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The Founding and the Constitution (Video Lecture Notes)

The Founding and the Constitution – Study Notes

The First Founding: Interests and Conflicts

  • Five sectors of society with important interests in the colonies:

    • New England merchants

    • Southern planters

    • Royalists (holders of royal lands, offices, and patents)

    • The “middling stratum” (shopkeepers, artisans, and laborers)

    • Small farmers

The First Founding: British Taxes Hurt Colonial Interests

  • Britain’s rule over the colonies shifted in the mid-1700s after incurring debt from the French and Indian War and continuing to spend to protect the colonies.

  • Great Britain sought to extract revenue from the colonists by imposing taxes on commerce:

    • The Sugar Act of 1764 taxed sugar, molasses, and other commodities.

    • The Stamp Act of 1765 required printed materials to bear a stamp.

The First Founding: British Taxes Hurt Colonial Interests (Part 2-3)

  • The new taxes largely affected two groups: New England merchants and southern planters.

  • Merchants, planters, shopkeepers, laborers, artisans, and small farmers joined in boycott of British goods.

  • They ultimately forced the British Crown to rescind most of the new taxes.

  • Despite unrest abating for some, others continued to agitate for change.

The Boston Tea Party

  • Disagreements over taxation continued; in 1773 the Tea Act granted the East India Company a monopoly on imported tea, cutting out colonial businesses.

  • Colonists, led by Samuel Adams, protested; disguised as Mohawk Indians, they boarded three British ships and dumped tea into Boston Harbor.

  • In response, Britain blockaded Boston.

The Declaration of Independence

  • In 1776, the Second Continental Congress appointed a draft committee:

    • Thomas Jefferson (Virginia)

    • Benjamin Franklin (Pennsylvania)

    • Roger Sherman (Connecticut)

    • John Adams (Massachusetts)

    • Robert Livingston (New York)

  • The Declaration is both a philosophical document and a political one:

    • It states certain rights are unalienable (life, liberty, and the pursuit of happiness).

    • It explains why the colonies rebelled and sought self-government.

    • It focuses on grievances, goals, and principles to unify colonists with different interests.

The Articles of Confederation: America’s First Government

  • The Articles of Confederation (1777–1789) were the first written constitution of the United States.

  • Ratified by all states in 1781.

  • Primarily concerned with limiting the powers of the central government; states retained sovereignty, freedom, and independence.

The Articles of Confederation’s Characteristics

  • Confederation: states retain sovereign authority, with only expressly delegated national powers.

  • Weak central government; no president, only a legislature.

  • Members of Congress chosen and paid by states.

  • Each state had one vote regardless of population size.

  • Amendments required the consent of all 13 states (unanimity).

  • Additional weaknesses:

    • No national army or navy (militia only).

    • No national taxing authority.

    • National government could not stop states from competing with each other in foreign commerce.

The Failure of the Articles of Confederation

  • Concerns focused on foreign affairs: the central government could not enforce treaties.

  • A new treaty with Britain was needed for disputes from the war; Britain insisted on negotiating with all 13 states separately.

Annapolis Convention Led to a New National Convention

  • The Virginia legislature called for a conference to revise the government (Annapolis, Maryland) in 1786.

  • Delegates from five states attended; decision to meet in Philadelphia one year later (1787).

  • This conference was the first step in what is known as the second founding.

Shays’s Rebellion

  • A notable crisis that highlighted weaknesses of the Articles and spurred calls for a stronger national government.

The Second Founding: The Constitutional Convention

  • Congress under the Articles had been unable to act decisively in crisis; this led to the Constitutional Convention of 1787.

  • Economic interests: delegates sought to create a government that promoted commerce and protected property.

  • Political principles: the new Constitution embodied theories on limited government, separation of powers, and individual liberty.

The Constitutional Convention: The Virginia and New Jersey Plans

  • Virginia Plan (Edmund Randolph): representation based on state population and/or contribution to national government; biased in favor of large states.

  • New Jersey Plan (William Paterson): each state would have equal representation.

The Second Founding: The Great Compromise

  • The Connecticut (Great) Compromise bridged the Virginia Plan and New Jersey Plan.

  • Created a bicameral legislature:

    • The House of Representatives: representation apportioned by state population.

    • The Senate: equal representation for all states (two senators per state).

The Question of Slavery: The Three-Fifths Compromise

  • To determine representation in the House, northern and southern states compromised on counting enslaved people:

    • Five enslaved people would count as three free persons for representation purposes.

  • This is represented as counting enslaved people at the ratio of

    • each enslaved person counts as rac{3}{5} of a person for purposes of apportionment (and taxation).

    • The per-state allocation of seats in the House used this ratio.

The Constitution: Bold Powers and Sharp Limits

  • Goals of the framers:

    • A central government strong enough to promote commerce and protect property.

    • Prevention of “excessive democracy.”

    • Emphasis on ideas that would generate public support.

    • Restraint of federal government from infringing liberties.

The Constitution: The Legislative Branch

  • Article I established a Congress with two chambers: the House and the Senate.

  • Different term lengths: House (two years), Senate (six years).

  • The Senate guards against excessive democracy; ratifies treaties and approves presidential appointments; the House originates revenue bills.

The Constitution: The Legislative Branch, Part 2

  • Section 8 of Article I lists Congressional powers:

    • ext{collect taxes}

    • ext{borrow money}

    • ext{regulate commerce}

    • ext{declare war}

    • ext{maintain an army and navy}

  • Types of powers:

    • Expressed powers: specific powers granted to Congress and the president.

    • Implied powers: derived from the Necessary and Proper (Elastic) Clause: ext{to make all laws necessary and proper to carry out expressed powers}

The Constitution: The Executive Branch

  • Article II establishes the presidency.

  • The president can:

    • Negotiate treaties (with Senate approval)

    • Receive ambassadors from other countries

    • Grant reprieves and pardons

    • Appoint major departmental personnel

    • Veto congressional enactments

The Constitution: The Judicial Branch

  • Article III establishes the federal judiciary, including the Supreme Court.

  • Federal judges have lifetime appointments.

  • The Supreme Court assumed the power of judicial review (the power to declare laws unconstitutional).

The Separation of Powers

  • The Constitution creates checks and balances to prevent concentration of power:

    • Legislative, Executive, and Judicial branches interact with each other to constrain power.

  • Figure (conceptual): separation of duties and checks among branches.

The Constitution: National Unity and Power

  • Article IV establishes comity (reciprocity) among the states; states cannot discriminate against citizens of other states.

  • The Constitution restricts state powers to ensure a free-flowing national economy.

  • The Supremacy Clause makes the U.S. Constitution and national law supreme over state laws.

The Constitution: Limits on the National Government’s Powers

  • Safeguards against government misuse include:

    • Separation of powers and checks and balances

    • Federalism (division of power between national and state governments)

    • The Bill of Rights (first amendments) to place limits on government action

The Fight for Ratification

  • Ratification required the approval of 9 of the 13 states.

  • The struggle occurred in 13 separate state campaigns.

  • The Federalists:

    • Favored a stronger national government

    • United in support for the Constitution

  • The Antifederalists:

    • Favored strong state government and a weak, more decentralized national government

    • Divided over possible alternatives to the Constitution

  • The Federalists argued their case through the Federalist Papers (essays by Hamilton, Madison, and Jay).

The Fight for Ratification: Federalists versus Antifederalists

  • Three fundamental issues:

    • Representation: Should representatives mirror those they represent, or be chosen for wisdom and experience?

    • Tyranny: Is tyranny more likely from the aristocratic minority or the unsophisticated majority?

    • Government power: Should the national government have strict limits or broad powers?

Representation

  • Antifederalists wanted representatives who reflected the people and their circumstances.

  • Federalists believed representatives need not perfectly mirror constituents; voters may choose capable individuals to represent them.

Federalists vs Antifederalists (Table 2.2)

  • Federalists: Property owners, creditors, merchants; favored elites governing; believed in a strong national government and filtration to keep power among elites; leaders included Alexander Hamilton, James Madison, George Washington.

  • Antifederalists: Small farmers, frontiersmen, debtors, shopkeepers; favored power retained by state governments and protection of individual rights; leaders included Patrick Henry, George Mason, Elbridge Gerry, George Clinton.

The Fight for Ratification: Tyranny

  • Antifederalists feared aristocratic minority control; Federalists feared the tyranny of a mass electorate against minority rights.

Debates over Government Power

  • Contemporary debates about government power and surveillance (illustrative slide) reflect ongoing tensions about civil liberties and security.

The Fight for Ratification: Limiting Government Power

  • Limited government means powers are defined and constrained by a constitution:

    • Antifederalists argued for a weak central government with enumerated powers and a Bill of Rights.

    • Federalists argued for a strong central government with divided powers to prevent tyranny of the majority.

Contributions of the Federalists and Antifederalists

  • The Federalist vision ultimately prevailed: a stronger national government.

  • Yet, Antifederalist skepticism about centralized power remains relevant today.

Amending the Constitution

  • Figure 2.3 – Four Ways Amendments Can Be Proposed and Ratified:

    • Method 1 (National level): Proposal in the House and Senate by two-thirds vote; ratification by three-fourths of the states (38 states) via state legislatures or conventions.

    • Method 2 (National level): Proposal by a national convention called by Congress in response to petitions; ratification by three-fourths of the states (never used).

    • Method 3 (State level): Proposal by two-thirds of state legislatures; ratification by three-fourths of the states via conventions (never used).

    • Method 4 (State level): Proposal by two-thirds of state legislatures; ratification by three-fourths of the states via state ratifying conventions (never used).

Who Participates? – Who Gained the Right to Vote through Amendments?

  • The right to vote has expanded through amendments:

    • The Founding: White men of property, age 21+ (1789)

    • 15th Amendment (1869): All men, age 21+ (non-discrimination by race)

    • 19th Amendment (1920): All men and women, age 21+ (women’s suffrage)

    • 26th Amendment (1971): All men and women, age 18+ (lowered voting age)

  • The accompanying data show the proportion of the adult population eligible to vote in national elections and the composition of the electorate over time.

  • Examples:

    • 1789: 27.9% of adults eligible to vote

    • 1869: 31.7%

    • 1920: 92.6%

    • 1971: 99.9%

    • 2018: electorate composition by amendment (e.g., by race, gender, and age groups)

  • The slide also lists counts for the adult population and totals for turnout (e.g., 118,537,867 total turnout in a given year).

Amendments Table 2.3 – Amendments to the Constitution (selected highlights)

  • I: Religion, speech, press, assembly, petition (religion establishment and free exercise)

  • II–IV: Right to keep and bear arms; quartering of soldiers; search and seizure with warrants

  • V, VI, VII, VIII: Grand jury; double jeopardy; self-incrimination; due process; speedy public trial; confrontation of witnesses; assistance of counsel; excessive bail or punishment; just compensation for takings

  • IX, X: Non-enumerated rights retained by the people; states retain powers not delegated to federal government

  • XI: Limits on federal jurisdiction over suits against states

  • XII: Separate electoral ballots for president and vice president

  • XIII: Abolished slavery

  • XIV: National citizenship; equal protection and due process; applicability of rights to all citizens

  • XV: Voting rights to all races

  • XVII: Direct election of senators

  • XIX: Women’s suffrage

  • XX: End of lame-duck sessions; terms of office

  • XXII: Term limits for the president

  • XXIII: Voting rights for District of Columbia residents

  • XXIV: Abolition of poll taxes

  • XXV: Presidential succession in case of disability

Public Opinion Polls and Questions

  • Q1: Was the Constitution driven more by noble principles or political self-interest? (a) noble principles, (b) political self-interest, (c) mix)

  • Q2: What most influences elected officials’ policy choices? (a) reelection, (b) wealth/economic class, (c) personal opinions)

  • Q3: If officials had the same economic background as constituents, would laws differ? (a) Yes, (b) No)

  • Q4: Do small or large states have too much influence, or is there proper balance? (a) small, (b) large, (c) proper balance)

  • Q5: Is the amendment process too difficult, about right, or too easy? (a) too difficult, (b) about right, (c) too easy)

Additional Information

  • The final slides compare Democratic systems around the world:

    • Parliamentary systems: executive (prime minister) and legislature are fused; efficient when majority exists.

    • Presidential systems (e.g., U.S.): separate executive and legislature; can lead to gridlock.

    • Semi-presidential systems combine a president with a separate prime minister; varying powers.

  • Discussion prompts:

    1. Does one system seem more common than another? Why might a country choose parliamentary vs presidential?

    2. What are the advantages of executive and legislative authority being vested in the same person? What about a system like the U.S. with separated powers?

    3. Are the advantages of the American system different today than at the founding?

TABLES AND FIGURES (References to the Text)

  • Table 2.1: Comparing the Articles of Confederation and the Constitution

    • Executive branch: None vs President

    • Judiciary: State courts only vs Federal judiciary with U.S. Supreme Court

    • Legislature: Unicameral vs Bicameral (Senate + House)

    • Fiscal and economic powers: States collect taxes; federal government can levy taxes, coin money, regulate commerce

    • Military: State militias vs National army and navy

    • Legal supremacy: State law vs National Constitution and law supreme

    • Constitutional amendments: Unanimous consent vs Two-thirds to propose and Three-fourths to ratify

  • Table 2.2: Federalists versus Antifederalists (summary of groups, beliefs, leaders)

  • Table 2.3: Amendments to the Constitution (highlights I–XXV)

  • Figure 2.1: The Separation of Powers – visual representation of Legislative, Executive, and Judicial responsibilities and checks

  • Figure 2.2: Checks and Balances – overview of how branches constrain each other

  • Figure 2.3: Four Ways Amendments Can Be Proposed and Ratified – Methods 1–4 with notes on usage

  • Note on language and symbols:

    • All numerical references are expressed in standard form or with LaTeX where helpful:

    • Ratification threshold: 9/13 states

    • Great Compromise structure: bicameral legislature (House by population, Senate equal representation)

    • Three-Fifths Compromise: ext{5 enslaved persons}= ext{3 free persons}
      ightarrow ext{weight}= rac{3}{5} per enslaved person for representation

    • Amendment process: two-thirds in Congress or a national convention; ratification by three-fourths of the states (38 states)

    • Years often appear as ranges: 1777 ext{–}1789, 1781, 1787, etc.

  • Practical implications and relevance:

    • The Founding era debates establish the balance between national power and state sovereignty, a central tension in American constitutional development.

    • The compromises (Great Compromise, Three-Fifths) reveal how diverse interests were negotiated to form a functional framework for governance.

    • The amendment process and the evolution of voting rights demonstrate the Constitution’s capacity to adapt to social change while protecting foundational principles.