Topic 3.8: The Constitutional Convention and Debates Over Ratification

Learning Objective & Introductory Overview

• Learning Objective: Explain the differing ideological positions on the structure and function of the federal government.
• At the conclusion of the Constitutional Convention in Philadelphia in 1787, Benjamin Franklin, the oldest delegate present, stated: "Thus I consent, sir, to this Constitution, because I expect no better, and because I am not sure that it is not the best."
• Franklin's words aimed to overcome delegate skepticism regarding whether the new Constitution could establish a central government capable of uniting 13 states in a prosperous, enduring union.
• A sequence of economic and governmental failures under the Articles of Confederation necessitated a national convention, which authored the Constitution and initiated intense debates over its ratification.

Preliminary Conventions: The Path to Philadelphia

• Mount Vernon Conference (1785):

  • Hosted by George Washington at his home in Mount Vernon, Virginia, to address the national government's inability to solve critical commerce and administrative problems.
  • Representatives from four states—Virginia, Maryland, Delaware, and Pennsylvania—agreed that economic and structural issues were severe enough to warrant further interstate discussion.

• The Annapolis Convention (1786):

  • All states were invited to send delegates to Annapolis, Maryland, to discuss improving commercial relations among the states.
  • Only 5 states sent representatives to the meeting.
  • James Madison and Alexander Hamilton persuaded the attending delegates that another meeting must be called to address broader structural issues beyond commerce.
  • They called for a convention in Philadelphia for the explicit purpose of revising the Articles of Confederation.

• Congressional Authorization and State Participation:

  • After several states elected delegates, Congress granted official approval for the Philadelphia convention.
  • Congress issued a mandate calling upon all 13 states to send delegates "for the sole and express purpose of revising the Articles of Confederation."
  • Rhode Island was the sole state that refused to send delegates due to a distrust of the other states.

Profile and Organization of the Delegates

• Demographics and Background of the Framers:

  • A total of 55 delegates gathered in Philadelphia during the summer of 1787.
  • All 55 delegates were White, male, and predominantly college-educated.
  • As a group, they were relatively young, averaging in their early forties.
  • They were significantly wealthier than the average American citizen of the era.
  • They possessed deep expertise in law and politics; many were practicing attorneys, and a substantial number had participated in drafting their respective state constitutions.

• Procedural Rules and Leadership:

  • Secrecy Rule: The delegates voted to conduct all meetings in absolute secrecy and refrain from speaking to the public or press until their work was complete.
  • Chairperson: George Washington was unanimously elected as the presiding officer of the convention.
  • Unifying Presence: Benjamin Franklin, at age 81, acted as an elder statesman providing a calming, unifying influence.

• Key Leaders and Contributors:

  • The drafting of specific constitutional articles was spearheaded by James Madison, Alexander Hamilton, Gouverneur Morris, and John Dickinson.
  • James Madison came to be recognized as the "Father of the Constitution" (despite his personal objections to the title).
  • James Madison kept extensive, detailed notes on all convention debates, which served as the primary historic record because outside observers and press coverage were banned.

• Notable Absentees:
  • Diplomatic Missions Abroad: John Jay, Thomas Jefferson, and John Adams were serving on foreign diplomatic assignments; Thomas Paine was also traveling in Europe.
  • Not Selected: Samuel Adams and John Hancock were not chosen by their state legislatures as delegates.
  • Principled Refusal: Patrick Henry declined to attend because he opposed any expansion of federal power.

Major Debates and Compromises at the Convention

• Philosophical Framework:

  • Nationalists vs. Revisers: Delegates disagreed sharply on the convention's scope. Nationalists like Madison and Hamilton took control, arguing that the confederate model (a loose union under a weak central government) was unworkable and that an entirely new document was necessary.
  • Federalism: Defined as a system of government featuring a strong, yet constitutionally limited, central authority.
  • Separation of Powers: Stemming from a pervasive 1780s distrust of government authority and fear of official tyranny (even among elected figures), power was intentionally divided across distinct executive, legislative, and judicial branches.
  • Checks and Balances: A system structured so that the power of each branch of government is systematically limited and overseen by the powers of the other branches.

• The Representation Debate:

  • Virginia Plan: Proposed by James Madison; favored larger states (such as Virginia and Pennsylvania) by granting legislative representation proportional to population.
  • New Jersey Plan: Counter-proposal favoring smaller states (such as New Jersey and Delaware) by maintaining equal representation for each state regardless of size.
  • The Connecticut Plan (Great Compromise): Proposed by Roger Sherman of Connecticut; created a bicameral (two-house) Congress:
  • Senate: Upper house offering equal representation (two senators per state).
  • House of Representatives: Lower house granting representation based on the population size of each state.

• The Slavery Debates:

  • The Three-Fifths Compromise:
  • Southern states wanted enslaved people counted in population totals to increase Southern representation in Congress.
  • Northern states argued that because enslaved people lacked civil rights, they should not be counted for representation.
  • The compromise dictated that each enslaved individual would count as $\\frac{3}{5}$ of a person for the dual purposes of federal direct taxation and congressional representation.
  • The International Slave Trade:
  • Some delegates advocated for an immediate humanitarian ban on the foreign slave trade, while Southern delegates sought to preserve their labor supply.
  • The compromise guaranteed that the importation of enslaved people could continue unrestricted for at least 20 years (until 1808), after which Congress could vote to abolish the practice.

• Economics and Trade (The Commercial Compromise):

  • Northern Position: Wanted the central government to have power to regulate interstate commerce and foreign commerce.
  • Southern Position: Feared federal export tariffs would ruin agricultural sales (such as tobacco and rice).
  • Terms of the Commercial Compromise: Permitted Congress to regulate both interstate and foreign commerce—including placing tariffs (taxes) on foreign imports—but explicitly prohibited Congress from placing taxes on any state exports.

• The Executive Branch (The Presidency):

  • Term of Office: Debated between life tenure and short terms; delegates set executive terms at four years, placing no original limits on the number of terms a president could serve.
  • Electoral College System:
  • Rather than electing the president via direct popular vote, delegates instituted the Electoral College out of concern that excessive democracy could lead to mob rule.
  • Each state was assigned a specific number of presidential electors equal to the total sum of its senators and representatives in Congress.
  • Presidential Powers: The executive was granted substantial power, including the authority to veto legislative acts passed by Congress.

The Ratification Debates: Federalists vs. Anti-Federalists

• Ratification Procedure (Article VII):

  • Approved by the convention on September 17, 1787, after 17 weeks of continuous debate.
  • To circumvent unanimous consent under the Articles of Confederation, Article VII specified that ratification required favorable votes from only 9 out of the 13 states.
  • Ratification was to be decided by specially elected popular state conventions rather than state legislatures.

• Comparative Ideology:

  • Federalists:
  • Geographic Base: Coastal regions and major commercial cities.
  • Core Position: Strongly supported ratification of the proposed Constitution.
  • Primary Argument: A powerful central government was essential to maintain order, regulate commerce, and preserve the Union.
  • Campaign Strategy: Highlighted the inherent weaknesses of the Articles of Confederation and portrayed Anti-Federalists as obstructionists who offered no constructive alternatives.
  • Advantages: Highly organized, led by prominent national figures, and backed by widespread public concern over national instability under the Articles.
  • Disadvantages: Defending a novel, untried governmental structure that originally lacked a written bill of rights.
  • Anti-Federalists:
  • Geographic Base: Small farmers, rural interior residents, and western frontier settlers.
  • Core Position: Opposed ratification of the proposed Constitution.
  • Primary Argument: An overly strong federal government would undo the principles of the American Revolution, restrict democracy, erode state sovereignty, and grant central leaders more authority than the British crown possessed.
  • Campaign Strategy: Centered criticisms on the absence of a explicit bill of rights protecting individual liberties.
  • Advantages: Tapped into deep-seated public skepticism and distrust of government power inherited from colonial rule.
  • Disadvantages: Less organized and less politically unified than the Federalists.

The Federalist Papers and the Path to Ratification

• The Federalist Papers:

  • A series of 85 highly persuasive essays published in New York newspapers to convince voters to ratify the Constitution.
  • Authored anonymously under shared pseudonyms by James Madison, Alexander Hamilton, and John Jay; later compiled and published in book format.
  • Provided comprehensive, logical arguments explaining the practicality and necessity of each major article of the Constitution.

• Early Federalist Victories:

  • Delaware, New Jersey, and Pennsylvania were the first three states to quickly vote in favor of ratification.

• The Bill of Rights Debate:

  • Anti-Federalists argued that without a written bill of rights, a central government could turn tyrannical and strip citizens of basic liberties fought for in the Revolutionary War.
  • Federalists initially countered that elected representatives would safeguard rights and that listing specific rights was dangerous, as corrupt officials might claim any unlisted right could be violated.
  • To secure necessary votes, Federalists compromised, promising to add a guaranteed Bill of Rights as the first legislative priority of the new Congress.

• Achieving the Nine-State Requirement:

  • With the promise of an added bill of rights, New Hampshire voted to ratify as the 9th state in June 1788, officially satisfying the legal requirement under Article VII.

• Securing Key Remaining States:

  • Virginia:
  • As the most populous state, Virginia's inclusion was vital for national viability.
  • Anti-Federalist leaders George Mason and Patrick Henry fiercely opposed ratification.
  • Federalists led by George Washington, James Madison, and John Marshall won a narrow victory after explicitly pledging a bill of rights.
  • New York:
  • Influenced by Virginia's vote and Alexander Hamilton's aggressive political campaign, New York approved ratification.
  • Final Approvals:
  • North Carolina (November 1789) and Rhode Island (May 1790) initially rejected the document, but ultimately reversed their stances to ratify the Constitution as the supreme law of the land.