The Constitution

Constitution Definition Sets the broad rules of the game. A nation’s 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 don’t.

Federalism What is Federalism? Intergovernmental Relations - 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.

Division of Powers Delegated Powers: powers the Constitution grants or delegates to the national gov’t Expressed/Enumerated Powers: those powers directly expressed or stated in the Constitution Implied Powers: those powers that the national gov’t 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 gov’t may exercise simply b/c it’s the gov’t 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 gov’ts have Denied Powers: the powers that the Constitution specifically denies to all levels of gov’t Article I Sec 9 and 10

Defining Federalism

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.

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

The Constitutional Basis of Federalism

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 1930’s

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

Intergovernmental Relations Today

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 government’s relations with state and local governments. Figure 3.2

Intergovernmental Relations Today Federal Grants to State and Local Governments (Figure 3.1)

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

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

Understanding Federalism Spending on Public Education (Figure 3.4)

Understanding Federalism

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?

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 King’s 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

The Petition of Right (1628) Gives more rights to Parliament, and further limits the authority of King Charles the I monarchy King couldn’t arrest members of Parliament Members of Parliament were protected from the King if they disagreed with him (Article 1, Sec 6, Clause 1) Couldn’t 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

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 gov’t 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

British framework for a representative gov’t: Representative gov’t: the people elect delegates to make laws and conduct gov’t British framework for a representative gov’t: 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

Gov’ts 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 govn’t Need property to vote Democracy in its current form didn’t exist Women and slaves couldn’t vote 9 of 13 colonies had an official church (religious dissent not tolerated)

Why was the Compact needed? Mayflower Compact (1620): first written agreement providing self-gov’t 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 gov’t to control all the people

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 America’s first formal constitution or charter Gave people the right to elect the governor, judges, and reps to make laws, and didn’t restrict voting rights to church members

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 gov’t

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)

State Constitutions States saw themselves as “states” Common features No higher authority Common features Bill of Rights Separation of powers Limited government

Iroquois Confederation 5 nations: Mohawk, Onondaga, Oneida, Cayuga, Seneca 1570 Very organized plan of government Each nation elected a representative 1 vote per nation Women’s representation

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

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 gov’t British felt the plan gave too much power to their subjects (colonists)

The Origins of the Constitution The Road to Revolution Colonists didn’t 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 man’s war, but a poor man’s battle.”

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 (won’t 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

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 didn’t 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

The First Continental Congress (1774) Delegates from 12 colonies decided to meet in Philadelphia Georgia didn’t 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 didn’t improve

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 gov’t 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 time—appealed 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

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)

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

Declaration of Independence July 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

The Origins of the Constitution Declaration of Independence

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

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

The Government that Failed

Strengths Kept the states together effectively enough to win the Revolutionary War All states had written constitutions People had power; gov’t existed to serve people’s needs States had 3 branches of gov’t 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

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 gov’t was created, but had strong state gov’ts Makes sense since the colonists feared the strong central gov’t of GB, so why create the same thing

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

States quarreled amongst themselves 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 gov’ts 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

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.

Making a Constitution: The 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 didn’t send delegates Supported individual freedom and states’ rights

The Philadelphia Convention, continued Philosophy into Action Human Nature Political Conflict Objects of Government Nature of Government

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

The Agenda in Philadelphia

Key Agreements All favored limited gov’t and representative gov’t Powers divided among leg, exe, and jud branch Limited power of states to coin money and interfere with creditors’ rights Must strengthen the national gov’t

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 gov’t

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)

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 don’t 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

Commerce Compromise Northern states wanted gov’t 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 couldn’t ban slave trade until 1808 Congress could regulate both interstate commerce (trade among states) and foreign commerce To protect the South, Congress couldn’t tax exports

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 wouldn’t accept the Constitution if it interfered with slavery Slavery was one of the issues brought to the forefront during the Civil War

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

The Agenda in Philadelphia

The Agenda in Philadelphia The Economic Issues States had tariffs on products from other states Paper money was basically worthless Congress couldn’t raise money Actions taken: Powers of Congress to be strengthened Powers of states to be limited

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

The Madisonian Model Limiting Majority Control Separating Powers Creating Checks and Balances Establishing a Federal System

The Madisonian Model The Constitution and the Electoral Process: The Original Plan (Figure 2.2)

The Madisonian Model Figure 2.3

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.

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

Ratifying the Constitution

Federalists vs. Anti-Federalists Claimed anarchy or political disorder would triumph without a strong national gov’t Strong central gov’t 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 gov’t (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

Ratifying the Constitution

Ratifying the Constitution Without Virginia and New York approving the Constitution, the new gov’t wouldn’t 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 Madison’s amendments and the states ratified 10 of them in 1791 (Bill of Rights)

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”)

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

Take the Test

Separation of Powers

Checks and Balances

Constitutional Change Figure 2.4

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

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.