Introduction to the U.S. Constitution and the Federalist Papers: From Confederation to Federalism

Historical Transition: From Independence to Governance

• Status of the Thirteen States Following Independence: After declaring independence, the original thirteen states were technically regarded as sovereign countries. They were not states in the contemporary sense of being subordinate to a federal authority but were independent entities.

• The Continental Congress (1774–1788):

  • Established in 1774 during the lead-up to the American Revolution.

  • Served as the governing body for the thirteen states for approximately $14$ years.

  • Despite its existence, the states maintained their individual sovereignty during this period.

• Development of a National Framework: Recognizing the need for a collective governing scheme, the Continental Congress developed the Articles of Confederation to provide a formal structure for the union.

The Articles of Confederation: Structure and Limitations

• Ratification: The Articles were ratified by all thirteen states in $1781$.

• Nature of the Confederation: It functioned as a traditional confederation of sovereign nations. The Continental Congress acted as a collective representative of these independent states rather than a supreme national government.

• Weakness of the Central Government:

  • Lack of Direct Taxation: The central government was not empowered to tax citizens directly. It was dependent on the states to provide funds.

  • Financial Formula: A specific formula based on population was established to determine the financial burden and contribution required from each state to finance the government.

  • Funding Problems during the Revolution: George Washington, as commander, wrote numerous letters complaining about the lack of funds to pay troops or purchase arms and necessary war supplies.

• Lack of Commerce Regulation:

  • The central government held no power over interstate commerce.

  • States often engaged in trade disputes and attempted to tax commerce passing through their borders.

• Structural Institutional Deficiencies:

  • Absence of an Executive Branch: There was no independent President to execute laws passed by the Congress.

  • Absence of a Federal Judiciary: There were no federal courts; consequently, federal laws were adjudicated within state courts, leading to inconsistent application and a further weakening of national authority.

  • Unicameral Legislature: The Congress consisted of a single body rather than a bicameral (two-house) system.

  • Amendment Process: Amending the Articles required the unanimous approval of all $13$ states, making reform nearly impossible. (Note: Under the current Constitution, only three-quarters, or $\frac{3}{4}$, of the states are required for amendments).

The Crisis of the Potomac and the Road to Reform

• The Virginia-Maryland Dispute: The first major crisis under the Articles involved a commercial conflict between Virginia and Maryland regarding navigation of the Potomac River.

  • Both states claimed the river to collect taxes on the commerce flowing through it.

  • This established the Potomac as a disputed border for taxation purposes.

• The Mount Vernon Meeting (1785): Representatives from Virginia and Maryland met at George Washington’s estate, Mount Vernon, to resolve their difficulties.

• James Madison’s Influence: Madison, recognized as the "Father of the Constitution," utilized the momentum from the Mount Vernon meeting to convince the Virginia legislature to call for a broader convention to discuss reforming the Articles.

• The Annapolis Convention (1786):

  • Only five states sent representatives to Annapolis, Maryland.

  • Alexander Hamilton: The most significant attendee, representing New York. Hamilton was George Washington’s aide-de-camp during the Revolution, an artilleryman at the Battle of Yorktown, and a primary author of the Federalist Papers.

  • The five states at Annapolis successfully petitioned the Continental Congress to call for a full federal convention.

• The Constitutional Convention (1787): Held in Philadelphia starting in May $1787$, intended to reform the Articles but ultimately resulted in the drafting of a new Constitution.

Principles of the New Constitution: Power and Federalism

• Energetic but Limited Government: The goal was to create a more powerful federal government that remained limited to enumerated powers. The founders believed power was a necessity but inherently corruptible.

• Surrender of Sovereignty: States had to surrender a portion of their sovereignty to create a functional union.

• The Preamble Shift: The phrase "We the People" (rather than "We the States") signifies that the central government legislates directly upon individual citizens rather than through the state governments.

• Federalism: The establishment of two principal levels of government: the national level under the Constitution and the state level, where reserved powers remain.

• Control of Power through Institutional Design:

  • Separation of Powers: The division of government into three independent branches to prevent tyranny (defined as the accumulation of all powers in one hand).

    • Legislative Power: Held by Congress (power to make laws).

    • Executive Power: Held by the President (power to execute laws).

    • Judicial Power: Held by the Judiciary (power to adjudicate disputes).

  • Checks and Balances: Systems allowing branches to restrain one another.

    • The President can veto legislation.

    • Congress can overturn a veto with a supermajority vote.

    • The legislative branch can impeach the President for abuse of power.

    • The Supreme Court can invalidate laws found to be unconstitutional via judicial review.

Democracy and the Concept of Constitutional Distance

• Restraining the Majority: The founders feared "majority tyranny," where the rights of the minority are jeopardized by a popular majority. To mitigate this, they implemented "Constitutional Distance."

• Constitutional Distance: The intentional gap between the direct will of the people and the various branches of government, achieved through different election methods and term lengths.

• The House of Representatives:

  • Term: $2$ years.

  • Election: Direct election by the people.

  • Result: High accountability and close proximity to the people.

• The Senate (Original Design):

  • Term: $6$ years.

  • Election: Appointed by state legislatures (prior to the $17\text{th}$ Amendment).

  • Result: Greater distance from the immediate whims of the public.

• The Presidency:

  • Term: $4$ years.

  • Election: Via the Electoral College. People elect electors, and electors elect the President.

• The Supreme Court:

  • Term: Life term (contingent on "good behavior").

  • Appointment: Nominated by the President with the "advice and consent" of the Senate.

  • Result: Maximum distance from the people to ensure judicial impartiality and minimize political influence.

The Seven Articles of the Constitution

• Article I: The Legislative Branch

  • Established first as the principal lawmaking branch.

  • Creates a bicameral legislature (House and Senate).

  • Qualifications for the House: Minimum age of $25$, must be a citizen, and must have $7$ years of residency in the U.S.

  • Qualifications for the Senate: Minimum age of $30$ and $9$ years of residency in the U.S.

  • Enumerated Powers (Article I, Section 8): Regulation of interstate commerce, financial matters (printing money), and military powers (raising an army and navy). Notably, only Congress has the power to declare war.

• Article II: The Executive Branch

  • Establishes the President as the Commander-in-Chief.

  • Qualifications: Minimum age of $35$ and must be a natural-born citizen. Residency requirement of $14$ years back in the U.S.

  • Primary Role: To faithfully execute the laws (the President does not make law).

• Article III: The Judicial Branch

  • Creates the Supreme Court and permits Congress to establish inferior courts as needed.

• Article IV: The States

  • Governs state relations and guarantees each state a republican system of government.

• Article V: The Amendment Process

  • Outlines the arduous process for changing the Constitution to ensure it is not altered for "light or transient reasons" and requires national consensus.

• Article VI: The Supremacy Clause

  • Establishes the Constitution as the “supreme law of the land.” State laws cannot contradict federal laws or the Constitution.

• Article VII: Ratification

  • Details the process by which the states would ratify the document.

Legislative Compositions and Compromise

• The Great Compromise: Addressed whether the legislature should represent the people or the states.

• House of Representatives: Representative of the people; seats are allocated proportionately based on the population of each state.

• Senate: Representative of the states; each state receives exactly $2$ senators regardless of size.

• Purpose: This system allows states to check the growth of federal power and protects their independence and sovereignty within the federalist framework.