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Chapter Introduction

Section 1 The Road to the Constitution

Section 2 Creating and Ratifyingthe Constitution

Section 3The Structure of the Constitution

Section 4 Principles Underlyingthe Constitution

Review to Learn

Chapter AssessmentClick on a hyperlink to view the corresponding slides.

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Chapter OverviewIn Chapter 3 you learn about the United States Constitution. Section 1 describes the proceedings of the Constitutional Convention. Section 2 discusses the drafting of the United States Constitution. Section 3 explains the three main parts of the Constitution. Section 4 examines the structure and principles of the Constitution.


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Chapter ObjectivesAfter studying this chapter, you will be able to:

• Relate the events of the Constitutional Convention.

• Describe the birth of the U.S. Constitution.

• Explain the structure of the Constitution.

• Analyze the principles of the Constitution.


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Guide to Reading

In 1787 a remarkable group of American leaders from all but one state gathered in Philadelphia to address the weaknesses of the Articles of Confederation, but they soon decided that a new constitution was needed.

• Constitutional Convention

Main Idea

Key Term

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Guide to Reading (cont.)

Identifying Information As you read, list prominent leaders and characteristics of delegates to the Constitutional Convention in a web diagram like the one on page 52 of your textbook.

• Who attended the Constitutional Convention?

Reading Strategy

Read to Learn

• What rules did the delegates adopt to conduct their business?




Charles Pinckney


A Distinguished Gathering • Each state except Rhode Island sent

delegates to Philadelphia to fix the flaws in the Articles of Confederation.

• Most of the 55 men were well-educated and experienced in politics.

• Native Americans, African Americans, and women were not included.


(pages 52–53)(pages 52–53)


A Distinguished Gathering (cont.)

• Benjamin Franklin was the oldest delegate at 81.

• He was a diplomat, writer, inventor, and scientist.

• Two delegates–George Washington and James Madison–would later become presidents.


(pages 52–53)(pages 52–53)


A Distinguished Gathering (cont.)

• Thomas Jefferson and John Adams could not attend.

• They were in Europe as representatives of the United States government.

• Patrick Henry opposed the convention and did not attend.


(pages 52–53)(pages 52–53)


Early Decisions • The delegates chose George Washington

to preside.

• Washington chose a committee to set rules for conducting the convention.

• The committee decided that decisions would be made by majority vote, with each state having one vote.

• Delegates agreed to keep all discussions secret to enable all to speak freely.


(pages 53–54)(pages 53–54)


Early Decisions (cont.)

• No formal records were kept.

• Most of what we know comes from James Madison’s personal notebook of events.

• The delegates decided to discard the Articles of Confederation and write a new constitution.

• Thus the meeting came to be known as the Constitutional Convention.


(pages 53–54)(pages 53–54)


CloseWould a more diverse group of delegates have changed the outcome?


Guide to Reading

Delegates to the Constitutional Convention arrived with varying ideas and plans of government, which meant that compromise would be necessary to reach agreement.

• legislative branch

Main Idea

Key Terms

• executive branch

• judicial branch

• Great Compromise

• Three-Fifths Compromise

• Electoral College

• Federalists

• federalism

• Anti-Federalists



Comparing and Contrasting As you read, compare the Virginia Plan to the New Jersey Plan by completing a Venn diagram like the one on page 55 of your textbook.

• What plans of government did delegates offer at the Constitutional Convention?

Reading Strategy

Read to Learn

• What compromises were agreed upon by the delegates?





Roger Sherman


Two Opposing Plans • James Madison designed the

Virginia Plan.

• It called for a government with three branches: the legislative branch (lawmakers), executive branch (to carry out the laws), and judicial branch (a system of courts to interpret and apply the laws).

• The legislature would have two houses, with the states represented by basis of population in each.


(pages 55–56)(pages 55–56)


Two Opposing Plans (cont.)

• The Virginia Plan appealed to the large states.

• The small states feared a government dominated by large states would ignore their interests.

• The New Jersey Plan also called for three branches of government.

• The legislature would have one house and each state would get one vote.

• This plan would give equal power to large and small states.


(pages 55–56)(pages 55–56)


Constitutional Compromises• Roger Sherman’s committee proposed a

Senate and a House of Representatives.

• Each state would have equal representation in the Senate. Representation in the House would be based on population.

• The delegates accepted this Great Compromise.


(pages 56–58)(pages 56–58)


Constitutional Compromises (cont.)

• Southern states wanted to count enslaved African Americans as part of their population in determining representation in the House.

• Northern states opposed this plan.

• In the Three-fifths Compromise, delegates agreed that every five enslaved persons would count as three free persons for determining congressional representation and figuring taxes.


(pages 56–58)(pages 56–58)



• Northern states wanted Congress to be able to regulate foreign trade and trade between the states.

• Southern states feared Congress would then tax their exports and stop the slave trade.

• They agreed to give Congress the power to regulate trade, but it could not tax exports or interfere with the slave trade before 1808.


(pages 56–58)(pages 56–58)



• Delegates disagreed on whether Congress or the voters should choose the president.

• The solution was the Electoral College, a group of people named by each state legislature to select the president and vice president.

• Today, the voters in each state, not the legislators, choose electors.


(pages 56–58)(pages 56–58)


Approving the Constitution• Ratification required at least 9 of 13 state

conventions to vote “yes.”

• Supporters of the Constitution called themselves Federalists to emphasize that the Constitution would create a system of federalism, a form of government in which power is divided between the federal, or national, government and the states.

• Federalists argued for a strong central government.


(pages 58–59)(pages 58–59)


Approving the Constitution (cont.)

• Opponents, the Anti-Federalists, wanted more power for the states and less for the national government.

• They also wanted a bill of rights to protect individual freedoms.

• Both agreed to add a bill of rights. This promise turned the tide.

• The Constitution took effect when New Hampshire became the ninth state to ratify it.


(pages 58–59)(pages 58–59)


CloseExplain why you agree or disagree with the following statement: The Framers of the Constitution should have prohibited slavery in the United States.


Guide to Reading

The Constitution is a remarkable document, which serves as an adaptable blueprint for governing the United States.

• Preamble

Main Idea

Key Terms

• amendment

• Bill of Rights

• income tax



Categorizing Information As you read, create and complete a chart like the one on page 82 of your textbook by listing important features of the U.S. Constitution.

• How is the Constitution organized?

Reading Strategy

Read to Learn

• What do the three parts of the Constitution accomplish?





Patrick Henry


The Constitution and Its Parts• The main purpose of the Constitution is to

provide a framework for government, but it is also the highest authority in the nation.

• The powers of all branches come from it. It has three main parts: the Preamble, seven articles, and amendments.

• The Preamble states the goals and purposes of government.

• The first part makes clear that government gets its power from the people and exists to serve them.


(pages 82–85)(pages 82–85)


The Constitution and Its Parts (cont.)

• The Preamble states six purposes:


(pages 82–85)(pages 82–85)

–“To form a more perfect Union”

–“To establish Justice”

–“To insure domestic Tranquility”

–“To provide for the common defense”

–“To promote the general Welfare”

–“To secure the Blessings of Liberty to ourselves and our Posterity”



• The articles explain how government is to work.


(pages 82–85)(pages 82–85)

• The first three articles describe the powers and responsibilities of the three branches of government.



• Article I describes the legislative branch as two houses with lawmaking authority.

• It then describes how members will be chosen.

• The article also lists specific powers Congress does and does not have.

• Article II establishes the executive, or law-enforcing, branch headed by a president and vice president.

• It explains how these leaders will be elected and can be removed and describes their powers and duties.


(pages 82–85)(pages 82–85)



• Article III establishes the judicial branch to interpret and apply the laws.

• It calls for one Supreme Court plus lower courts and describes the powers of federal courts.


(pages 82–85)(pages 82–85)



• Article IV says that all states must respect one another’s laws and explains the process of creating new states.

• Article V specifies how the Constitution can be amended.

• Article VI declares that the Constitution is the “supreme Law of the Land” and federal law prevails over state law.

• Article VII states that the Constitution would take effect when nine states ratify it.


(pages 82–85)(pages 82–85)


Amending the Constitution • An amendment is any change to the

Constitution. • The first 10 amendments are the Bill of

Rights. • The Sixteenth Amendment allows

Congress to collect an income tax–a tax on people’s earnings.

• The Framers made sure that the Constitution could not be altered without overwhelming support of the people.

• Only 27 amendments have become law.


(pages 85–86)(pages 85–86)


Amending the Constitution (cont.)

• The amendment process involves two steps: proposal and ratification.

• An amendment may be proposed by a vote of two-thirds of both houses of Congress or by a national convention requested by two-thirds of the state legislatures.

• Once proposed, an amendment must be ratified by three-fourths of the states.

• The states can do this by a vote of either the state legislature or a special state convention.


(pages 85–86)(pages 85–86)


Interpreting the Constitution • The Constitution is a general document

and open to interpretation.

• Article I gives Congress the power “to make all Laws which shall be necessary and proper” to carry out its duties.

• This necessary and proper clause allows Congress to exercise implied powers not specifically listed in the Constitution.


(pages 86–87)(pages 86–87)


Interpreting the Constitution (cont.)

• Americans disagree on what laws are “necessary and proper.”

• Loose interpreters believe Congress can make any laws not specifically forbidden.

• Strict interpreters believe Congress can make only the kinds of laws mentioned by the Constitution.

• The Supreme Court has the final authority on interpreting the Constitution.

• Each new interpretation, whether strict or loose, changes our government.


(pages 86–87)(pages 86–87)


Interpreting the Constitution (cont.)

• Actions by Congress and the president have also caused new interpretations.

• For example, the president requests legislation from Congress.

• This action is not directed by the Constitution.

• Custom also changes the interpretation of the Constitution.

• For example, political parties, not mentioned in the Constitution, are part of today’s political system.


(pages 86–87)(pages 86–87)


CloseDid the Framers of the Constitution succeed in balancing the power among the three branches of government, or does one branch actually have more power than the others do?


Guide to Reading

The Framers of the Constitution designed a government that incorporated the principles of popular sovereignty, rule of law, separation of powers, checks and balances, and federalism.

• popular sovereignty

Main Idea

Key Terms

• rule of law

• separation of powers

• checks and balances

• expressed powers

• reserved powers

• concurrent powers



Summarizing Information As you read, complete a graphic organizer like the one on page 89 of your textbook to describe the five principles included in the U.S. Constitution.

• How is power distributed in the U.S. government?

Reading Strategy

Read to Learn

• What principles of government are contained in the U.S. Constitution?





Benjamin Franklin


Popular Sovereignty • The Framers had a common vision for the

government: It should be representative of the people and limited in scope.

• Power should be divided among different levels.

• To achieve these ends, the Framers embraced five principles as the backbone of the Constitution: popular sovereignty, rule of law, separation of powers, checks and balances, and federalism.


(pages 89–90)(pages 89–90)


Popular Sovereignty (cont.)

• Article IV guarantees a republic, in which supreme power belongs to the people (popular sovereignty).

• The people express their will through elected representatives.

• Provisions, such as those about the right to vote, ensure popular sovereignty.


(pages 89–90)(pages 89–90)


Rule of Law • The Framers believed the government

should be strong but not too strong.

• The Constitution sets limits by stating what government may and may not do.

• Government is also limited by the rule of law.

• This means that the law applies to everyone, even those who govern.


(page 90)(page 90)


Separation of Powers • To keep any one person or group from

becoming too powerful, the Framers divided government into three branches with different functions.

• This split of authority among the legislative, executive, and judicial branches is called the separation of powers.


(page 91)(page 91)


Checks and Balances • Checks and balances keep any one

branch from becoming too powerful.

• Each branch can check, or restrain, the power of the others.

• For example, the president can veto laws, Congress can block presidential appointments, and the Supreme Court can overturn laws it finds contrary to the Constitution.


(pages 91–92)(pages 91–92)


Federalism• Under federalism, power is shared by the

national government and the states.

• Americans must obey the laws of both.

• Enumerated or expressed powers are powers the Constitution specifically grants to the national government.

• Powers not given to the national government are reserved powers kept by the states.

• Powers that both levels of government can exercise are concurrent powers.


(pages 92–93)(pages 92–93)


Federalism (cont.)

• When national and state laws conflict, the Constitution is the final authority.

• Neither the national nor state governments may act in violation of the Constitution.

• The Constitution is both durable and adaptable.

• It provides the government sufficient power to keep order, protect, and defend, yet sets limits to avoid tyranny.


(pages 92–93)(pages 92–93)


CloseExplain the difference between federalism and separation of powers.


Section 1: The Road to the Constitution

• In 1787, 55 men met at what would become known as the Constitutional Convention.

• The convention delegates agreed on several operating procedures.




Section 2: Creating and Ratifying the Constitution

• Two major plans were offered at the Constitutional Convention.

• The Great Compromise settled the dispute over the two plans.



Section 3: The Structure of the Constitution• The Constitution is divided into three parts.


Section 4: Principles Underlying the Constitution• The Constitution ensures that the

government’s power comes from the people and is limited.

• The federal system further limits the U.S. government.



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What could be considered a weakness of the Constitution?

Possible answers: It is open ended, causing battles between government branches and between loose and strict interpretations; and the system of checks and balances slows response time and action.


Map

Ratifying the Constitution

Charts

Comparing Governments

Amending the Constitution

Foundations of Our Rights and Freedoms

Checks and Balances

Federal and State Powers

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Among those groups with the worst rates of voter participation in the United States are 18- to 25-year-olds.

National Versus Federal The word national never appears in the Constitution. At the time of the Constitutional Convention, the country was sensitive to national because it referred to a central government that had power over and above that of the states. Instead, the delegates tried to use the word federal because people were accustomed to hearing it. Federal also implied that the states would not be giving up power.

Storing Documents The Constitution and the Declaration of Independence are stored at the National Archives building in Washington, D.C. The documents are preserved in helium-filled bronze and glass cases to keep them from being damaged by the atmosphere. They can be lowered to a fire-resistant, shockproof safe.

Short on Words The United States Constitution is a relatively short document–about 7,000 words. Rather than describing every procedure in detail, the Constitution provides the structure and fundamental principles for the country’s government.

What is the setting for this cartoon? What do you imagine prompted the speaker to make the statement he did?


The cartoon is set in Washington, D.C., with the U.S. Capitol in the background. Reasons for the speaker’s statement will vary. One possible scenario is that a lawmaker faced with the prospect of an unconstitutional measure responds by reassuring his fellow lawmaker that the Constitution can be changed.


The Southern states would have had more electoral votes and Jefferson could have won.


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