Chapter 9

The Confederation and the Constitution

1776-1790

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What you need to know for Chapter 9:

  • State constitutions: Congress called upon states to adopt them, of which the Massachussets constitution is currently the oldest (the American Constitution is based off ideas from the Masachussets one). They were very similar, and most included bills of rights to protect individual liberties, annual elections for legislators, and deliberately weak executive and judicial branches (they were afraid of having another King).
  • Articles of Confederation: Drafted and adopted by Congress in 1777, adopted by all 13 states in 1781. However it was too weak, with no excecutive branch (in fear of producing another King), very little judicial power (most of it left to th states), and a very weak congress (no power to regulate commerce or enforce taxes) in which each state had an equal say. This weak government was later replaced by the present-day Constitution at the constitutional convention.
  • Northwest Territory: Was a territory created by Congress in 1787, basically encompassing present-day midwest: Ohio, Indiana, Michigan, Illinois, Wisconsin, and part of Minnesota, and effectively doubled the size of the United States at the time.
  • Northwest Ordinance: Created the Northwest Territory, affirming the process of the admission of new states (once a territory had reached 60,000 population), established territorial governments (administered by the central government), and (arguably) most importantly banned slavery in the territory.
  • The Constitutional Convention: Convened to amend the Articles of Confederation to make them stronger, but decided to scrap the articles and begin anew. The two separate factions in it were mostly the Virginia Plan, favoring large states with big populations, and the New Jersey plan, favoring small states.
  • The Constitution: Signed on September 17, 1787, ratified by 9 states the following July, replaced the articles of confederation and significantly strengthed the federal government. Click here for Articles vs. Constitution comparison.
  • Federalism: The system of government that divides powers between a Central (federal) government and smaller state governments.
  • Separation of powers: Embodied in the first three articles of the constitution, basically made so that one branch of government cannot have more power than the other two so that each branch (Excecutive, Legislative, Judicial), with democratic input, is able to "check" the other two branches.
  • The Federalists: Believed in having a stronger central government, were dissatisfied with the Articles of Confederation and supported the new Constitution and the powers it gave to the federal government. Prominent federalists included Alexander Hamilton, James Madison, and George Washington.
  • The Anti-Federalists: Believed in having stronger state governments with the federal government just serving as the bond between the states, providing for basic things like defense. They opposed the constitution because they thought that the federal government was given too much power and would abuse individual liberties, and insisted on a bill of rights. Prominent Anti-Federalists included Patrick Henry and Samuel Adams.
  • The Federalist Papers: A collection of 85 articles/essays written by Alexander Hamilton, James Madison, and John Jay to promote the the ratification constitution to the common people. They were successful in that one month after Federalist No. 85 (the last one) was published, New Hampshire ratified and the Constitution went into effect; Virginia and New York ratified soon after.
  • James Madison: Was a major influence on the writing of the Constitution, also was a writer of the federalist papers, referred to as the "Father of the Constitution".
  • Alexander Hamilton: Was a bit radical in the writing of the constitution (proposed that senators and the President serve for life) but was an infuential Federalist and worked on the Federalist papers.
  • "Republican Motherhood": The new ideology surrounding the role of women at this time, which would be to promote civic virtues in their children and instill and uphold ideas of Republicanism in their households. It is a step back from what we see today but was a step forward at the time as women were encouraged to go to school and were respected in the community.

A Shaky Start Toward Union

The country faced some challenges: They were setting up a completely new system of government, they were missing about 80,000 conservative loyalists, and the Patriots, previously united by the war for independence, no longer had anything holding them together.

Additionally, the British flooded American markets with their pent-up goods from during the war, cratering prices and hindering the development of homegrown American industry.

However America also had some hopeful signs: The thirteen states had very similar systems of government (and constitutions), and the country was blessed with great leaders like Washington, Adams, Hamilton, Jefferson, etc.

This flag was reportedly first sewn by Betsy Ross and was the first flag of the independent United States. It had 13 stars and 13 stripes. Image: Wikipedia

Constitution Making in the States

During the Revolutionary War, the Continental Congress urged the colonies to draft new constitutions, effectively transforming themselves into new states. These constitutions were written documents that defined government's power based on the authority of the people.

Most of the constitutions were very similar, and most included bills of rights to protect individual liberties, annual elections for legislators, and deliberately weak executive and judicial branches to prevent despotism.

The state legislatures, as the most democratic branch, held significant power, but their influence often led to challenges due to the diverse interests of the newly enfranchised poorer western districts.

As a result, some state capitals were relocated from elite eastern seaports to the less affluent interior regions (eg. Albany, NY), signifying political shifts that created tensions within the country.

The Constitution of Massachussets, sitting on the table that it was written on, is the oldest constitution in the world and was a baseline for the US constitution. Adams based it off his large understanding of British history, the Magna Carta, and had it define a representative form of government based on the freedom of religion. Image: Wikipeida Commons.
The capital of New York State in Albany. It was originally in Kingston, which was burned down by the British, and then New York City, but was changed to Albany (further west) for a host of reasons, one of which was the increased voting power of poorer western citizens. Image: City & State New York.

Economic Crosscurrents

Inflation was rampant in the new United States, especially after the wartime government printed absurd amounts of money and plunged into debt. This graph shows the rapid increase in commodity prices during this time.

The Revolutionary War led to noteworthy but not outstanding economic changes in the newly formed United States. States took control of former crown lands and redistributed confiscated large Loyalist land holdings, cutting them up into smaller pacels and promoting economic democracy.

Manufacturing was stimulated due to disruptions in trade, especially with Britain, but the nation, free to trade with foreigners, remained largely agrarian.

While independence brought new commercial opportunities, the economy suffered from inflation, speculation, and profiteering, resulting in economic challenges and a divided society. The average person was financialy better off before the war than after it.

Creating a Confederation

The Second Continental Congress during the Revolutionary period lacked constitutional authority and primarily functioned as a gathering of state representatives.

The Articles of Confederation, a written constitution for the new nation, were drafted and adopted by Congress in 1777, later ratified by all thirteen states by 1781.

The division of western lands became a major dispute among states, with land-rich states (notably NY and VA) favored by large holdings and others (like Maryland and Pennsylvania) feeling disadvantaged.

The Articles were ratified after compromises over the land were reached, including the ceding of western lands to the central government and the promise of equal admission for new states formed from this land.

The revenue from the land sales would be shared among all the states, serving as a bond between them to stay in the union.

Western Land cesssions from the states to the United States. Under the land deal made to secure passage of the Articles of Confederation, the large states would cede extra land to the federal government, which would in due course form new states, who would have equal standing with the original states, and revenue from land sales would be share between all. Image: Wikipedia

The Articles of Confederation: America's First Constitution

The articles of confederation basically treated each of the States as a soverign state, and treated the union as a 'firm league of friendship'. In reality, it was too weak and left very little powers for the federal government, which was hobbled without an excecutive branch (a decision made to avoid another King-like figure). Image: Gilder Lehrman Institute of American History
This modern-day cartoon basically sums up the failures of the weak Articles of the Confederation. Image: apprend.io

The Articles of Confederation established a loose confederation of thirteen sovereign states with a weak congress (in which each state recieved equal vote), no excecutive branch, and very little judicial powers.

Congress's two handicaps were its inability to regulate commerce, which allowed the states to different laws regarding tarrifs and navigation. Secondly, it couldn't enforce tax collection, reducing the federal government to politely asking the states for tax money (it was lucky if it got 25% of what it asked for).

Congress couldn't even protect itself or act upon the citizens of a sovereign state, which was proven when Congress had to flee from Philadelphia after some mutinous Pennsylvania soldiers threatened them and the state refused to help.

Despite its flaws, the Articles were a significant precursor and stepping stone to the Constitution, outlining general powers of the central government and keeping the Union together until a stronger system could be put in place.

Landmarks in Land Laws

Despite its limitations, the Confederation's Congress managed to pass laws related to the Old Northwest, an expansive region acquired from the states that gave up excess land (blueish area in map).

The Land Ordinance of 1785 established a systematic method for selling and surveying the land, with one-sixteenth of each township reserved for public schools. The funds were to be used to pay off national debts.

The more significant Northwest Ordinance of 1787 addressed the governance of the territory. It introduced a plan for temporary federal oversight followed by statehood once a territory reached a population of 60,000, emphasizing equality among states.

The ordinance also prohibited slavery in the region.

A map of the Old Northwest. The land would be split up into townships 6 square miles in size, and then into parcels one square mile in size. The 16th parcel in each township would be dedicated to fund public schools, and the rest of the proceeds would go to pay of federal debt. Image: The American Pageant.

The World's Ugly Duckling

During the Confederation years, foreign relations of the United States were strained.

Britain refused to send a minister, denied commercial treaties, and maintained trading posts on U.S. soil.

Spain closed the Mississippi River to American commerce and claimed territories granted to the U.S. by Britain.

Even France cooled its support, demanding loan repayments and imposing trade restrictions on the West Indies.

These challenges highlighted the need for a stronger domestic government.

This map shows graphically that the United States in 1783 achieved complete independence in name only, particularly in the area west of the Appalachian Mountains. Not until twenty years had passed did the new Republic, with the purchase of Louisiana from France in 1803, eliminate foreign influence from the area east of the Mississippi River. Image: American Pageant.

The Horrid Specter of Anarchy

Shays's Rebellion, an uprising started by impovershised backcountry farmers who were losing their frams through mortgage foreclosures and tax delinquences. It was led by Captain Daniel Shays, who was a captain during the revolutionary war. The rebellion dmenanded that the state issue paper money (so that inflation could occur so that they could pay back their debts), lighten taxes, and suspend property takeovers. The federal government's inability to respond proved the weakness of the Articles of the Confederation and pushed George Washington to declare the need for a stronger federal government. Image: Zinn Education Project.
Debtors Protest, 1787: This drawing done on the eve of the writing of the US Constitution features a farmer with a plow, a rake, and a bottle complaining 'takes all to pay taxes'. The discontent of debt-rich and currency-poor farmers alarmed republican leaders and helped persuade them that the Articles of Confederation needed to be replaced with a new constitution. Image: American Pageant.

In the mid-1780s, economic troubles persisted. The requisition system for raising money faltered, with states refusing to pay and complaining about Congress.

Debates over state boundaries led to conflicts, while some states levied duties on neighboring goods.

Shays's Rebellion erupted in Massachusetts, with desperate farmers demanding relief from debt. It proved the weakness of the Articles by showing that the Federal government could do nothing to stop it.

Conservatives pushed for a stronger central government, arguing that mobocracy threatened stability, and despite differing views, both critics and supporters acknowledged the need to strengthen the Confederation.

The economic outlook began to improve before the drafting of the Constitution, with signs of recovery and a resurgence in overseas shipping.

A Convention of "Demigods"

Interstate disputes over commerce prompted Virginia to call for a convention at Annapolis, where representatives from only five states showed.

Alexander Hamilton, saving the day, called upon Congress to hold a Constitutional convention in Philadelphia the following year to revise the Articles of Confederation.

The delegates, appointed by state legislatures and including prominent figures like George Washington, Benjamin Franklin, James Madison, and Alexander Hamilton, convened in secrecy with Washington as chairman. Notable leaders like Jefferson, Adams, and Paine were absent.

This famous painting depicts the constitutional convention and shows Washington, the chairman, standing on the right side of the picture. Image: Constitution Facts.

Patriots in Philadelphia

The Constitutional Convention brought together fifty-five predominantly conservative and well-to-do delegates, including lawyers, merchants, and land speculators.

Motivated by a desire to strengthen the young Republic and address the weaknesses of the Articles of Confederation, they aimed to establish a stable political structure.

Concerns over trade challenges from Britain and threats posed by events like Shays's Rebellion underscored the need for a stronger central authority.

Despite their different backgrounds, the delegates shared a goal of curbing unchecked democracy, preserving unity, defending against mobocracy, and crafting a lasting Constitution to protect and guide the nation.

The Constitutional Convention brought together people from different backgrounds, but generally they were well-to-do people who had a background in foreign policy. They were young (average age 42) and 19/55 owned slaves. They held common goals, including defending against unchecked democracy and mobocracy, and strengthening the government's prestige abroad. Image: Teaching American History.

Hammering Out a Bundle of Compromises

This chart shows the impact of the 3/5's compromise in the amount of representation in the House of Representatives per state. The 3/5 compromise, which counted each slave for 3/5 as a free person for representation calculating purposes, was actualy anti-slavery as it punished southern states more than if each slave was to count as a whole person. Image: Center for the Study of the American Constitution.
The Virginia Plan supported large states, who wanted representation based on population (the VA plan had a bicameral legislature, the first picked by popular vote, the second chamber chosen by the first chamber). On the other hand, the New Jersey plan was in defence of the smaller states, who did not want to be overrun by the interests of the larger, more populus states. Thus it called for each state to have eqaul representation. In the end, the Great Compromise was a mixture of these two plans. Image: Nigerian Scholars.

The delegates, upon arriving in Philadelphia, decided to completely scrap the Articles despite instructions from Congress to simply revise them.

Virginia's "large-state plan" proposed representation in Congress based on population, while New Jersey's "small-state plan" advocated equal representation for all states.

The "Great Compromise" eventually emerged, offering a bicameral legislature with representation based on population in the House of Representatives and equal representation in the Senate.

The Constitution introduced a strong presidency, inspired in part by Massachusetts' successful response to Shays's Rebellion, granting the president executive powers, military command, and the authority to appoint judges.

Additionally, the method of electing the president through the Electoral College was established, and the "three-fifths compromise" addressed the issue of counting slaves for representation purposes.

While not mentioning the word "slave" or "slavery" in the constitution, the convention debated the African slave trade, ultimately allowing it until 1807 (20 years) and subsequently banning it (although slavery and domestic slave trade was still legal).

Articles of Confederation v.s. Constitution

Under Articles of Confederation Under Federal Constitution
A loose confederation of states A firm union of people
1 vote in Congress for each state 2 votes in Senate for each state; representation by population in House (see Art. I, Secs. II, III)
Vote of 9 states in Congress for all important measures Simple majority vote in Congress, subject to presidential veto (see Art. I, Sec. VII, para. 2)
Laws administered loosely by committees of Congress Laws executed by powerful president (see Art. II, Secs. II, III)
No congressional power over commerce Congress to regulate both foreign and interstate commerce (see Art. I, Sec. VIII, para. 3)
No congressional power to levy taxes Extensive power in Congress to levy taxes (see Art. I, Sec. VIII, para. 1)
Limited federal courts Federal courts, capped by Supreme Court (see Art. III)
Unanimity of states for amendment Amendment less difficult (see Art. V)
No authority to act directly upon individuals and no power to coerce states Ample power to enforce laws by coercion of individuals and to some extent of states

Safeguards for Conservatism

Despite the heated debates, the Constitutional Convention reached significant agreement. Economically, the delegates favored sound money and the protection of private property.

They largely agreed on the structure of government, including three branches with checks and balances, although some critics labeled it a "triple-headed monster."

While delegates were wary of unchecked democracy and established safeguards against mob rule (Shays's Rebellion), they also included democratic elements, upholding the principles of republicanism and consent of the governed.

After seventeen weeks of work, only forty-two of the original fifty-five delegates signed the Constitution on September 17, 1787, with three refusing and returning to their states.

The Preamble of the Constitution, in a distribution pamphlet printed in 1787. Image: Wikipedia.

Read the Preamble of the US Constitution:

We the People of the United States, in Order to form a more perfect Union, establish Justice, insure domestic Tranquility, provide for the common defence, 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 Preamble of the US Constitution, original spelling
Read the complete Constitution

The Clash of Federalists and Antifederalists

This map shows the popular opinion differing by region. Costal fishers and those well off were more likely to be federalists, while those in the the backcountry were more likely to be suspicious of the much larger federal government. In this map, orange represents the Anti-Federalist majority and blue the Federalist Majority. In many ways this relates to modern day urban-rural liberal-conservative divide. Image: The American Pageant.

Anticipating that unanimous ratification by all thirteen states would prove impossible, the Framing Fathers devised a plan requiring approval from only nine states through specially elected conventions.

This approach aimed to gain greater popular support, circumventing both Congress and state legislatures. However this pitted Federalists vs Antifederalists.

Antifederalist leaders included Samuel Adams and Patrick Henry, rallying poorer classes, states' rights supporters, and debtors who feared central government power.

Federalists, supported by figures like Washington and Franklin, were wealthier, better organized, and controlled the press.

Antifederalists criticized the Constitution for being antidemocratic, jeopardizing individual freedoms, and lacking a bill of rights, questioning aspects such as standing armies, the absence of annual elections, and the procedure for ratification.

The Great Debate in the States

Special elections were held in various states to choose representatives for the ratifying conventions, with candidates' positions on the Constitution being a key factor.

Small states quickly ratified the Constitution, but in Massachusetts, the absence of a bill of rights concerned Anti-Federalists. For their part, Federalists assurred its addition through amendments.

Nine states had now ratified the Constitution, New Hampshire being the ninth, leaving only Virginia, New York, North Carolina, and Rhode Island as dissenters.

Thus, the Constitution was officially adopted on June 21, 1788, but celebrations were premature as long as the four dissenting states resisted.

This graph shows the year each state ratified the constitution. Only nine states were needed for ratification, at which point it would take effect in those states only. However, the laggard states would be pressured to join, in a strategy by the prominent Federalists. Source: The American Pageant.

The Four Laggard States

Virginia faced strong antifederalist opposition led by figures like Patrick Henry, who criticized the Constitution as a threat to liberty.

Federalist leaders such as George Washington and James Madison supported ratification, which passed by a narrow margin of 89 to 79 after heated debate.

In New York, Alexander Hamilton's persuasive efforts through speeches and newspaper articles, including the influential Federalist Papers, (most famous of which is Federalist No.10 by James Madison) led to a ratification vote of 30 to 27.

North Carolina and Rhode Island initially dissented but later ratified the Constitution after experiencing the functioning of the new government and because of the economic drawbacks of not being in the Union.

The Federalist Papers is a collection of 85 articles and essays written by Alexander Hamilton, James Madison, and John Jay under the collective pseudonym 'Publius' to promote the ratification of the Constitution of the United States. It worked, especially in convincing New York to ratify the constitution, and changed the minds of many individuals. Image: Revolutionary Tours NYC.
This cartoon appeared in the Massachusetts Centinel on August 2, 1788. Note the two laggard states -- North Carolina and Rhode Island -- and especially the sorry condition of Rhode Island. Image: The Monticello Classroom.

A Conservative Triumph

Republicanism and the conservative side triumphed as the US emerged with a constitution with Checks and Balances and a strong central government. Image: Political Dictionary.

The Conservative minority's influence was evident twice: first in the radical revolution against British rule and then in the conservative revolution that replaced the Articles of Confederation.

Despite the victories, only a fraction of adult white males, mainly property owners, voted in the ratifying conventions, indicating potential wider opposition.

The Federalists' conservative approach aimed to restore stability and safeguard against mob rule while upholding republican principles.

This conservative yet innovative Constitution, with its checks and balances, managed to harmonize the ideals of liberty and order, exemplifying the paradoxical coexistence of conservative and radical forces in American history.

The Pursuit of Equality

The era was marked by a surge in equality, with property requirements for voting reduced, titles (Mr. and Mrs.) becoming more accessible, and trade organizations for workers emerging. However much of this equality only extended to White Males.

Separation of church and state advanced, culminating in the Virginia Statute for Religious Freedom.

While the Revolutionary sentiments sparked anti-slavery efforts, complete abolition faltered as national unity was prioritized.

Women's roles evolved under the concept of "civic virtue," with the idea of "republican motherhood" arising, emphasizing women's role in nurturing virtuous citizens through education and moral guidance.

In the late 1700s, the 'Republican Mother' was considered a custodian of civic virtue responsible for upholding the morality of her husband and children and promoting republicanism for the next generation. In this manner, women were encouraged to get an education and were respected in ways that they were not previously. Image: Women & The American Story.

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