and part scorecard explained by federalism? What kinds of federal relationships did the Constitution establish and how? How and why has the federal balance of power changed over time?

· Federalism is the system of government in which power is divided between a central government and regional governments; in the United States, both the national government and the state governments each possess a large measure of sovereignty.

· Dividing and separating institutional power, the Constitution encourages diversity in the political actors that occupy the various institutions of government by requiring that they be selected at different times, from different constituencies, and by different selection methods.

· The Constitution allocates different governing responsibilities and policy jurisdictions to different institutions and actors.

· Although the Constitution established a broad institutional framework, these institutional arrangements – the responsibilities, the scripts, and the scorecards – have adapted over time as political situations and political actors’ goals have changed.

· The Framers of the Constitution granted a few expressed powers to the national government, reserving the remainder of powers to the states.

o In addition to the expressed powers of the national government, the Constitution’s necessary and proper clause provided for potentially expansive implied powers of the national government.

o In the Tenth Amendment, the Constitution reserves the powers not specifically delegated to the national government by the Constitution “to the states respectively, or to the people.” Along with their traditional police powers and concurrent powers (the latter which they share with the national government), the Tenth Amendment provides the Constitutional basis for state power in the federal relationship.

o Federalism also involves the complex relationship among the various states. The Constitution’s full faith and credit clause requires states to honor the public acts of other states and the privileges and immunities clause says that states cannot discriminate against someone from another state.

o Federalism also involves some limitations on state authority as well as that relationship between state governments and local governments.

· Under the traditional system of dual federalism, which lasted from 1789 to 1937, there was a relatively clear division of federal power, with the national government limiting itself primarily to promoting commerce while the state governments directly coerced citizens.

· After 1937, a system of cooperative federalism took hold which was characterized by partnerships between the national government and the state and local governments; this cooperation began to blur the traditional lines of authority that had been relatively clear under “dual federalism.” Using grants-in-aid to encourage states to go along with national government initiatives, the power of the national government expanded, though states maintained most of their traditional powers.

· Since the 1960s, a system of regulated federalism has emerged in which the national government began to attach “strings” to the federal monies given to states, thus further shifting the balance of federal power toward the national government.

· The current state of federalism, sometimes known as “new federalism,” involves a tug-of-war for power, with the states resurgent in the federal framework. Though the national government and the states continue to work cooperatively toward common goals, the struggle for power continues with the Supreme Court often serving as the referee.

2) The Separation of Powers How did the Constitution divide power between the legislative, executive, and judicial branches of government? What are the different roles played by each of these branches in American national government?

· The separation of powers divides power among the executive, legislative, and judicial branches as distinct departments of American national government; this establishes a system of checks and balances, ensuring that no one branch becomes consistently predominant.

· Within the system of separated powers, the framers provided for legislative supremacy, listing the powers of the national government in Article I, the legislative article, of the Constitution.

· Presidential government has emerged, particularly after 1937, such that Congress and the President perpetually compete for control of the national government, particularly during divided government.

· Examples of checks within the system of checks and balances include vetoes, veto overrides, impeachments, appointments and confirmations, and judicial review.

· Just as the Supreme Court has served as a referee in the evolution of the federal balance of power, it also mediates separation of powers disputes between the Congress and the president.

3) Do Federalism and the Separation of Powers Work? How do changes in the power and responsibilities of the states and national government and the legislative, executive, and judicial branches affect American politics and policy outcomes?

· Federalism and the separation of powers (along with individual rights) are the most important principles upon which our government is based.

· The devolution of national power to state governments allows programs to vary greatly, which can be virtuous in allowing experimentation and improvement but can also be dangerous in producing gross inequities in services.