CHAPTER 2
The Founding and The Constitution
Learning Objectives
2.1 Discuss the origins and causes of the American Revolution.
2.2 Describe the first national government under the Articles of Confederation,
including its strengths, weaknesses, and struggles.
2.3 Compare and contrast the various plans for the new constitution and the
obstacles to agreement among the different colonies.
2.4 Explain the principles incorporated in the new constitution, including
popular sovereignty, the separation of powers, federalism, and limited
government.
2.5 Evaluate the advantages enjoyed by those seeking to ratify the new
constitution.
2.6 Assess the role that the Federalist Papers played in ratification.
2.7 Explain the origins of the Bill of Rights and its role in securing ratification.
2.8 Describe the process of amending the Constitution.
2.9 Outline the informal types of constitutional change, including different forms
of constitutional interpretation.
2
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The Beginnings of a New Nation
Colonial Political Structures Similar
to England
Royal Governor-Substitute for the king in each
individualized colony.
Governor’s Council-mini House of Lords
(Senate). Influential men on a high court.
General Assembly-Elected by qualified voters in
each colony, House of Commons ( House of
Representatives) passing ordinances and
regulations that would govern the colony.
3
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The Beginnings of a New Nation
French and Indian War (1754)
Turning point in British-colonial relations
Treaty of Paris (1763)all territory
from the Arctic to the Gulf of
Mexico, between the Atlantic and
the Gulf of Mexico ( except New
Orleans.
 British debt- 130 pounds
4
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The Beginnings of a New Nation
British Actions
Proclamation of 1763-restricted trade to
eastern side of the Appalachian chain so
as not to interfere with fur trade
Sugar Act (1764)increase duties on
foreign goods shipped from England to
the colonies (sugar coffee wine)
5
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The Beginnings of a New Nation
Stamp Act (1765)-Newspapers,
pamphlets, legal documents
Colonial outrage-boycotts that hurt English
merchants. Repealed in 1766
Colonial Responses
Virginia Assembly sponsored the Virginia Resolves
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(1765)– opened debate to “No Taxation without
Representation” ( Intercontinental Stamp Act)
On the same day British Parliament repealed the
Stamp Act, issued the Declaratory Act – England full
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power and authority to enact laws binding the
The Beginnings of a New Nation
Colonial Responses
Intercolonial Stamp Act Congress (1765)
 Declaration of Rights and Grievances
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The Beginnings of a New Nation
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Colonial Responses
Townshend Acts (1767)-Tax on various
items , including tea, and established the
Board of Customs Commissioners. Also,
additional 4000 soldiers sent over.
The additional troops and colonists led
to the Boston Massacre ( March 5, 1770)
With the additional boycotts and the fallout from the massacre, the British once
again repealed all duties except on tea
(1770).
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The Beginnings of a New Nation
Colonial Responses
Committees of Correspondence -Samuel
Adams (1772) (like the townhall meetings of
today/internet)
Tea Act (1773) passed by the British Parliament
which allowed the British East Indian Company to
sell directly to the colonies. So it helped the
British merchants/loyalists and undercut the
colonial merchants.
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The Beginnings of a New Nation
Colonial Responses
Boston Tea Party (1773)-Response to the
British Tea Act which had penalized many
colonial merchants. Throwing tea overboard.
King George was so angry that he passed the
Intolerable Acts(1774), also known as the
Coercive Acts to the colonists. Closed the port of
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Boston, revised the Massachusetts colonial
government, and required the colonists to provide
housing for British troops stationed in the colonies.
The response to the Intolerable Acts was the First
Continental Congress.
The Beginnings of a New Nation
Colonial Responses
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First Continental Congress (1774)-In response
to the Intolerable acts passed by King George, the
Colonists met in Philadelphia to plan a united
response to Parliament's actions.
Boycotts and militias to arm themselves
Denounced British policy, but still did not
advocate outright independence from
England.
Started collecting and storing weapons
The British governor general of Massachusetts
ordered British troops to seize and destroy the
weapons. (April 1775)Concord and Lexington)
The Beginnings of a New Nation
By the time Second Continental Congress
convened in Philadelphia on May 10, 1775,
delegates were united by their increased
hostility to Great Britain. In a final attempt to
avert conflict, the Second Continental
Congress adopted the Olive Brand Petition of
July 5, 1775, asking the king to end hostilities.
King George rejected the petition and sent
20,000 troops to quell the rebellion
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The Beginnings of a New Nation
The Decision for Independence
Common Sense-Publication in which Thomas
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Paine attacked King George and converted
many to the cause (January 1776)
On May 1776 (carry over of Second
Continental Congress), Virginia became the
first colony to call for independence and on
June 7, 1776, Richard Henry Lee of Virginia
rose to move “that these United colonies are,
and of right ought to be free and independent
states.”
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Declaration of Independence- Needed formal
document so they formed a committee to draft a
document to meet the objectives
By July 2, 1776, twelve of the thirteen states voted for
independence. Two days later (July 4, 1776) voted to
adopt the Declaration of Independence
Influenced by John Locke and natural rights/social
contract
Jefferson, Adams, Franklin, Livingston, and Sherman
Addressed proper role of government and that if
government failed it its duty to secure these rights the
people have right to “alter” or abolish it
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(Continuation of the Declaration of Independence)
Enumerated wrongs
Justified breaking away from Britain
Pledge our lives, our fortunes, our Sacred honor
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War was fought and ended in 1781 (Yorktown) and
officially in 1783 (Treaty of Paris).
The colonists won but now had to address whether the
Articles of Confederation was really the best form of
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reserved.
government
for the
colonists.
The Beginnings of a New Nation
The First National Government:
The Articles of Confederation
• Weak central
government-League
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of friendship
government among
the 13 states during
and immediately after
the war. Problems with
interstate commerce
(no one to mediate
boundary disputes)
The Beginnings of a New Nation
The First National Government:
The Articles of Confederation
• Depended upon
voluntary contributions
from state (Problems
with collecting
revenues)
• No mentions of an
executive (president;
did not exist)
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The Beginnings of a New Nation
The First National Government:
The Articles of Confederation
• Unanimous vote for
amendments(so one
state could stop the
show)
• 9 out of 13 to pass
legislation. (that is
2/3rds instead of just a
majority)
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The Beginnings of a New Nation
The First National Government:
The Articles of Confederation
• Each state delegation
one vote( so the more
populous states same
voting power as the
less populous states)
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The Beginnings of a New Nation
The First National Government:
The Articles of Confederation
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• Annapolis
• Convention (1786)
• Shays's RebellionArmed uprising by
debt-ridden
Massachusetts
farmers frustrated
with the state
government.
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The Beginnings of a New Nation
The First National Government:
The Articles of Confederation
•
•
•
•
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Annapolis
Convention (1786)
Shays's RebellionWeak and
unresponsive federal
government carried
with it the danger of
violence and disorder
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The Constitutional Convention
Government from 1781-1787 was not
working too well. On May 25, 1787
the Constitutional Convention
convened in Philadelphia
Originally called to make amendments to
the Articles of Confederation not to
change/alter the entire Articles of
Confederation. Did not expect to have an
entire new Constitution.
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The Constitutional Convention
Primary Concerns (To the Articles of
Confederation)
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Protection against Native American
violence(National Government had been illequipped to provide citizens with protections.
Worsening postwar economic depressioncentral government powerless to take any
action to address it.
Foreign trade(contempt from other countries)
Economic radicalism(Shay's Rebellion)due to
The Constitutional Convention
George Washington, Ben Franklin, and
Hamilton were at this convention. (Jefferson
and Adams who were so involved in the
Declaration were on diplomatic assignment in
Europe)
Madison (father of the Constitution) was
beginning to make a name for himself
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The Constitutional Convention
26
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The Constitutional Convention
Plans and Compromises
1st issue- Representation
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Virginia Plan-Empowered three separate
branches of government, including a
legislature with membership proportional
to population.“Large states plan”
New Jersey Plan-retained the Articles of
Confederation 's principle of a legislature
where states enjoyed equal
representation “Small states plan”
The Constitutional Convention
Plans and Compromises(con't)
Great Compromise-Connecticut
Compromise
Bicameral Legislature-upper
house(Senate) elected by the state
legislatures (now we elect by the people of
the respective states)
Each state would have 2 senators in the
Senate regardless of the population
(Philadelphia the same as Virginia)
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The Constitutional Convention
Plans and Compromises (Connecticut
Compromise)
In the lower house (House of
Representatives) based on state
population. (So some states would have
more representation than others)
Also, all bills for raising and spending
money would originate in House of
Representatives
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30
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The Constitutional Convention
2nd issue was the Slavery issue
Series of compromises-to forestall the
convention's collapse.
Three-Fifths Compromise
New Constitution said nothing about
preserving or outlawing slavery
Did say time limit on legislation banning
slave importation (20 years)
31
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The Constitutional Convention
3rd issue how to elect president.
Didn't trust the people nor wanted
the Congress to elect president.
Electoral College. The states would
elect individuals to reflect the
sentiments of the population but
also safeguard against mob rule
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Concentration of Slavery (by County), Circa
1790
33
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The New Constitution
Governing principles
 Popular
Sovereignty-”We the People”
not states, for the purpose of creating a
new government. House of
Representatives based on population and
tax bills originate in this chamber. (kick
the representatives out in the next two
years if not satisfied)
34
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The New Constitution
Governing principles
 Separation
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of Powers-each branch of
government enjoys separate and
independent powers and areas of
responsibility. (Montesquieu)
Checks and Balances- A system of limits
imposed by the constitution that gives each
branch of government the limited right to
change or cancel the acts of the other
branches. To prevent one faction from
easily dominating all government.
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The New Constitution
Examples:
 Checks
and Balances- President nominates
a Supreme Court Justice and Senate needs to
confirm (advice and consent)
President vetoes a law passed by the
Congress and the Congress can override his
veto
Congress/President pass a law. Supreme
Court can overrule a congressional or
executive act as unconstitutional (Marbury v
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Madison)
Checks and
Balances in
the U.S.
Constitution
37
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The New Constitution
Governing principles(con't)
 Federalism-Dividing sovereign powers
between the states and the federal
government.
 Enumerated Powers-express powers
explicitly granted by the Constitution,
such as the taxing power specifically
granted to Congress. (Article 1, section 8)
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The New Constitution
Governing principles
– Flexibility – a “living” Constitution- to meet
39
the changing demands placed on it over
time.
– Articles required unanimous consent of the
states to amend the document so even the
most popular reforms stood little chance of
passing (Remember one state could hold
up everything).So decided to need only 9
out of 13 states (2/3rds) to ratify and not
the 13 out of 13).
The Ratification Battle
Once Congress submitted the new
constitution to the state for approval, battle
lines were formed between the Federalists
and Anti-Federalists.
So now the representatives had to convince
the individuals in their respective states
Advantages
Advantages that Federalists had: Non
unanimous consent, ratification would only
require 9 out of the 13 , making it difficult for
hold out from other states
40
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The Ratification Battle
Special “ratifying conventions”-not state
legislature.
The rule of secrecy- (5 state ratifying
conventions approved before the antifederalists forces were collecting their
strength.)
Conventions held in the winter limited rural
participation
41
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The Ratification Battle
First Part of Constitution (7 Articles)
Article I (1)1 Legislature (Congress)
(enumerated rights)
Article II (2)Presidency
Article III (3) Courts
Article IV (4) Federalism (national/state)
Article V (5) Amending the Constitution
Article VI (6) Supremacy Clause/no religious
criteria to hold office
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Article VII (7) Ratification of the Constitution
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The Ratification Battle
The Federalist Papers
Essays by James Madison, Alexander
Hamilton, and John Jay
Defended the new constitution
Emphasized inadequacies of Articles of
Confederation
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The Ratification Battle
The Federalist Papers
Federalist No. 51
Separation of Powers-To prohibit any
one branch from dominating the national
government or violating the rights of
citizens
Federalist No. 51”multiplicity of interests”
44
that influences so many different parts of
government would guarantee the security
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The Ratification Battle
Federalist No. 51(con't)
 Federal vs. State
Federal level (Legislative,executive, and
judicial)
“the rights of the individual or of the
minority, will be in little danger from
interested combinations of the majority.
45
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The Ratification Battle
The Federalist Papers- No. 10. nature,
causes and effects of factions.
Greatest threat to liberty from factions yet
factions are both the product and price of
liberty.
The federal system would minimize the
effects of political factions.
 Most of the time voters would not succeed in
electing enlightened statesmen.
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The Ratification Battle
The Federalist Papers- No. 10. nature,
causes and effects of factions (con't).
Creation of a national government too large
for any one single group(faction) to control
and a smaller government that would be more
responsive to local needs.
Justification for a pluralist theory-competition
among groups for power produces the best
approximation of overall public good.
47
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The Ratification Battle
The Federalist Papers- No. 78 The Supreme
Court opinions- Hamilton argues that the
judiciary would be the weakest of the three
branches because it has “neither FORCE nor
WILL, but merely judgment.” Because the
court depends on the other branches to
uphold that judgment, Hamilton called it “the
least dangerous branch.
Additional papers on page 40 of textbook.
48
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The Ratification Battle
The Anti-Federalists insisted on the Bill of
Rights , the first 10 amendments to the
Constitution,as a specific limitation on the
national government's ability to interfere with a
wide variety of personal liberties
Madison (Federalists) feared omitting some
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essential rights, so we shouldn't include in
Constitution. Hamilton said didn't need them
because already Federal government has
enumerated rights. Yet, supported by Thomas
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Jefferson ( was in France at the time)
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The Ratification Battle
Twelve amendments proposed but only
ten ratified
Two which were rejected:
Prohibition against salary increases for
legislators taking effect prior to the next
congressional election ( Now 27th
amendment)
A provision defining the rules for
determining the number of members of the
House of Representative ( set at 435)
51
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Changing the Constitution
The Formal Amendment Process
Two methods of proposal
Two-thirds vote in both houses (This is the only
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one that has been used thus far)
Two-thirds of state legislatures calls a national
constitutional convention to propose national
convention to propose amendments. Never has
been done because usually the Congress
( house and senate respond. Nevertheless, some
are talking about this method to circumvent the
Congress because they believe Congress is not
responsive to some major concerns ( debt, and
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immigration)
Changing the Constitution
The Formal Amendment Process
– Two methods of ratification
• Three-fourths vote in state legislatures
• Special ratifying convention (Only used once to
repeal prohibition)
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In summary, generally when there is an
amendment to the Constitution, you
need 2/3 of the House and 2/3 of the
Senate to amend and ¾ of the states.
President is not formally involved with
the amendment process.
How an Amendment Gets Proposed and
Ratified
54
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Changing the Constitution
The Formal Amendment Process
Critics: process is undemocratic-13 out of
the 50 states can block amendments
desired by a large majority
History: 27 amendments ratified since
1789
55
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Demonstrators (including Rep. Carolyn Maloney
[D-NY], at the podium urging reintroduction of the
ERA as an amendment to the Constitution.
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Changing the Constitution
Informal Process of Change
1.Judicial Interpretation
57
– Loose construction-Constitutional
interpretation that gives constitutional
provision broad and open-ended
meanings. Ex. Marshall, through the
necessary and proper clause, gave the
federal government considerable implied
powers(those not explicitly stated ) to
regulate the economy. (McCullough v.
National
Copyright Maryland)
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Changing the Constitution
58
Informal Process of Change
– Strict construction- Constitutional
interpretation that limits the government
to only those powers explicitly stated in
the Constitution. Article 1, Section 8,
Clause 3 gave the Congress the power
to regulate Interstate Commerce; they
couldn't do it by creating a national
bank; it would have to be done by the
formal amendment process nor by
congressional action or judicial ruling.
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Changing the Constitution
59
Informal Process of Change (con't)
2.Powers expanded because of
tradition/custom-presidential power
during the 20th Century reacts to
circumstances facing the executive office
by assuming greater authority over foreign
and domestic policymaking, and the other
branches of government defer to the
president in many such matters
3. Technological advances ( Internet and
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Changing the Constitution
Marbury v. Madison-(1803)
Supreme Court asserted its right of judicial
review, the power to nullify acts of the nation's
government when the courts found such acts
to conflict with the Constitution.
Authority to review acts of Congress for their
Constitutionality and void those that the Court
determines are contrary to the Constitution.
When state and federal power collide, federal
powers takes precedence.
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