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

Land Ordinance, 1785: One of the Confederation era’s successes, it set the process of westward expansion and land organization for all future territoriesNorthwest Ordinance, 1787: Another rare success, it organized the Old Northwest territory into states; it also banned slavery in these new territories.

The Confederation government also successfully created government departments to carry out its most essential duties: Foreign Affairs; War; and Finance, as well as the Post Office. Foreign Affairs was headed by New Yorkers Robert Livingston and then John Jay, but was ineffectual. The War Department was headed by Henry Knox; it was lucky we were at peace because without money for troops we would not have been able to put up much of a fight.Finance was headed by Robert Morris, who had almost single-handedly financed the Revolution. Morris created the Bank of North America, a privately-owned, part government-financed institution to hold federal deposits (if there were any) and to facilitate borrowing (which there was a lot of).An otherwise decentralized banking system, vested local interests, and general distrust of centralized authority blocked attempts to organize the national government’s economic affairs.In frustration, Morris, Alexander Hamilton, and other threatened a coup d'état if the states did not give more power to the national government. Hamilton asked George Washington for help, but Washington refused, killing the Newburgh Conspiracy. Washington thought the idea too risky and entirely too dishonorable.

Forgive me, Gentlemen, but I have grown blind as well as gray in service of my country -- Gen. George Washington to the Newburgh Conspirators

Weaknesses EffectCongress 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

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 this was a “peasant uprising” and 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 lawyer and formidable mind, he was one of New York’s delegates at the Philadelphia convention and 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. The 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.

Bill of Rights:First 10 amendments to the Constitution, drafted by James Madison. It 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.

The Constitution of the United

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.Legislative Branch – Makes the laws and most closely represents the

will of the people

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

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

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 Branch1. 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 Branch1. 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 not 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 Branch1. Has assumed the power to interpret the

Constitution and rule laws and executive actions unconstitutional

The Legislative Branch

House of Representatives: QualificationsArticle I, Section 2 of the Constitution sets three qualifications for representatives: (1) be at least twenty-five years old(2) have been a citizen of the United States for the past seven years(3) be (at the time of the election) an inhabitant of the state s/he represents.

Senate: QualificationsArticle 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 citizen of the United States 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. John Dingle (D-MI) is the longest serving House member: 55 years and counting.

Senate: Term of Office Senators serve a six-year term. There is no limit on how many terms a senator may serve. Robert Byrd (D-WV) is the longest serving member of the Senate: 50 years and counting. One-third of senators face election every two years.

The Executive Branch

POTUS and Vice-POTUS: QualificationsArticle 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 now limits any person to two terms.

The Judicial BranchThe Constitution offers not specific qualifications for a federal judge or a justice of the Supreme Court. A federal judge or Supreme Court justice holds their 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.