Notes: The Constitution and Its Origins
Introduction
The U.S. Constitution was created in September 1787, making it the oldest written constitution still in effect.
The Framers drafted the document during a period of ineffective national government under the Articles of Confederation.
The Constitution was created through a series of significant compromises among factions that favored:
a strong federal government over strong state governments,
states with different and often competing economic interests,
concerns that more federal power would reside in more populous states at the expense of smaller states.
Locke and natural rights
John Locke (17th-century English political philosopher) greatly influenced American political thought.
Locke asserted that people possess natural rights granted by God, including the rights to Life, Liberty, and Property.
People join together through a social contract to form a government to protect their common interests.
Locke’s natural rights conflicted with the prevailing belief in England and much of Europe that God had granted temporal power to a hereditary monarchy.
Origins in English law
Locke’s ideas about life, liberty, and property trace back to the Magna Carta of 1215, in which the English monarch recognized certain individual rights of “freemen.”
After King James II was deposed, Parliament passed the English Bill of Rights of 1689, further enshrining liberties and protections for citizens.
The Boston Massacre (Figure 2.3)
The Sons of Liberty circulated sensationalized depictions of events like the Boston Massacre (March 5, 1770) to promote their cause.
History notes later portrayals highlighting Crispus Attucks, an African American who was among the first to die.
Eight British soldiers were tried for murder as a result of the confrontation.
The American Revolution: taxation
After the Seven Years’ War (1756–1763), Britain gained land east of the Mississippi but faced near-bankruptcy.
Parliament imposed a series of taxes, including direct taxation, and other harsh measures on the American colonies to raise revenue.
The American Revolution: representation, protest
The colonies were denied elected representation in Parliament, leading many to view increased taxation as a violation of individual rights and the social contract.
Massachusetts legislators threatened boycotts of British goods; Britain responded by sending additional troops to Boston, where, in March 1770, British troops fired on colonists, killing three.
The Boston Massacre heightened tensions between colonists and Britain.
The First Continental Congress
Following unrest and the Coercive Acts of 1774, which denied self-rule to Massachusetts, colonists formed the First Continental Congress to oppose British rule.
The Declaration of Independence
On July 2, 1776, the Second Continental Congress declared independence with the signing of the Declaration of Independence on July 4, 1776.
The Declaration reflected the Lockean view of self-governance and the individual right to “Life, Liberty, and the pursuit of Happiness.”
Coordinating the war effort
After declaring independence, Britain declared war on the colonies, necessitating a coordinated war effort by the colonists.
The Continental Congress: Articles of Confederation
In November 1777, the Continental Congress approved a framework for a new government under the Articles of Confederation.
The Articles required the approval of all thirteen colonies; Maryland withheld approval until March 1781.
The British defeat at Yorktown (October 1781) effectively ended the American Revolution.
Articles of Confederation
After the war, the thirteen states created a government under the Articles that provided strong state autonomy and a weak central government.
The states cooperated at the national level in limited areas, such as defense.
What went wrong with the Articles?
The central government lacked taxation power and had to rely on funds from the states.
States often failed to remit funds to the national government.
Problems raising an army and navy
The national government could not raise a standing army or navy.
As a result, it could not control the western frontier, and British forces remained west of the Mississippi even after the Revolution.
The nation also lacked a navy to protect ships from piracy.
Currency, tariffs, and trade problems
The national currency was often worthless; citizens preferred currency from their own state's banks, which were permitted under the Articles.
Interstate commerce suffered because states would not readily accept other states’ currencies.
The national government lacked power to impose tariffs or regulate interstate commerce.
A debate about the Articles
In 1786, a convention to revise the Articles failed when only five states sent delegates (amendments required the consent of all thirteen).
A second convention convened in Philadelphia in 1787; twelve states sent delegates, and revision of the Articles proved impossible.
Delegates decided to scrap the Articles and form a new government.
Points of contention
Delegates debated: strengthening the national government while preserving state power; protecting small states against domination by populous states; and whether to permit slavery.
Representation: small vs. large states
Virginia Plan proposed a bicameral legislature with representation based on population.
New Jersey Plan proposed a unicameral legislature with equal representation for each state.
Slavery
After the Revolution, some Northern states pursued abolition; Southern states wanted to retain slavery to support their economies and for apportionment.
Federal supremacy vs. state sovereignty
Some delegates favored a strong national government with power to tax, raise a standing army/navy, and regulate interstate commerce; others feared a powerful central government could infringe on individual liberties.
Individual liberty vs. social stability
A key tension: the risk that a strong national government could erode individual rights versus the need for security and stability.
Compromise and constitutional design
To replace the Articles, extensive debates occurred; a delegate proposed what became known as the Great Compromise.
The Great Compromise (Figure 2.7)
The Virginia Plan called for a two-house legislature with representation based on population. Members of the first house would be elected by voters; they would then appoint members to the second house from candidates chosen by state legislatures.
The New Jersey Plan favored a one-house Congress with equal representation per state.
The Great Compromise
Created a bicameral legislature:
Representation in the House of Representatives based on population (\text{House} \rightarrow \text{population-based})
Representation in the Senate with an equal number of representatives per state (\text{Senate} \rightarrow \text{equal per state})
Election rules:
Members of the House elected to two-year terms by popular vote in each state.
State legislatures elect Senators for six-year terms.
The Three-Fifths Compromise (Figure 2.8 and related content)
Debated whether enslaved people should count toward a state’s population for congressional apportionment.
Southern states argued enslaved people should be counted to increase House representation; Northern states opposed.
The compromise: enslaved people would be counted as three-fifths of a person for population-based representation in the House and for direct taxation on population (though direct taxation was never implemented this way).
Example representation scheme (Figure 2.8):
Proposal 1: 5 citizens = 5 votes; 5 enslaved persons = 5 votes.
Proposal 2: 5 citizens = 5 votes; 5 enslaved persons = 0 votes.
Three-Fifths Compromise: 5 citizens = 5 votes; 5 enslaved persons = 3 votes.
The Three-Fifths Compromise and representation
The compromise resolved the slave-counting dispute for congressional apportionment and direct taxation (though direct taxation by population never occurred).
Other slavery issues
Provisions included:
Prohibiting the abolition of the foreign slave trade until 1808.
Permitting the domestic slave trade.
Requiring states to return freedom seekers who fled to other states.
Separation of powers and checks and balances
To prevent tyranny, the Constitution established a separation of powers and a system of checks and balances among the three branches.
Separation of powers: three branches
Legislative: Article I establishes a bicameral Congress (House and Senate).
Executive: Article II designates the President as head of state, head of government, and commander in chief.
Judicial: Article III establishes the Supreme Court and allows creation of lower federal courts by Congress.
Checks and balances (Figure 2.9–2.10 contextual notes)
Each branch has powers to limit the others; no single branch can dominate.
Examples:
Congress can pass laws, but the President can veto; veto can be overridden by a two-thirds vote in both House and Senate: \text{override} = \text{two-thirds} \times \text{in both chambers} = \frac{2}{3} \text{ veto override}
Congress can check the President as Commander in Chief by rejecting war declarations or funding military action.
Congress can reject presidential nominees to ambassadorships and treaties.
Impeachment and removal (Figure 2.9)
The House drafts articles of impeachment by a simple majority.
The Senate convicts and removes an impeached official with a two-thirds majority: \text{conviction threshold} = \frac{2}{3}.
Impeachable offenses include Treason, Bribery, or other high Crimes and Misdemeanors as specified in Article II, Section 4.
Judicial review (Figure 2.10)
The federal judiciary acts as a check on both legislative and executive branches via judicial review.
The Constitution did not explicitly grant judicial review; it was established in Marbury v. Madison (1803).
Federal power vs. state power
The United States operates under a federal system: power is divided between national and state governments.
Enumerated powers: powers explicitly granted to the national government.
Reserved powers: all powers not explicitly granted to the federal government are reserved to the states.
Reserve powers and state supremacy examples
States may regulate intrastate matters such as commerce, drug use, and marriage (Figure 2.10a).
Federal courts can override state laws in some cases (e.g., Obergefell v. Hodges, 2015) regarding marriage equality (Figure 2.10b).
Supremacy Clause (Figure 2.10 context and Figure 2.9–2.10 visuals)
Article VI, Clause 2: the Constitution, federal laws, and treaties are the “supreme Law of the Land.”
When conflicts arise, federal law preempts state law.
The ratification process
Although the Convention approved the final draft in September 1787, it required ratification by nine of thirteen states to enter into force.
States held ratification conventions to debate and vote on the Constitution.
The ratification campaign
Federalists supported ratification; Anti-Federalists opposed.
Both sides published newspaper articles and pamphlets; The Federalist Papers (a collection by Alexander Hamilton, James Madison, and John Jay) argued in favor of the Constitution and federalism.
Ratification milestones (Figure 2.11 context)
Massachusetts ratified after campaigning; Massachusetts’ February 6, 1788 ratification is noted in historical depictions.
New Hampshire became the ninth state to ratify in June 1788, clearing the way for the document’s operation, though Virginia and New York ratified later (Virginia in June 1788, New York in July 1788) to ensure the new federal system would function effectively.
The Constitution took effect on March 4, 1789.
The amendment process (Figure 2.12 context)
The Constitution’s amendment process was designed to be deliberately difficult to avoid capricious change.
The proposed framework:
Congress may propose an amendment with a two-thirds vote in both the House and Senate: \text{proposal threshold} = \frac{2}{3}.
Alternatively, a national convention can be called by two-thirds of state legislatures to propose amendments: \text{national convention threshold} = \frac{2}{3}.
Ratification requires three-quarters of either state legislatures or state ratifying conventions: \text{ratification threshold} = \frac{3}{4}.
The Twenty-First Amendment is unique in being ratified by state ratifying conventions rather than state legislatures.
Ratifying amendments (Figure 2.13 context)
After an amendment is proposed, it must be ratified by three-quarters of the states.
The Twenty-First Amendment (repealing Prohibition) is the only amendment ratified by state ratifying conventions.
Key constitutional changes (Figure 2.14 context)
In September 1789, Congress proposed twelve amendments (primarily to address Anti-Federalist concerns about individual liberties, federal powers, and federal courts).
Ten of these were ratified and became the Bill of Rights (the first ten amendments).
After the Civil War, additional amendments were proposed and ratified (Thirteenth, Fourteenth, and Fifteenth Amendments) to abolish slavery and address civil liberties and civil rights.
Figure 2.14 and key figures
James Madison (a) played a vital role in the Constitution’s formation, participated in the Constitutional Convention, and authored many Federalist Papers; he initially did not believe a Bill of Rights was necessary but supported one to reassure opponents.
Alexander Hamilton (b) authored most of The Federalist Papers and served as Secretary of the Treasury.
Charlotte Forten Grimké (Figure 2.16 context)
Civil War-era figure who taught newly freed enslaved people in South Carolina, contributed to social movements related to race and gender, and helped establish the National Association of Colored Women; she wrote poetry and engaged in public advocacy.
Poem excerpt included:
"Weary of all the turmoil and the din / Which drowns the finer voices of the soul; / We turn to thee, true priest of Nature’s fane, / And find the rest our fainting spirits need, — the calm, more ardent singers cannot give;"
The figure emphasizes the long arc from constitutional beginnings to civil rights movements.
The people and the modern touchstones (Figure 2.15 context)
Amanda Gorman’s inaugural poem, "The Hill We Climb" (January 20, 2021), symbolizes ongoing civic engagement and constitutional ideals.
Suffrage and other notable amendments (Figure 2.16 and Section 59)
The Nineteenth Amendment (1920) enfranchised women.
Other notable amendments discussed include:
Seventeenth Amendment (direct election of U.S. senators by voters),
Nineteenth Amendment (women's suffrage),
Twenty-Fourth Amendment (abolishing poll taxes),
Twenty-Sixth Amendment (lowering the voting age from 21 to 18).
Key Constitutional Terms
Anti-Federalists: those who did not support ratification of the Constitution
Articles of Confederation: the first basis for the new nation’s government; adopted in 1781; created an alliance of sovereign states held together by a weak central government
bicameral legislature: a legislature with two houses, such as the U.S. Congress
Bill of Rights: the first ten amendments to the U.S. Constitution; most were designed to protect fundamental rights and liberties
checks and balances: a system that allows one branch of government to limit the exercise of power by another branch; requires the different parts of government to work together
confederation: a highly decentralized form of government; sovereign states form a union for purposes such as mutual defense
Declaration of Independence: a document written in 1776 in which the American colonists proclaimed their independence from Great Britain and listed their grievances against the British king
enumerated powers: the powers given explicitly to the federal government by the Constitution (Article I, Section 8); power to regulate interstate and foreign commerce, raise and support armies, declare war, coin money, and conduct foreign affairs
federal system: a form of government in which power is divided between state governments and a national government
Federalists: those who supported ratification of the Constitution
Great Compromise: a compromise between the Virginia Plan and the New Jersey Plan that created a two-house Congress; representation based on population in the House of Representatives and equal representation of states in the Senate
natural rights: the right to life, liberty, and property; believed to be given by God; no government may take away
New Jersey Plan: a plan that called for a one-house national legislature; each state would receive one vote
republic: a form of government in which political power rests in the hands of the people, not a monarch, and is exercised by elected representatives
reserved powers: any powers not prohibited by the Constitution or delegated to the national government; powers reserved to the states and denied to the federal government
separation of powers: the sharing of powers among three separate branches of government
social contract: an agreement between people and government in which citizens consent to be governed so long as the government protects their natural rights
supremacy clause: the statement in Article VI of the Constitution that federal law is superior to laws passed by state legislatures
The Federalist Papers: a collection of eighty-five essays written by Alexander Hamilton, James Madison, and John Jay in support of ratification of the Constitution
Three-Fifths Compromise: a compromise between northern and southern states that called for counting of all a state’s free population and 60 percent of its enslaved population for both federal taxation and representation in Congress
unicameral legislature: a legislature with only one house, like the Confederation Congress or the legislature proposed by the New Jersey Plan
veto: the power of the president to reject a law proposed by Congress
Virginia Plan: a plan for a two-house legislature; representatives would be elected to the lower house based on each state’s population; representatives for the upper house would be chosen by the lower house