Origins of American Government
The Roots of American Democracy
Main Idea
American democracy was shaped by our English political
heritage, colonial experiments in self-government, and a
range of intellectual influences.
ESSENTIAL QUESTIONS
• Which American political ideas derived from an English political
heritage?
• How did colonial governments give English colonists
experience in self-rule?
• What intellectual influences shaped the development of
American political philosophy?
Origins of American Government
The Roots of American Democracy
• The English political heritage of representative government,
limited government, and individual rights influenced the
development of government in the United States.
• From the start, the English colonies in North America
experimented with forms of self-government.
• The English colonists were influenced by ideas from various l
traditions and the works of several Enlightenment thinkers.
• Influences of Magna Carta, English Bill of Rights, Mayflower
Compact and the Fundamental Orders of Connecticut
• The British policy of salutary neglect helped bring on the start
of the American Revolution
Origins of American Government
Cradle of American Democracy
Origins of American Government
The 13 English Colonies
English colonists began to settle parts of North America in the early
1600s, bringing English political theories and methods of governance.
Experiments in Early Governance
• Jamestown’s House of
Burgesses, 1619
• Mayflower Compact, 1620
• Fundamental Orders of
Connecticut, 1639
• Each charter guaranteed colonists
the “rights of Englishmen.”
Types of English Colonies
• Three types established
• Proprietary, based on land grant
to individual or group
• Royal colonies, directly
controlled by king through
appointed governor
• Charter colonies, operated
under charters agreed to by
colony and king; had most
independence from the Crown
Origins of American Government
Contrasting
How were charter colonies and royal
colonies different?
Answer(s): charter colonies—largely self-
governing;
royal colonies—directly
controlled by the Crown through an
appointed governor
Origins of American Government
Origins of American Government
Contrasting
How were New England, Middle & Southern
colonies different?
Answer(s): N England- religious influences, only
small farms, fishing & shipping important, large middle
class of merchants
Middle- large estates, indentured
servants, much cultural & religious diversity, sea ports
Southern- very rural, few towns or cities, plantations w/
slave labor, cash crops
Origins of American Government
English Political Heritage
Colonial government would never be an exact copy of the
British system. Colonial leaders adapted old ideas, based
on English traditions, to a new environment.
Representative Government
• Tradition began in 11th century.
• Evolved into bicameral, or twochamber, legislature
• Nobles comprised Upper House.
• Local representatives participated
in House of Commons.
Limited Government
• Began in 1215 when King John
signed Magna Carta
• Moved from rule of man to rule of
law
• Outlined individual rights which king
could not violate
• Included taxation and trial
provisions
Origins of American Government
English Political Heritage (cont’d.)
Individual Rights
• 1215: King Charles was forced to sign Petition of Right
Required monarchs to obtain Parliamentary approval before
levying new taxes, also could not unlawfully imprison people or
establish military rule during times of peace
• 1689: William & Mary chosen to rule, but had to govern according
to statutes of Parliament
They agreed to grant the English Bill of Rights
• Free speech, protection from cruel & unusual punishment, and
jury trials were guaranteed
• Glorious Revolution established limited monarchy- kings had to
be granted powers by Parliament
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Intellectual Influences
In addition to English traditions, ideas were key to transforming loyal
English colonists first into revolutionaries and then into founders of a
new nation.
Republicanism
• Idea of representative government going back to Greece and Rome
• Highly values citizen participation, public good, civic virtue
• Influences included Aristotle, Machiavelli, de Montesquieu, others
Judeo-Christian Influences
• Religious heritage common to both Christianity and Judaism
• Law and individual rights of divine origin
Origins of American Government
Intellectual Influences (cont’d.)
Enlightenment Thinkers
• Enlightenment—Intellectual movement in 18th century Europe
• Classical liberal concerns addressed in Enlightenment
• Early American leaders believed in people’s natural rights to
life, liberty, and property.
• Social contract—People form a government to protect their
rights
• Philosophers John Locke and Jean-Jacques Rousseau
important contributors to social contract theory
• Economic and civil liberties important as well
Origins of American Government
Summarizing
What intellectual influences shaped the
American views on republican form of
government?
Origins of American Government
What was salutary neglect?
unofficial and long-lasting British policy during
early 1700’s of avoiding strict enforcement of
parliamentary laws, meant to keep the
American colonies obedient to England.
Colonies did their own thing as long as
England profited from colonies
Origins of American Government
Colonies revolt against England
• After the French and Indian War, the colonists rebelled
against British attempts to assert control over the
colonies and against new British taxes:
1. Tea tax
2. Stamp tax
3. Intolerable acts
• In 1775 the Second Continental Congress called for the
writing of a formal Declaration of Independence.
Origins of American Government
American Independence
Main Idea
The British imposed new policies on their American colonies, sparking
rebellion and, in time, the American Revolution.
Reading Focus
• How did British colonial policies lead to American independence?
• What were the aims of the Continental Congress?
• Which ideas and events inspired the Declaration of Independence?
• How did the first state governments reflect the conflict that led to the
American Revolution?
Origins of American Government
The Colonies Become States
Origins of American Government
The Road to Independence
The road that led the American colonies to unite with one another and
break with Great Britain was long and fraught with conflict.
Early Attempts at Unity
• 1643: New England Confederation
formed to defend against threats from
Native Americans and Dutch colonies
• 1854-1763: French and Indian War
spurred new drive toward unity
• 1754: Great Britain urged signing of
treaty with Iroquois Confederation
• Ben Franklin proposed Albany Plan of
Union to control trade, raise armies,
build settlements, equip fleets
Growing Tensions
• Mid-1700s: colonists used to handling
affairs without interference from British
• 1760: King George III began to tighten
control over colonies
• Most colonists viewed selves as loyal
subjects of British Crown
• Parliament began to think colonies had
become too independent
• Following French and Indian War,
Parliament placed new financial
burdens on colonists
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Changes in British Policies
• British victorious in French and Indian War, but incurred massive debts
• Parliament looked to colonies to offset cost of war, defense of colonies
• Enforced trade restrictions benefiting Britain, including series of taxes
• Colonists resented being taxed without their consent.
The Stamp Act Congress
• 1765: Stamp Act: Parliament’s first attempt to tax colonists directly
• Required tax stamp on paper goods such as legal documents and newspapers
• Angry colonists responded with protests; in 1765, delegates from 9 colonies sent strong
protest to king declaring power to tax should remain with colonial assemblies.
Colonial Protests
• 1766: Stamp Act repealed; colonies protested, organized resistance; Boston Massacre
• 1773: Boston Tea Party protested American tea trade given to one British company.
• 1774: New harsh laws, Intolerable Acts, ended all forms of self-rule in Massachusetts.
Origins of American Government
Origins of American Government
Summarizing
What forms of protest did the colonists use
to oppose British policies?
Answer(s): boycotts, rallies, pamphlets,
letter-writing campaigns, and ultimately the
formation of the 1st Continental Congress
Origins of American Government
The Continental Congress
Compromise
• Most colonists held out hope for
compromise to roll back taxes.
• Virginia and Massachusetts assemblies
called for meeting of colonies in
Philadelphia.
Second Continental Congress
• 1775: Second Continental Congress
organized Continental Army, named
George Washington as commander
• Revolutionary War began as colonists
sought independence from Britain
First Continental Congress
• 1774: First Continental Congress
passed Declaration and Resolves
demanding repeal of Intolerable Acts.
• 1775: British rejected demands; British
troops clashed with colonial militia at
Lexington and Concord—the first armed
resistance by colonists.
Common Sense of Democracy
• 1776: The Common Sense pamphlet
argued case for break with England.
• Thomas Paine: independence was the
only “common sense” for colonists
• Saw history of world hanging on
outcome of colonies’ rebellion
Origins of American Government
Making Inferences
According to Paine, why was independence
“common sense”?
Answer(s): Any man could understand that
individual rights were being taken away &
colonists were no longer treated as Englishmencommon sense that separation was only remedy
Origins of American Government
The Declaration of Independence
• Armed conflict at Lexington & Concord and again at Bunker Hill in Boston
occurred months before independence officially declared
• June 7, 1776: resolution proposed to Second Continental Congress to
officially declare independence from Great Britain; resolution passed July 2
• Committee appointed to write formal statement justifying resolution
• Thomas Jefferson wrote most of document, drawing on Virginia Declaration
of Rights adopted by Virginia House of Burgesses one month earlier
• Virginia declaration declared “all men are by nature equally free and
independent and have certain inherent rights” that cannot be denied.
• Echoed philosophy of John Locke that people have rights to “life, liberty and
the pursuit of happiness”
• Also echoed idea of government as social contract based on consent of the
people
• July 4, 1776: Declaration of Independence was adopted. Britain’s thirteen
colonies ceased to exist as new nation emerged.
Origins of American Government
Summarizing
How did John Locke’s ideas inspire the
Declaration of Independence?
Answer(s): Locke’s beliefs in natural rights
and that a government must have the
consent of the people
Origins of American Government
The State Constitutions
By 1780, each of the 13 newly independent states had
adopted its own written constitution. Each tested ideas
about how to design a republican government that
protected individual rights.
Self-Government
Separation of Powers
• All new state constitutions established
republican governments with strong
legislatures with elected representatives.
• Three branches of government:
legislative, executive, judicial
• Voting rights varied from state to state.
• Powers included conducting foreign
affairs, declaring war
• Some states granted the right to vote to
adult male taxpayers, others had
property qualifications; only New Jersey
allowed women to vote.
• States had real power to govern.
• Most legislatures had two houses.
• Some elected governors and judges.
Origins of American Government
The State Constitutions (cont’d.)
Limited Government
• Strong legislative bodies reflected general mistrust of monarchy.
• Colonists did not grant unlimited power to legislatures.
• Annual elections, term limits, separation of powers established as
checks
• Kept powers of governors deliberately weak, limited term
Individual Rights
• Protecting people’s rights seen as way to protect from excesses of
government
• 1780: Massachusetts constitution included bill of rights to protect
individual liberties.
• Liberties included trial by jury, freedom of assembly, and speech.
Origins of American Government
Summarizing
What ideas about government did state
constitutions experiment with?
Answer(s): Self-government, limiting the
power of the executive branch, separation
of powers, and individual rights
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Articles of Confederation
• In 1777 the Second Continental Congress passed the
first official plan for national government (constitution), the
Articles of Confederation.
• Colonists were fighting against tyranny from England, so
the central gov’t was intentionally made weak
• States given much more power than nat’l government
• After the Revolutionary War, weaknesses in the Articles
led to conflicts among the states, sparking calls for a
stronger national government.
Origins of American Government
Articles of Confederation
Main Idea
The states’ first attempt to build a national government, the
Articles of Confederation, proved too weak to last.
Reading Focus
• How was the first national government organized under the
Articles of Confederation?
• What were the weaknesses of the Articles of Confederation?
• What events convinced some American leaders that a stronger
national government was needed?
Origins of American Government
States Become Nation
Origins of American Government
First National Government
Articles of Confederation
• June 1776: new model of
government crafted to build
“firm league of friendship”
among states, retaining
“sovereignty, freedom and
independence”
• June 12, 1777: Articles of
Confederation adopted
• Had to be ratified before going
into force
A Delay in Ratification
• Disputes over control of
western lands delayed the
ratification process.
• Small states feared large states
with claims to western lands
would overpower them.
• Articles were changed to allow
Confederation control over
western lands.
• Articles finally ratified in 1781
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First National Government (cont’d.)
Powers of the
National Government
• Created weak national
government; did not provide for
national court system
• One-house Congress: power to
act on matters of common
interest; admit new states; settle
disputes; coin money; raise
army; declare war; conduct
foreign policy
State Powers
• States retained all powers not
specifically given to Congress
• Powers included: ability to
collect taxes, enforce national
laws
• States required to contribute
funds to national government as
they saw fit
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Summarizing
How did national and state powers differ
under the Articles?
Answer(s): National powers were limited and
specifically cited in the Articles of Confederation. State
powers were all the other powers that were not
specifically cited.
Origins of American Government
Weaknesses of the Articles
• Articles gave Congress key responsibilities, but placed limits that kept it from
effectively enforcing laws and policies
• Without executive branch, national government lacked means to carry out
Congress’s laws
• Without national court system, Congress had to rely on state courts to apply
national laws
• Mostly importantly, Articles denied Congress power to tax
• Difficult to raise funds to repay money borrowed during Revolution
• Lacked authority to regulate trade
• Congress had power to coin money, but not sole power to do so; created
barrier to trade, major obstacles to economic development
• Congress required to have 9 of 13 states to ratify laws, while only one state
could raise objections to block changes in Articles—weakened Congress’s
ability to act swiftly and decisively
Origins of American Government
Summarizing
What were the weaknesses of the Articles of
Confederation?
Answer(s): It had no executive or judicial branch; the
Confederation could not levy taxes, enforce its laws, or
regulate commerce between states; all states had to
agree before the Articles could be changed.
Origins of American Government
Pressures for Stronger Government
Its independence secured with the Treaty of Paris in 1783, the United
States faced a range of challenges that the national government was
ill-equipped to meet. The shortcomings of the government created by
the Articles of Confederation would lead to calls for a new plan of
government.
Northwest Ordinance
• 1787: Northwest Ordinance planned
for settling Northwest Territory
• Included areas now in Illinois, Indiana,
Michigan, Ohio, Minnesota and
Wisconsin—disputed western lands that
had delayed ratification of the Articles
• Created system for admitting new
states, banned slavery, included bill of
rights
Dangers and Unrest
• Most pressing problem: war debts
• 1783: Congress tried to approve tax on
imports but act never ratified and
government went broke
• Postwar depression struck
• States pursued own interests, flouting
national laws; like “13 sovereignties
pulling against each other”
Origins of American Government
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Pressures for Stronger Government (cont’d.)
Shay’s Rebellion
• September 1786: rebellion of Massachusetts farmers facing prospect of losing land
• Revolutionary War Captain Daniel Shays led attacks on courthouses to prevent judges
from foreclosing on farms.
• Shay’s Rebellion swelled to nearly 2,500 by 1787.
• Massachusetts legislature asked Congress for help; Congress had no money or forces
• Shay’s Rebellion showed how feeble the Confederation Congress was and hastened
moves to revise the Articles.
Calls to Revise the Articles
• March 1785: Washington invites representatives from Virginia and Maryland to his
home at Mount Vernon to discuss resolving trade dispute.
• Led to meeting to discuss regulating commerce between all the states
• February 1787: James Madison persuades the Confederation Congress to endorse
meeting for “purpose of revising the Articles of Confederation.”
• May 1787: meeting to strengthen Articles held in Philadelphia
Origins of American Government
Identifying Cause and Effect
What events caused leaders to want to
revise the Articles of Confederation?
Answer(s): Shays’s Rebellion; interstate trade
disputes; inability to levy taxes and pay war
debts
Origins of American Government
Section 4 at a Glance
The Constitutional Convention
• At the Constitutional Convention in Philadelphia, delegates debated
competing plans—the Virginia Plan and the New Jersey Plan—for
how the new government should be organized.
• To finalize the Constitution, delegates compromised on key issues.
Origins of American Government
The Constitutional Convention
Main Idea
Delegates at the Constitutional Convention compromised on key
issues to create a plan for a strong national government.
Reading Focus
• Why did the Constitutional Convention draft a new plan for
government?
• How did the rival plans for the new government differ?
• What other conflicts required the Framers to compromise?
Origins of American Government
Crafting a More Perfect Union
Origins of American Government
Drafting a New Constitution
The Convention Meets
• May 25, 1787: convention gets
underway with representatives of
12 of the 13 states
• Rhode Island, fearing weaker state
powers, sent no delegation.
• Delegates worked to draft the
framework for a new government.
• Meetings were held in strict secrecy
without press or public.
Framers of the Constitution
• 55 delegates, known as Framers of
the Constitution
• One-third had served in the
Continental Army.
• 8 had signed Declaration of
Independence
• George Washington, president of
convention
• James Madison a major influence
Delegates gathered in Philadelphia to revise the Articles of
Confederation, but ended up with an entirely new plan for government.
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Drawing Conclusions
Why did the delegates want to keep the
proceedings quiet?
Answer(s): so delegates would be able to
speak their minds freely
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Rival Plans
The Virginia Plan
• One of two rival plans for creating a new form of government which
emerged at the convention
• Based on the ideas of James Madison, The Virginia Plan called for a
central government divided into three branches—legislative,
executive, judicial—each branch with power to check the others.
• Called for strong national government with power to make laws, levy
taxes, control interstate commerce, override state laws
• Called for bicameral legislature with membership based on state’s
population; lower house members elected directly by the people;
upper house members selected by state legislatures
Origins of American Government
Rival Plans
The New Jersey Plan
• Delegates from small states concerned that Virginia Plan gave too
much power to large states
• The New Jersey Plan called for a strong central government made
up of three branches, but was designed to stick closer to the Articles
of Confederation.
• Called for unicameral legislature
• Each state would have one vote, with equal representation
regardless of its population.
• Despite support from small states, the plan was ultimately rejected at
the Convention.
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Contrasting
How did the Virginia Plan and the New
Jersey Plan differ?
Answer(s): Representation in both houses in the
Virginia Plan’s legislature was based on population,
whereas each state received one vote in the New Jersey
Plan’s unicameral legislature.
Origins of American Government
Conflict and Compromise
For weeks after the rejection of the New Jersey Plan, the Convention was
deadlocked. Tempers flared, and at times it seemed the Convention would
fall apart. In the end, a series of compromises saved the Convention.
The Great Compromise
Compromise Over Slavery
• June 30, 1787: Roger Sherman
presented The Connecticut
Compromise (The Great
Compromise).
• Key points: whether slaves should be
counted as part of state’s population;
whether importation of enslaved people
should be allowed to continue
• Elements of both plans
• Counting slaves would greatly increase
population and power of southern states
• Bicameral legislature: lower house
number based on state’s population,
upper house with two members each
• Lower house elected directly by the
people; upper house selected by state
legislatures
• Three-Fifths Compromise: three-fifths
of enslaved people would be counted to
determine a state’s population.
• Compromise on slave trade allowed it to
continue protected for the next 20 years
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Conflict and Compromise (cont’d.)
Presidential Election
• Some wanted president elected directly by the people; others by the state legislatures
or the national legislature
• Compromise: state electors
• Number of state electors equal to number of representatives in both houses of
Congress; chosen by popular vote
• If no candidate received majority vote, House of Representatives would choose
president
Finalizing the Constitution
• Debated issues, settled disputes, made key decisions during summer of 1787
• Benjamin Franklin said document was as close to perfect as possible, to overlook
parts they did not like and “act heartily and unanimously” in signing Constitution
• Some delegates refused to sign because it did not include a bill of rights.
• 39 delegates from 12 states signed Constitution
• Convention adjourned September 17, 1787
Origins of American Government
Summarizing
What compromises made the Constitution
possible?
Answer(s): Compromises included the Threefifths Compromise, the Great Compromise,
compromises over the Atlantic slave trade, and
the election of the president.
Origins of American Government
Section 5 at a Glance
Ratification and the Bill of Rights
• Ratification of the Constitution involved a heated debate between
those who supported the Constitution and those who opposed it.
• Antifederalists opposed the Constitution because it lacked a bill of
rights.
• The Federalist Papers outlined the key ideas of the Federalists, who
supported the Constitution.
• The struggle for ratification took place in every state.
Origins of American Government
Ratification and the Bill of Rights
Main Idea
Before the Constitution could take effect, a heated debate between
those in favor of the Constitution and those who opposed it took place
in all the states.
Reading Focus
• What were the main points of the disagreement between the
Antifederalists and the Federalists?
• What were the main arguments made by the authors of the Federalist
Papers?
• Why was the Bill of Rights important to the ratification of the
Constitution?
Origins of American Government
The Fight for Ratification
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Antifederalists versus Federalists
• Constitutional Convention adjourned September 17, 1787
• Drastic changes in plan for government surprised some, angered
others
• New national government would
– Greatly reduce powers of state legislatures
– Completely restructure Congress
• Framers outlined process for ratifying Constitution
– Voters in each state to elect representatives to state ratifying convention
– To become law, Constitution had to be ratified by 9 of 13 states
• Two factions
– Federalists supported Constitution
– Antifederalists opposed Constitution
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The Antifederalists
• Recognized need for stronger national government but thought Constitution betrayed
ideals of American Revolution
• Saw document as assault on state sovereignty, republicanism, liberty of the people
• Believed national government would become too powerful
• Strongest criticism—Constitution lacked bill of rights guaranteeing civil liberties
The Federalists
• Enthusiastic supporters of powerful, vigorous national government
• Feared central government that was too strong, but feared weak government more
• Believed sufficiently powerful national government would strengthen fragile union,
promote public good
• Government would be empowered to defend against foreign enemies, regulate trade,
and put down internal disturbances.
• Believed separation of powers in Constitution put limits on government power
Origins of American Government
Contrasting
Over what issues did Antifederalists and
Federalists disagree?
Answer(s): strength of federal government;
restructuring of Congress; power of executive
branch; necessity of bill of rights
Origins of American Government
The Federalist Papers
Writing Team
• Alexander Hamilton, James Madison,
John Jay
• Wrote under pen name, Publius—one
of founders of Roman Republic
• Authored 85 essays total
Defended Constitution
• Papers 10 and 51 argued Constitution
would balance influence of different
factions
• Others explained how principles of
government would limit national
authority, preserve liberty
Best Commentary
• Circulated throughout the states
• Classic statement of American political
theory
• Collectively called the Federalist
Papers
Rebuttal Essays
• Antifederalists published own essays
• Protecting liberty a chief concern
• “Certain unalienable and fundamental
rights…ought to be explicitly
ascertained and fixed.”
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Origins of American Government
Making Inferences
Why were the Federalist Papers written?
Answer(s): to win public support for ratification
of the Constitution
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The Fight for Ratification
Because they did not trust government, the Antifederalists wanted the
basic rights of the people spelled out in the Constitution. The struggle
over the Bill of Rights became a key focus in the fight over ratification.
Winning Over the States
• Federalists better prepared
• Targeted small states
• Delaware first to ratify, December 7,
1787
• Ratification harder in larger, more
powerful states
• Promise of adding bill of rights key to
winning many states
• Eventually all 13 states ratified
Bill of Rights
• First Congress made bill of rights one of
government’s first priorities
• Ideas for these rights had been voiced
in Declaration of Independence,
elsewhere
• December 1791: 10 amendments,
traditionally called the Bill of Rights,
ratified
• Protected freedom of speech, press,
religion, due process, right to fair trial,
trial by jury
Origins of American Government