The Constitution

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The Constitution
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Constitution

• Definition
• A nations basic law. It creates political
  institutions, assigns or divides powers in
  government, and often provides certain guarantees
  to citizens.
• Sets the broad rules of the game.
• The rules are not neutral- some participants and
  policy options have advantages others dont.

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Federalism

• What is Federalism?
• Definition A way of organizing a nation so that
  two or more levels of government have formal
  authority over the land and people.
• Intergovernmental Relations -
• Definition The workings of the federal system-
  the entire set of interactions among national,
  state and local governments.

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Division of Powers

• Delegated Powers powers the Constitution grants
  or delegates to the national govt
• Expressed/Enumerated Powers those powers
  directly expressed or stated in the Constitution
• Implied Powers those powers that the national
  govt requires to carry out the powers that are
  expressly defined in the Constitution
• Necessary and Proper/Elastic Clause (Article I,
  Sec 8)
• Inherent Powers those the national govt may
  exercise simply b/c its the govt
• Reserved Powers those powers that belong
  strictly to the states
• Supremacy Clause (Article VI, Sec 2)
• Concurrent Powers those powers that both the
  national and state govts have
• Denied Powers the powers that the Constitution
  specifically denies to all levels of govt
• Article I Sec 9 and 10

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Defining Federalism
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Defining Federalism

• Why is Federalism So Important?
• Decentralizes our politics
• More opportunities to participate
• Decentralizes our policies
• Which government should take care of which
  problem?
• States can solve the same problem in different
  ways.

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The Constitutional Basis of Federalism

• The Division of Power
• Supremacy Clause
• McCulloch vs. Maryland
• Gibbons vs. Ogden
• The U.S. Constitution
• Laws of Congress
• Treaties
• State Constitutions
• State Laws

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The Constitutional Basis of Federalism
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Intergovernmental Relations Today

• Dual Federalism
• Definition A system of government in which both
  the states and the national government remain
  supreme within their own spheres, each
  responsible for some policies.
• Like a layer cake
• Ended in the 1930s

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Intergovernmental Relations Today

• Cooperative Federalism
• Definition A system of government in which
  powers and policy assignments are shared between
  states and the national government.
• Shared costs
• Shared administration
• States follow federal guidelines

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Intergovernmental Relations Today
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Intergovernmental Relations Today

• Fiscal Federalism
• Definition The pattern of spending, taxing, and
  providing grants in the federal system it is the
  cornerstone of the national governments
  relations with state and local governments.

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Intergovernmental Relations Today

• Federal Grants to State and Local Governments
  (Figure 3.1)

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Intergovernmental Relations Today

• Fiscal Federalism continued
• The Scramble for Federal Dollars
• 400 billion in grants every year
• Universalism - a little something for everybody
• The Mandate Blues
• Mandates direct states or local governments to
  comply with federal rules under threat of
  penalties or as a condition of receipt of a
  federal grant.
• Funded mandate-given money to carry out the
  policy
• Unfunded mandates are requirements on state
  local governments - but no money

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Understanding Federalism

• Advantages for Democracy
• Increasing access to government
• Local problems can be solved locally
• Hard for political parties / interest groups to
  dominate ALL politics

• Disadvantages for Democracy
• States have different levels of service
• Local interest can counteract national interests
• Too many levels of government - too much money

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Understanding Federalism

• Spending on Public Education (Figure 3.4)

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Understanding Federalism
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Understanding Federalism

• Federalism and the Scope of Government
• Which level of government is best able to solve
  the problem?
• Which level of government is best able to fund
  solutions to the problem?

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English Documents that Influenced U.S. Government

• Magna Carta or Great Charter (1215)
• Rebelling English nobles made King John sign it
• At first the rights granted in the Charter only
  applied to nobles
• 63 articles limiting the Kings power and
  granting rights to nobles
• Taxes could NOT be imposed unless council of
  nobles approved
• Property protected
• Trial by jury of peers
• Protection against unjust punishment and the loss
  of life
• Prevents interfering with certain religious
  freedom

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• The Petition of Right (1628)
• Gives more rights to Parliament, and further
  limits the authority of King Charles the I
  monarchy
• King couldnt arrest members of Parliament
• Members of Parliament were protected from the
  King if they disagreed with him (Article 1, Sec
  6, Clause 1)
• Couldnt imprison citizens without legal reason
• Must have approval of the House of Commons to
  impose taxes (Article 1, Sec 7, Clause 1)
• King Charles I decided to ignore the Petition
• War broke out and the common people won (Charles
  I was beheaded)
• Parliament established their supremacy over the
  King

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• English Bill of Rights (1688)
• The Glorious Revolution Parliament chose new
  leaders (William and Mary
• English Bill of Rights incorporated ideas from
  the Magna Carta
• Also applied to the American colonies
• Set limits on monarchs
• The monarch has no divine rights regarding
  ruling
• 1st Amendment right to petition govt
• Right to bear arms
• 2nd Amendment
• Fair and speedy trial
• 6th Amendment
• No cruel or unusual punishment or excessive bail
• 8th Amendment
• Right of Parliament (not the monarch) to approve
  keeping a standing army in peacetime
• Article 1, Sec 8, Clause 12, 13, 14) gives
  Congress the right to establish and support a
  military
• Right of free speech and debate in meetings of
  Parliament
• Article 1, Sec 6, Clause 1 gives Congress the
  same right
• No interference with elections

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• Representative govt the people elect delegates
  to make laws and conduct govt
• British framework for a representative govt
• House of Lords (upper house)
• Contains aristocracy who dominated until 1700s
  (Bishops and Nobles)
• Either appointed or position inherited
• Prince Charles and children
• No power and/or figurehead
• House of Commons (lower house)
• Contains merchants and property owners
• Elected by other property owners and merchants
• Today they have the real power

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• Govts in the colonies all had
• Governors and courts
• Legislature (Council of advisors)
• Eventually a Legislature of elected reps
• Separation of legislative and executive branch
• Written constitution that limited govnt
• Need property to vote
• Democracy in its current form didnt exist
• Women and slaves couldnt vote
• 9 of 13 colonies had an official church
  (religious dissent not tolerated)

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• Mayflower Compact (1620) first written agreement
  providing self-govt drafted by colonists
• Signed by 41 male pilgrims
• Why was the Compact needed?
• Navigation errors pushed their ship off course
  which forced them to land in an area outside the
  original grant given by the Virginia Company
  (jurisdiction)
• Pilgrim leaders knew they would need to set up
  some form of govt to control all the people

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Expanding Written Laws

• Great Fundamentals (1636) meant the need for
  more comprehensive laws as Mass Bay grew larger
  around Plymouth
• Fundamental Orders of Connecticut (1638)
  Puritans who left Mass Bay colonized Connecticut
  and established Americas first formal
  constitution or charter
• Gave people the right to elect the governor,
  judges, and reps to make laws, and didnt
  restrict voting rights to church members

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Representative Assemblies in Colonies

• Virginia House of Burgesses (1619) first reps
  assembly in America
• Created a law that required every town of 50
  families to hire a schoolmaster and every town
  with 100 families must hire someone that can
  teach Greek and Latin
• Colonial legislatures dominated colonial govt

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• John Locke
• Philosopher
• Two Treatises on Government
• Textbook on the American Revolution
• Revolutionary ideas in a time when monarchs still
  claimed divine power
• life, liberty, and property (influenced
  Jefferson)

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State Constitutions

• States saw themselves as states
• No higher authority
• Common features
• Bill of Rights
• Separation of powers
• Limited government

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Iroquois Confederation

• 5 nations Mohawk, Onondaga, Oneida, Cayuga,
  Seneca
• 1570
• Very organized plan of government
• Each nation elected a representative
• 1 vote per nation
• Womens representation

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British Control and the Road to Revolution

• The colonies were expected to serve as a source
  of raw materials and a market for British goods
• The colonists were allowed to govern themselves
  in exchange for loyalty to the mother country and
  stopping the expansion of the French in Canada
• King George III was the leader of Britain in 1760
• French and Indian War (1754-1763)
• Struggle between Fr. and Br. over land in OH
  river valley (OH, PA)
• British needed to finance the war so taxes were
  levied on the colonies
• Relations now changed and strained
• Once the British win, they have more land to
  defend and need to control the seas
• More items are taxed, which increase tensions b/w
  the colonies and Britain

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Colonies Try to Unite

• Why unite
• Develop an army and navy to stop Indian attacks
  and attacks from other countries
• Levy taxes so the colonists can support
  themselves
• Regulate their own issues with NA b/c they are
  actually living amongst the NA
• Albany Plan of Union (1754) first attempt to
  unify the colonists
• Ben Franklin came up with the plan
• The idea was rejected b/c it gave too much power
  to the central govt
• British felt the plan gave too much power to
  their subjects (colonists)

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The Origins of the Constitution

• The Road to Revolution
• Colonists didnt like the way they were treated.
• In summer of 1776, a small group of men met in
  Philadelphia and passed a resolution that started
  a war
• The colonists were some of the lowest taxed
  members of the British Empire
• -Many merchants felt the impact of taxes, but
  most of the colonists felt no impact what-so-ever
  by the taxes
• Some call the Revolutionary War a rich mans
  war, but a poor mans battle.

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FINANCING THE EMPIRE

• Protecting the colonists against attack was an
  expensive service for the British Empire to
  provide
• Taxes
• Sugar Act (1764) create an import tax of foreign
  sugar, etc
• Stamp Act (1765) tax on printed matter of all
  kinds
• This was the first direct tax on the colonists
• The colonists felt they were being taxed without
  any of their input (no taxation without
  representation)
• Stamp Act Congress (1765) tried to get the Stamp
  Act repealed
• Nine colonies sent delegates to this meeting in
  NY
• First meeting organized by colonists to protest
  King George III actions
• Petitions were sent arguing only colonial
  legislatures could impose taxes
• Results of the Stamp Act Congress
• Colonists passed a non-importation agreement
  (wont buy British goods)
• The stamp act was repealed but
• Declaratory Act (1766) asserted the full power
  and authority of the Parliament to make laws for
  America

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Acts that tick off the Americans

• Townshend Acts (1767) import duties on common
  items (tea, dyes, glass, etc)
• Writs of assistance special search warrants that
  allowed unlimited access
• Tea Act (1773) excused the British East India
  Company from paying certain duties and gave the
  company exclusive rights to the tea trade in
  America
• American merchants were afraid the British East
  India Company would acquire a monopoly on tea
  trade
• Colonists were upset by the tax placed on tea
• Boston Tea Party (1773) colonists dressed up as
  Mohawk Indians and dumped 342 chests of British
  tea into the Boston Harbor
• Coercive/Intolerable Acts (1774) a set of four
  laws designed to punish the colonists for the
  Boston Tea Party
• Closed the port of Boston until colonists paid
  for the tea they dumped
• Revoked Mass charter and didnt allow the Mass
  colonists to hold town meetings
• Allowed royal officials charged with crimes to be
  tried in England
• Quartering Act ordered local officials to provide
  food and housing, in private homes if necessary,
  for British soldiers

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The First Continental Congress (1774)

• Delegates from 12 colonies decided to meet in
  Philadelphia
• Georgia didnt send a delegate b/c they needed
  the help of British soldiers to fend off the
  Indians that were attacking
• Colonists were trying to decide what should be
  done about the bad relations with GB
• Embargo placed on GB
• Could not use any British goods in the colonies
• Proposed another meeting a year later if
  relations didnt improve

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The First Battle in April 1775 and Beyond

• British redcoats clashed with minutemen at
  Lexington and Concord in Mass
• The clash was called the shot heard round the
  world
• Second Continental Congress (May 1775)
• All 13 colonies sent delegates to Philadelphia
• John Hancock was elected the President of the
  Congress
• They assumed the power of the central govt
• George Washington was placed in command of the
  colonial army
• The Declaration of Independence was developed
• Olive Branch Petition (July 5, 1775) for the
  final timeappealed to their king to redress
  colonial grievances in order to avoid more
  bloodshed
• Aug 1775 - King George declared a state of
  rebellion and Traitors should be brought to
  justice
• Dec 1775 - Parliament (GB) prohibited all trade
  with colonies

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Declaration of Independence

• Committee of 5 to write Declaration of
  Independence
• T. Jefferson
• J. Adams
• B. Franklin
• R. Sherman
• R. Livingston
• T. Jefferson - wrote
• B. Franklin aided Jefferson
• Elder statesman (oldest member)

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Declaration of Independence

• Richard Henry Lee introduced his opinion about
  why the colonists should break away from GB on
  June 7, 1776
• Delegate from Philadelphia, Pennsylvania
• Thomas Jefferson was appointed to write a rough
  draft of the Declaration of Independence
• Thomas Paine wrote a pamphlet called Common Sense
• It was used to rally support from the colonists
  for breaking away from GB
• On July 4, 1776 Congress approved the final draft
  of the Declaration of Independence

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Declaration of IndependenceJuly 4, 1776

• Declaring Independence
• The Declaration of Independence listed the
  colonists grievances against the British.
• The founding fathers officially engaged in an act
  of treason that was punishable by death
• The Conservative Revolution
• Restored rights the colonists felt they had lost
• Not a major change of lifestyles

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The Origins of the ConstitutionDeclaration of
Independence
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Five Parts to the Declaration

• States human/natural rights
• Justify the colonists revolt
• Lists 27 grievances against King George III
• What the colonists have done to resolve the issue
  peacefully
• Statement of determination to separate and gain
  independence

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The Government That Failed

• The Articles of Confederation
• The first document to govern the United States
• Congress had few powers (Article 1. Section 8)
• States could engage in foreign trade (Article 1,
  Sec, 8, Clause 3 is the opposite)
• Changes in the States
• Expanded political power for some
• Expanding economic middle class
• Ideas of equality spreading

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The Government that Failed
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Strengths

• Kept the states together effectively enough to
  win the Revolutionary War
• All states had written constitutions
• People had power govt existed to serve peoples
  needs
• States had 3 branches of govt
• Executive
• Legislative
• judicial
• Had Bill of Rights
• Free speech, press, religion jury trial
• State put more power in legislature and less in
  executive
• Could be amended (changed)
• Northwest Ordinance (1787) outlined a plan for
  settling lands west of the Appalachians
• Est the principle that newly formed states are
  to older states
• Guaranteed religious freedom and prohibited
  slavery in the new territories
• Treaty of Paris (1783) GB recognize3d American
  independence

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Weaknesses

• One-house legislature (unicameral Congress) of
  delegates from all states
• Each state had one vote
• 9/13 states to approve laws
• Could not tax (could ask for )
• Could not regulate trade
• Could not control currency (states printed own
  money)
• No executive or judiciary (no one to enforce or
  carry out laws)
• Congress only had the powers expressly given to
  them in the Articles (lawmaking and military
  decisions)
• A very weak central govt was created, but had
  strong state govts
• Makes sense since the colonists feared the strong
  central govt of GB, so why create the same thing

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Powers

• Wage war
• Make peace treaties/alliances
• Create army/navy
• Borrow money
• Create a post office
• Settle disputes between states

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Problems with Articles State Issues, Money
Issues, and Rebellion after the WAR

• States quarreled amongst themselves
• Boundary disputes and tariffs
• Farmers had to pay a tax to sell their produce in
  another state
• Money problems after the War
• 40 million owed to foreign govts and American
  soldiers that fought in the War
• Shays Rebellion (Daniel Shays, 1776)
• A series of attacks on courthouses by a small
  band of farmers led by Revolutionary War Captain
  Daniel Shays to block foreclosure proceedings
• State legislatures would not help farmers in debt
• Land, tools, livestock were taken to pay debt
  (some were jailed)
• Marched on county courthouses moved to take
  arsenal stopped by state militia

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The Government That Failed

• The Aborted Annapolis, Maryland Meeting (Sept
  1786)
• An attempt to discuss changes (amending) to the
  Articles of Confederation.
• Attended by only 12 delegates from 5 states.
• Wanted to also discuss commerce and trade among
  states
• Called for a meeting in May 1787 to further
  discuss changes.

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Making a ConstitutionThe Philadelphia Convention

• Gentlemen in Philadelphia May 25, 1787
• George Washington presided over the meetings
• James Madison, from Virginia, took detailed notes
  
• Father of the Constitution (basically adopted his
  plan)
• 55 men from 12 of the 13 states
• Mostly wealthy planters merchants
• Most were college graduates with some political
  experience
• Many were coastal residents from the larger
  cities, not the rural areas
• Rhode Island didnt send delegates
• Supported individual freedom and states rights

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The Philadelphia Convention, continued

• Philosophy into Action
• Human Nature
• Political Conflict
• Objects of Government
• Nature of Government

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Organization

• George Washington presided over the meetings
• One vote for each state on all questions
• Simple majority vote of states would make
  decisions
• Keep public and press uninformed so delegates
  could talk freely

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The Agenda in Philadelphia
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Key Agreements

• All favored limited govt and representative
  govt
• Powers divided among leg, exe, and jud branch
• Limited power of states to coin money and
  interfere with creditors rights
• Must strengthen the national govt

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The Agenda in Philadelphia

• Equality and Representation of the States
• Virginia Plan
• Edmund Randolph (Virginia) introduced 15
  resolutions James Madison drafted
• Strong national legislature with two chambers
• Lower chosen by the people, upper chosen by lower
  chamber
• Legislature could decide if state laws
  unconstitutional
• Strong national executive chosen by national
  legislature
• National judiciary appointed by legislature
• Delegates of small states realized large states
  (large populations) would control the national
  govt

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The Agenda in Philadelphia

• Equality and Representation of the States
• New Jersey Plan
• William Paterson (New Jersey) made a
  counterproposal that kept major features of
  Articles of Confederation (Amend Articles)
• Unicameral legislature with one vote for each
  state
• Strengthened to have power to impose taxes and
  regulate trade
• Weak executive consisting of more than one person
  elected by Congress
• National judiciary with limited power appointed
  by executive
• Deadlocked over representation of states in
  Congress
• Rep based on population (favors large states) or
  rep be equal (favors small states)

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The Agenda in Philadelphia

• Equality and Representation of the States
• Connecticut Compromise
• Roger Sherman and delegates from Connecticut
  developed the idea
• House of Rep based on pop of states
• All revenue laws-taxing and spending money-begin
  in House
• Senate equal for each state
• State leg would elect two Senators
• Amendment 17 (1913) directly elected by Senators
• Slavery and the Three-Fifths Compromise
• How is representation in the House determined
  when looking at slave population (1/3rd slave in
  South)
• Southern states want slaves to free people when
  determining rep in the House
• Southern states dont want slaves to free
  people when determining taxes
• Northern states took the exact opposite view on
  these issues (few slaves)
• Settles by counting only 3/5ths of enslaved
  people for taxes and representation

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Commerce Compromise

• Northern states wanted govt to completely
  control trade with other nations
• Southern states feared business interests in
  North may have enough votes to est trade
  agreements that would hurt them
• South also feared North would interfere in slave
  trade
• Delegates decided Congress couldnt ban slave
  trade until 1808
• Congress could regulate both interstate commerce
  (trade among states) and foreign commerce
• To protect the South, Congress couldnt tax
  exports

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Slave-Trade Compromise

• Constitution only notes that slaves escaping to a
  free state could be returned to owner (Article
  IV, Section 2)
• Many Northern states outlawed slavery
• Delegated knew Southern states wouldnt accept
  the Constitution if it interfered with slavery
• Slavery was one of the issues brought to the
  forefront during the Civil War

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Other Compromises

• Should the president be elected directly by the
  people, by Congress, or by state legislatures?
• Electoral College created, which allows each of
  the major parties to select electors that will
  cast the official vote in D.C. once the popular
  vote is tallied in each state

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The Agenda in Philadelphia
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The Agenda in Philadelphia

• The Economic Issues
• States had tariffs on products from other states
• Paper money was basically worthless
• Congress couldnt raise money
• Actions taken
• Powers of Congress to be strengthened
• Powers of states to be limited

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The Agenda in Philadelphia

• The Individual Rights Issues
• Some were written into the Constitution
• Writ of habeas corpus
• No bills of attainder
• No ex post facto laws
• Religious qualifications for holding office
  prohibited
• Strict rules of evidence for conviction of
  treason
• Right to trial by jury in criminal cases
• Some were not specified
• Freedom of speech / expression
• Rights of the accused

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The Madisonian Model

• Limiting Majority Control
• Separating Powers
• Creating Checks and Balances
• Establishing a Federal System

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The Madisonian Model

• The Constitution and the Electoral Process The
  Original Plan (Figure 2.2)

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The Madisonian Model
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The Madisonian Model

• The Constitutional Republic
• Republic A form of government in which the
  people select representatives to govern them and
  make laws.
• Favors the status quo - changes are slow
• The End of the Beginning
• The document was approved, but not unanimously.
  Now it had to be ratified.

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Ratifying the Constitution

• Needed 9 of the 13 states to ratify it
• The Constitution went in to effect on June 21,
  1788 when New Hampshire was the ninth state to
  ratify it
• Unanimously ratified May 29, 1790 when Rhode
  Island ratified it

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Ratifying the Constitution
69
Federalists vs. Anti-Federalists

• Federalists
• Claimed anarchy or political disorder would
  triumph without a strong national govt
• Strong central govt could only protect the new
  nation
• Bill of Rights not needed since the state
  constitutions already had a bill of rights
• Anti-Federalists
• Feared a strong national govt (power taken from
  the states)
• Felt it was drafted in secrecy
• Document extralegal, not sanctioned by law since
  the Convention had been authorized only to revise
  the old Articles
• Constitution lacked a Bill of Rights (Patrick
  Henry)
• The Federalists promised to add a Bill of Rights
  to gain the support of the Anti-Federalists

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Ratifying the Constitution
71
Ratifying the Constitution

• Without Virginia and New York approving the
  Constitution, the new govt wouldnt survive
• James Madison, George Washington, and Edmund
  Randolph helped convince Virginia to accept the
  document on June 25, 1788
• Alexander Hamilton, John Jay, and James Madison
  published 80 essays (Federalist Papers)
  supporting the Constitution in New York (accepted
  July 26, 1788)
• A collection of 80 articles written by Alexander
  Hamilton, John Jay, and James Madison under the
  name Publius to defend the Constitution
• Federalist 10 and 51
• New York City was the location of the nations
  first capital, Washington was elected President,
  and John Adams was the Vice
• March 4, 1789 Congress met for the first time in
  Federal Hall in New York
• Congress approved 12 of James Madisons
  amendments and the states ratified 10 of them in
  1791 (Bill of Rights)

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Structure

• PREAMBLE
• To form a more perfect Union, establish Justice,
  insure domestic tranquility, provide for the
  common defense, promote the general welfare, and
  secure the blessings of Liberty
• SEVEN ARTICLES
• AMENDMENTS
• (see Student Review Outline Of The Constitution)

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Major Principles

• Popular sovereignty
• Federalism
• Separation of powers
• Checks and balances
• Judicial review
• Limited government

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Take the Test
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Separation of Powers
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Checks and Balances
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Constitutional Change
78
Constitutional Change

• The Informal Process of Constitutional Change
• Changing Political Practice
• Technology
• Increasing Demands on Policymakers
• Congressional laws
• Congressional practices
• Presidential practice
• Judicial review (judicial activism v. judicial
  restraint)
• Custom and Usage

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Understanding the Constitution

• The Constitution and Democracy
• The Constitution itself is rarely described as
  democratic.
• There has been a gradual democratization of the
  Constitution.
• The Constitution and the Scope of Government
• Much of the Constitution limits government.
• The Constitution reinforces individualism, yet
  encourages hyperpluralism.