FROM CONFEDERATION TO FEDERAL UNIONChapter 5US HISTORYRevised February 2013

The States, UNITED• Section 1• Pages 144-149

• Main Idea• In order to carry on

the war and build a new nation, Americans had to create a framework of government, but their first attempt had many weaknesses.

1. What were some key aspects of the new American republic?• As the war for independence raged on, Americans were also

setting up new governments.• Most of the 13 states wrote new constitutions.• These constitutions were based on British rights, including

representative government, the rule of law, limits on gov’t power, and individual liberty.

• Each state also had three branches of gov’t.

2. What were the three branches of government?• Legislative branch• Made the laws.• Congress

• Judicial branch• Interpreted the laws.• Court

• Executive branch• Carried out the laws.• Governor• Power was limited

3.What was a Republic?• Americans did not want a king or other supreme authority.• John Locke’s idea of ruling “with the consent of the governed”

was important.• A republic is a system without a monarch.• The ideal was that hard-working, property-owning citizens

would be active in government.• What about women, African-Americans, Native-Americans and

poor white laborers?

AMERICAN SELF-GOVERNEMNT Between 1776 and 1780

most states: Drafted and ratified new

state constitutions Forced Royal governors from

office Established voting rights-

white, male, landowners

Republicanism- political leaders received from the citizens their authority to make and enforce laws.

Civic Virtue- habits that are good for

all in the society

Influenced by Enlightenment – John Locke Natural Rights- Life, Liberty,

and Property Consent of governed

Role of Government is to protect these rights

4. How did the Revolutionary War bring a shift in women’s roles?• Women had to manage farms and businesses.• Some fought in battle or defended their homes.• Women became politically active.

5. What were the Articles of Confederation?• First national constitution that established an association of

independent states with common goals.• The Articles of Confederation was adopted on November

1777, but it took longer for each state to ratify the document.• John Dickinson of Pennsylvania led the effort to write the

Articles, while another committee was writing the Declaration.• The document established an association of independent,

sovereign states with certain common goals.

6. How might the Articles of Confederation lead to problems for the nation?

• In March 1781 the Articles of Confederation finally went into effect.

• The states retained most of their power, thus creating a weak national government.

• Thus, they lacked a central executive branch because only one branch existed at the nat’l level: the Continental Congress.• There was no judicial or executive branch at the nat’l level.• Each state only had one vote in congress, regardless of

population.

7. What were the weaknesses of the Articles of Confederation?• Congress could not impose taxes• Congress could not regulate trade• 9 out of 13 states needed to agree to pass laws• All states had to agree to amend the Articles• No executive branch to enforce laws passed by Congress• No judicial branch to interpret laws passed by Congress

8. What was the main problem the Congress faced?• The new government’s major problem involved money.• The government had huge debts to pay, but did not have the

power to impose or collect taxes.• Gov’t asked the states for money, but only received about 1/6th of

what they requested.• Thus, the gov’t could not support an army or navy.• Nor could it repay it’s debts to foreign governments or individual

Americans.• In 1781 Congress set up a department of finance, to try and tackle

this problem.• Headed by Philadelphia merchants Robert Morris and Haym Salomon.

• They had helped raise money for the army during the war.

9. Under the new gov’t, why were there problems in the relations between states?• Congress had very little power over the individual states.• Laws and contracts made in one state were often not

recognized in other states.• States could not impose taxes on trade with neighboring

states.• Some states even issued their own money.• States sometimes refused to recognize laws or court

decisions made in other states.• A criminal could escape the law simply by fleeing across a state

line.

10. What were some of the problems states had with foreign nations?• Congress had trouble taking advantage of the territory that

the US had won in the 1783 Treaty of Paris.• British continued to occupy forts in the Great Lakes region.• With aid from Native Americans, they also kept settlers out of

parts of the Northwest Territory.• Spain also controlled parts of the Mississippi River and

Congress had difficulty negotiating rights to the river and port at New Orleans.

11. What economic problems did the states have to face?• After the war, traders from New England lost the

advantage of being part of the British Empire and now had to pay high customs duties.• Aid from Great Britain also stopped to some key colonial

industries, which hurt southern economies.• Some states required that people pay their taxes in gold

or silver.• Some colonists, who could not pay their debts, were

jailed.• This especially hurt poor farmers.• Many became frustrated and began rebellions in

several places.

12. What did the government accomplish in the Northwest Territory?

• A pattern for settlement in western land.• Several colonies claimed huge, unmapped areas of land west

of the Appalachian Mountains and some had fixed western boundaries.

• The question was how to organize settlement of the vast western land?

• The Articles of Confederation did not address the question of new states.

• Thus, they passed the Land Ordinance of 1785 to survey, sell, and settle land.

• And the Northwest Ordinance to help settle and form new states in 1787.

13. How did the Land Ordinance of 1785 differ from the NW Ordinance of 1787? • Land Ordinance of 1785• Plan for surveying, selling, and settling the land.

• Land divided into a neat grid of townships of 6 square miles• The gov’t owned most of the land and sold it to raise money• $1 an acre

• This model ended many boundary disputes as the U.S. expanded west.

• Northwest Ordinance of 1787• Legal formation of states • Did not allow slavery in the territory.• Promised religious freedom.

14. How could a territory become a state?• Became a territory with 5000 adult males and send a non-

voting representative to Congress.• With a population of 60,000, the territory could write a

constitution and apply to become a state.

The Road to Statehood

1. Single governor put in charge of Northwest Territory2. Territory to be divided into 3 to 5 districts3. With a population of 5,000 adult males, a district could

become a territory4. When a population reached 60,000, a territory could write a

constitution and apply to become a state.5. Statehood

Chapter 5--Drafting the constitution• Section 2• Page 150-156

• The Constitutional Convention tried to write a document that would address the weaknesses of the Articles of Confederation and make compromises between large and small states and between large states.

1. What was the reason for Shay’s Rebellion?

• Poor farmers from Massachusetts were hit hard after the war.

• Increased taxes had to be paid in gold or silver.

• Some farmers lost their farms and others were put in debtors’ prison.

• Daniel Shays led a group of angry farmers in September 1786 to close the courthouse in Springfield.

• After a short battle with the Massachusetts militia, Shays and his men retreated. Four were killed.

• Shay’s Rebellion was only one of several taxpayers’ revolts during this period.

2. What events caused the constitutional convention to convene?• Frustration with the Articles of Confederation.• A conspiracy to overthrow the gov’t by a group of army

officers stationed in New York.• Washington was asked to lead the group, but refused.• Shay’s Rebellion• George Washington and James Madison convened a meeting

of five states in Annapolis, Maryland to discuss the Articles.

3. What different points of view emerged at the Constitutional Convention?• Met in Philadelphia in May 1787.• Delegates from 12 states attended some or all of the meetings.• Rhode Island delegates opposed a stronger gov’t, thus did not

attend.• James Madison took notes over the secret meeting and played a

huge role.• Thus, he is called the Father of the Constitution.

• The convention delegates, known today as the Framers also included: Alexander Hamilton, Benjamin Franklin, & Robert Morris.

4. Why do you think the Constitutional Convention unanimously chose George Washington to be President?• His strength and character made him a symbol for people in

every state.• His leadership would bring the convention respect and

legitimacy.• Other members of the convention respected him.• This included 81-year-old Benjamin Franklin and 26-year-old

Jonathan Dayton of New Jersey.• Absent-

• Samuel Adams• Patrick Henry• John Adams• Thomas Jefferson

DRAFTING THE CONSTITUTION

• May 25, 1787- Constitutional Convention met in Philadelphia at Independence Hall

• Delegates agreed to keep the proceedings secret.

• 54 delegates- George Washington was presiding officer• Most had helped to write state

constitutions• All had held public office• Generally wealthy and well

educated• Most had served in the

Continental Congress

1. Roger Sherman2. Alexander Hamilton3. Ben Franklin4. James Madison5. George Washington6. James Wilson

5. Why was the issue of state population troublesome for smaller states?• The delegates had to find a balance between the large and

small states. • Large states with more representatives might ignore the voice

and wishes of small states. They would also have to find a balance between various northern and

southern interests. Strong national government vs. protecting states’ rights.

6. What was the Virginia Plan?• This plan based on ideas of James Madison, but presented to the

convention by Edmund Randolph.• Gov’t would have three branches.• Executive• Judicial• Legislative

• National legislature would be bicameral, or have two houses.• Voters would choose lower house and it’s numbers would be

based on population.• The upper house would be selected by elected members of lower

house.• Smaller states did not like this idea.

7. Why do you think the New Jersey Plan called for a “plural executive” rather than a single executive?• Too keep any one person from growing too powerful and

becoming a dictator.• Delegates argued that Edmund Randolph’s plan gave an

advantage to larger states.• William Peterson’s New Jersey Plan proposed a

unicameral, or one-house legislature with equal representation.

8. What compromises did the delegates make at the Constitutional Convention?• Great Compromise combined ideas from Virginia Plan and

New Jersey Plan.• Also called the Connecticut Compromise

• This plan was set up by a committee of Oliver Ellsworth, Roger Sherman, and Dr. William Samuel Johnson—all from Connecticut.• The upper house or Senate would have two representatives

from each state.• In the lower house or House of Representatives,

representative numbers were based on population.

The Great Compromise

9. What was the effect of the Three-fifths Compromise?• Counting all enslaved African-Americans as population

would have given the Southern states greater representation.• Southern states wanted to count all slaves for representation

purposes but none for taxation.

• The 3/5th Compromise counted all white population and three-fifths of the slave population for representation and taxes.• The slavery question brought up other issues.• Ban slavery?• Unity won over and they agreed to allowing the slave trade

to continue for 20 years.

Three-Fifths compromise

10. How do you think the issue of states’ rights vs. federal Government power will affect American History?• The Civil War, and issues such as civil rights will pit states

against the federal government.• This was one of the many issues for a five-man committee

to decide in July 1787.• Oliver Ellsworth• Nathaniel Gorham• Edmund Randolph• John Rutledge• James Wilson

11. What are the three branches of government and what are their functions?• After much debate and reconvening, the delegates decided

on a framework with three branches of government.• Legislative branch—makes the laws• Executive branch—carries out laws• Judicial branch—interprets laws as they relate to the

Constitution

12. Why are checks and balances important?• Prevent one branch of government from becoming more

powerful than another.• Prevent abuses of power

Checks and balances

SYSTEM OF CHECKS AND BALANCES

• CONGRESS• House of Representatives and

the Senate• Congress can check the powers

of the President.• Impeachment- Treason, High

crimes and misdemeanors• President can make treaties,

Senate ratifies treaties 2/3rds majority

• Presidential appointments must be approved by the Senate

• “Power of the Purse”• Override Presidential veto’s with

a 2/3rds majority

SYSTEM OF CHECKS AND BALANCES

• PRESIDENT• The President can curb the

the powers of Congress.• Veto Power• Influence and Pressure

• Call a special session of Congress

• Adjourn Congress• State of the Union Address• Press conferences and

speeches. “BULLY PULPIT”

SYSTEM OF CHECKS AND BALANCES

• JUDICIAL BRANCH• The courts have the power to

judge laws unconstitutional.– Judges are appointed by the

President– Senate must approve all judicial

appointments– Congress can impeach a judge– Congress and President can

amend the Constitution– President has the power to

pardon• Supreme Court Judges are

appointed for LIFE

Supreme court justices• Back row (left to right): • Sonia Sotomayor, • Stephen G. Breyer • Samuel A. Alito • Elena Kagan

• Front row (left to right): • Clarence Thomas • Antonin Scalia• Chief Justice John G.

Roberts • Anthony Kennedy • Ruth Bader Ginsburg

13. Who was Gouverneur Morris?• James Madison and other delegates gave credit to

Gouverneur Morris of Pennsylvania for the elegant language and clarity of the Constitution.

• The U.S. Constitution set out a plan of government that had never been seen before.

• Today the basic structure of the federal government remains exactly as the Framers envisioned it over 200 years ago.

14. Why did some delegates choose not to sign the Constitution?• It lacked a bill of rights.• In all, 39 delegates from 12 states signed the Constitution.• The Constitutional Convention adjourned on Monday,

September 17, 1787.• Now it was time for the American people to approve the

document.

Ratifying the constitution• Section 3• Pages 157-163

• Federalists and Antifederalists struggled over the principles of the new constitution. But the promise of adding a Bill of Rights brought about ratification.

1. What arguments for and against the Constitution were put forth by Federalists and Antifederalists?• Federalists (Madison, Washington, Hamilton, Jay & Franklin)• Strong nat’l gov’t was necessary for survival• Separation of powers put limits on the gov’t• Gov’t to end chaos of mob rule.• Was not perfect, but was the best they could do.• Sentiment strongest in the cities & among rich.

• Antifederalists (Patrick Henry , Samuel Adams, & George Mason)• Distrusted central authority & tyranny.

• Abusive to states’ rights & individual rights.• Disagreed on the role of the president and number in congress

• Thought the new gov’t favored the elites.• Outnumbered Federalists.• Less organized and unified.• Core consisted of farmers and planters.

Federalists/antifederalists

2. What had to happen for the ratification of the constitution?• Only 9 out of the 13 states had to ratify or approve the

Constitution.• The concerns of the Antifederalists led them to demand the

addition of a Bill of Rights.• This Bill of Rights became a main focus of the struggle over

ratification.• The battle over ratification began in the fall of 1787.• Each state had a special convention to ratify or not.

3. What was published in the Federalist? • These essays, circulated widely, became known as the

Federalist Papers.• In a series of 85 essays, these essays explained the advantages

of ratification.• They also explained republican government and politics.• These essays were written by Publius, an anonymous author.• Publius was in fact three leading Federalists:• James Madison• Alexander Hamilton• John Jay

4. Why was adding a Bill of Rights significant in the ratification process?• Several crucial states ratified the Constitution only because

the Bill of Rights was promised.• Most state constitutions already had one.

• However, to protect individuals and states against too much government power, many felt they needed to be included.

• Delaware was the first state to ratify in December 1787, followed by Pennsylvania, and then finally, after many months, New York in July 1788

THE BILL OF RIGHTS

Amendments 9 & 10 (Bill of rights)“Rights & Powers not explicitly given to the Federal Gov’t by the Constitution are reserved for the people & the states

•Amendment IX

• The enumeration in the Constitution, of certain rights, shall not be construed to deny or disparage others retained by the people.

•Amendment X• 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.

THE CONSTITUTION: A Living Document Federalism- A strong

central government while protecting the rights of states.

DELEGATED POWERS Powers delegated to the national

government Declare War Raise and Support armed forces Regulate interstate and foreign

trade Admit new states Establish post office Weights and Measures Coin money Establish foreign policy Create all laws necessary for

carrying out delegated powers

THE CONSTITUTION: A Living Document• RESERVED POWERS:• Powers reserved to the states.

– Establish and maintain schools– Establish local governments– Conduct elections– Create corporate laws– Regulate business within the

state– Create marriage laws– Provide for public safety– Assume other powers not

delegated to the national government or prohibited to the states

• CONCURRENT POWERS:• Powers that are held jointly by the

states and federal government.– Maintain law and order– Levy taxes– Borrow money– Charter banks– Establish courts– Provide for the public welfare

SUPREMACY CLAUSEAll federal laws outrank state

constitutions and state laws.

Elastic ClauseThe Elastic Clause has been

stretched (like elastic) to allow Congress to meet changing circumstances.