Checks and Balances

Historical Facts About Checks and Balances

This principle is based on the belief that the ability to regulate other federal branches is enabled through a separation of powers. Typically found in governments established under a constitution, institutions are designed with separate functions and roles. In the United States, a three-branch federal government allocates:

⇶ Legislative powers to the U.S. Congress (U.S. House of Representatives and Senate)

⇶ Executive powers to the President (and Cabinet)

⇶ Judicial powers to the Supreme Court (and federal courts)

Early influences on the planning of America's new government included Polybius, Charles Montesquieu, William Blackstone, and John Locke. Montesquieu, the French political philosopher, maintained that in order to prevent the abuse of power, "power checks power.” The concept of defined authority to purposefully maintain liberty and guard against tyranny helped frame the U.S. system.

The founding debate over the size and power of the federal government resulted in a compromise between the Federalists and Anti-Federalists. The Federalists were in favor of a strong central government whereas the Anti-Federalists advocated for a minimal central government with most power concentrated at the state level.

The result was sharing of powers between the states and national government with a clear division of power between three federal branches. A national executive elected indirectly by the citizens through the Electoral College held military, treaty-making, judicial nomination, and legislative approval (or veto) powers.

In order to prevent an all-powerful chief executive, the legislative branch was granted the powers of impeachment and veto override in addition to the approval of judicial appointments. Finally, the judicial branch was given the power to weigh in on federal and interstate legal disputes with the power of judicial review established later by court precedent in Marbury v. Madison.

Checks and Balances in the Federal Government

Examples of Checks and Balances

• The most basic example of a check and balance occurs with legislation. Due to the threat of a presidential veto, Congress must pass bills that they believe the President will sign into law. Since the President can veto any bill, collaboration on policy goals is imperative. Because the President cannot be too powerful, the Constitution allows Congress to override the veto with a two-thirds vote in both the House and Senate.
• The precedent of judicial review has become the greatest check on the power of the legislative and executive branches by the courts. When it is found by the Supreme Court to be unconstitutional, the legislation, policy, or action becomes void.
• The impeachment process is a powerful tool of the legislative branch to hold the executive and judicial branches accountable. Individual presidents and /or judges can and have been impeached for abuse of power or failure to follow the laws of the nation.
• The Supreme Court can be overridden through an amendment to the Constitution. While difficult to accomplish, the Supreme Court can have its decisions challenged. Previous rulings can also be changed over time if the composition of the Court changes. The nomination of judges by the President and approval by the Senate is another check on the Supreme Court.

Checks and Balances in the Constitution

The U.S. Constitution undeniably outlines the different roles and responsibilities of each of the three branches of government at the federal level. The following are some examples of specific roles and abilities of each branch.

Fig. 2: U.S. Constitution

• The House of Representatives v. the President: The House of Representatives shall choose their speaker and other officers; and shall have the sole power of impeachment.” – Article 1 Section 3 U.S. Constitution.
• The Vice President v. the Senate: The Vice President of the United States shall be President of the Senate, but shall have no vote, unless they be equally divided.” – Article 1 Section 3 U.S. Constitution.
• The Senate v. the President: The Senate shall have the sole power to try all impeachments. When sitting for that purpose, they shall be on oath or affirmation. When the President of the United States is tried, the Chief Justice shall preside: And no person shall be convicted without the concurrence of two-thirds of the members present. –Article 1 Section 3 U.S. Constitution.

• The Congress v. the President: Every bill which shall have passed the House of Representatives and the Senate, shall, before it become a law, be presented to the President of the United States; if he approve he shall sign it, but if not he shall return it, with his objections to that House in which it shall have originated, who shall enter the objections at large on their journal, and proceed to reconsider it.” – Article 1, Section 7 U.S. Constitution.

• The Executive v. Legislative Branch: The President, Vice President and all civil officers of the United States, shall be removed from office on impeachment for, and conviction of, treason, bribery, or other high crimes and misdemeanors. – Article 2, Section 4 U.S. Constitution.

Fig. 3: 1999 Senate Impeachment tickets, Wikimedia Commons.