Establishing the New Nation: From the Articles of Confederation to the Constitution

THE ARTICLES OF CONFEDERATION AND EARLY STATE GOVERNMENTS

Definitions of Key Republican Concepts
- Republic: A form of democracy and government in which the people elect their representatives to run the government and manage the state.
- Unicameral Legislature: A legislative body consisting of only one house.
- Bicameral Legislature: A legislative body consisting of two distinct houses.
- Articles of Confederation: The first formal government of the United States, established during the Revolutionary period.
The Creation of State Republics
- Following the break from Britain, states created new constitutions that reflected republican ideals.
- The primary focus was on establishing strong legislatures while maintaining weak executives to prevent tyranny.
- Unicameral vs. Bicameral Approaches:
  - Some states opted for unicameral legislatures to give all voting rights directly to the people.
  - Other states chose bicameral legislatures, where the people elected one house and different methods were used to select the other house.
- Expansion of People's Rights:
  - State constitutions generally worked to strengthen individual rights.
  - Voting rights were expanded across various states.
  - The number of elected positions increased; for example, people began to vote directly on more positions, including governors.
  - Most states explicitly guaranteed religious freedom and mandated the separation of church and state.
The Structure of the Articles of Confederation (1777)
- The Continental Congress created the Articles as a framework where states agreed to work together in a loose union.
- The Division of Power:
  - Federal Government: The Congress served as the governing body. It held the power to issue bills of credit.
  - Foreign Policy: Congress had the power to sign treaties, make alliances with other nations, manage relations with Native Americans, and declare war.
  - Taxation: Power was held by the states. The federal government could not tax. States also held the power to impose duties and tariffs on trade with other states.
  - Commerce: States regulated commerce and held the power to settle disputes rather than the federal government.
Weaknesses of the Articles of Confederation
- Voting Inequity: Each state received only one vote in Congress, regardless of the size of its population.
- Lack of Representation: Delegates were chosen by state legislatures rather than by the people.
- Missing Branches: There were no separate executive or judicial branches to enforce or interpret laws.
- Military and Fiscal Limits: The government could not raise an army or levy taxes.
- Trade Regulation: The national government could not regulate interstate or foreign trade.
- Legislative Hurdles: Passing a law required a supermajority ( $9$ out of $13$ states). Amending the Articles required the unanimous consent of all states.
Strengths of the Articles of Confederation
- Successfully won the Revolutionary War against Britain.
- Negotiated the peace treaty following the war.
- Established the power to create war and peace.
- Passed significant land management legislation: The Land Ordinance of 1785 and the Northwest Ordinance.

THE DEVELOPMENT AND SETTLEMENT OF THE NORTHWEST TERRITORY

Managing Western Lands
- By 1784, settlers moving into the Northwest Territory (the frontier region of the time) provoked conflict with Native Americans.
- Land Ordinance of 1785: Established an organized system for distributing land.
  - Surveyors divided land into townships and smaller sections.
  - These parcels were purchased from the federal government.
  - This system led many individuals to engage in land speculation.
The Northwest Ordinance
- This act provided a formal system of government for the western territories.
- Administrative Structure: Congress appointed a governor, a secretary, and three judges for the territories.
- Civil Liberties: Citizens in these territories were guaranteed religious freedom, the right to trial by jury, and habeas corpus.
- Social Policy: Slavery was officially outlawed in these territories.
- Path to Statehood:
  - Phase 1: Once a territory reached $5,000$ citizens, it could establish an elected assembly.
  - Phase 2: Once a territory reached $60,000$ citizens, it could apply for full statehood.

FOREIGN RELATIONS AND THE FAILURE OF THE ARTICLES

Tensions with Foreign Powers
- Spain: To discourage American western expansion, Spain closed the port of New Orleans. This crippled the ability of American farmers and merchants to sell their products through that vital waterway.
- Britain: The British did not respect American independence. They imposed harsh trade restrictions and maintained military forts in the Western United States, which was a direct violation of the Treaty of Paris.
Economic Collapse and Shays' Rebellion
- Internal Disputes: The lack of a common currency and the inability to regulate interstate commerce led to constant conflict between states.
- The Depression: Without the power to tax, the national government was broke, and the country fell into an economic depression.
- Shays' Rebellion (1786):
  - Led by Daniel Shays, a group of farmers in Massachusetts united to shut down the courts to prevent farm foreclosures.
  - The national government was powerless to intervene or stop the rebellion.
  - This event served as the definitive proof to the American public that a stronger national government was required.

THE CONSTITUTIONAL CONVENTION: PLANS AND COMPROMISES

The Assembly of Framers (1787)
- Delegates met in Philadelphia, Pennsylvania, originally intending to strengthen the Articles of Confederation.
- The meetings were held in total secret to allow for open debate without outside pressure.
- Key Leaders:
  - George Washington: Presided over the convention.
  - Alexander Hamilton: Disliked true democracy; supported a strong government modeled after the British system.
  - James Madison: Delegate from Virginia; believed only a strong government could preserve the nation.
  - Edmund Randolph: Presented the Virginia Plan.
Rival Plans of Government
- The Virginia Plan:
  - Proposed three branches of government.
  - Called for a bicameral legislature with representation determined by population.
  - Included a system of checks and balances.
  - Suggested a strong president with a long term of office.
  - Favored by larger states.
- The New Jersey Plan:
  - Proposed as a way to rework the Articles of Confederation.
  - Gave Congress the power to tax and regulate trade.
  - Called for a unicameral legislature where each state received exactly one vote.
  - Suggested an executive committee instead of a single president.
  - Favored by smaller states.
The Great Compromise (Connecticut Compromise)
- Combined elements of both plans to resolve the dispute between large and small states.
- Established a three-branch government.
- Created a bicameral legislature:
  - The House of Representatives: Representation based on population.
  - The Senate: Equal representation (two senators per state).
- Established Federalism, where national and state governments share powers.
The Three-Fifths Compromise and Other Agreements
- The Issue of Slavery: Southern states wanted slaves to count toward their population to increase their seats in the House of Representatives. Northern states, having fewer slaves, opposed this.
- The $3/5$ Resolution: It was agreed that $\frac{3}{5}$ of the slave population (3 out of every 5 slaves) would count toward both representation and taxation.
- Fugitive Slave Law: A law was created requiring the return of escaped slaves to their owners.
- Ratification Requirement: $9$ out of $13$ states were required to approve the new Constitution for it to replace the Articles.

THE STRUGGLE FOR RATIFICATION AND THE BILL OF RIGHTS

Federalists vs. Antifederalists
- Federalists: Included Washington, Madison, and Hamilton. They argued that a strong national government was necessary to unite the states.
- The Federalist Papers: A series of $85$ essays written by Madison, Hamilton, and John Jay to gain support and explain the Constitution in plain terms.
- Antifederalists: Included John and Samuel Adams, Patrick Henry, and George Clinton. They argued that states gave up too much power and feared the president would become a king. They demanded a Bill of Rights to protect individual liberties.
The Bill of Rights (The First Ten Amendments)
- Proposed to satisfy Antifederalist concerns and secure ratification from states like Virginia and New York.
- 1st Amendment: Freedom of speech, press, religion, assembly, and petition.
- 2nd Amendment: Right to bear arms and organize militias.
- 3rd Amendment: Prohibits the quartering of soldiers in private homes.
- 4th Amendment: Prohibits unreasonable search and seizure of property without a warrant.
- 5th Amendment: Guarantees due process; requires a grand jury for serious charges; prohibits double jeopardy and self-incrimination; protects private property from seizure without just compensation.
- 6th Amendment: Right to a speedy trial by jury, knowledge of charges, and right to counsel.
- 7th Amendment: Guarantees trial by jury in civil cases.
- 8th Amendment: Prohibits excessive bail/fines and cruel and unusual punishment.
- 9th Amendment: Assures that human rights are not limited to those specifically mentioned in the Constitution.
- 10th Amendment: Powers not delegated to the federal government are reserved to the states or the people.

THE SEVEN MAJOR PRINCIPLES OF THE CONSTITUTION

Popular Sovereignty: The government derives its political authority from the people; the people hold the ultimate power.
Republicanism: A system where the people elect representatives and charge them with the responsibility of making laws and conducting government (Representative Democracy/Congress).
Federalism: The division of power between the federal and state governments.
- Enumerated Powers: Powers held specifically by the national government (e.g., declaring war, foreign relations).
- Concurrent Powers: Shared powers practiced independently (e.g., taxing).
- Reserved Powers: Powers reserved strictly for the states (e.g., intrastate affairs).
Separation of Powers: The government is divided into three branches to prevent any single entity from gaining total control.
Checks and Balances: A system where each branch has the power to check or limit the power of the other two.
Limited Government: The idea that the powers of the government are not absolute; the government is restricted to specific powers granted by the people.
Individual Rights: Protection of basic liberties and rights (ensured by the Bill of Rights).

THE STRUCTURE AND ROLES OF THE THREE BRANCHES OF GOVERNMENT

The Legislative Branch (Congress)
- Composed of the House of Representatives and the Senate.
- Primary Duties: Creating laws, appropriating funds, ratifying treaties, and confirming presidential appointments.
- Power of Oversight: Can monitor the executive branch and impeach (bring formal charges against) federal officials for misconduct.
- The Elastic Clause (Necessary and Proper Clause): Allows Congress to stretch its powers to meet unanticipated situations not specifically outlined in the Constitution.
The Executive Branch (The Presidency)
- Chief Executive/Chief Diplomat: Responsible for carrying out laws and directing foreign policy.
- Commander in Chief: Command over the military to intervene at home or abroad.
- Chief of State: Symbolic representative for all Americans.
- Legislative Leader: Proposes laws to Congress.
- The Cabinet: A group of heads of departments and agencies that help the President enforce laws and make decisions.
The Judicial Branch (The Courts)
- District Courts: Lowest level; consider criminal and civil cases under federal authority.
- Appellate Courts: Review decisions of district courts to overturn verdicts or order retrials.
- The Supreme Court: Final authority in the federal system. Consists of a Chief Justice and eight associate justices.
- Judicial Review: The ultimate power to interpret the meaning of the Constitution and declare laws constitutional or unconstitutional.

LATER AMENDMENTS AND THE UNWRITTEN CONSTITUTION

Reconstruction and Civil Rights Amendments
- 13th Amendment: Outlaws slavery in the United States.
- 14th Amendment: Grants citizenship to African Americans and guarantees due process to all citizens.
- 15th Amendment: Guarantees African American men the right to vote.
Progressive Era and Rights Amendments
- 16th Amendment: Allowed the federal government to place an income tax on citizens (previously illegal).
- 17th Amendment: Allowed for the direct election of Senators by the people.
- 18th Amendment: Established Prohibition (ban on sale, consumption, or production of alcohol).
- 19th Amendment (1919): Granted women suffrage (the right to vote).
- 21st Amendment: Repealed the 18th Amendment, ending Prohibition.
The Unwritten Constitution
- These are government practices not specifically stated in the Constitution but developed over time from tradition and custom.
- Examples:
  - The Presidential Cabinet.
  - Congress working in various committees.
  - The exercise of Judicial Review.

QUESTIONS & DISCUSSION

Q: What is the difference between a unicameral and a bicameral legislature?
- A: A unicameral legislature has one house, while a bicameral legislature has two houses. Most states and Congress use bicameral legislatures to allow for different types of representation and a system of checks within the legislative process itself.
Q: Who held more power under the Articles of Confederation, and why?
- A: The states held more power. This was intentional, as the authors of the Articles feared a strong central government like the one they lived under in Britain. The federal government lacked the power to tax, regulate commerce, or enforce law without a judiciary or executive.
Q: Why was the Constitutional Convention called in 1787?
- A: It was called to address the fatal weaknesses of the Articles of Confederation, specifically the government's inability to deal with economic depression and civil unrest, as evidenced by Shays' Rebellion.
Q: Why was compromise so important to the Convention?
- A: Compromise was the only way to balance the conflicting interests of large states (population-based representation) and small states (equal representation), as well as the interests of Northern and Southern states regarding slavery and taxation.
Q: Why was the 3/5 Compromise requested by Southern states?
- A: Southern states wanted to count slaves to increase their population size, thereby gaining more seats and more power in the House of Representatives. Northern states argued against this because they had fewer slaves and did not want the South to dominate the legislature.