Articles of Confederation & Constitution

Articles of Confederation

• America won independence but needed to establish a functional government.
• The focus shifted to the structure of the new government and its viability.

### Problems with the Confederation Government

Financial Issues: The government faced significant debt to the Dutch and French with no funds to repay.

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Specifics: The exact amount of debt was substantial, and the inability to pay it back undermined international credibility.

Amendment Process: Amendments required unanimous approval from all 13 states, making changes nearly impossible, especially regarding taxation.

• Example: Rhode Island consistently blocked amendments related to taxation, preventing the government from securing necessary funds.
  • Taxation was not permitted under the Articles, making it hard to raise funds.
• 
  Details: The central government could only request funds from the states, which often ignored these requests, leading to chronic underfunding.

### Successes of the Confederation Government

Northwest Ordinance of 1787

• Allowed territories in the Northwest to apply for statehood once they reached a population of 60,000.
  • 
    Requirements: The new states had to draft a constitution that aligned with republican principles.
• Forbade the importation of new slaves north of the Ohio River, which was tolerated by Southern states because slavery was still allowed south of it.
  • 
    Impact: This laid the groundwork for the eventual division between free and slave states.

### Challenges in Western Expansion

British Presence: British troops remained stationed in western posts, refusing to leave despite the war's end.

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Fort Locations: Key forts included Detroit, Niagara, and Mackinac, which served as hubs for trade and influence over Native American tribes.

Spanish Control: Spain controlled the Mississippi River, preventing American navigation crucial for transporting crops to market.

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Economic Consequences: Farmers in the Ohio River Valley struggled to get their products to market, hindering economic growth.

Indian Resistance: Congress used forced land treaties with Indian tribes, leading to resistance and warfare, making settlement dangerous and halting expansion.

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  Notable Conflicts: Examples include conflicts with the Miami Confederacy in the Ohio River Valley.

### Economic Problems

Loss of Labor: Virginia lost slave labor as slaves escaped with the British Army.

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Numbers: Thousands of slaves sought freedom by joining the British, significantly impacting Virginia's agricultural economy.

Trade Restrictions: The West Indies were closed to American trade, and Britain restricted American exports as retribution for losing the war. Despite this, Americans continued to smuggle goods into the British West Indies, and trade occurred with other countries, which helped the economy stay afloat.

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  Smuggling Routes: Extensive smuggling networks developed, particularly through the Caribbean, to bypass British trade restrictions.

### Difficulties in American Diplomacy

Young Nation: America's youth and lack of power made diplomacy challenging with established European nations.

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Recognition: Many European powers questioned the stability and legitimacy of the new American government.

European Disapproval: European nations, especially France, were wary of republicanism.

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Monarchical Concerns: Monarchies feared that the success of republicanism in America could inspire similar movements in their own countries.

British Presence: The British maintained outposts in America from Canada, which America was too weak to remove.

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Strategic Advantage: These outposts allowed the British to maintain influence over Native American tribes and disrupt American expansion.

Spanish Disputes: Issues with Spain over the Mississippi River and America's southern boundary remained unresolved.

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  Border Disputes: The exact location of the border between the U.S. and Spanish territories remained a contentious issue.

### Currency and Economic Crisis

Currency Shortage: States began printing their own paper currency, leading to a lack of uniform currency and uncertain value.

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Inflation: The proliferation of state currencies led to inflation and economic instability.

Massachusetts Credit Crisis: Massachusetts faced high debt from the Revolution, leading to heavy taxes on farmers in Western Massachusetts.

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Tax Policies: The state government's insistence on collecting taxes in hard currency (gold or silver) put immense pressure on farmers.

Shays' Rebellion: Farmers, facing foreclosure, engaged in vigilante action, closing courthouses and mobbing sheriffs. Led by Daniel Shays, the rebellion threatened the government arsenal in Springfield.

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Key Events: The rebels' attempt to seize the arsenal was a turning point in the crisis.

Government Response: The state of Massachusetts, with private funding, raised a militia under General Benjamin Lincoln to defeat the rebels in January 1787.

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Suppression: The militia quickly suppressed the rebellion, but the underlying issues remained.

Significance: The rebellion highlighted the confederation government's inability to handle internal conflicts, leading to calls for a stronger national government.

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  Impact on Constitutional Convention: Shays' Rebellion galvanized support for revising the Articles of Confederation.

Annapolis Convention

• A convention was held in Annapolis, Maryland, to address issues with the confederation government.
  • 
    Limited Attendance: Only five states sent delegates, highlighting the lack of widespread interest in reforming the Articles.
• Due to a lack of quorum, the delegates decided that the nation was in crisis and planned another convention in Philadelphia to strengthen the Articles of Confederation.
  • 
    Hamilton's Role: Alexander Hamilton played a key role in persuading the delegates to call for a broader convention.

Constitutional Convention

Philadelphia Convention (May 1787)

• Originally intended to revise the Articles of Confederation.
  • 
    Scope: The convention quickly shifted from revision to creating an entirely new framework of government.
• George Washington was elected to preside over the convention.
  • 
    Influence: Washington's presence lent credibility and gravitas to the proceedings.

James Madison's Virginia Plan

• Advocated for a completely new document.
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Authorship: James Madison is often called the "Father of the Constitution" due to his extensive contributions to the Virginia Plan.

Key Features:

• Separate branches of government.
  • Legislative, Executive, and Judicial branches with distinct powers.
• Bicameral Congress (two-house congress).
  • Upper house (Senate) and lower house (House of Representatives).
• President named by Congress.
  • The president would be chosen by the legislative branch.
• National judiciary.
  • A system of federal courts to interpret and apply laws.
• Federal government with veto power over state laws.
  • The federal government could override state laws that conflicted with national laws.
• Proportional representation in Congress (representation based on population).
  • States with larger populations would have more representatives.
• Small states opposed the plan due to concerns about losing power.
  • Smaller states feared being dominated by larger states in the legislature.

New Jersey Plan

• Presented by William Patterson.
  • 
    Sponsor: Proposed as an alternative to the Virginia Plan.
• Aimed to revise the Articles of Confederation, not create a new document.
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Objectives: Focused on preserving the existing structure of the Confederation government.

Key Features:

• Equal representation in a unicameral (one-house) Congress.
  • Each state would have the same number of representatives.
• Congress with power to appoint a Supreme Court and a plural executive.
  • A multi-person executive branch.
• Congress with power to levy taxes and regulate commerce.
  • Expanding the powers of the national government within the existing framework.

Compromise and Debate

• The Virginia Plan was chosen for further discussion after four days of debate.
  • 
    Decision: The delegates agreed to use the Virginia Plan as the starting point for drafting the new Constitution.
• The discussions were kept secret to prevent outside influence.
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Secrecy: The delegates wanted to avoid public pressure and ensure open debate.

Key Issues to Reconcile:

• Power balance between large and small states.
  • How to allocate representation in the legislature.
• Power balance between national and state governments.
  • Defining the scope of federal authority.
• The power of the executive branch.
  • The role and authority of the president.
• The issue of slavery.
  • How to account for slaves in representation and taxation.

### The Great Compromise

House of Representatives: Apportioned by population (favored larger states).

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Representation: Number of representatives based on each state's population.

Senate: Equal representation with two senators per state (favored smaller states).

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  Equal Representation: Each state has two senators, regardless of population.

The Issue of Slavery

• The abolition of slavery was too divisive to be addressed at this time.
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Political Reality: The delegates recognized that addressing slavery directly would likely lead to the failure of the convention.

Three-Fifths Compromise: Slaves counted as three-fifths of a person for representation purposes.

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Calculation: For every five slaves, three would be counted towards the state's population for representation and taxation.

Slave Trade: Congress could not prohibit the slave trade until 1808 but could tax imported slaves at $10 per head.

• Importation: The compromise allowed the slave trade to continue for another 20 years.
  • The Constitution avoided using the word "slavery" but alluded to it, like using "such Persons" to refer to slaves being imported.
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  Language: The delegates used euphemisms to avoid directly acknowledging the institution of slavery.

### Executive Branch

Election: The president would be indirectly elected by the Electoral College.

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Electoral College: Each state would have a number of electors equal to its total number of representatives in Congress.

Term: Four-year term.

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Term Length: The president would serve a four-year term.

Powers: Appoint executive officials and federal judges (confirmed by the Senate), serve as commander-in-chief, veto congressional laws (can be overridden by a two-thirds vote in Congress).

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Checks and Balances: The president's powers are limited by the other branches of government.

Separation of Powers: Checks and balances were built to prevent any one branch from becoming too powerful.

• Senate confirms presidential appointments; Congress can override presidential vetoes.

### Judicial Branch

Supreme Court Justices: Lifetime terms.

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Tenure: Justices serve for life, ensuring their independence from political pressure.

Role: Ultimate court of appeals. Can be impeached.

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Jurisdiction: The Supreme Court has the final say on legal matters.

Debate Over Power: Some feared the power of the Supreme Court due to lifetime terms, while others, like Alexander Hamilton, argued it was the weakest branch because it lacked the power of the purse or the sword.

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Federalist No. 78: Hamilton argued that the judiciary was the least dangerous branch.

Judicial Review: The power to determine the constitutionality of laws was not explicitly given to the Supreme Court in the Constitution.

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  Marbury v. Madison: The Supreme Court established the principle of judicial review in this landmark case.

### Legislative Branch

Powers of Congress: Levy and collect taxes, regulate commerce (including interstate commerce), set rules for naturalization.

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Enumerated Powers: These powers are specifically listed in the Constitution.

House of Representatives: Initiates tax and revenue measures, elected directly by the people, two-year terms.

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Direct Election: Representatives are directly elected by the citizens of each state.

Senate: Rules on bills passed by the House, approves presidential appointees, ratifies treaties, six-year terms with one-third of senators elected every two years. Senators were chosen by the state legislatures.

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State Legislatures: Senators were originally chosen by state legislatures, ensuring state representation in the federal government.

Shared Powers: Both houses must declare war and are involved in the impeachment process.

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  War Powers: Only Congress can declare war.

### Necessary and Proper Clause (Elastic Clause)

Article 1, Section 8: Congress has the authority to make all laws necessary and proper for carrying into execution the powers vested by the Constitution.

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Text: "To make all Laws which shall be necessary and proper for carrying into Execution the foregoing Powers".

Interpretation: This clause allows for the expansion of the legislative branch's power.

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  Implied Powers: Congress has powers beyond those specifically listed in the Constitution.

Ratification

• The Constitution had to be ratified by nine states to take effect.
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Threshold: Nine out of the thirteen states needed to ratify the Constitution.

Federalists vs. Anti-Federalists:

• Federalists: Supported ratification, believed in a strong central government, included figures like James Madison, Alexander Hamilton, and John Jay, who wrote essays (The Federalist Papers) in support of ratification.
• Anti-Federalists: Feared a strong central government, wanted congressmen elected annually, opposed lifetime terms for judges, and wanted a bill of rights to protect individual rights.

Implementation of the Constitution

• Nine states ratified the Constitution in less than a year.
  • 
    Speed: The ratification process moved quickly in many states.
• Rhode Island was the last to join in 1790.
  • 
    Resistance: Rhode Island initially resisted ratification due to concerns about state sovereignty.
• New York City was chosen as the capital.
  • 
    Temporary Capital: New York City served as the temporary capital before the establishment of Washington, D.C.

Initial Doubts

• Even prominent figures like Ben Franklin and George Washington were uncertain about the Constitution's long-term success.
  • 
    Uncertainty: The framers recognized that the success of the Constitution depended on future generations.

### First Government Under the Constitution

President: George Washington (easily elected).

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Unanimity: Washington was unanimously elected as the first president.

Vice President: John Adams.

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Runner-Up: Adams finished second in the presidential election, making him the vice president.

Key Appointments:

• Secretary of State: Thomas Jefferson.
• Secretary of Treasury: Alexander Hamilton.
• Attorney General: Edmund Randolph.

- Chief Justice of the Supreme Court: John Jay.

Executive Title: After debate, the simple title of "Mister President" was chosen.

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  Debate: There was discussion about what the president should be called, with some favoring more elaborate titles.

Bill of Rights

• A Bill of Rights was promised to encourage ratification.
  • 
    Compromise: The promise of a Bill of Rights helped to sway Anti-Federalists to support ratification.
• James Madison drafted a set of rights, though he had initial reservations.
  • 
    Author: Madison played a key role in drafting the Bill of Rights