AP U.S. History

Student Lecture Notes
Unit 3.1

THE NEW NATION (THE CRITICAL PERIOD): 1783-1789

**John Fiske: The Critical Period (1888): Viewed the era of the Articles of

Confederation as critical to the future of the U.S.

I. Constitution making in the states
    A. Continental Congress in 1776 called upon the colonies to draft new constitutions.
        -- Sovereignty of new states would rest on the authority of the people according
            to the theory of republicanism (representative gov’t)
    B. Features of State Constitutions
        1. Most included a bill of rights: protected liberties from government encroachment.
        2. Most required annual election of officers
        3. All created weak executive and judicial branches by present day standards. Why?
        4. All legislatures were given sweeping powers as the democratic branch of gov't.
        5. Poorer western districts (hitherto disenfranchised) were much better represented.

II. The Economy in the 1780s.
    A.    America suffered a depression during the 1780s.
        1.    Huge national and state debts were left from the Revolution.
        2.    Excessive use of credit to purchase consumer goods after the war (especially

debts to British merchants.
        3.    Lack of currency
        4.    Farmers demanded laws to help their plight – and at times acted violently
        5.    Runaway inflation was ruinous to many citizens
        6.    British companies flooded American ports with goods at very low prices.
    B. Seizure of Loyalist holdings were moderately significant
        1. Many estates were confiscated and cut up into small farms.
        2. Helped accelerate economic democracy
        3. New rich class of conspicuous profiteers emerged
    C. Economic democracy preceded political democracy: land was readily

available and inexpensive.
    D. American manufacturing was bolstered by nonimportation agreements
        1.  Americans lost markets in the British empire (Navigation Laws)
        2.  New commercial outlets compensated for lost ones (Baltic region; Asia)

III.    Foreign Policy challenges of the New Nation
    A. British challenges to U.S.
        1. Refused commercial treaties with U.S.; did not repeal the Navigation Laws.
        2. British remained active along the far reaches of the American frontier.
            a. British sought to maintain an alliance with the Indians and to form a
                barrier to prevent American attack of Canada.
            b. Supplied Indians and encouraged them to raid frontier settlements.
            c. British trading posts on the American frontier still remained
            d. Britain claimed that US broke pledge to pay debts and restore Loyalist

property.
        3. Although some Americans urged economic action against British, Congress
            did not have power to control commerce.
            -- States did not have uniform tariff policy.
    B.    Spain's challenges to U.S.
        1. Closed the Mississippi River at the mouth in 1784
            -- Hurt pioneers in TN & KY, who used New Orleans as port for their goods.
        2. Claimed a large area north of the Gulf of Mexico, including northwestern

Florida which was given to the U.S. by the British in 1783.
        3. Conspired with Indians to keep GA & S.C. hemmed in east of the
            Alleghenies.
            a.    American settlers had expanded at the expense of Native Americans.
            b.    Like Britain, Spain supplied Indians in the Southwest
                    -- Georgia in particular was in danger of being overrun by Creeks.
            c.    Together with England, Spain prevented U.S. from exercising effective
                   control over about 1/2 of its total territory.
        4. Encouraged creation independent state in the Southwest out of American land.
            a.    Many frightened western settlers were ready to go to the Spanish so Indian
raids would stop and for access to the Mississippi.
b.    James Wilkinson, a young American army officer from Kentucky, took
an oath of loyalty to the king of Spain in exchange for trading concessions.
                    i.    Wilkinson urged Kentuckians to set up an independent state, which
                           could then enter into lucrative agreements with the Spanish.
                    ii.    The plot collapsed in 1788 when Spain reopened the Mississippi River.
        5.    Proposed Jay-Gardoqui Treaty (1786) -- Never ratified
            a.    Secured trading rights w/ Spain for northeastern merchants while

recognizing Spain’s supremacy on the Mississippi River.
            b.    Northerners feared that the opening of the west would draw away
                   population, thus draining influence from the East.
                    i.    Real-estate values and markets in the east would be diminished.
                    ii.    Closing off the Mississippi would slow movement west and open
                           markets for the U.S. in the Caribbean.
            c.    Strongly opposed by southern colonies and western territories (KY, TN)
                   who believed New England was gaining at their expense.
                    a.    Created an impulse among some states to break away from U.S.
                    b.    Opposition led others to view a strong central gov’t as only means

to keep U.S. intact.

    C. France
        1. Demanded repayment of money loaned during the war.
        2. Restricted U.S. trade with its profitable West Indies and other ports.

    D. The Mediterranean -- North African Pirates (Barbary Pirates)
        1.    America's Mediterranean commerce was being ravaged by pirates from
               Algiers, Tunis, Tripoli, and Morocco.
            a.    American merchant sailors were either enslaved or held for ransom.
b.    Dey of Algiers did the most damage to American shipping.
            c.    Americans previously had been protected by the British empire.
                    -- Without protection, & without money to pay, U.S. was vulnerable.

IV. Ratifying the Articles of Confederation
    A. Second Continental Congress was weak during the Revolutionary War

1. Only controlled military affairs and foreign policy (not domestic issues)
2. No constitutional authority: individual states were sovereign
B. Ratifying Articles of Confederation (1781)
1. Articles adopted in 1777 but final ratification delayed until 1781
2. Western lands were the main point of contention
a. 7 states had enormous tracts of land extending westward, esp. NY & VA.
b. 6 states, including PA & MD, had no territory beyond Alleghenies.
i. Complained larger states would not have large land holdings if it
wasn't for their help in winning the war.
ii. Argued large states could sell their land to pay off debts incurred
during the war while landless states would have to tax themselves
   iii. Proposed turning western lands into federal lands.
c. Unanimous approval was required to ratify the Articles of Confederation
-- Maryland held out until March 1, 1781 until NY surrendered its
western claims and Virginia seemed ready to do the same.
        d. Congress pledged to create new territories--later become states with
            equal status--from western lands.

V.    America's First Constitution: The Articles of Confederation
        A. Provisions
            1. 13 states joined to deal with common problems, such as foreign affairs.
            2. Congress was the chief agency of the gov't
                a. No executive branch: Americans feared strong executive leaders.
                b. No judicial branch: legal matters left to the individual states
            3. Each state had a single vote: Disproportionate power for small states
            4. Bills required 2/3 vote
5. Amendments to the Articles required unanimous consent (severely
                weakened the effectiveness of the government).

    B.    Articles of Confederation were weak and ineffective
            1. Intentional -- gave individual states more power
            2. Two crippling limitations:
                a.    No power to regulate commerce – resulted in conflicts between states.
                b.    Could not enforce its tax-collection program.
            3. Could not act directly upon individual citizens from a sovereign state.
            4. Vulnerable to revolutionary challenges
                a. Newburgh "Conspiracy" (1783)
                    i. Cause: Soldiers in the Continental Army not paid regularly throughout the
                        war and the money they did receive was often worthless due to inflation.
                    ii. Some high-ranking officers, Congressional nationalists, discussed using
                        the army to force states to surrender more power to the national gov't.
                    iii. Washington successfully appealed to the officers to end the conspiracy.
                b. 1783, threat from dangerous PA soldiers demanding back pay forced
Congress to move temporarily to Princeton, NJ.
                    -- Pennsylvania gov't would not aid or protect the federal Congress.
5. Notwithstanding Article’s weaknesses, it became a significant step

toward the Constitution
D. Landmark Land Laws
        1. Land Ordinance of 1785
            a. Land in the Old Northwest (modern-day Ohio, Indiana, Illinois, Michigan)

would be sold; proceeds to pay national debt.
            b. Region split into townships six miles square, split into 36 sections of 1 sq. mi.
                -- 16th section set aside to be sold for the benefit of public schools.
            c. Contrasted lands south of Ohio River where settlement was disorganized
        2. Northwest Ordinance of 1787
            a. Old Northwest regions would first begin territories, subordinate to federal gov't.
            b. Territories would become a state when it had 60,000 inhabitants; equal status

with other states.
                i.   Significance: By not subordinating states, it ensured peace between

east & west.
                ii. Bill was farsighted: principles were carried over to other frontier areas.
            c. Forbade slavery in Old Northwest—north of the Ohio River.
                i. Major advantage gained by the North; future states would not be slave and
                    ally themselves with the South.
                ii. However, Southerners could cross state lines and reclaim fugitive slaves.

    E.    Failure of the Articles of Confederation
            1. Problems continually plaguing the government.
                a. Requisition system of raising money from states was breaking down.
                b. Interest on the public debt was piling up.
                c. Several states quarreled over boundaries; small armed clashes occurred.
                d. Some states were placing tariffs on goods from other states.
                e. Some states were printing depreciated paper currency.

            2. Shays’ Rebellion (1786): Perhaps most important rebellion in U.S. history
                a. In western Massachusetts, poor backcountry farmers were losing farms
                   due to mortgage foreclosures and tax delinquencies

i. Many were ex-Revolutionary war veterans.
                   ii. Some went to debtors' prisons
                b. Rebellion led by Captain Daniel Shays

i. Debtors demanded cheap paper currency, lower taxes, and

suspension of mortgage foreclosures.

ii. In 1786, Shays organized farmers to march on several cities: closed

courthouses; prevented the courts from seizing any more farms or

throwing debtors into prison.
iii. Next, marched to Springfield where state's Supreme Court was in
     session and where the arsenal was kept.

c. Wealthy New Englanders provided money for a large militia in the region.
                d. Jan. 1787, Shays and 1,200 farmers marched on the arsenal.
                    i. Four farmers died; the rest scattered; the revolt was over
                    ii. Shays was arrested but later pardoned.
                e. Significance:
                    i. Propertied class feared that the Revolution had created a "mobocracy."
                    ii. Many prominent citizens cried out for a stronger central gov't.
                f.    Rebellion was latest in series of west vs. east rebellions in U.S. history
                    i. Bacon’s Rebellion (1676) in Virginia.
                    ii. Leisler’s Rebellion (1691) in New York.
                    iii. Paxton Boys (1764) in Pennsylvania.
                    iv. Regulator Movement (1771) in North Carolina
            3. Annapolis Convention (1786)
                a. Principle purpose: Improve interstate commerce.
                b. Only 5 states showed up.
                c. Alexander Hamilton gained a commitment for a consitutional
                    convention the next year in Philadelphia.
                    -- The purpose would be to overhaul the Articles of Confederation.

VI.    Creation of the Constitution
    A. The Constitutional Convention
        1.    Each state sent participants (except R.I.)
                a. Leaders were all appointed by the state legislatures, whose members had
                    been elected by voters who could qualify as property owners.
                b. 55 delegates convened on May 25, 1787 in the Philadelphia statehouse.
                c.  Most all were men of high prestige and conservative
                     -- Jefferson, in Paris, called the group a "convention of demigods"
                d. Strong anti-nationalists like Patrick Henry, Richard Henry Lee, and
                    Samuel Adams did not attend.
                e. Washington elected chairman; presided over the convention.
                f. Notables present: Madison, Franklin, Hamilton

        2.    Sessions were held in complete secrecy
                -- Delegates did not want to advertise their dissension or give fuel to
                    the opposition.

B.    James Madison—"Father of the Constitution"
        1.    Three major concepts Madison brought with him to the Convention that
               became part of the Constitution:
                a.    National principle: National gov’t should be stronger than the states.
                       -- Believed federal gov't drew its power from the people, not the states.
                b.    Separation of powers: influenced the eventual structure of gov’t.
                       i.    Each independent of each other with specified powers.
                       ii.    Improve upon state legislatures that dominated, esp. lower house.
                c.    Benefit of an "extended republic" to control faction and limit negative
                       impact of self-serving politicians (later Federalist X)
        2. "Father" title somewhat of a misnomer as others contributed heavily as
            well (especially Charles Pinckney, Roger Sherman, & James Wilson)

    C.    Articles of Confederation were scrapped
            1.    Went against Congress's explicit wish to revise the gov't not replace it.
            2.    In effect, U.S. government was peacefully overthrown
            3.    States were now in danger of losing their sovereignty

    D.    The issue of representation in Congress was the biggest issue of the Convention.
            1.    Two major plans debated regarding representation in Congress:
                    a.    "The Large-State Plan" (Virginia Plan) -- written by Madison
                        i. Representation in both houses of a bicameral Congress should be
based on population—"proportional representation."
                        ii. Larger states would thus have a political advantage.
                    b.    "The Small-State Plan" (New Jersey Plan)
                        i. "Equal representation" in a unicameral Congress by states, regardless
of size & population.
                        ii. Weaker states feared that under Virginia's plan stronger states
                            would join together and dominate the rest.
                    c.    The impasse threatened to break up the convention.
            2. The "Great Compromise" (Connecticut Compromise) -- Roger Sherman
                    a.    Smaller states conceded representation by population in the
                           House of Representatives.
                    b. Larger states conceded equal representation in the Senate
                        -- Each state would have two senators.
                    c. Every tax bill would originate in the House since big states would have
to pay a larger portion of taxes.
                    d. Large states benefited more from the compromise.

    E. Strong, independent executive branch created.
        1. Contrasted with state constitutions which provided for weak governors

-- Washington's sterling reputation earned the trust of the delegates.
        2. Presidential powers:
            a. military commander in chief
            b. wide powers to appoint domestic offices including judgeships.
            c. veto of legislation.
        3. Electoral College to be used to elect president rather than direct vote.
            a.    Electors would be chosen by the states; electors would cast their votes
            b.    Vast majority of the people excluded from voting for president.

F. North-South issues came to dominate the convention
1. Slavery was the biggest issue.
            a. Northern states apparently compromised on slavery issues in order to gain
                passage of the Northwest Ordinance which banned slavery north of the

Ohio River.
            b. "Three-fifths" Compromise"
                i. North argued slaves should not be counted since they were not citizens.
                    -- Proposing abolition would have ended the convention
                ii. South argued their smaller population would lead to northern domination.
                iii. Compromise: Slaves would count as 3/5 of a person for representation
purposes in the House.
                iv. Equality was sacrificed for union.
                    -- Most northerners and many southerners believed slavery would
                        eventually die out.
                    -- Most northerners also believed blacks inferior and could
                        work only as menial laborers.
            c. African slave trade to end in 1808.
                i. Most states wanted to immediately end the importation of slaves.
                   -- By 1779 all states except the deep south had outlawed importation.
                ii. S.C. & GA protested; claimed need for slave labor in rice production.
            d. Fugitive slave provision allowed southerners to cross state lines to reclaim
their "property."
                -- This is another example of northerners caving in to southern demands.
2.    Commerce Compromise
            a.  Resolved conflict between agricultural (slave) and more industrial

(northern) states.
            b. Congress could tax imports but not exports.
            c.    Major irony of the North-South compromises:
                    i.    South gave up power to the North because it expected South

would soon be dominant anyway as population increased in

the southwest.
                    ii.   The North gave up slavery to the South because it thought slavery
                          would eventually die out anyway.
                    iii.  Both sides were mistaken.

G.    Checks & Balances/ separation of powers
        1. Idea advocated by Baron de Montesquieu -- Spirit of the Laws, 1762

-- However, his view was based on separating gov't based on class.
        2. Three branches of gov't: based on separation of powers based on function
                a. Executive: enforces the law
                b. Legislative: makes the law
                c. Judiciary: interprets the law

H. The "elastic clause" (Article I, Section 8, paragraph 18)
        1.    "Congress shall have the power to… make all Laws which shall be

necessary and proper for carrying into Execution the foregoing Powers…"
        2.    Nationalists wanted to giver broader power to the federal gov’t.
                a.    States’ rights advocates wanted enumeration of powers to limit

federal government's power.
                b.   Clause gave Congress the flexibility to meet the social and technological
                      changes of  the past two centuries.

     I. Congress gained the right to regulate commerce, both foreign and domestic.
--    "Supremacy Clause"
            a.    The Constitution became the "supreme law of the Land."
            b.    Federal power superceded state power.

J.  Conservative safeguards
        1. Purpose was to check the excesses of the "mob"
            -- Convention delegates were unanimous in believing that

manhood-suffrage democracy was dangerous
        2. Safeguards:
            a. Federal judges were appointed for life
            b. President was elected indirectly by the Electoral College
            c. Senators chosen indirectly by state legislatures
        3. Only the House of Representatives were permitted to choose their officials
            by direct vote of qualified (propertied white male) citizens.

    K. Constitution based on principle that the only legitimate gov't was one based
         on the consent of the governed. (John Locke)
1.    "We the People..."
2.    Older theory of the social contract replaced by idea that the people
                delegate their authority to the gov’t.
    L.    Why no Bill of Rights?
            1.    Since most states’ bill of rights often began with "all men are by nature

born free", Southerners believed it would hypocritical to include such a

statement when slavery was provided for in the Constitution.
            2.    States already had their own bills of rights and states’ righters believed
that these should remain binding.
            3.    Some delegates feared a new gov’t might feel free to do anything that

was not expressly prohibited in a new Bill of Rights.
            4.    Most important practical reason: delegates believed they had reached

a fragile consensus that could collapse if new revisions were to be
                  considered

    M.    Ratification of the Constitution would require 9 states
            1. Provision adopted over concerns support was not unanimous

(required by Articles of Confederation)
            2. If ratified, Constitution would be supreme law of the land in those
               states that ratified it.
            3. Congress submitted the Constitution to the states (without recommendations)
                a. People shocked that the Articles of Confederation was to be scrapped.
                    -- Secrecy had left the country in the dark.
                b. Many feared sovereignty would end

VII. Ratification Debate in the States: pro-Constitution advocates vs. antifederalists
    A. Special elections held in the various states for members of ratifying conventions.
    B. Four small states quickly ratified: DE, NJ, GA, CT
        -- Constitution ("Great Compromise") favored small states in the Senate
    C. Pennsylvania first large state to ratify
    D. Massachusetts was the critical test
        1. Failure to ratify could have effectively killed the Constitution.
        2. Main issue became lack of a bill of rights in the Constitution
            -- Federalists promised the first Congress would add one by amendment.
        4. Ratification passed 187-168
    E. Three more states ratified: MD, SC, NH
    F. Constitution officially adopted on June 21, 1788.
    G. Last four states: Ratified because they had to; not because they wanted to
        1. Virginia, largest & most populous state, strongly anti-federalist
            a. Patrick Henry among the fiercest critics; Constitution would kill liberty.
            b. Washington, Madison, & John Marshall influential on the Federalist side.
            c. James Mason: "Father of the Bill of Rights"
                -- Refused to sign the Constitution until these rights were added.
            d. Virginia ratified shortly after Constitution was ratified by 9 states.
                -- Did not want to be an isolated independent state.
        2. New York
            a. Only state to have manhood-suffrage vote for members of the

ratifying convention.
            b. The Federalist Papers (85 in all)
i.    Alexander Hamilton, John Jay and James Madison wrote an
                      influential series of articles for the New York newspapers
                ii.    Most important commentary ever written on the Constitution
iii.    Federalist X by Madison is the most famous
                    -- Refuted conventional belief that it was impossible to extend
                        a republican form of government over a large territory.
        3. South Carolina & Rhode Island
            a. Ratified only after the Constitution had been in effect for several months.
            b. Both states ruggedly individualist
            c. Rhode Island only state not to attend the Constitutional convention

Bibliography:
Bailey, Thomas A., Kennedy, David M.: The American Pageant, 10th edition,

Lexington, Massachusetts: D.C. Heath, 1994
Bailyn, Bernard, The Ideological Origins of the American Revolution, Cambridge,
    Massachusetts: Belknep, 1967
College Board, Advanced Placement Course Description: United States
    History, College Entrance Examination Board, 2002
Collier, Christopher and James Lincoln: Decision in Philadelphia: The

Constitutional Convention of 1787, New York: Ballantine Books, 1986
Foner, Eric & Garraty, John A. editors: The Reader’s Companion to American

History, Boston: Houghton MifflinCompany, 1991
Hofstadter, Richard, The American Political Tradition, New York: Alfred

Knopf, 1948
Morgan, Edmund S., The Birth of The Republic: 1763-89, 3rd edition, Chicago:

University of Chicago, 1992
Nash, Gary : American Odyssey, Lake Forest, Illinois: Glencoe, 1992
Schultz, Constance G., The American History Videodisc Master Guide, Annapolis,

Maryland: Instruction Resources Corporation, 1995
Wood, Gordon, Radicalism of the American Revolution, New York: Vintage

Books, 1991
Yanak, Ted and Cornelison, Pam, The Great American History Fact-Finder,

Boston: Houghton Mifflin Co., 1993
Zinn, Howard, A People’s History of the United States, New York: Harper and

Row, 1980