Convention to propose amendments to U.S. Constitution
Encyclopedia
A Convention to propose amendments to the United States Constitution, also called an Article V Convention, or Amendments Convention, is one of two alternative procedures for proposing amendments to the United States Constitution
United States Constitution
The Constitution of the United States is the supreme law of the United States of America. It is the framework for the organization of the United States government and for the relationship of the federal government with the states, citizens, and all people within the United States.The first three...

 described in Article Five
Article Five of the United States Constitution
Article Five of the United States Constitution describes the process whereby the Constitution may be altered. Altering the Constitution consists of proposing an amendment and subsequent ratification....

 of the Constitution. The other method is a vote by two-thirds of each house of Congress
United States Congress
The United States Congress is the bicameral legislature of the federal government of the United States, consisting of the Senate and the House of Representatives. The Congress meets in the United States Capitol in Washington, D.C....

.

According to Article V, Congress must call for an amendment-proposing convention, “on the application of the Legislatures of two thirds of the several States”, and therefore 34 state legislatures would have to submit applications. Once an Article V convention has proposed amendments, then each of those amendments would have to be ratified by three-fourths of the states (i.e. 38 states) in order to become part of the Constitution.

Congress has the power to choose between two methods of ratification: ratification by the state legislatures, or instead ratification by state conventions called for that purpose. In contrast to those separate state ratification conventions, a convention to propose amendments to the United States Constitution would be a single federal convention.

History

To guard against oppressive government of any kind, the authors of the United States Constitution
United States Constitution
The Constitution of the United States is the supreme law of the United States of America. It is the framework for the organization of the United States government and for the relationship of the federal government with the states, citizens, and all people within the United States.The first three...

 sought to establish institutional checks and balances. In framing the Constitution as the fundamental embodiment of such safeguards, the Constitutional Convention assembled in Philadelphia in 1787
Philadelphia Convention
The Constitutional Convention took place from May 14 to September 17, 1787, in Philadelphia, Pennsylvania, to address problems in governing the United States of America, which had been operating under the Articles of Confederation following independence from...

, at the invitation of the Continental Congress
Continental Congress
The Continental Congress was a convention of delegates called together from the Thirteen Colonies that became the governing body of the United States during the American Revolution....

. That is the last time a federal constitutional convention has convened in the United States.

Creation of the amendment process

One of the main reasons for the 1787 Convention was that the Articles of Confederation
Articles of Confederation
The Articles of Confederation, formally the Articles of Confederation and Perpetual Union, was an agreement among the 13 founding states that legally established the United States of America as a confederation of sovereign states and served as its first constitution...

 required the unanimous consent of all 13 states for the national government to take action. This system had proved unworkable, and the newly-written Constitution sought to address this problem.

The first proposal for a method of amending the Constitution offered in the Constitutional Convention, contained in the Virginia Plan
Virginia Plan
The Virginia Plan was a proposal by Virginia delegates, for a bicameral legislative branch. The plan was drafted by James Madison while he waited for a quorum to assemble at the Constitutional Convention of 1787...

, sought to circumvent the national legislature, stating that "the assent of the National Legislature ought not to be required." In response, Alexander Hamilton
Alexander Hamilton
Alexander Hamilton was a Founding Father, soldier, economist, political philosopher, one of America's first constitutional lawyers and the first United States Secretary of the Treasury...

 privately circulated a proposal that gave the power to propose amendments to the national legislature, and the power to ratify the amendments to the states.

After some debate, James Madison
James Madison
James Madison, Jr. was an American statesman and political theorist. He was the fourth President of the United States and is hailed as the “Father of the Constitution” for being the primary author of the United States Constitution and at first an opponent of, and then a key author of the United...

 removed reference to the convention amendment process, giving the national legislature sole authority to propose amendments whenever it thought necessary or when two-thirds of the states applied to the national legislature. Several delegates voiced opposition to the idea of the national legislature retaining sole power to propose constitutional amendments. George Mason
George Mason
George Mason IV was an American Patriot, statesman and a delegate from Virginia to the U.S. Constitutional Convention...

 argued from the floor of the Convention that it "would be improper to require the consent of the Natl. Legislature, because they may abuse their power, and refuse their consent on that very account." Mason added that, "no amendments of the proper kind would ever be obtained by the people, if the Government should become oppressive." In response to these concerns, the Convention unanimously voted to add the language allowing states to apply to Congress for a convention to propose amendments to the Constitution.

James Madison did not oppose reintroducing language permitting the convention amendment process, but expressed prescient concerns about the lack of detail in Article V regarding how the convention amendment process would work. Madison stated that "difficulties might arise as to the form" a convention would take. The text of Article V referring to the convention amendment process reads: "The Congress, . . . on the application of the Legislatures of two-thirds of the several States, shall call a convention for proposing Amendments. . . ."

Attempts to call another constitutional convention

Every state except Hawaii
Hawaii
Hawaii is the newest of the 50 U.S. states , and is the only U.S. state made up entirely of islands. It is the northernmost island group in Polynesia, occupying most of an archipelago in the central Pacific Ocean, southwest of the continental United States, southeast of Japan, and northeast of...

 has applied for an Article V convention at one time or another. The majority of such applications were made in the 20th century. While there is no official count of the number of applications, one private count puts the total number of applications at over 700.

Even though the Article V convention process has never been used to amend the Constitution, the number of states applying for a convention has nearly reached the required threshold several times. Congress has proposed amendments to the Constitution on several occasions, at least in part, because of the threat of an Article V convention. Rather than risk such a convention taking control of the amendment process away from it, Congress acted pre-emptively to propose the amendments instead. At least four amendments (the Seventeenth
Seventeenth Amendment to the United States Constitution
The Seventeenth Amendment to the United States Constitution established direct election of United States Senators by popular vote. The amendment supersedes Article I, § 3, Clauses 1 and 2 of the Constitution, under which senators were elected by state legislatures...

, Twenty-First
Twenty-first Amendment to the United States Constitution
The Twenty-first Amendment to the United States Constitution repealed the Eighteenth Amendment to the United States Constitution, which had mandated nationwide Prohibition...

, Twenty-Second
Twenty-second Amendment to the United States Constitution
The Twenty-second Amendment of the United States Constitution sets a term limit for the President of the United States. The Congress passed the amendment on March 21, 1947...

, and Twenty-Fifth
Twenty-fifth Amendment to the United States Constitution
The Twenty-fifth Amendment to the United States Constitution deals with succession to the Presidency and establishes procedures both for filling a vacancy in the office of the Vice President, as well as responding to Presidential disabilities...

 Amendments) have been identified as being proposed by Congress at least partly in response to the threat of an Article V convention.

There have been two nearly-successful attempts to amend the Constitution via an Article V convention since the late 1960s. The first try was an attempt to propose an amendment that would overturn two Supreme Court decisions, Wesberry v. Sanders
Wesberry v. Sanders
Wesberry v. Sanders, 376 U.S. 1 was a U.S. Supreme Court case involving U.S. Congressional districts in the state of Georgia. The Court issued its ruling on February 17, 1964. This decision requires each state to draw its U.S...

and Reynolds v. Sims
Reynolds v. Sims
Reynolds v. Sims, 377 U.S. 533 was a United States Supreme Court case that ruled that state legislature districts had to be roughly equal in population.-Facts:...

, decisions that required states to adhere to the one man, one vote principal in drawing electoral districts for state and federal elections. The attempt fell only one state short of reaching the 34 needed to force Congress to call a convention in 1969, but ended by the death of its main promoter Senator Everett Dirksen
Everett Dirksen
Everett McKinley Dirksen was an American politician of the Republican Party. He represented Illinois in the U.S. House of Representatives and U.S. Senate...

. After this peak, several states rescinded their applications, and interest in the proposed amendment subsided. The next nearly-successful attempt to call a convention was in the late 1970s and 1980s, in response to the ballooning federal deficit. States began applying to Congress for an Article V convention to propose a balanced budget amendment
Balanced Budget Amendment
A balanced-budget amendment is a constitutional rule requiring that the state cannot spend more than its income. It requires a balance between the projected receipts and expenditures of the government....

. By 1983, the number of applications had reached 32, only two states short of the 34 needed to force such a convention. Enthusiasm for the amendment subsided in response to fears that an Article V convention could not be limited to a single subject and because Congress passed the Gramm-Rudman-Hollings Act, which required that the budget be balanced by 1991 (but that Act was overturned by the Supreme Court in 1986).

Permissible scope of applications to Congress

A frequent question is whether applications from the states can omit to mention subject matter, and instead request an unlimited convention. Past practice suggests that separate unlimited applications submitted to Congress at different times are not allowed. Article V itself calls for "the application of the legislatures" instead of calling for plural "applications".

States have requested that Congress convene an Article V convention to propose amendments on a variety of subjects. According to the National Archives
National Archives and Records Administration
The National Archives and Records Administration is an independent agency of the United States government charged with preserving and documenting government and historical records and with increasing public access to those documents, which comprise the National Archives...

, Congress has, however, never officially tabulated the applications, nor separated them by subject matter. On at least one occasion, though, the Congressional Record
Congressional Record
The Congressional Record is the official record of the proceedings and debates of the United States Congress. It is published by the United States Government Printing Office, and is issued daily when the United States Congress is in session. Indexes are issued approximately every two weeks...

, has included such a tabulation, which indicated that, as of September 22, 1981, thirty states had made a request for a balanced budget amendment. In 1993 Professor Michael Paulsen and his research staff assembled a complete listing of all state applications to date.

According to James Kenneth Rogers, the drafting history of Article V indicates that states may limit the subject matter of their applications, and that Congress has a duty to tally applications separately by subject matter. Moreover, Rogers asserts that states may not make a general application without specifying the subject or subjects to be addressed by the convention. Rogers points out that, during the drafting process, the Philadelphia Convention at one point adopted a version of Article V that gave power to Congress to propose amendments when two-thirds of both houses agreed, or to propose amendments without a congressional supermajority
Supermajority
A supermajority or a qualified majority is a requirement for a proposal to gain a specified level or type of support which exceeds a simple majority . In some jurisdictions, for example, parliamentary procedure requires that any action that may alter the rights of the minority has a supermajority...

 "on the application of two thirds of the Legislatures of the several states." This draft version of Article V lacked any provision for a constitutional convention requested by the states, and instead included language almost identical to the final version of Article V but giving states the power to apply to Congress for amendments without any convention. The draft language suggests that states applying to Congress for amendments would have to say what sort of amendments they were applying for, because a general petition (that is, one not limited by subject matter) asking Congress to propose amendments would serve little purpose "beyond notifying Congress that two‐thirds of the States thought that some unknown changes to the Constitution were desirable." Therefore, due to the similarity between the draft and final versions, Rogers contends that state applications to Congress must specify subject matter, and must be tallied individually by subject matter to determine whether the two-thirds threshold of state applications has been met.

A dissenting view has been expressed by Michael Stokes Paulsen, a professor at the University of St. Thomas School of Law
University of St. Thomas School of Law
The University of St. Thomas School of Law is one of the professional graduate schools of the University of St. Thomas and is one of four law schools in the Twin Cities. It currently enrolls 457 students.-History:...

. Paulsen has argued that state applications for an Article V convention limited to a particular subject matter are invalid and that only applications that include a call for an unrestricted convention are valid. If Paulsen's criteria that state applications must not be limited to particular subject matter and that rescissions by states are valid, as of 1993 a total of forty-five states had pending applications meeting this criteria. According to Paulsen, therefore, Congress has had a duty to call a convention for many years. The fact that Congress has not called such a convention, and that courts have rejected all attempts to force Congress to call a convention, has been cited as persuasive evidence that Paulsen's view is incorrect.

Permissible scope of proposed amendments

Because no Article V convention has ever been convened, there are various questions about how such a convention would function in practice. One major question is whether the scope of the convention's subject matter could be limited.

The consensus is that Congress probably does not have the power to limit a convention to a single amendment or a single subject, because the language of Article V leaves no discretion to Congress, merely stating that Congress "shall" call a convention when the proper number of state applications have been received. Comments made at the time the Constitution was adopted indicate that it was understood when the Constitution was drafted that Congress would have no discretion. In The Federalist, Alexander Hamilton stated that when the proper number of applications had been received, Congress was "obliged" to call a convention and that "nothing is left to the discretion of Congress." James Madison also affirmed Hamilton's contention that Congress was obligated to call a convention when the requisite number of states requested it. In the North Carolina debates about ratifying the Constitution, James Iredell
James Iredell
James Iredell was one of the first Justices of the Supreme Court of the United States. He was appointed by President George Washington and served from 1790 until his death in 1799...

, who subsequently became one of the founding members of the Supreme Court, stated that when two-thirds of states have applied to Congress for a convention, Congress is "under the necessity of convening one" and that they have "no option."

By citing the Constitution's Necessary and Proper Clause, Congress has tried to enact a statute to regulate how an Article V convention would function. Sponsored by the late Senator Sam Ervin
Sam Ervin
Samuel James "Sam" Ervin Jr. was a Democratic Senator from North Carolina from 1954 until 1974. A native of Morganton, Burke County, North Carolina, he liked to call himself a "country lawyer", and often told humorous stories in his Southern drawl...

, such a bill passed the U.S. Senate
United States House Committee on the Judiciary
The U.S. House Committee on the Judiciary, also called the House Judiciary Committee, is a standing committee of the United States House of Representatives. It is charged with overseeing the administration of justice within the federal courts, administrative agencies and Federal law enforcement...

 unanimously in 1971 and again in 1973, but the proposed legislation remained bottled up in the Committee on the Judiciary in the U.S. House of Representatives
United States House Committee on the Judiciary
The U.S. House Committee on the Judiciary, also called the House Judiciary Committee, is a standing committee of the United States House of Representatives. It is charged with overseeing the administration of justice within the federal courts, administrative agencies and Federal law enforcement...

 and died both times. Opponents to congressional regulation of an Article V convention's operations argue that neither Article I nor Article V of the Constitution grants Congress this power, and that the Founders intended that Congress "have no option." While the text and history of Article V clearly indicated that Congress has no authority to enact such legislation, there has been no opportunity for Federal courts to decide whether Congress has such authority because such legislation has never been adopted by Congress.

While Congress likely has no authority to limit the scope of an Article V convention, the scholarly consensus is that states do have that power. Larry J. Sabato is one scholar who advanced that view. Congress's duty to call a convention when requested by the states means that it must call the convention that the states requested. If the states, therefore, request a convention limited to a certain subject matter, then the convention that is called would likely need to be limited in the way the states requested.

If states have the power to limit an Article V convention to a particular subject matter, and Congress only has power to call a convention but no further power to control or regulate it, then a potential concern becomes whether an Article V convention could become a "runaway convention" that attempts to exceed its scope. If a convention did attempt to exceed its scope, none of the amendments it proposed would become part of the constitution until three-fourths of the states ratified them, which is more states than are required to call a convention in the first place. It is doubtful that an Article V convention would exceed its scope, in light of the United States' experience with state constitutional conventions; over 600 state constitutional conventions have been held to amend state constitutions, with little evidence that any of them have exceeded their scope.

Ability of states to rescind applications to Congress

The legislatures of some states have adopted rescissions of their prior applications. It is not clear from the language of Article V whether a subsequent vote to rescind an application is permissible. As discussed above, however, if the purpose of Article V is to give state legislatures power over a recalcitrant Congress—and if state lawmakers may indeed limit their applications by specific subject matter—it is possible that federal courts would hold that rescissions of previous applications are likewise valid, in order to give more meaningful effect to the power which Article V confers upon state legislators.

Supreme Court interpretations of Article V

While the Supreme Court has never definitively interpreted the meaning of Article V, it has, on four separate occasions, referred to the Article V convention process:

Dodge v. Woolsey, 59 U.S. 331 (1855): “[The people] have directed that amendments should be made representatively for them, by the Congress . . . ; or where the legislatures of two thirds of the several States shall call a convention for proposing amendments, which, in either case, become valid, to all intents and purposes, as a part of the constitution, when ratified. . . .”

Hawke v. Smith, 253 U.S. 221 (1920): “[Article V] makes provision for the proposal of amendments either by two-thirds of both houses of Congress or on application of the Legislatures of two-thirds of the states; thus securing deliberation and consideration before any change can be proposed.”

Dillon v. Gloss 256 U.S. 368 (1921): In discussing Congress's power to propose amendments, the Court affirmed that “[a] further mode of proposal—as yet never invoked—is provided, which is, that on the application of two thirds of the states Congress shall call a convention for the purpose.”

United States v. Sprague, 282 U.S. 716 (1931): “[A]rticle 5 is clear in statement and in meaning, contains no ambiguity and calls for no resort to rules of construction. . . . It provides two methods for proposing amendments. Congress may propose them by a vote of two-thirds of both houses, or, on the application of the legislatures of two-thirds of the States, must call a convention to propose them.”

Because of the political question doctrine, however, it is an open question whether federal courts could assert jurisdiction over a legal challenge to Congress, should it refuse to call a convention.

Further reading


Footnotes

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