Class Notes: Articles of Confederation, Constitutional Convention, Amendments, and Federalism
Comprehensive Guide to Federalism and the Foundations of the U.S. Constitution
Definition of Federalism
Federalism is a system of government where power is divided and shared between a national (federal/central) government and sub-governments such as states or regions. This division allows each level of government to have sovereignty in certain areas, creating a balance that prevents concentration of power and promotes shared governance.
Reasons for Federalism
Federalism helps avoid concentration of power, minimizes the impact of factions, and serves as a middle ground between unitary and confederate systems. It provides a structure where local and regional governments can address specific needs, while a central authority manages broader national concerns, thus balancing efficiency with local responsiveness.
Advantages of Federalism
Citizen Participation: Citizens can participate at multiple levels—local, state, or federal—enhancing democratic engagement.
Protection Against Domination: Federalism makes it less likely that a single party or group will dominate government, allowing minority parties or groups to wield influence in some jurisdiction.
Local Responsiveness: Local governments can respond swiftly and effectively to community-specific concerns.
Policy Experimentation: States can serve as "laboratories of democracy," trying out policies that, if successful, can be adopted nationally.
Disadvantages of Federalism
Complexity: Different laws and regulations across states can create confusion and administrative challenges.
Duplication and Power Struggles: Federal and state agencies sometimes compete or conflict over jurisdiction, exemplified in law enforcement and law enforcement movies.
Unclear Jurisdiction: Overlapping authority can lead to ambiguity about which level of government handles specific issues.
Slow Progress: Policy implementation and change can be delayed due to layered decision-making processes.
Division of Powers in Federalism
Power is divided into three categories:
Expressed Powers: Clearly outlined in the Constitution and belong primarily to Congress (e.g., coin money, declare war, regulate interstate commerce).
Reserved Powers: Belong to the states; these are not explicitly listed but are protected by the 10th Amendment (e.g., education, public safety).
Concurrent Powers: Shared by both national and state governments (e.g., tax collection, law enforcement, building roads).
Types of Federalism
Dual Federalism (1789–1930s)
Often called "layer cake" federalism.
Federal and state governments are sovereign in their own spheres.
Federal powers are limited to those explicitly stated in the Constitution, such as foreign affairs and coinage.
States retain significant authority over issues like education, law enforcement, and race relations.
Cooperative Federalism (1930s–1970s/1980s)
Often called "marble cake" federalism.
Initiated with the New Deal; federal government assumes a more active role.
Broader interpretation of the Necessary and Proper Clause (Elastic Clause) allows for expanded federal powers.
Federal agencies collaborate with states on issues like education, healthcare, and civil rights.
Devolution / New Federalism (1980s–present)
A return of some powers to states.
Increased federal funding for programs while granting states independence to implement policies.
Emphasizes state discretion and local control, reducing federal oversight.
Key Constitutional Clauses Related to Federalism
The Elastic Clause (Necessary and Proper Clause)
Grants Congress flexibility to pass laws needed to carry out its enumerated powers.
Broad interpretation has allowed Congress to expand federal authority over time.
The Supremacy Clause
Establishes that federal law is superior to conflicting state laws.
When conflicts arise, federal law preempts state law, ensuring national uniformity.
The Commerce Clause
Grants Congress the power to regulate trade between states.
Examples include laws governing transportation, business, and labor standards across state lines.
The Full Faith and Credit Clause
Requires states to recognize and honor the public acts, records, and judicial proceedings of other states.
Privileges and Immunities
Non-citizens in a state are entitled to the same rights as citizens of that state, preventing states from discriminating against outsiders.
Extradition
If a person commits a crime in one state and flees, they must be returned to that state upon capture.
The 10th Amendment
Reserves powers not delegated to the federal government to the states or the people.
The 14th Amendment
Ensures states cannot deny citizens due process or equal protection under the law, reinforcing civil rights.
Definition of a Constitutional Amendment
An amendment is a permanent change or addition to the U.S. Constitution. Since its ratification, there have been 27 amendments, reflecting societal and political evolution.
Methods to Amend the Constitution
Congressional Method
Proposal: Two-thirds of both the House and Senate must approve.
Ratification: Three-fourths of state legislatures or state conventions must approve.
State Method
Proposal: Two-thirds of state legislatures call for a Constitutional Convention.
Ratification: Three-fourths of states must approve the amendment.
Challenges in Amending the Constitution
Amending the Constitution is deliberately difficult to preserve stability and prevent fleeting popular passions from causing frequent changes. It requires supermajorities in Congress and states, making amendments rare and significant.
Types of Amendments
The Bill of Rights (Amendments 1–10)
Establish fundamental rights like freedom of speech, religion, and assembly.
Limit governmental power to protect individual liberties.
Suffrage Amendments
Expand voting rights (e.g., 15th, 17th, 19th, 23rd, 24th, 26th).
Societal Change Amendments
Reflect shifts in societal values (e.g., 13th abolishing slavery, 14th guaranteeing equal protection, 18th Prohibition, 21st repealing Prohibition).
Government Structure and Function Amendments
Clarify or modify governmental operations (e.g., 11th, 12th, 16th, 20th, 22nd, 25th, 27th).
Informal Changes to the Constitution
Beyond formal amendments, the Constitution evolves through judicial interpretation, executive actions, and societal changes:
Supreme Court rulings can redefine constitutional rights.
Presidents have expanded powers, such as acting as Commander in Chief with nuclear authority.
Congress uses the Elastic Clause to create programs like Social Security, Medicare, and Medicaid.
Civil rights and speech rights have expanded, especially with mass and social media.
Significance of Supermajorities in the Amendment Process
Requiring supermajorities ensures broad consensus, making amendments stable and resistant to transient political trends. This process emphasizes the importance of deliberate and widely supported constitutional change.
Examples of Informal Constitutional Changes
The President's role as Commander in Chief, especially with nuclear weapons.
Congress's use of the Elastic Clause to create social programs.
Expansion of civil liberties through court rulings.
Increased speech rights via mass and social media.
Educational Engagement on Amendments
Students analyze failed amendments by:
Summarizing their purpose and the problem they aimed to address.
Explaining reasons for their failure.
Reflecting on whether such amendments are still relevant today.
Considering how life might differ if they had passed.
This activity deepens understanding of the complexities of constitutional change.
Shay's Rebellion and the Need to Replace the Articles of Confederation
Shay’s Rebellion: Farmers led by Daniel Shays attacked courthouses to prevent foreclosure, exposing economic instability.
Impact: Demonstrated the Articles' inability to maintain order and protect property rights, prompting calls for a stronger central government.
The Constitutional Convention Overview
When & Where: Philadelphia, 1787.
Participants: 55 delegates from 12 states (excluding Rhode Island), mostly lawyers and experienced politicians.
Goals: Create a new government with greater power, prevent tyranny, and balance state and federal interests.
Key Figures: James Madison (father of the Constitution), while Jefferson and Adams were absent.
Goals of the Constitutional Convention – Avoiding Tyranny
Separation of Powers: Dividing government into legislative, executive, and judicial branches.
Checks and Balances: Each branch can limit others to prevent tyranny.
Federalism: Sharing power between national and state governments.
Preventing Tyranny of the Majority through Indirect Democracy
Citizens elect representatives who make decisions, serving as a buffer.
Originally, Senators were chosen by state legislatures; the President was elected via the Electoral College.
These layers of indirect election protect against direct tyranny.
Protection of Individual Rights within the Constitution
The Constitution explicitly limits government powers:
No titles of nobility.
No taxes on exports.
Habeas corpus can only be suspended during war.
No ex-post facto laws or bills of attainder.
Initially, a Bill of Rights was absent but later added to safeguard individual liberties.
Representation Compromise – Balancing Small and Large States
Connecticut (Great) Compromise: Established a bicameral legislature.
House of Representatives: Based on population.
Senate: Equal representation for each state.
This balanced the interests of large and small states.
Slavery Compromise and Its Implications
End of Slave Trade: Set for 1808.
Three-Fifths Compromise: Slaves counted as three-fifths of a person for representation and taxation.
These compromises temporarily eased sectional tensions but postponed addressing slavery’s moral and political issues.
Structure of the Constitution
Preamble: States the purpose.
Article I: Legislative branch.
Article II: Executive branch.
Article III: Judicial branch.
Article IV: State relations.
Article V: Amendments.
Article VI: Supremacy Clause.
Article VII: Ratification.
Ratification Process and Public Debate
Required approval by nine of thirteen states.
Ratification debates pitted Federalists (supporters) against Anti-Federalists (opponents).
The process spanned from 1787 to 1790, culminating in the Constitution’s adoption.
Background and Need for Government
After independence, the colonies needed a structured government to handle defense, trade, and internal order.
The Articles of Confederation served as the first attempt but proved inadequate.
Types of Government Explored
Unitarian: Power centralized in the national government.
Confederacy: States hold most authority, with a weak central government.
Federalism: Power shared, with a balance between national and state authority—ultimately chosen to prevent tyranny and preserve state sovereignty.
Structure of the Articles of Confederation Government
Unicameral Congress: Equal votes per state.
No Executive or Judicial Branches.
Law-Making: Requires a supermajority (9/13).
Amendments: Unanimous approval needed.
Powers and Limitations of the Articles
Could Do: Regulate foreign trade, wage war, make peace.
Could Not Do: Tax, regulate interstate commerce, enforce laws.
Problems: Lack of revenue, no enforcement power, and inability to amend easily led to the Articles’ demise.
Why the Articles of Confederation Failed
No national leader or executive authority.
Equal representation despite population disparities.
No power to tax, resulting in insufficient funds.
High thresholds for law-making and amendments made governance inefficient.
Ultimately unable to address economic and security needs, leading to the Constitutional Convention.
Summary
The development from the Articles of Confederation to the U.S. Constitution reflects a deliberate effort to balance power, protect individual rights, and create a flexible yet stable government. Federalism remains central to this structure, ensuring shared sovereignty and accommodating diverse regional interests. Amendments and informal evolutions continue to shape the Constitution, maintaining its relevance in a changing society.# Comprehensive Guide to Federalism and the Foundations of the U.S. Constitution
Definition of Federalism
Federalism is a system of government where power is divided and shared between a national (federal/central) government and sub-governments such as states or regions. This division allows each level of government to have sovereignty in certain areas, creating a balance that prevents concentration of power and promotes shared governance.
Reasons for Federalism
Federalism helps avoid concentration of power, minimizes the impact of factions, and serves as a middle ground between unitary and confederate systems. It provides a structure where local and regional governments can address specific needs, while a central authority manages broader national concerns, thus balancing efficiency with local responsiveness.
Advantages of Federalism
Citizen Participation: Citizens can participate at multiple levels—local, state, or federal—enhancing democratic engagement.
Protection Against Domination: Federalism makes it less likely that a single party or group will dominate government, allowing minority parties or groups to wield influence in some jurisdiction.
Local Responsiveness: Local governments can respond swiftly and effectively to community-specific concerns.
Policy Experimentation: States can serve as "laboratories of democracy," trying out policies that, if successful, can be adopted nationally.
Disadvantages of Federalism
Complexity: Different laws and regulations across states can create confusion and administrative challenges.
Duplication and Power Struggles: Federal and state agencies sometimes compete or conflict over jurisdiction, exemplified in law enforcement and law enforcement movies.
Unclear Jurisdiction: Overlapping authority can lead to ambiguity about which level of government handles specific issues.
Slow Progress: Policy implementation and change can be delayed due to layered decision-making processes.
Division of Powers in Federalism
Power is divided into three categories:
Expressed Powers: Clearly outlined in the Constitution and belong primarily to Congress (e.g., coin money, declare war, regulate interstate commerce).
Reserved Powers: Belong to the states; these are not explicitly listed but are protected by the 10th Amendment (e.g., education, public safety).
Concurrent Powers: Shared by both national and state governments (e.g., tax collection, law enforcement, building roads).
Types of Federalism
Dual Federalism (1789–1930s)
Often called "layer cake" federalism.
Federal and state governments are sovereign in their own spheres.
Federal powers are limited to those explicitly stated in the Constitution, such as foreign affairs and coinage.
States retain significant authority over issues like education, law enforcement, and race relations.
Cooperative Federalism (1930s–1970s/1980s)
Often called "marble cake" federalism.
Initiated with the New Deal; federal government assumes a more active role.
Broader interpretation of the Necessary and Proper Clause (Elastic Clause) allows for expanded federal powers.
Federal agencies collaborate with states on issues like education, healthcare, and civil rights.
Devolution / New Federalism (1980s–present)
A return of some powers to states.
Increased federal funding for programs while granting states independence to implement policies.
Emphasizes state discretion and local control, reducing federal oversight.
Key Constitutional Clauses Related to Federalism
The Elastic Clause (Necessary and Proper Clause)
Grants Congress flexibility to pass laws needed to carry out its enumerated powers.
Broad interpretation has allowed Congress to expand federal authority over time.
The Supremacy Clause
Establishes that federal law is superior to conflicting state laws.
When conflicts arise, federal law preempts state law, ensuring national uniformity.
The Commerce Clause
Grants Congress the power to regulate trade between states.
Examples include laws governing transportation, business, and labor standards across state lines.
The Full Faith and Credit Clause
Requires states to recognize and honor the public acts, records, and judicial proceedings of other states.
Privileges and Immunities
Non-citizens in a state are entitled to the same rights as citizens of that state, preventing states from discriminating against outsiders.
Extradition
If a person commits a crime in one state and flees, they must be returned to that state upon capture.
The 10th Amendment
Reserves powers not delegated to the federal government to the states or the people.
The 14th Amendment
Ensures states cannot deny citizens due process or equal protection under the law, reinforcing civil rights.
Definition of a Constitutional Amendment
An amendment is a permanent change or addition to the U.S. Constitution. Since its ratification, there have been 27 amendments, reflecting societal and political evolution.
Methods to Amend the Constitution
Congressional Method
Proposal: Two-thirds of both the House and Senate must approve.
Ratification: Three-fourths of state legislatures or state conventions must approve.
State Method
Proposal: Two-thirds of state legislatures call for a Constitutional Convention.
Ratification: Three-fourths of states must approve the amendment.
Challenges in Amending the Constitution
Amending the Constitution is deliberately difficult to preserve stability and prevent fleeting popular passions from causing frequent changes. It requires supermajorities in Congress and states, making amendments rare and significant.
Types of Amendments
The Bill of Rights (Amendments 1–10)
Establish fundamental rights like freedom of speech, religion, and assembly.
Limit governmental power to protect individual liberties.
Suffrage Amendments
Expand voting rights (e.g., 15th, 17th, 19th, 23rd, 24th, 26th).
Societal Change Amendments
Reflect shifts in societal values (e.g., 13th abolishing slavery, 14th guaranteeing equal protection, 18th Prohibition, 21st repealing Prohibition).
Government Structure and Function Amendments
Clarify or modify governmental operations (e.g., 11th, 12th, 16th, 20th, 22nd, 25th, 27th).
Informal Changes to the Constitution
Beyond formal amendments, the Constitution evolves through judicial interpretation, executive actions, and societal changes:
Supreme Court rulings can redefine constitutional rights.
Presidents have expanded powers, such as acting as Commander in Chief with nuclear authority.
Congress uses the Elastic Clause to create programs like Social Security, Medicare, and Medicaid.
Civil rights and speech rights have expanded, especially with mass and social media.
Significance of Supermajorities in the Amendment Process
Requiring supermajorities ensures broad consensus, making amendments stable and resistant to transient political trends. This process emphasizes the importance of deliberate and widely supported constitutional change.
Examples of Informal Constitutional Changes
The President's role as Commander in Chief, especially with nuclear weapons.
Congress's use of the Elastic Clause to create social programs.
Expansion of civil liberties through court rulings.
Increased speech rights via mass and social media.
Educational Engagement on Amendments
Students analyze failed amendments by:
Summarizing their purpose and the problem they aimed to address.
Explaining reasons for their failure.
Reflecting on whether such amendments are still relevant today.
Considering how life might differ if they had passed.
This activity deepens understanding of the complexities of constitutional change.
Shay's Rebellion and the Need to Replace the Articles of Confederation
Shay’s Rebellion: Farmers led by Daniel Shays attacked courthouses to prevent foreclosure, exposing economic instability.
Impact: Demonstrated the Articles' inability to maintain order and protect property rights, prompting calls for a stronger central government.
The Constitutional Convention Overview
When & Where: Philadelphia, 1787.
Participants: 55 delegates from 12 states (excluding Rhode Island), mostly lawyers and experienced politicians.
Goals: Create a new government with greater power, prevent tyranny, and balance state and federal interests.
Key Figures: James Madison (father of the Constitution), while Jefferson and Adams were absent.
Goals of the Constitutional Convention – Avoiding Tyranny
Separation of Powers: Dividing government into legislative, executive, and judicial branches.
Checks and Balances: Each branch can limit others to prevent tyranny.
Federalism: Sharing power between national and state governments.
Preventing Tyranny of the Majority through Indirect Democracy
Citizens elect representatives who make decisions, serving as a buffer.
Originally, Senators were chosen by state legislatures; the President was elected via the Electoral College.
These layers of indirect election protect against direct tyranny.
Protection of Individual Rights within the Constitution
The Constitution explicitly limits government powers:
No titles of nobility.
No taxes on exports.
Habeas corpus can only be suspended during war.
No ex-post facto laws or bills of attainder.
Initially, a Bill of Rights was absent but later added to safeguard individual liberties.
Representation Compromise – Balancing Small and Large States
Connecticut (Great) Compromise: Established a bicameral legislature.
House of Representatives: Based on population.
Senate: Equal representation for each state.
This balanced the interests of large and small states.
Slavery Compromise and Its Implications
End of Slave Trade: Set for 1808.
Three-Fifths Compromise: Slaves counted as three-fifths of a person for representation and taxation.
These compromises temporarily eased sectional tensions but postponed addressing slavery’s moral and political issues.
Structure of the Constitution
Preamble: States the purpose.
Article I: Legislative branch.
Article II: Executive branch.
Article III: Judicial branch.
Article IV: State relations.
Article V: Amendments.
Article VI: Supremacy Clause.
Article VII: Ratification.
Ratification Process and Public Debate
Required approval by nine of thirteen states.
Ratification debates pitted Federalists (supporters) against Anti-Federalists (opponents).
The process spanned from 1787 to 1790, culminating in the Constitution’s adoption.
Background and Need for Government
After independence, the colonies needed a structured government to handle defense, trade, and internal order.
The Articles of Confederation served as the first attempt but proved inadequate.
Types of Government Explored
Unitarian: Power centralized in the national government.
Confederacy: States hold most authority, with a weak central government.
Federalism: Power shared, with a balance between national and state authority—ultimately chosen to prevent tyranny and preserve state sovereignty.
Structure of the Articles of Confederation Government
Unicameral Congress: Equal votes per state.
No Executive or Judicial Branches.
Law-Making: Requires a supermajority (9/13).
Amendments: Unanimous approval needed.
Powers and Limitations of the Articles
Could Do: Regulate foreign trade, wage war, make peace.
Could Not Do: Tax, regulate interstate commerce, enforce laws.
Problems: Lack of revenue, no enforcement power, and inability to amend easily led to the Articles’ demise.
Why the Articles of Confederation Failed
No national leader or executive authority.
Equal representation despite population disparities.
No power to tax, resulting in insufficient funds.
High thresholds for law-making and amendments made governance inefficient.
Ultimately unable to address economic and security needs, leading to the Constitutional Convention.
Summary
The development from the Articles of Confederation to the U.S. Constitution reflects a deliberate effort to balance power, protect individual rights, and create a flexible yet stable government. Federalism remains central to this structure, ensuring shared sovereignty and accommodating diverse regional interests. Amendments and informal evolutions continue to shape the Constitution, maintaining its relevance in a changing society.