United States Constitution

1. United States Constitution

2. INTRODUCTION • US Constitution is based upon Lockean liberal principles of • Rule of law/Limited government • Popular sovereignty/consent • Individual liberty • Separation of powers • But it is also a political document, requiring compromise

3. The Framers’ Dilemma • Federalists wanted to create greater order and security with a stronger national level government and an energetic executive. • But they had just fought a war of independence against a tyrannical government and did not want to threaten liberty.

4. Articles of Confederation • First constitution, 1777-1789 • A loose confederation, weak central government • Equal state representation • Executive powers exercised by legislative committees • Limited powers to tax and raise an army • Important actions include Treaty of Paris and Northwest Ordinance

5. Breakdown Under Articles of Confederation • Gold crisis and postwar depression • Lack of taxing power led to crisis of confidence in bonds • No powers to regulate interstate commerce • No enforcement powers—just an alliance • Other nation states were unwilling to sign treaties with US

6. Shays’ Rebellion 1786-1787 • Failure to compensate farmers who fought for independence • Armed resistance to farm foreclosures • Difficulty quelling resistance with local militias • Lack of a regular army

7. Constitutional Convention 1787 • Hamilton and others used Shays’ Rebellion to press for more national power • Did not exactly have the authority to replace Articles of Confederation

8. Constitutional Principle: The Rule of Law • As opposed to rule by force or by a king • Need for lawful institutions to resolve dispute peacefully • A fundamental principle of a system of limited government • Federal government is limited to powers listed in the Constitution

9. Constitutional Principle: Popular Sovereignty • Rule by the people based upon their consent • Delegates to convention chosen by state legislatures • Created a representative assembly (Congress) as principal decision making body • Constitution ratified by state conventions • BUT—no voting rights in original Constitution

10. Constitutional Principle: Separation of Powers • Charles de Montesquieu 1689-1755Spirit of the Laws; concept also described by John Locke • To avoid tyranny, disperse power • Main functions of government: • Legislative (law making) • Executive (administering laws) • Judicial (interpreting laws and trying cases) • Place each function in separate gov’t institutions

11. Overview of Articles Demonstrates Separation of Powers • Article I on Congress was first and longest article reflecting framers’ view that Congress was most important • Established representative government and popular sovereignty • Established “strong bicameralism”—two equal branches of government • Extensive list of “enumerated powers” but also implied powers created a strong central government

12. Article II Executive Branch • President • chief executive, • head of state, • commander in chief • “Unitary executive” and broad executive powers created a powerful executive

13. Article III Judiciary • Supreme Court • Judicial review not explicit but implicit, gives Supreme Court power to overturn acts of Congress, president, and state governments • Size of Supreme Court and system of lower courts left up to Congress

14. Article IV States • Full Faith and Credit clause—states must accept each others laws and records as valid (such as birth certificates) • Privileges and Immunities clause—State laws can’t discriminate against residents of other states. • Provisions for creating new states—VT added 1791, KY 1792 …. • States must be republics—no kings!

15. Article 5 • Amendment process—procedures for changing the Constitution • More on this at a later date….

16. Article 6 • Miscellaneous but important provisions • Debts incurred under Articles of Confederation will be paid (established full faith and credit of US) • Supremacy Clause—Constitution and federal laws can preempt state laws if they conflict • No religious test to hold office—unlike Britain at the time; US government is secular

17. Article 7 • Ratification of Constitution • Conducted by state ratifying conventions and not by state legislatures • When ratified by 9 states, it will go into effect in those states. • NY state was eleventh but crucial for unity • All 13 states ratified it

18. Discussion • Federal govt outlaws marijuana but Colorado and others have legalized it. How is that? • How can Alabama ban all abortions when it is protected under federal law?

19. Answers • Federal govt has taken a wait and see approach but will still prosecute illegal drug trafficking. • The Alabama law will be challenged in federal court and might be overturned—or Roe v. Wade will be reversed.

20. Constitutional Principle: Checks and Balances • MadisonFederalist #51 “Ambition must counteract ambition” • Neustadt: “Separated institutions sharing power” • Checks and balances require branches to share powers. • Separation of powers + checks and balances leads to compromise—or stalemate

21. Discussion • What powers does the presidency share with Congress? • Powers Congress shares with the presidency?

22. President’s Checks • Checks on Congress • partial vetoes, • veto override, • Can call for congress in for a special legislative session • state of union message to Congress • Checks on Judiciary • judicial nominations, • pardons

23. Congress’s Checks • Checks on President • confirmation of cabinet appointments • Appropriations—power of the purse • Oversight hearings and investigations of executive branch • Impeachment and removal • Checks on judiciary • Confirmations of judicial appointments • Bicameralism • an internal check

24. Parliamentary System Compared to Ours • Watch YouTube video: https://www.youtube.com/watch?v=4quK60FUvkY Note that most democracies are parliamentary systems.

25. Discussion • What are the key differences between a parliamentary system and our system of Constitutional government?

26. US Unlike a Parliamentary System • Parliamentary system has no separation of executive and legislative branches • The executive powers are exercised by a cabinet and prime minister—the majority party leaders of the parliament • Creates a more unified system • Other differences—unified party government greater party discipline, no set electoral calendar, prime minister is not the head of state

27. Transition • US Constitution is not based entirely on our political principles. • It’s a political document that required extensive compromise to pass. • A key characteristic of American politics is the central role of compromise. American politics requires compromise and won’t work without compromise.

28. Virginia Plan • “Rough draft” framework proposed by James Madison included an executive branch, a bicameral legislative branch, and proportional representation among the states in both chambers.

29. Great Compromise • Small states would have lost equal state representation under VA Plan • New Jersey plan-small states objected and proposed equal state representation in House and Senate. • Roger Sherman proposed the Great (or “Connecticut”) Compromise—Representation by population in House, equal representation of states in the Senate

30. Discussion • Why didn’t the framers start with a blank slate and redraw state boundaries to create more equal regional governments? • Does the US system of representation in Congress meet the standards of a representative democracy? • Why or why not?

31. Answers • Delegates to Constitutional Convention were appointed by the states and the Constitution had to be ratified by the states. • But--citizens in large states like California and NY are now underrepresented in the Senate compared to citizens in small states like Delaware and Wyoming. • 21 smallest states, 12% of US population, can block legislation in Senate by filibustering.

32. Three-Fifths Compromise • 6 Southern states feared they would be outnumbered in Congress and northern states would some day vote to abolish slavery. • 3/5 Compromise allowed slave states to count 60% of slaves for determining the number of seats in the House. • Constitution also prohibited passing any laws against slave trade for 20 years.

33. Discussion • What impact did the Three-fifths Compromise have on American politics?

34. Answers • It constitutionally recognized and protected slavery, undermining its legitimacy. • It established political inequality based on race that still affects our politics. • 3/5 Compromise gave Southern states additional votes in the Electoral College—nine of first fifteen presidents were southerners.

35. Wm. Lloyd Garrison, The Crisis, 1832, on the Constitution • “ It was a compact formed at the sacrifice of the bodies and souls of millions of our race, for the sake of achieving a political object—an unblushing and monstrous coalition to do evil that good might come. Such a compact was, in the nature of things and according to the law of God, null and void from the beginning.” Abolitionist

36. Final Question • In what ways was the political system created by Constitution in 1789 a democracy? In what ways was it not a democracy?

37. Review • US Constitution is based on the principles of individual liberty, popular sovereignty, limited government, separation of powers, checks and balances. • But the Great Compromise and the Three-Fifths Compromise demonstrate that it is also a political document shaped by the interests of the age.