Larger than Great Britain, France, and Spain combined.
Geographically isolated from the Old World.
Characterized by a youthful population.
Broad dissemination of property ownership and literacy.
Historically, republics were typically small; in contrast, the U.S. size was unprecedented.
Context of the U.S. and Native Nations around 1780-90.
People of the Republic
American population in 1790: 3.9 million.
Included approximately 700,000 enslaved individuals.
Most people lived close to the Atlantic coast.
Regions such as Appalachia to Mississippi remained predominantly Native lands.
Urbanization was minimal; only 1 in 30 lived in a city with a population of 8,000 or more.
Local allegiances were stronger than national identity.
An Uncertain Future
The future of the new nation appeared precarious.
Questions arose regarding the course of development and the balance between local, sectional, and national interests.
Heated debates on citizenship defined the first generation of the United States.
A Confederation of States
Definition of a Confederation
A confederation is a union of independent states that agree to a common central authority.
It serves limited and shared purposes, primarily defense and foreign policy.
States preserve most of their sovereignty and autonomy.
This form of government was the first adopted by the United States and was a natural evolution for previously disparate colonies.
The Articles of Confederation
Known as the first written constitution of the United States.
Drafted in 1777, with full ratification in 1781.
Required ratification from all 13 states to be enacted.
Aimed to balance the needs of a coordinated war effort against the fear of central political power.
It was a reaction against the central authority experienced under Britain.
Established a perpetual union between the states for mutual defense.
Structure of Government
The national government consisted solely of Congress.
Each state received one vote, regardless of population size.
Capabilities included declaring war, conducting foreign affairs, and making treaties, but it lacked the authority to draft troops directly.
Economic powers included the ability to coin money, but no authority to levy taxes or regulate trade.
Limitations of Government Structure
No executive branch to enforce laws existed.
Absence of a federal judiciary to interpret laws.
Amendments to the Articles required a unanimous vote, while major legislation required approval from 9 out of 13 states.
Effective during wartime, but less so during peacetime.
Western Lands
Settlement of national territory presented challenging issues.
Approximately 100,000 Native Americans inhabited the lands in question.
Congress viewed these territories as forfeited land, raising questions about rules of expansion.
Competing interests included regulated processes versus free-for-all approaches and state land claims.
Ordinances Governing Western Lands
Ordinances of 1784: Established a process for territories to achieve statehood; included various stages of self-government.
Congress rejected Thomas Jefferson’s proposal for a slavery ban in western territories.
Ordinances of 1785: Regulated land sales north of the Ohio River in the region referred to as the “Old Northwest.”
The land was surveyed and sold by the government for $1 per acre and divided into townships.
Northwest Ordinance of 1787
Established governance for lands north of the Ohio River and east of the Mississippi.
Proposed the creation of 3 to 5 new states (Ohio, Indiana, Illinois, Michigan, Wisconsin, and part of Minnesota).
Stipulated these new states would enter the Union on equal footing with original states (distinct from colonies).
Required acquisition of Native lands through purchase, treaties, or voluntary removal and included a prohibition on slavery, setting the stage for sectional divisions.
Shays's Rebellion
In response to Massachusetts' government refusing assistance to needy debtors, a rebellion occurred from 1786-87 led by than American Revolutionary War veteran Daniel Shays.
The protest focused on high taxes, legal fees, and jailing of debtors, including attempts to close courts to prevent land seizures.
Massachusetts Governor dispatched troops to quell the rebellion, leading to the arrest of about 1,000 individuals.
The Confederation’s Weaknesses
The Confederation suffered from weak economics, inability to pay debts, and a decline in the standard of living as wealth left the United States.
Individual states adopted their own economic policies, including issuing paper money, imposing tariffs, and delaying debt repayment.
Consequently, nationalist sentiment arose, advocating for a strengthened national government to ensure uniform economic policies and safeguard private property.
A meeting convened in Annapolis, Maryland in 1786 to address these issues.
A New Constitution
A Constitutional Convention
Time Frame: 55 delegates met in Philadelphia from May to September in 1787.
Notable absence of Rhode Island; delegates were generally prominent, wealthy, educated, and many were veterans.
Key figures like John Adams and Thomas Jefferson were not present, while George Washington presided over the convention and James Madison served as secretary.
All delegates pledged secrecy regarding the deliberations.
Plans for a New Government
Alexander Hamilton’s Plan: Proposed a strong, energetic central government, with a president and cabinet serving life terms based on the British model.
Virginia Plan (attributed to James Madison): Advocated for a bicameral legislature with representation based on population.
New Jersey Plan: Proposed a single-house legislature with each state receiving one vote; aimed at taxation and regulation of interstate commerce.
The Great Compromise
Also known as the Connecticut Plan, this compromise established a bicameral legislature:
House of Representatives: Representation based on population.
Senate: Equal representation from states (two senators per state).
Executive Branch: The president would be elected by an Electoral College.
Judiciary: Justices appointed by the president with Senate approval.
Federal National Government
Federalism Defined: Refers to the division of power and the relationship between national and state governments.
Responsibilities of the national government include military defense, taxation, borrowing money, trade regulation, and foreign affairs.
States were responsible for local governance (e.g., education, law enforcement, voting).
Federalism within the States
The structure of government at the state level often mirrored the national division of powers:
Governors, state legislatures, and court systems.
Local government systems included counties, cities, and town governance with mayors and councils.
Checks and Balances
The principle of separation of powers was established to prevent any single government branch from overpowering the others:
Congress writes laws, the President enforces laws, and the Judiciary interprets laws.
The President has veto power over laws, Congress can override this with a two-thirds majority, and the Judiciary can deem laws unconstitutional.
Judicial appointments are nominated by the President and require Senate confirmation, with judges serving lifetime terms.
The Debate Over Slavery
A significant divide existed among delegates regarding the issue of slavery.
Northern and Upper Southern states anticipated the end of slavery in the near future, while South Carolina and Georgia sought its protection.
Notably, the terms “slave” and “slavery” were deliberately omitted from the Constitution to avoid reinforcing their permanence and to leave the issue to individual states.
Pathways to abolition were indirectly addressed in the context of federal territories.
Slavery Compromises
A moratorium of 20 years on the abolition of the slave trade was stipulated, making it permissible as early as January 1, 1808.
Required that fugitive slaves be returned without federal enforcement support.
Discussion surrounding representation versus taxes led to the three-fifths compromise, where three-fifths of enslaved populations would be counted for representation and taxation purposes.
The Preamble
The Preamble of the Constitution articulates the document's purpose:
“We the People of the United States, in Order to form a more perfect Union, establish Justice, insure 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 this Constitution for the United States of America.”
The Final Document
Addressed the shortcomings of the Articles of Confederation but did not satisfy all parties.
On September 17, 1787, 39 of 45 remaining delegates signed the final document which was sent to the states for ratification (with 9 required).
Noted that the Constitution is a living document that has undergone 27 amendments since its ratification, establishing endurance and stability.
For comparison, the US Constitution is 238 years old whereas countries like France and the USSR have had significantly less durable constitutional frameworks.
Ratification Debate
State-held ratification conventions were key to the debate.
Federalists: Urban, commercial interests (primarily from the Northeast and coastal regions); advocates included Hamilton, Madison, and Jay, and they wrote the Federalist Papers promoting a strong national government, stability, separation of powers, checks and balances, and protections of liberty.
Anti-Federalists: Comprised rural farmers and artisans opposing centralization; notable figures included Patrick Henry, George Mason, and Samuel Adams, voicing concerns over the lack of protections for individuals and state sovereignty, as well as the absence of a Bill of Rights.
Order of Ratification
The first nine states to ratify the Constitution:
Delaware: December 7, 1787
Pennsylvania: December 12, 1787
New Jersey: December 18, 1787
Georgia: January 2, 1788
Connecticut: January 9, 1788
Massachusetts: February 6, 1788
Maryland: April 28, 1788
South Carolina: May 23, 1788
New Hampshire: June 21, 1788
Post-ratification, Virginia ratified on June 25, 1788, and New York on July 26, 1788, with North Carolina and Rhode Island ratifying later in 1789 and 1790, respectively.
Amending the Constitution
Rules for amendments are outlined in Article V:
Two methods for proposing amendments:
A two-thirds vote in both houses of Congress.
A national convention called by two-thirds of state legislatures.
To be ratified, an amendment requires the approval of three-fourths of the states (38 out of 50).
The amendment process was deliberately designed to be difficult, ensuring stability but allowing for change, evidenced by the 27 amendments that have originated with Congress.
Calling for a Bill of Rights
The main critique from Anti-Federalists was the lack of a Bill of Rights, as all state constitutions contained one.
Needed protections for individual rights had to predate any government powers.
James Madison emerged as the primary author of the proposed amendments, with 17 proposals consolidated down to 12.
Influences for these proposals came from the English Bill of Rights and grievances from the Declaration of Independence.
Proposed to Congress on September 25, 1789, resulting in 10 proposals ratified as the Bill of Rights on December 15, 1791.
The Amendments
First Amendment
“Congress shall make no law respecting an establishment of religion, or prohibiting the free exercise thereof; or abridging the freedom of speech, or of the press; or the right of the people peaceably to assemble, and to petition the Government for a redress of grievances.”
The Five Freedoms outlining what the federal government cannot do.
Second Amendment
“A well regulated Militia, being necessary to the security of a free State, the right of the people to keep and bear Arms, shall not be infringed.”
This amendment addresses the collective right of the people as a militia.
Militia regulated by local entities, armed by the populace,
Current debates continue on the full meaning of the Second Amendment, with recent Supreme Court rulings affirming an individual right.
Third Amendment
“No soldier shall, in time of peace, be quartered in any house without the consent of the owner, nor in time of war, but in a manner to be prescribed by law.”
Reflects concerns from the Revolutionary Era regarding privacy and government intrusion; this amendment remains the least litigated.
Fourth Amendment
“The right of the People to be secure in their persons, houses, papers and effects, against unreasonable searches and seizures, shall not be violated, and no warrants shall issue, but upon probable cause supported by oath or affirmation, and particularly describing the place to be searched, and the persons or things to be seized.”
Addresses unlawful searches and seizures, stipulating warrant requirements based on probable cause.
Fifth Amendment
“No person shall be held to answer for a capital, or otherwise infamous crime, unless on a presentment or indictment of a Grand Jury, except in cases arising in the land or naval forces, or in the Militia, when in actual service in time of War or public danger; nor shall any person be subject for the same offence to be twice put in jeopardy of life or limb; nor shall be compelled in any criminal case to be a witness against himself, nor be deprived of life, liberty, or property, without due process of law; nor shall private property be taken for public use, without just compensation.”
This amendment includes rules concerning law and order: grand juries, double jeopardy, self-incrimination, due process protections, and provisions against unlawful seizure of property.
Sixth Amendment
“In all criminal prosecutions, the accused shall enjoy the right to a speedy and public trial, by an impartial jury of the State and district wherein the crime shall have been committed, which district shall have been previously ascertained by law, and to be informed of the nature and cause of the accusation; to be confronted with the witnesses against him; to have compulsory process for obtaining witnesses in his favor, and to have the Assistance of Counsel for his defense.”
Establishes essential trial rights for criminal law: speedy trial, accountability, and right to counsel among others.
Seventh Amendment
“In suits at common law, where the value in controversy shall exceed twenty dollars, the right of trial by Jury shall be preserved, and no fact tried by a Jury shall be otherwise re-examined in any court of the United States, than according to the rules of the common law.”
Guarantees the right to a jury trial in civil cases; however, the specified $20 amount is now functionally obsolete and would amount to approximately $500 today.
Eighth Amendment
“Excessive bail shall not be required, nor excessive fines imposed, nor cruel and unusual punishments inflicted.”
Protects against excessive bail, fines, and cruel and unusual punishments.
Ninth Amendment
“The enumeration in the Constitution, of certain rights, shall not be construed to deny or disparage others retained by the people.”
Suggests that the absence of specific rights listed in the Constitution does not mean those rights do not exist or are not held by the people.
Tenth Amendment
“The powers not delegated to the United States by the Constitution, nor prohibited by it to the States, are reserved to the States respectively, or to the people.”
Reinforces the principle of federalism, asserting that powers not explicitly granted to the federal government belong to the states or the populace.
Proposals Not Ratified in the Bill of Rights
Although 12 amendments were proposed, only 10 were ratified in the Bill of Rights.
Notably, no time limit was initially set by Congress regarding when these amendments must be ratified.
One proposal concerned congressional apportionment, while another addressed congressional compensation rules, which eventually passed as the 27th Amendment in 1992, through the advocacy of Gregory Watson, a college undergraduate.
A Rising or Setting Sun?
Benjamin Franklin expressed uncertainty about the future of the new republic during the convention:
Quote: "I have often … in the course of the session … looked at that sun behind the President without being able to tell whether it was rising or setting. But now at length I have the happiness to know it is a rising and not a setting sun."
“If you can keep it.”
An exchange between Elizabeth Willing Powel and Benjamin Franklin post-convention encapsulated the challenges ahead for the newly formed government:
Quote: "Well, Doctor, what have we got, a republic or a monarchy?"
Response: "A republic, if you can keep it."
Conclusion
Additional Readings: For further exploration on the Founding Era, refer to Chapter 7.
Reminder: Essay P2 O2 on the Founding Documents (Declaration of Independence, Constitution, and Bill of Rights) is due by 11:59 PM, March 1.
Questions?: For more information and clarification, feel free to reach out.