Federalism: The U.S. has a federal system of government. Ultimate sovereignty resides in the people, but the operation of government is divided between two levels: the nation and the states.

American History has been a working out of conflict over who is in charge, whether it is the fight over tariff and banking policy in the Early National and Jacksonian Eras, or secession crisis of the Civil War, or the economic crisis of the New Deal, or the constitutional battle that was the Civil Rights Movement.

Who’s In Charge: Central vs. Local Control

In theory, each level is supposed to control its sphere. But as the U.S. grew, tensions arose between localists and nationalists. The conflict is both philosophical and historical.

With independence, it became necessary for each state to reconstitute its government. Given their unhappiness with the monarchical experience, the states universally chose a republican form and a written constitution. Debates over the Massachusetts Constitution offer an eloquent statement of the beliefs:

“The body politic is formed by a voluntary association of individuals; it is a social compact, by which the whole people covenants with each citizen, and each with the whole people that all shall be governed by certain laws for the common good.”

Each state had an elected governor and a senate, and most wrote bills of rights to provide basic protections to the people.

In 1776, John Dickinson drafted a national constitution, called the Articles of Confederation and Perpetual Union. It was adopted by the Continental Congress in 1777, but ratification by the states took until 1781 because of debate over who controlled western lands. It created a “diplomatic congress of autonomous states.”

Articles of Confederation

The Confederation era had few achievements, but among them were: the Land Ordinance of 1785, which set the process of westward expansion and land organization for all future territories; and the Northwest Ordinance, 1787, which organized the Old Northwest territory into states and banned slavery in the territory. It also created government departments to carry out essential duties: Foreign Affairs; War; and Finance, as well as the Post Office.

Weaknesses Effect

Congress had no power to levy or collect taxes

The national government is dependent upon the states and is always short of money

Congress had no power to regulate interstate or foreign trade

Economic quarrels broke out among the states. It was difficult to arrange a coherent foreign trade policy

Congress had no power to enforce laws it enacted

The national government is dependent upon the states to enforce laws

Needs approval of nine states to enact laws

It was difficult to enact laws, especially given the absence of quorum

Amendments to the Articles required unanimous vote

Amending the Articles was impossible given Rhode Island’s non-participation

The national government had no executive branch

There was no way to coordinate the work of the government

There was no national judiciary or court system

The national government had no way of settling disputes among the states

Weaknesses of the Articles of Confederation

The federal government had a unicameral (one-house) legislature, no executive and no judicial branch. Congress lacked power to tax or to regulate trade. These weaknesses led to continued conflict between and among states, a disorganized foreign policy, and a generally ineffectual national government.

Given the flaws in the Articles, leaders from Maryland and Virginia met at Mount Vernon to discuss how to fix them. They suggested a convention of states to meet in Annapolis, Maryland (the U.S. capital). The meeting occurred in September 1786, but so few states sent delegates that no debate occurred. They decided to try again in Philadelphia in the new year.

The failure of the Annapolis Convention demonstrates the weakness of the federal government under the Articles.

Over the winter of 1786-87, farmers in Massachusetts could not pay their mortgages. They rose up in protest.

Led by Daniel Shays, they took over courts to stop foreclosures on their farms. Some began a march to Boston.

Rumors abounded that they were heading to Annapolis to overthrow the government. Federal officials panicked.

The inability of the federal government to stop the uprising showed the weakness of the Articles and caused a national emergency.

Shays’ Rebellion:

“Miracle at Philadelphia”: Constitutional Convention of 1787—the country’s leaders met in Philadelphia to create a new plan of government. George Washington presided and Benjamin Franklin gave his authority to the project. Jefferson and Adams were not there. In the summer heat, with the windows nailed shut and the doors locked because of armed protesters marching outside, the delegates debated, disagreed, compromised, and drafted the Constitution of the United States, the oldest written constitution still in use.

Framing and Ratifying the Constitution

Alexander Hamilton (1755-1804): A New York’s delegate at the convention, he led the Federalist faction, calling for a strong central government. Washington named him first Secretary of the Treasury. An opponent of Jefferson, he helped create the Federalist Party in the 1790s. He was killed in a duel with Vice-POTUS Aaron Burr in 1804.

James Madison (1751-1836): He is called the “Father of the Constitution”: he led the Virginia delegation at the convention; kept notes on convention proceedings; devised the Virginia Plan; and, with Hamilton, led the Federalist faction. To satisfy foes of the Constitution, he wrote the Bill of Rights (1791). He joined Jefferson’s Republican Party in the mid-1790s. He was the fourth POTUS (1809-1817).

Virginia Plan: Madison’s plan to overhaul of the Articles and create a stronger central government: a bicameral legislature with representation based on population; a strong executive and judiciary selected by the legislature—also known as the “Large States Plan.”

New Jersey Plan: a.k.a. the “Small States Plan,” it proposed giving the national government more power while maintaining the sovereignty of the individual states. It kept the unicameral legislature, but gave the federal government power to collect taxes and regulate trade; and created a national judiciary

Connecticut Compromise: Conceived by Franklin and offered by Roger Sherman of Connecticut, it split the difference on representation and saved the convention.

It called for a bicameral legislature with proportional representation in the House (by population), but for equal representation in the Senate (two Senators for by each state).

Since there was no broad agreement on how elections should work, the Constitution set deadlines for elections and gave the power over elections to the individual states.

Many at the convention were concerned that the people were insufficiently educated and too easily swayed by popular arguments and personalities to be trusted with the direct election of the POTUS. The small states also worried that a direct popular vote for POTUS would give too much power to the large states and mean that they would never be properly represented in the Executive. Thus, they created an indirect election of the POTUS and Vice-POTUS, through the Electoral College. Each state has a number of electors equal to its representation in the House and Senate. Because the Senate has equal representation to each state, small states have a disproportionate, or increased, representation in the College.

For example, today California has 53 members of the House of Representatives and 2 Senators; it therefore has 55 Electoral Votes. Wyoming has 1 member of the House and 2 Senators, for 3 Electoral Votes.

The Electoral College:

As political parties developed, the popular vote became more important. Each state has a popular vote to decide which party’s electors will vote for POTUS. If a Democrat wins the popular vote in North Carolina, for example, then the slate of Democratic electors will vote for POTUS and the Republican slate will not vote.

Three-fifths Compromise: Counting slaves for representation was another thorny issue for the Convention.

Southerners wanted all slaves counted. Many northerners did not want to count any, but opponents of slavery understood this would diminish the slaves to a status of property, not people. The delegates settled on counting three of every five slaves (rendering each slave 3/5s of a person).

Slave Trade Compromise: Opponents of slavery won what many hoped would be an end to slavery when the Constitution banned importation of slaves in 1808.

In return, southerners demanded that the federal government would require that runaway slaves who had crossed state lines be returned.

WE THE PEOPLE OF THE UNITED STATES, in order to form a more perfect Union, establish Justice, ensure domestic Tranquility, provide for the common defense, promote the general Welfare, and secure the Blessings of Liberty to ourselves and our Posterity, do ordain and establish the Constitution for the United States of America

The Federalist Papers: One of the most important documents in U.S. history, this series of essays by Alexander Hamilton, James Madison, and John Jay explains and defends the Constitution from the perspective of the Federalists (supporters of a strong central government). The essays convinced New Yorkers to ratify the Constitution.

Anti-Federalists: Unorganized group opposing the Constitution, they wrote essays answering Federalists in which they explained the danger of placing too much power in a federal government and defended the basic structure of the Articles of Confederation.

Bill of Rights:First 10 amendments to the Constitution, drafted by James Madison. Anti-Federalists demanded that the Constitution be amended to include a written Bill of Rights to protect the people and the states from an aggressive federal government.

The Bill of Rights describes the rights retained by the people and the states under the new more centralized system.

Whiskey Rebellion (1794): Minor conflict in Pennsylvania that was the first test of the federal government’s power to “ensure domestic tranquility.”

Farmers refused to pay a federal excise tax on whiskey and roughed up federal marshals. President Washington led troops to put down the rebellion; by the time they arrived, the farmers had dispersed.

It showed that the federal government, unlike during Shays' Rebellion, would not tolerate and had the power to end public disturbances.

Article I: Legislative Branch – Makes laws and most closely represents the will of the people

Article II: Executive Branch – Enforces laws and carries out the will of the Legislative Branch

Article III: Judicial Branch – Interprets the laws and the peoples’ relation to them

The Constitution of the United States

Article IV: Relations Among the States

Full Faith and Credit Clause: Each state must give the citizens of other states the rights its own citizens have; this has become more complex as a result of the 14th Amendment

Extradition: A person charged with a crime in one state and who flees to another state must be returned

Article V: The Amendment Process

The Constitution can be amended when 2/3 of both houses of Congress approve a change and when 3/4 of the states ratify that change, or vice versa

Article VI: National SupremacyThe Supremacy Clause: “This Constitution, and the Laws of the United States which shall be made in Pursuance thereof; and all Treaties . . . Shall be the supreme law of the Land.”

Article VII: Ratification of the Constitution

For the Constitution to take effect it needs the approval of nine states

Separation of Powers: Built on Montesquieu’s ideas of “divided sovereignty,” this divides power and authority among three branches of government so that government will not become too powerful: the theory being that if all the power were held by one person or one body, then it become corrupt and no longer protect the rights and interests of the people.

Checks and Balances: Coinciding with the separation of powers, this system gives each branch of government a check (control) on the power of the other branches and thereby balances power among the three: in theory, no one branch is more powerful than the others. A prime example of the system is the presidential veto.

Legislative Branch

1. Writes and enacts laws2. Can limit or repeal Executive

Orders3. Approves the budget4. Enacts taxes, authorizes

borrowing5. Has sole power to declare

war6. Approves nominations

judges and high ranking federal officials

7. May start investigations and impeach executive and judicial officials

8. Senate ratifies treaties

Executive Branch

1. May veto laws; makes decrees or declarations (such as, declaring a state of emergency)

2. Promulgates lawful regulations and Executive Orders

3. Proposes a budget4. May refuse to spend appropriated

money funds5. Wages war as Commander in Chief6. Nominates judges and other federal

officials (e.g. Cabinet)7. Has power to grant pardons to convicted

criminals8. Negotiates treaties and foreign

agreements

Judicial Branch

1. Has assumed the power to interpret the Constitution and rule laws and executive actions unconstitutional

Terms and Qualifications: The Legislative Branch

House of Representatives: Qualifications

Article I, Section 2 of the Constitution sets three qualifications for representatives:

(1) be at least 25 years old(2) have been a U.S. citizen for the past seven years(3) be (at the time of the election) an inhabitant of the state s/he represents.

Senate: Qualifications

Article I, Section 3 of the Constitution sets three qualifications for senators:

(1) each senator must be at least 30 years old(2) have been a U.S. citizen for at least the past nine years(3) be (at the time of the election) an inhabitant of the state s/he represents.

House of Representatives: Term of Office

Representatives serve a two-year term. There is no limit on how many terms a representative may serve.

Senate: Term of Office

Senators serve a six-year term. There is no limit on how many terms a senator may serve. One-third of senators face election every two years.

Terms and Qualifications: The Executive Branch

POTUS and Vice-POTUS: Qualifications

Article II, Section 1 of the Constitution sets three qualifications for POTUS and Vice-POTUS:

(1) be at least thirty-five years old(2) be a natural born citizen of the United States(3) be a resident within the United States for fourteen years.

The President of the United States and Vice-POTUS: Term of Office

The POTUS and Vice-POTUS are elected to a four year term of office. Under the original Constitution there was not limit to the number of terms a POTUS could serve, but George Washington set the precedent to retire after two terms. Only one person has served more than one two terms—Franklin D. Roosevelt, who was elected to four terms, but died shortly into his fourth term. The 22nd Amendment limits a person to two terms.

Terms and Qualifications: The Judicial Branch

The Constitution offers no specific qualifications for a federal judge or a justice of the Supreme Court. A federal judge or Supreme Court justice holds office “during good behaviour.” In other words, so long as they do not break the law, they are appointed for life or until they choose to leave the judiciary.