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140 C

HAPTER 5

Terms & Names

MAIN IDEA

One American's Story

Drafting the

Constitution

•Shays’s Rebellion

•James Madison

•Roger Sherman

•Great

Compromise

•Three-Fifths

Compromise

•federalism

•legislative branch

•executive branch

•judicial branch

•checks and

balances

•electoral college

At the Philadelphia convention

in 1787, delegates rejected

the Articles of Confederation

and created a new

constitution.

The Constitution remains the

basis of our government.

WHY IT MATTERS NOW

Daniel Shays was angry. A veteran of the

Revolutionary War battles at Bunker Hill

and Saratoga, he had returned to his farm

in western Massachusetts. Because of the

heavy debt that he carried, however, he

faced debtors’ prison. Shays felt that he

was the victim of too much taxation.

During the summer and fall of 1786,

farmers like Shays kept demanding that the

courts be closed so they would not lose their

farms to creditors. Their discontent boiled

over into mob action in September of 1786

when Daniel Shays led an army of farmers

to close the courts. In 1787, Shays’s army,

1,200 strong, marched through the snow

toward the arsenal at Springﬁeld.

State ofﬁcials hurriedly called out the militia. Four of the rebels were killed

and the rest were scattered. Clearly, though, if so many farmers were rebelling,

there was something seriously wrong.

Nationalists Strengthen the Government

Shays’s Rebellion, as the farmers’ protest came to be called, caused panic and

dismay throughout the nation. Every state had debt-ridden farmers. Would rebel-

lion spread from Massachusetts elsewhere? Not only was private property in dan-

ger, but so was the new nation’s reputation. As George Washington himself

exclaimed, “What a triumph for our enemies . . . to ﬁnd that we are incapable of

governing ourselves.”

It was clearly time to talk about a stronger national government. In order to

prevent abuse of power, the states had placed such severe limits on the govern-

ment that the government was too weak.

Shays’s Rebellion

in 1786–1787 not

only resulted in

the death of four

rebels but also

unsettled some of

the nation’s

leaders.

▼

p0140-144aspe-0205s2 10/16/02 3:54 PM Page 140

Page 1 of 5

Shaping a New Nation 141

Fearing that the new nation was about to disintegrate, George Washington

addressed this issue.

A PERSONAL VOICE GEORGE WASHINGTON

“ The consequences of . . . [an] inefﬁcient government are too obvious to be

dwelt upon. Thirteen sovereignties pulling against each other, and all tugging at

the federal head will soon bring ruin on the whole. . . . Let us have [government]

by which our lives, liberty, and property will be secured or let us know the worst

at once.

”

CALL FOR CONVENTION

One of the nation’s biggest problems was trade

between the states, which led to quarrels over the taxes that states imposed on

one another’s goods and disagreements over navigation rights. In September

1786, leaders such as James Madison of Virginia and Alexander Hamilton called

a meeting of state delegates to

discuss issues of interstate

trade. Only ﬁve states sent rep-

resentatives to the convention,

held in Annapolis, Maryland.

Delegates decided to call for

another meeting the following

year in Philadelphia to deal

with trade and other problems.

Meanwhile, the disturbing

news of Shays’s Rebellion in

Massachusetts spread through-

out the states. The incident

convinced 12 states to send

delegates to the Philadelphia

convention.

CONVENTION HIGHLIGHTS

In May 1787, delegates from all

the states except Rhode Island

gathered at the Philadelphia

State House—in the same room

in which the Declaration of

Independence had been signed

11 years earlier. In spite of the

sweltering heat, the windows

were tightly closed to prevent

outsiders from eavesdropping

on the discussions.

Most of the 55 delegates

were lawyers, merchants, or

planters. Most were rich, well-

educated men in their thirties

or forties. They included some

of the most outstanding lead-

ers of the time, such as

Benjamin Franklin, Alexander

Hamilton, and George

Washington. Washington was

elected presiding ofﬁcer by a

unanimous vote.

MAIN IDEA

Analyzing

Motives

Why do you

think news of

Shays’s Rebellion

made states

decide to

participate in the

Philadelphia

convention?

JAMES MADISON

1751–1836

The oldest of 12 children,

James Madison grew up in

Virginia. He was a sickly child

who suffered all his life from

physical ailments. Because of

a weak voice, he decided not

to become a minister and

thus entered politics.

Madison’s Virginia Plan

resulted from extensive

research on political systems

that he had done before the

convention. He asked Edmund

Randolph, a fellow delegate

from Virginia, to present the

plan because his own voice

was too weak to be heard

throughout the assembly.

Besides providing brilliant

political leadership, Madison

kept a record of the debates

that took place at the conven-

tion. Because of his plan and

his leadership, Madison is

known as the “Father of the

Constitution.”

ROGER SHERMAN

1721–1793

Born in Massachusetts,

Roger Sherman spoke a New

England dialect that some

people found laughable. As a

young man, he became a suc-

cessful merchant. Sherman

also studied law and became

so active in politics that he

had to quit his business.

Sherman helped draft the

Declaration of Independence.

When he returned to Phila-

delphia in 1787 for the

Constitutional Convention, he

was 66 years old. He intro-

duced a plan—later called

the Great Compromise—that

resolved the issue of state

representation in the national

legislature. Roger Sherman

was the only man to sign the

Continental Association of

1774, the Declaration of

Independence, the Articles of

Confederation, and the

Constitution.

A. Answer They

may have feared

other uprisings.

Shays’s

Rebellion

showed the

weakness of the

national govern-

ment in dealing

with economic

problems.

p0140-144aspe-0205s2 10/16/02 3:54 PM Page 141

Page 2 of 5

142 C

HAPTER 5

MAIN IDEA

Analyzing

Issues

Why was

Sherman’s

compromise a

success?

Conﬂict Leads to Compromise

Most of the delegates recognized the need to strengthen the central government.

Within the ﬁrst ﬁve days of the meeting, they gave up the idea of revising the

Articles of Confederation and decided to form a new government.

BIG STATES VERSUS SMALL STATES

One big issue the delegates faced was

giving fair representation to both large and small states. Madison’s Virginia Plan

proposed a bicameral, or two-house, legislature, with membership based on each

state’s population. The voters would elect members of the lower house, who

would then elect members of the upper house.

Delegates from the small states vigorously objected to the Virginia Plan

because it gave more power to states with large populations. Small states sup-

ported William Paterson’s New Jersey Plan, which proposed a single-house con-

gress in which each state had an equal vote.

Proponents of the plans became deadlocked. Finally, Roger Sherman, a

political leader from Connecticut, suggested the Great Compromise, which

offered a two-house Congress to satisfy both small and big states. Each state

would have equal representation in the Senate, or upper house. The size of the

population of each state would determine its representation in the House of

Representatives, or lower house. Voters of each state would choose members of

the House. The state legislatures would choose members of the Senate.

Sherman’s plan pleased those who favored government by the people insofar

as it allowed voters to choose representatives. It also pleased those who defended

states’ rights insofar as it preserved the power of state legislatures.

SLAVERY-RELATED ISSUES

Representation based on population raised the

question of whether slaves should be counted as people. Southern delegates,

whose states had many slaves, wanted slaves included in the population count

that determined the number of representatives in the House. Northern delegates,

whose states had few slaves, disagreed. Not counting Southern slaves would give the

Northern states more representatives than the Southern states in the House of Repre-

sentatives. The delegates eventually agreed to the Three-Fifths Compromise,

which called for three-ﬁfths of a state’s slaves to be counted as population.

The Three-Fifths Compromise settled the political issue but not

the economic issue of slavery. Slaveholders, especially in the South, worried that

if Congress were given power to regulate foreign trade, it might do away with the

• Authority derives from the people.

• The central government should be

stronger than the states.

• Authority derives from the states.

• The states should remain stronger than

the central government.

• Congress should be composed of

two houses.

• Delegates should be assigned accord-

ing to population.

•A congress of one house should

be preserved.

• Each state should have one vote.

LARGE STATES

VS.SMALL STATES

NORTH VS. SOUTH

STRONG CENTRAL GOVERNMENT VS. STRONG STATES

• Slaves should not be counted when

deciding the number of delegates.

• Slaves should be counted when

levying taxes.

• Slaves should be counted when deter-

mining congressional representation.

• Slaves should not be counted when

levying taxes.

Key Conﬂicts in the Constitutional Convention

B. Answer It

pleased both

those who

favored govern-

ment by the

people, and

those who

defended states’

rights insofar as

it preserved the

power of state

legislatures.

p0140-144aspe-0205s2 10/16/02 3:54 PM Page 142

Page 3 of 5

Checks on the Executive Branch Checks on the Judicial Branch

■ Congress can override a presidential veto

■ Congress approves funding for presidential programs

■ Congress can impeach and remove the president or

other high officials

■ Senate confirms or rejects federal appointments

■ Congress establishes lower federal courts

■ Senate confirms or rejects appointments of judges

■ Congress can impeach and remove federal judges

LEGISLATIVE BRANCH

■ Can veto bills of Congress

■ Can call special sessions

of Congress

■ Can influence public opinion

■ Can propose legislation

■ Appoints federal judges

■ Can pardon or reprieve people

convicted of federal crimes

■ Can decide the meaning

of laws

■ Can declare acts of

Congress unconstitutional

■ Appointed for life, federal

judges are free from

presidential control

■ Can declare presidential

actions unconstitutional

EXECUTIVE BRANCH JUDICIAL BRANCH

Checks on the

Legislative Branch

Checks on the

Judicial Branch

Checks on the

Executive Branch

Checks on the

Legislative Branch

Shaping a New Nation 143

MAIN IDEA

Summarizing

Which powers

were granted to

the national

government and to

the state govern-

ments?

slave trade. To resolve this issue, the convention gave Congress the power to reg-

ulate trade but prevented it from interfering with the slave trade for at least 20

years. Although the proposal passed, not all the delegates agreed with it. James

Madison predicted, “Twenty years will produce all the mischief that can be appre-

hended from the liberty to import slaves. So long a term will be more dishonorable

to the national character than to say nothing about it in the Constitution.”

Creating a New Government

After reaching agreement on questions of slavery and representation, the delegates

dealt with other issues. They divided power between the states and the national

government and separated the national government’s power into three branches.

DIVISION OF POWERS

The new system of government was a form of federalism

that divided power between the national government and the state governments.

The powers granted to the national government by the Constitution are known as

delegated powers, or enumerated powers. These include such powers as control of

foreign affairs, providing national defense, regulating trade between the states, and

coining money. Powers kept by the states are called reserved powers. These include

powers such as providing and supervising education, establishing marriage laws,

and regulating trade within a state.

Both levels of government share such important powers as the right to tax, to

borrow money, and to pay debts. They also share the power to establish courts.

SEPARATION OF POWERS

The delegates protected the rights of the states, but

they also granted some powers exclusively to the national government. At the

same time, they limited the authority of the government. First, they created three

branches of government—a legislative branch to make laws, an executive

branch to carry out laws, and a judicial branch to interpret the law.

Then the delegates established a system of checks and balances to prevent one

branch from dominating the others. (See the chart below.) For example, the president

has considerable power, but the Senate has to approve some of the president’s deci-

sions. The president can veto acts of Congress, but Congress can override a veto by a

The Checks and Balances of the Federal System

C. Answer The

national govern-

ment has the

power to control

foreign affairs,

provide national

defense, regu-

late trade

between the

states, and coin

money. The

states have the

power to pro-

vide and super-

vise education,

establish mar-

riage laws, and

regulate trade

within a state.

p0140-144aspe-0205s2 10/16/02 3:54 PM Page 143

Page 4 of 5

•Shays’s Rebellion

•James Madison

•Roger Sherman

•Great Compromise

•Three-Fifths Compromise

•federalism

•legislative branch

•executive branch

•judicial branch

•checks and balances

•electoral college

1. TERMS & NAMES For each term or name, write a sentence explaining its signiﬁcance.

MAIN IDEA

2. TAKING NOTES

Re-create the web below on your

paper, and ﬁll it in with speciﬁc

issues that were debated.

Choose one issue and explain how

the delegates resolved that issue.

CRITICAL THINKING

3. ANALYZING ISSUES

In what ways did the new system of

government fulﬁll the nation’s need

for a stronger central government

and at the same time allay its fear

of a government having too much

power?

4. SUMMARIZING

What was the Great Compromise

and how did it reconcile the

interests of the small states with

the interests of the more populous

states?

5. EVALUATING DECISIONS

Do you agree or disagree with the

creation of a system of checks and

balances? Explain your answer.

Think About:

• the main task of each branch

• how the branches function

• the efﬁciency of governmental

operations

144 C

HAPTER 5

Issues Debated at the

Constitutional Convention

two-thirds vote. The Supreme Court assumes the power to

interpret the Constitution, but the president appoints the jus-

tices, and Congress can bring them to trial for abuses of power.

The procedure for electing the president reﬂected two

main concerns. Because there were no national political par-

ties and because travel and communication were limited,

there was a fear that the popular vote would be divided

among many regional candidates. Also, many among the

upper classes distrusted and feared the lower classes. Some

did not trust the common people to vote wisely; others

trusted them to vote the upper class out of power. So the del-

egates came up with a new system of electing the president.

Instead of voters choosing the president directly, each state

would choose a number of electors equal to the number of

senators and representatives the state had in Congress. The

group of electors chosen by the states, known as the elec-

toral college, would cast ballots for the candidates.

CREATING THE CONSTITUTION

Finally, the delegates

provided a means of changing the Constitution through the

amendment process. After nearly four months of debate and

compromise, the delegates succeeded in creating a constitu-

tion that was ﬂexible enough to last through the centuries

to come. Yet when George Washington adjourned the con-

vention on September 17, 1787, he was somewhat uncer-

tain about the future of the new plan of government.

Washington remarked to a fellow delegate, “I do not expect

the Constitution to last for more than 20 years.”

The convention’s work was over, but the new govern-

ment could not become a reality until the voters agreed. So

the Constitution of the United States of America was sent to

the Congress, which submitted it to the states for approval.

THE ELECTORAL COLLEGE

Distrust of popular sovereignty

led the framers of the Constitution

to devise a complicated system

of electing the president. The

creation of an electoral college

ensured that a college of electors,

or representatives, would have

the last say in the vote.

In the 2000 presidential elec-

tion, the electoral college played a

decisive role in choosing the presi-

dent. Even though Al Gore won the

popular vote by a margin of

almost 540,000, the electors

gave George W. Bush 271 elec-

toral votes—one vote more than

the 270 votes needed to win the

presidency.

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