This is a modern-English version of The Federalist Papers, originally written by Hamilton, Alexander, Jay, John, Madison, James. It has been thoroughly updated, including changes to sentence structure, words, spelling, and grammar—to ensure clarity for contemporary readers, while preserving the original spirit and nuance. If you click on a paragraph, you will see the original text that we modified, and you can toggle between the two versions.

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THE FEDERALIST PAPERS



By

Alexander Hamilton,

John Jay,

James Madison










CONTENTS

TABLE OF CONTENTS








FEDERALIST No. 1. General Introduction

For the Independent Journal. Saturday, October 27, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

AFTER an unequivocal experience of the inefficacy of the subsisting federal government, you are called upon to deliberate on a new Constitution for the United States of America. The subject speaks its own importance; comprehending in its consequences nothing less than the existence of the UNION, the safety and welfare of the parts of which it is composed, the fate of an empire in many respects the most interesting in the world. It has been frequently remarked that it seems to have been reserved to the people of this country, by their conduct and example, to decide the important question, whether societies of men are really capable or not of establishing good government from reflection and choice, or whether they are forever destined to depend for their political constitutions on accident and force. If there be any truth in the remark, the crisis at which we are arrived may with propriety be regarded as the era in which that decision is to be made; and a wrong election of the part we shall act may, in this view, deserve to be considered as the general misfortune of mankind.

AFTER seeing clearly how ineffective the current federal government is, it's time for you to consider a new Constitution for the United States of America. The topic speaks for itself; its outcomes involve nothing less than the survival of the UNION, the safety and well-being of its components, and the destiny of an empire that is among the most fascinating in the world. It has often been noted that it seems to be up to the people of this country, through their actions and example, to answer the crucial question of whether groups of people can truly create a good government based on thought and choice, or if they are doomed to rely on chance and force for their political structures. If this observation holds any truth, the moment we find ourselves in can rightly be seen as the time when that decision will be made; and making the wrong choice in how we proceed could be viewed as a significant misfortune for all humanity.

This idea will add the inducements of philanthropy to those of patriotism, to heighten the solicitude which all considerate and good men must feel for the event. Happy will it be if our choice should be directed by a judicious estimate of our true interests, unperplexed and unbiased by considerations not connected with the public good. But this is a thing more ardently to be wished than seriously to be expected. The plan offered to our deliberations affects too many particular interests, innovates upon too many local institutions, not to involve in its discussion a variety of objects foreign to its merits, and of views, passions and prejudices little favorable to the discovery of truth.

This idea will combine the motivations of charity with those of patriotism, increasing the concern that all thoughtful and decent people must feel for the outcome. It would be great if our decision was based on a careful understanding of our true interests, free from distractions and biases unrelated to the public good. However, this is more something to wish for than to realistically expect. The plan we are considering impacts too many specific interests and changes too many local systems, which will inevitably bring into the conversation various issues unrelated to its merits, along with opinions, emotions, and biases that aren't helpful for uncovering the truth.

Among the most formidable of the obstacles which the new Constitution will have to encounter may readily be distinguished the obvious interest of a certain class of men in every State to resist all changes which may hazard a diminution of the power, emolument, and consequence of the offices they hold under the State establishments; and the perverted ambition of another class of men, who will either hope to aggrandize themselves by the confusions of their country, or will flatter themselves with fairer prospects of elevation from the subdivision of the empire into several partial confederacies than from its union under one government.

One of the biggest challenges the new Constitution will face is the clear interest of certain groups of people in each state who want to oppose any changes that could threaten their power, pay, and status tied to the state systems. Additionally, there’s the misguided ambition of another group, who either hope to benefit from the chaos in their country or mistakenly believe they have better chances of advancing their positions if the country is divided into smaller confederacies rather than united under a single government.

It is not, however, my design to dwell upon observations of this nature. I am well aware that it would be disingenuous to resolve indiscriminately the opposition of any set of men (merely because their situations might subject them to suspicion) into interested or ambitious views. Candor will oblige us to admit that even such men may be actuated by upright intentions; and it cannot be doubted that much of the opposition which has made its appearance, or may hereafter make its appearance, will spring from sources, blameless at least, if not respectable—the honest errors of minds led astray by preconceived jealousies and fears. So numerous indeed and so powerful are the causes which serve to give a false bias to the judgment, that we, upon many occasions, see wise and good men on the wrong as well as on the right side of questions of the first magnitude to society. This circumstance, if duly attended to, would furnish a lesson of moderation to those who are ever so much persuaded of their being in the right in any controversy. And a further reason for caution, in this respect, might be drawn from the reflection that we are not always sure that those who advocate the truth are influenced by purer principles than their antagonists. Ambition, avarice, personal animosity, party opposition, and many other motives not more laudable than these, are apt to operate as well upon those who support as those who oppose the right side of a question. Were there not even these inducements to moderation, nothing could be more ill-judged than that intolerant spirit which has, at all times, characterized political parties. For in politics, as in religion, it is equally absurd to aim at making proselytes by fire and sword. Heresies in either can rarely be cured by persecution.

However, I don’t intend to focus on observations like this. I understand that it would be unfair to assume that any group of people is solely driven by self-interest or ambition just because they might be viewed with suspicion. We must acknowledge that even those individuals may have good intentions, and it’s clear that a lot of the opposition we see now or might see in the future will come from sources that are at least blameless, if not respectable—the honest mistakes of people misled by their own biases and fears. There are so many strong influences that can skew our judgment that we often see wise and decent people on both sides of major social issues. Recognizing this should teach us to be more moderate, especially if we’re convinced we’re right in a debate. Additionally, we should remember that we cannot always assume that those who support the truth have more noble motives than their opponents. Ambition, greed, personal grudges, party loyalty, and various other not-so-admirable motives can affect both sides of an argument. Even without these reasons for moderation, it would be misguided to embrace the intolerant attitudes that have historically defined political factions. In politics, just like in religion, trying to force people to change their beliefs through aggression is pointless. You can rarely change someone’s beliefs by persecuting them.

And yet, however just these sentiments will be allowed to be, we have already sufficient indications that it will happen in this as in all former cases of great national discussion. A torrent of angry and malignant passions will be let loose. To judge from the conduct of the opposite parties, we shall be led to conclude that they will mutually hope to evince the justness of their opinions, and to increase the number of their converts by the loudness of their declamations and the bitterness of their invectives. An enlightened zeal for the energy and efficiency of government will be stigmatized as the offspring of a temper fond of despotic power and hostile to the principles of liberty. An over-scrupulous jealousy of danger to the rights of the people, which is more commonly the fault of the head than of the heart, will be represented as mere pretense and artifice, the stale bait for popularity at the expense of the public good. It will be forgotten, on the one hand, that jealousy is the usual concomitant of love, and that the noble enthusiasm of liberty is apt to be infected with a spirit of narrow and illiberal distrust. On the other hand, it will be equally forgotten that the vigor of government is essential to the security of liberty; that, in the contemplation of a sound and well-informed judgment, their interest can never be separated; and that a dangerous ambition more often lurks behind the specious mask of zeal for the rights of the people than under the forbidden appearance of zeal for the firmness and efficiency of government. History will teach us that the former has been found a much more certain road to the introduction of despotism than the latter, and that of those men who have overturned the liberties of republics, the greatest number have begun their career by paying an obsequious court to the people; commencing demagogues, and ending tyrants.

And yet, no matter how valid these feelings may be, there are already enough signs to show that this will unfold just like in previous instances of major national debates. A flood of anger and malicious emotions will be unleashed. Judging by how the opposing parties act, it seems they will both hope to prove their viewpoints right and grow their followers through the volume of their arguments and the intensity of their criticisms. A passionate commitment to a strong and effective government will be labeled as a desire for authoritarian control and an enemy of freedom. A hyper-vigilant concern for protecting people's rights, which often stems more from logic than emotion, will be seen as mere insincerity and manipulation, an outdated tactic for gaining popularity at the expense of the greater good. On one side, it will be overlooked that jealousy often accompanies love, and that the noble passion for freedom can be tainted by narrow-minded and uncharitable doubts. On the other side, it will also be forgotten that a robust government is crucial for safeguarding liberty; that, when viewed through a balanced and informed perspective, their interests can never truly be divided; and that dangerous ambition often hides behind the appealing guise of concern for people's rights more than it does behind the unwelcome appearance of a commitment to the stability and effectiveness of government. History shows us that the former has proven to be a much more reliable path to tyranny than the latter, and among those who have destroyed the freedoms of republics, most began their journey by flattering the public, starting as demagogues and ending as tyrants.

In the course of the preceding observations, I have had an eye, my fellow-citizens, to putting you upon your guard against all attempts, from whatever quarter, to influence your decision in a matter of the utmost moment to your welfare, by any impressions other than those which may result from the evidence of truth. You will, no doubt, at the same time, have collected from the general scope of them, that they proceed from a source not unfriendly to the new Constitution. Yes, my countrymen, I own to you that, after having given it an attentive consideration, I am clearly of opinion it is your interest to adopt it. I am convinced that this is the safest course for your liberty, your dignity, and your happiness. I affect not reserves which I do not feel. I will not amuse you with an appearance of deliberation when I have decided. I frankly acknowledge to you my convictions, and I will freely lay before you the reasons on which they are founded. The consciousness of good intentions disdains ambiguity. I shall not, however, multiply professions on this head. My motives must remain in the depository of my own breast. My arguments will be open to all, and may be judged of by all. They shall at least be offered in a spirit which will not disgrace the cause of truth.

Throughout my previous comments, I’ve aimed to make you aware of any attempts, from any source, to sway your decision on something that’s incredibly important to your well-being, through any influences other than the evidence of truth. You’ve likely noticed that the overall message comes from a place that is not entirely against the new Constitution. Yes, my fellow citizens, I admit that after careful consideration, I firmly believe it’s in your best interest to adopt it. I’m convinced that this is the safest path for your freedom, dignity, and happiness. I'm not holding back feelings I don’t have. I won’t pretend to deliberate when I’ve already made up my mind. I openly share my beliefs with you and will lay out the reasons behind them. The awareness of my good intentions eliminates any vagueness. However, I won’t dwell on this point too much. My motives belong only to me. My arguments will be available to everyone and can be judged by all. They will at least be shared in a manner that doesn’t undermine the cause of truth.

I propose, in a series of papers, to discuss the following interesting particulars:

I plan to discuss the following interesting details in a series of papers:

THE UTILITY OF THE UNION TO YOUR POLITICAL PROSPERITY THE INSUFFICIENCY OF THE PRESENT CONFEDERATION TO PRESERVE THAT UNION THE NECESSITY OF A GOVERNMENT AT LEAST EQUALLY ENERGETIC WITH THE ONE PROPOSED, TO THE ATTAINMENT OF THIS OBJECT THE CONFORMITY OF THE PROPOSED CONSTITUTION TO THE TRUE PRINCIPLES OF REPUBLICAN GOVERNMENT ITS ANALOGY TO YOUR OWN STATE CONSTITUTION and lastly, THE ADDITIONAL SECURITY WHICH ITS ADOPTION WILL AFFORD TO THE PRESERVATION OF THAT SPECIES OF GOVERNMENT, TO LIBERTY, AND TO PROPERTY.

THE BENEFITS OF THE UNION FOR YOUR POLITICAL SUCCESS THE INADEQUACY OF THE CURRENT CONFEDERATION TO MAINTAIN THAT UNION THE NEED FOR A GOVERNMENT AT LEAST AS POWERFUL AS THE ONE PROPOSED, TO ACHIEVE THIS GOAL THE ALIGNMENT OF THE PROPOSED CONSTITUTION WITH THE TRUE PRINCIPLES OF REPUBLICAN GOVERNMENT ITS SIMILARITY TO YOUR OWN STATE CONSTITUTION and finally, THE ADDED PROTECTION THAT ITS ADOPTION WILL PROVIDE FOR THE MAINTENANCE OF THAT TYPE OF GOVERNMENT, FOR LIBERTY, AND FOR PROPERTY.

In the progress of this discussion I shall endeavor to give a satisfactory answer to all the objections which shall have made their appearance, that may seem to have any claim to your attention.

In the course of this discussion, I will do my best to provide satisfactory answers to any objections that may arise and deserve your consideration.

It may perhaps be thought superfluous to offer arguments to prove the utility of the UNION, a point, no doubt, deeply engraved on the hearts of the great body of the people in every State, and one, which it may be imagined, has no adversaries. But the fact is, that we already hear it whispered in the private circles of those who oppose the new Constitution, that the thirteen States are of too great extent for any general system, and that we must of necessity resort to separate confederacies of distinct portions of the whole.(1) This doctrine will, in all probability, be gradually propagated, till it has votaries enough to countenance an open avowal of it. For nothing can be more evident, to those who are able to take an enlarged view of the subject, than the alternative of an adoption of the new Constitution or a dismemberment of the Union. It will therefore be of use to begin by examining the advantages of that Union, the certain evils, and the probable dangers, to which every State will be exposed from its dissolution. This shall accordingly constitute the subject of my next address.

It might seem unnecessary to present reasons showing the value of the UNION, a belief that is surely held deep in the hearts of many people in every State, and one that appears to have no opposition. However, the truth is that we are already hearing murmurs among those opposing the new Constitution, suggesting that the thirteen States are too large for any unified system, and that we will inevitably need to rely on separate confederacies for different parts of the whole. This viewpoint will likely spread gradually until it has enough supporters to openly endorse it. For anyone able to look at the bigger picture, it’s clear that we face a choice between adopting the new Constitution or breaking apart the Union. Therefore, it will be beneficial to start by examining the advantages of the Union, the definite problems it would face, and the potential risks that every State will face if it falls apart. This will be the focus of my next address.

PUBLIUS

PUBLIUS

1. The same idea, tracing the arguments to their consequences, is held out in several of the late publications against the new Constitution.

1. The same idea, following the arguments to their conclusions, is presented in several of the recent publications opposing the new Constitution.





FEDERALIST No. 2. Concerning Dangers from Foreign Force and Influence

For the Independent Journal. Wednesday, October 31, 1787

JAY

JAY

To the People of the State of New York:

To the People of New York State:

WHEN the people of America reflect that they are now called upon to decide a question, which, in its consequences, must prove one of the most important that ever engaged their attention, the propriety of their taking a very comprehensive, as well as a very serious, view of it, will be evident.

WHEN the people of America realize that they now have to make a decision that could be one of the most significant issues they’ve ever faced, it becomes clear that it's important for them to approach it with both a broad and serious perspective.

Nothing is more certain than the indispensable necessity of government, and it is equally undeniable, that whenever and however it is instituted, the people must cede to it some of their natural rights in order to vest it with requisite powers. It is well worthy of consideration therefore, whether it would conduce more to the interest of the people of America that they should, to all general purposes, be one nation, under one federal government, or that they should divide themselves into separate confederacies, and give to the head of each the same kind of powers which they are advised to place in one national government.

Nothing is more certain than the essential need for government, and it’s also clear that whenever and however it’s established, the people must give up some of their natural rights to grant it the necessary powers. It’s important to consider whether it would be more beneficial for the people of America to be one nation under a single federal government, or to split into separate confederacies and grant each one the same powers that are recommended for a national government.

It has until lately been a received and uncontradicted opinion that the prosperity of the people of America depended on their continuing firmly united, and the wishes, prayers, and efforts of our best and wisest citizens have been constantly directed to that object. But politicians now appear, who insist that this opinion is erroneous, and that instead of looking for safety and happiness in union, we ought to seek it in a division of the States into distinct confederacies or sovereignties. However extraordinary this new doctrine may appear, it nevertheless has its advocates; and certain characters who were much opposed to it formerly, are at present of the number. Whatever may be the arguments or inducements which have wrought this change in the sentiments and declarations of these gentlemen, it certainly would not be wise in the people at large to adopt these new political tenets without being fully convinced that they are founded in truth and sound policy.

Until recently, it was a widely accepted belief that the prosperity of the American people relied on their unity, and the wishes, prayers, and efforts of our best and smartest citizens have consistently focused on that goal. However, there are now politicians who argue that this belief is wrong, claiming that instead of finding safety and happiness in unity, we should pursue it by dividing the States into separate confederacies or sovereignties. Although this new idea may seem strange, it does have supporters, including some individuals who previously opposed it. Whatever the arguments or reasons behind this shift in the views and statements of these individuals, it would not be wise for the general public to embrace these new political beliefs without being fully convinced that they are based on truth and sound policy.

It has often given me pleasure to observe that independent America was not composed of detached and distant territories, but that one connected, fertile, wide-spreading country was the portion of our western sons of liberty. Providence has in a particular manner blessed it with a variety of soils and productions, and watered it with innumerable streams, for the delight and accommodation of its inhabitants. A succession of navigable waters forms a kind of chain round its borders, as if to bind it together; while the most noble rivers in the world, running at convenient distances, present them with highways for the easy communication of friendly aids, and the mutual transportation and exchange of their various commodities.

I've often enjoyed noticing that independent America isn't made up of scattered and distant lands, but rather one connected, fertile, expansive country that belongs to our western sons of liberty. Providence has especially blessed it with diverse soils and produce, and it's crisscrossed with countless streams to delight and support its residents. A series of navigable waters forms a kind of chain around its borders, as if to hold it together; while the most magnificent rivers in the world, flowing at convenient intervals, provide highways for the easy exchange of friendly support and the transportation and trade of their various goods.

With equal pleasure I have as often taken notice that Providence has been pleased to give this one connected country to one united people—a people descended from the same ancestors, speaking the same language, professing the same religion, attached to the same principles of government, very similar in their manners and customs, and who, by their joint counsels, arms, and efforts, fighting side by side throughout a long and bloody war, have nobly established general liberty and independence.

With the same pleasure, I've frequently noticed that Providence has chosen to give this united country to one people—people who come from the same ancestors, speak the same language, share the same religion, are dedicated to the same principles of government, and are very similar in their behaviors and traditions. By working together, fighting side by side during a long and bloody war, they have bravely established general liberty and independence.

This country and this people seem to have been made for each other, and it appears as if it was the design of Providence, that an inheritance so proper and convenient for a band of brethren, united to each other by the strongest ties, should never be split into a number of unsocial, jealous, and alien sovereignties.

This country and its people seem like they were meant for each other, and it feels like it was part of a higher plan that such a suitable and beneficial inheritance for a group of brothers, bonded by the strongest connections, should never be divided into separate, unfriendly, jealous, and foreign governments.

Similar sentiments have hitherto prevailed among all orders and denominations of men among us. To all general purposes we have uniformly been one people each individual citizen everywhere enjoying the same national rights, privileges, and protection. As a nation we have made peace and war; as a nation we have vanquished our common enemies; as a nation we have formed alliances, and made treaties, and entered into various compacts and conventions with foreign states.

Similar feelings have been shared among all groups and types of people among us. For all practical purposes, we have consistently been one nation, with every citizen enjoying the same national rights, privileges, and protections everywhere. As a country, we have made decisions for peace and war; as a country, we have defeated our common enemies; as a country, we have established alliances, made treaties, and entered into various agreements and conventions with other nations.

A strong sense of the value and blessings of union induced the people, at a very early period, to institute a federal government to preserve and perpetuate it. They formed it almost as soon as they had a political existence; nay, at a time when their habitations were in flames, when many of their citizens were bleeding, and when the progress of hostility and desolation left little room for those calm and mature inquiries and reflections which must ever precede the formation of a wise and well-balanced government for a free people. It is not to be wondered at, that a government instituted in times so inauspicious, should on experiment be found greatly deficient and inadequate to the purpose it was intended to answer.

A strong appreciation for the value and benefits of unity motivated the people, at a very early stage, to create a federal government to maintain and sustain it. They established it almost as soon as they became politically organized; in fact, at a time when their homes were burning, when many of their citizens were wounded, and when the ongoing conflict and destruction left little room for the calm and thoughtful discussions needed to establish a wise and balanced government for a free society. It's not surprising that a government created during such unfavorable times would, upon evaluation, be found significantly lacking and inadequate for its intended purpose.

This intelligent people perceived and regretted these defects. Still continuing no less attached to union than enamored of liberty, they observed the danger which immediately threatened the former and more remotely the latter; and being persuaded that ample security for both could only be found in a national government more wisely framed, they as with one voice, convened the late convention at Philadelphia, to take that important subject under consideration.

This intelligent group recognized and regretted these flaws. While they remained just as committed to unity as they were to freedom, they noticed the immediate threat to the former and the more distant risk to the latter. Believing that true security for both could only be achieved through a better-designed national government, they unanimously called for the recent convention in Philadelphia to discuss this important issue.

This convention composed of men who possessed the confidence of the people, and many of whom had become highly distinguished by their patriotism, virtue and wisdom, in times which tried the minds and hearts of men, undertook the arduous task. In the mild season of peace, with minds unoccupied by other subjects, they passed many months in cool, uninterrupted, and daily consultation; and finally, without having been awed by power, or influenced by any passions except love for their country, they presented and recommended to the people the plan produced by their joint and very unanimous councils.

This gathering of men, who had the trust of the people and many of whom had earned great respect for their patriotism, integrity, and wisdom during difficult times, took on a challenging task. In the calm period of peace, with their minds free from other concerns, they spent several months engaged in thoughtful, uninterrupted discussions. Ultimately, without being intimidated by authority or swayed by anything other than a love for their country, they presented and advocated for the plan developed by their collective and strongly united deliberations.

Admit, for so is the fact, that this plan is only RECOMMENDED, not imposed, yet let it be remembered that it is neither recommended to BLIND approbation, nor to BLIND reprobation; but to that sedate and candid consideration which the magnitude and importance of the subject demand, and which it certainly ought to receive. But this (as was remarked in the foregoing number of this paper) is more to be wished than expected, that it may be so considered and examined. Experience on a former occasion teaches us not to be too sanguine in such hopes. It is not yet forgotten that well-grounded apprehensions of imminent danger induced the people of America to form the memorable Congress of 1774. That body recommended certain measures to their constituents, and the event proved their wisdom; yet it is fresh in our memories how soon the press began to teem with pamphlets and weekly papers against those very measures. Not only many of the officers of government, who obeyed the dictates of personal interest, but others, from a mistaken estimate of consequences, or the undue influence of former attachments, or whose ambition aimed at objects which did not correspond with the public good, were indefatigable in their efforts to persuade the people to reject the advice of that patriotic Congress. Many, indeed, were deceived and deluded, but the great majority of the people reasoned and decided judiciously; and happy they are in reflecting that they did so.

Admit, for that is the truth, that this plan is only RECOMMENDED, not imposed. However, it should be noted that it's not meant for BLIND approval or BLIND rejection; rather, it calls for thoughtful and open consideration, which the significance and impact of the topic demand, and which it absolutely deserves. But this (as previously mentioned in this paper) is more to be hoped for than expected, that it will be approached and examined in such a way. Past experiences remind us not to be too optimistic about this. It's still remembered how serious concerns about immediate danger led the people of America to create the notable Congress of 1774. That assembly suggested specific actions to their constituents, and time proved their wisdom; yet we vividly recall how quickly the press started to flood with pamphlets and weekly papers opposing those very actions. Not only were many government officials motivated by personal interests, but others, due to a flawed understanding of the outcomes, the overbearing influence of past loyalties, or ambitions at odds with the public good, worked tirelessly to convince the people to dismiss the advice of that patriotic Congress. Many, indeed, were misled, but the vast majority of the people reasoned and made wise decisions; and they are glad to reflect on that.

They considered that the Congress was composed of many wise and experienced men. That, being convened from different parts of the country, they brought with them and communicated to each other a variety of useful information. That, in the course of the time they passed together in inquiring into and discussing the true interests of their country, they must have acquired very accurate knowledge on that head. That they were individually interested in the public liberty and prosperity, and therefore that it was not less their inclination than their duty to recommend only such measures as, after the most mature deliberation, they really thought prudent and advisable.

They believed that the Congress was made up of many wise and experienced individuals. Since they came together from different parts of the country, they shared and exchanged a wealth of valuable information. During the time they spent discussing and exploring the genuine interests of their nation, they must have gained a very accurate understanding of those matters. They each had a vested interest in public freedom and prosperity, so it was both their desire and their responsibility to suggest only those actions they genuinely considered to be wise and advisable after careful thought.

These and similar considerations then induced the people to rely greatly on the judgment and integrity of the Congress; and they took their advice, notwithstanding the various arts and endeavors used to deter them from it. But if the people at large had reason to confide in the men of that Congress, few of whom had been fully tried or generally known, still greater reason have they now to respect the judgment and advice of the convention, for it is well known that some of the most distinguished members of that Congress, who have been since tried and justly approved for patriotism and abilities, and who have grown old in acquiring political information, were also members of this convention, and carried into it their accumulated knowledge and experience.

These and similar factors made the people rely heavily on the judgment and integrity of the Congress; they followed their advice, despite various attempts to sway them otherwise. While the public had reason to trust the Congress members, most of whom had not been fully tested or widely recognized, they now have even more reason to respect the judgment and advice of the convention. It's well-known that some of the most prominent members of that Congress, who have since proven themselves as patriots and skilled leaders, and who have spent years gaining political insight, were also part of this convention, bringing their valuable knowledge and experience with them.

It is worthy of remark that not only the first, but every succeeding Congress, as well as the late convention, have invariably joined with the people in thinking that the prosperity of America depended on its Union. To preserve and perpetuate it was the great object of the people in forming that convention, and it is also the great object of the plan which the convention has advised them to adopt. With what propriety, therefore, or for what good purposes, are attempts at this particular period made by some men to depreciate the importance of the Union? Or why is it suggested that three or four confederacies would be better than one? I am persuaded in my own mind that the people have always thought right on this subject, and that their universal and uniform attachment to the cause of the Union rests on great and weighty reasons, which I shall endeavor to develop and explain in some ensuing papers. They who promote the idea of substituting a number of distinct confederacies in the room of the plan of the convention, seem clearly to foresee that the rejection of it would put the continuance of the Union in the utmost jeopardy. That certainly would be the case, and I sincerely wish that it may be as clearly foreseen by every good citizen, that whenever the dissolution of the Union arrives, America will have reason to exclaim, in the words of the poet: "FAREWELL! A LONG FAREWELL TO ALL MY GREATNESS."

It’s important to note that not just the first Congress, but every Congress after, along with the recent convention, has consistently agreed with the people that America’s success relies on its Union. Keeping it intact was the main goal of the people when they created that convention, and it’s also the primary purpose of the plan the convention has recommended they adopt. So, what’s the rationale for the attempts by some individuals at this moment to downplay the importance of the Union? Why suggest that three or four separate confederacies would be better than one? I firmly believe that the people have always understood this issue correctly, and their widespread and consistent support for the cause of the Union is based on strong and significant reasons, which I will try to outline and explain in some upcoming writings. Those advocating for the idea of replacing the proposed plan of the convention with several distinct confederacies seem to clearly anticipate that rejecting it would put the continued existence of the Union in serious danger. That would definitely be the case, and I sincerely hope every responsible citizen recognizes that when the Union ultimately falls apart, America will have cause to lament, in the words of the poet: "FAREWELL! A LONG FAREWELL TO ALL MY GREATNESS."

PUBLIUS

PUBLIUS





FEDERALIST No. 3. The Same Subject Continued (Concerning Dangers From Foreign Force and Influence)

For the Independent Journal. Saturday, November 3, 1787

JAY

JAY

To the People of the State of New York:

To the People of New York:

IT IS not a new observation that the people of any country (if, like the Americans, intelligent and wellinformed) seldom adopt and steadily persevere for many years in an erroneous opinion respecting their interests. That consideration naturally tends to create great respect for the high opinion which the people of America have so long and uniformly entertained of the importance of their continuing firmly united under one federal government, vested with sufficient powers for all general and national purposes.

It’s not a new insight that people in any country (especially intelligent and informed ones like the Americans) rarely stick to a mistaken belief about their interests for long. This realization naturally leads to a strong respect for the high regard that Americans have consistently held about the importance of staying united under one federal government, empowered enough to handle all general and national needs.

The more attentively I consider and investigate the reasons which appear to have given birth to this opinion, the more I become convinced that they are cogent and conclusive.

The more carefully I examine and explore the reasons that seem to have led to this opinion, the more convinced I become that they are strong and definitive.

Among the many objects to which a wise and free people find it necessary to direct their attention, that of providing for their SAFETY seems to be the first. The SAFETY of the people doubtless has relation to a great variety of circumstances and considerations, and consequently affords great latitude to those who wish to define it precisely and comprehensively.

Among the many things that a wise and free society needs to focus on, ensuring their SAFETY seems to be the top priority. The SAFETY of the people is undoubtedly linked to many different factors and considerations, giving a lot of room for those who want to define it clearly and thoroughly.

At present I mean only to consider it as it respects security for the preservation of peace and tranquillity, as well as against dangers from FOREIGN ARMS AND INFLUENCE, as from dangers of the LIKE KIND arising from domestic causes. As the former of these comes first in order, it is proper it should be the first discussed. Let us therefore proceed to examine whether the people are not right in their opinion that a cordial Union, under an efficient national government, affords them the best security that can be devised against HOSTILITIES from abroad.

Right now, I only want to focus on how it relates to security in maintaining peace and calm, as well as protecting against threats from foreign weapons and influence, just like the dangers that could arise from domestic issues. Since the first point is the most important, it makes sense to discuss it first. So, let's look into whether people are correct in thinking that a strong Union, under an effective national government, provides them with the best protection against hostilities from outside.

The number of wars which have happened or will happen in the world will always be found to be in proportion to the number and weight of the causes, whether REAL or PRETENDED, which PROVOKE or INVITE them. If this remark be just, it becomes useful to inquire whether so many JUST causes of war are likely to be given by UNITED AMERICA as by DISUNITED America; for if it should turn out that United America will probably give the fewest, then it will follow that in this respect the Union tends most to preserve the people in a state of peace with other nations.

The number of wars that have occurred or will occur in the world will always relate to the number and significance of the causes, whether REAL or PRETENDED, that PROVOKE or INVITE them. If this observation is correct, it becomes important to ask whether United America is likely to provide fewer JUST causes for war than Disunited America; because if it turns out that United America is likely to produce the fewest, then it follows that, in this regard, the Union helps keep the people in a state of peace with other nations.

The JUST causes of war, for the most part, arise either from violation of treaties or from direct violence. America has already formed treaties with no less than six foreign nations, and all of them, except Prussia, are maritime, and therefore able to annoy and injure us. She has also extensive commerce with Portugal, Spain, and Britain, and, with respect to the two latter, has, in addition, the circumstance of neighborhood to attend to.

The legitimate reasons for war mostly come from breaking treaties or direct violence. America has already made treaties with at least six foreign countries, and all of them, except Prussia, are maritime nations, which makes it possible for them to disturb and harm us. We also have significant trade with Portugal, Spain, and Britain, and, concerning the latter two, we have to consider our close proximity to them.

It is of high importance to the peace of America that she observe the laws of nations towards all these powers, and to me it appears evident that this will be more perfectly and punctually done by one national government than it could be either by thirteen separate States or by three or four distinct confederacies.

It is crucial for America's peace to follow international laws regarding all these nations, and it seems clear to me that this would be better and more consistently handled by one national government than by thirteen separate states or three or four different confederacies.

Because when once an efficient national government is established, the best men in the country will not only consent to serve, but also will generally be appointed to manage it; for, although town or country, or other contracted influence, may place men in State assemblies, or senates, or courts of justice, or executive departments, yet more general and extensive reputation for talents and other qualifications will be necessary to recommend men to offices under the national government,—especially as it will have the widest field for choice, and never experience that want of proper persons which is not uncommon in some of the States. Hence, it will result that the administration, the political counsels, and the judicial decisions of the national government will be more wise, systematical, and judicious than those of individual States, and consequently more satisfactory with respect to other nations, as well as more SAFE with respect to us.

Because once an efficient national government is established, the best people in the country will not only agree to serve but will also usually be appointed to manage it. Although local influences may place individuals in state assemblies, senates, courts, or executive departments, a broader and more widespread reputation for skills and other qualifications will be necessary to recommend individuals for positions in the national government. This is especially true since it will have a larger pool of candidates and won’t face the common issue of lacking qualified individuals found in some states. As a result, the administration, political guidance, and judicial decisions of the national government will be wiser, more organized, and more thoughtful than those of individual states, making them more satisfactory in dealings with other nations and also safer for us.

Because, under the national government, treaties and articles of treaties, as well as the laws of nations, will always be expounded in one sense and executed in the same manner,—whereas, adjudications on the same points and questions, in thirteen States, or in three or four confederacies, will not always accord or be consistent; and that, as well from the variety of independent courts and judges appointed by different and independent governments, as from the different local laws and interests which may affect and influence them. The wisdom of the convention, in committing such questions to the jurisdiction and judgment of courts appointed by and responsible only to one national government, cannot be too much commended.

Because, under the national government, treaties and agreements, as well as international laws, will always be interpreted in the same way and enforced consistently—while decisions on the same issues in thirteen states or in three or four confederacies may not always match or be uniform. This inconsistency arises from the variety of independent courts and judges appointed by different and separate governments, as well as the different local laws and interests that may impact and influence them. The wisdom of the convention in assigning such questions to the jurisdiction and judgment of courts appointed by and accountable only to one national government cannot be praised enough.

Because the prospect of present loss or advantage may often tempt the governing party in one or two States to swerve from good faith and justice; but those temptations, not reaching the other States, and consequently having little or no influence on the national government, the temptation will be fruitless, and good faith and justice be preserved. The case of the treaty of peace with Britain adds great weight to this reasoning.

Because the chance of immediate loss or gain can sometimes lead the ruling party in one or two states to act out of good faith and fairness; however, since these temptations don’t affect the other states and thus don’t really impact the national government, those temptations will end up being pointless, allowing good faith and justice to prevail. The situation of the peace treaty with Britain strongly supports this argument.

Because, even if the governing party in a State should be disposed to resist such temptations, yet as such temptations may, and commonly do, result from circumstances peculiar to the State, and may affect a great number of the inhabitants, the governing party may not always be able, if willing, to prevent the injustice meditated, or to punish the aggressors. But the national government, not being affected by those local circumstances, will neither be induced to commit the wrong themselves, nor want power or inclination to prevent or punish its commission by others.

Because even if the ruling party in a state wants to resist such temptations, these temptations often come from unique circumstances within the state and can impact many residents. The ruling party may not always be able, even if they want to, to stop the planned injustice or to punish the wrongdoers. However, the national government, which isn’t influenced by local circumstances, won’t be swayed to commit the wrong themselves, nor will they lack the power or desire to prevent or punish others from doing so.

So far, therefore, as either designed or accidental violations of treaties and the laws of nations afford JUST causes of war, they are less to be apprehended under one general government than under several lesser ones, and in that respect the former most favors the SAFETY of the people.

So far, as either intentional or unintentional violations of treaties and international laws provide legitimate reasons for war, these are less likely to occur under a single central government than under multiple smaller ones, and in that regard, the former is more conducive to the safety of the people.

As to those just causes of war which proceed from direct and unlawful violence, it appears equally clear to me that one good national government affords vastly more security against dangers of that sort than can be derived from any other quarter.

As for the just reasons for war that come from direct and unlawful violence, it seems equally clear to me that a strong national government provides much more security against such dangers than can be found anywhere else.

Because such violences are more frequently caused by the passions and interests of a part than of the whole; of one or two States than of the Union. Not a single Indian war has yet been occasioned by aggressions of the present federal government, feeble as it is; but there are several instances of Indian hostilities having been provoked by the improper conduct of individual States, who, either unable or unwilling to restrain or punish offenses, have given occasion to the slaughter of many innocent inhabitants.

Because such violence is more often caused by the passions and interests of a few rather than the entire body; by one or two states instead of the Union. Not a single Indian war has been caused by the actions of the current federal government, weak as it is; however, there are several cases where Indian hostilities were triggered by the inappropriate actions of individual states, which, whether unable or unwilling to control or punish offenses, have led to the deaths of many innocent people.

The neighborhood of Spanish and British territories, bordering on some States and not on others, naturally confines the causes of quarrel more immediately to the borderers. The bordering States, if any, will be those who, under the impulse of sudden irritation, and a quick sense of apparent interest or injury, will be most likely, by direct violence, to excite war with these nations; and nothing can so effectually obviate that danger as a national government, whose wisdom and prudence will not be diminished by the passions which actuate the parties immediately interested.

The mix of Spanish and British territories, which borders some states and not others, naturally limits the causes of conflict to those living along the borders. The neighboring states, if there are any, are the ones that, in a moment of sudden anger or a strong sense of self-interest or harm, are most likely to initiate violence and provoke war with these nations. Nothing can prevent that threat more effectively than a national government, whose wisdom and sound judgment won't be clouded by the emotions driving the people most directly affected.

But not only fewer just causes of war will be given by the national government, but it will also be more in their power to accommodate and settle them amicably. They will be more temperate and cool, and in that respect, as well as in others, will be more in capacity to act advisedly than the offending State. The pride of states, as well as of men, naturally disposes them to justify all their actions, and opposes their acknowledging, correcting, or repairing their errors and offenses. The national government, in such cases, will not be affected by this pride, but will proceed with moderation and candor to consider and decide on the means most proper to extricate them from the difficulties which threaten them.

But not only will the national government provide fewer justifications for war, but it will also be better equipped to resolve and settle conflicts peacefully. They will be more measured and rational, and in this way, as well as others, they will be more capable of making informed decisions than the offending state. The pride of states, just like that of individuals, often leads them to defend all their actions and makes it hard for them to admit, correct, or address their mistakes. In these situations, the national government won’t be influenced by that pride but will instead approach the issue with moderation and honesty, considering and deciding on the best ways to get out of the difficulties they face.

Besides, it is well known that acknowledgments, explanations, and compensations are often accepted as satisfactory from a strong united nation, which would be rejected as unsatisfactory if offered by a State or confederacy of little consideration or power.

Besides, it's well-known that acknowledgments, explanations, and compensations are often accepted as adequate from a strong, united nation, but would be rejected as inadequate if offered by a state or confederation of little significance or power.

In the year 1685, the state of Genoa having offended Louis XIV., endeavored to appease him. He demanded that they should send their Doge, or chief magistrate, accompanied by four of their senators, to FRANCE, to ask his pardon and receive his terms. They were obliged to submit to it for the sake of peace. Would he on any occasion either have demanded or have received the like humiliation from Spain, or Britain, or any other POWERFUL nation?

In 1685, the state of Genoa offended Louis XIV. and tried to make things right. He insisted that they send their Doge, or chief magistrate, along with four senators to France to ask for his forgiveness and learn his conditions. They had to agree to this for the sake of peace. Would he have ever asked for or accepted such humiliation from Spain, Britain, or any other powerful nation?

PUBLIUS

PUBLIUS





FEDERALIST No. 4. The Same Subject Continued (Concerning Dangers From Foreign Force and Influence)

For the Independent Journal. Wednesday, November 7, 1787

JAY

JAY

To the People of the State of New York:

To the People of New York State:

MY LAST paper assigned several reasons why the safety of the people would be best secured by union against the danger it may be exposed to by JUST causes of war given to other nations; and those reasons show that such causes would not only be more rarely given, but would also be more easily accommodated, by a national government than either by the State governments or the proposed little confederacies.

MY LAST paper outlined several reasons why the safety of the people would be best protected through unity against the threats posed by just causes of war from other nations; these reasons demonstrate that such causes would not only occur less frequently but would also be more easily managed by a national government than by state governments or the suggested small confederacies.

But the safety of the people of America against dangers from FOREIGN force depends not only on their forbearing to give JUST causes of war to other nations, but also on their placing and continuing themselves in such a situation as not to INVITE hostility or insult; for it need not be observed that there are PRETENDED as well as just causes of war.

But the safety of the people of America against threats from foreign forces depends not only on their willingness to avoid giving legitimate reasons for war to other nations but also on their positioning themselves in a way that doesn’t invite hostility or insult. It’s important to note that there are both pretended and just reasons for war.

It is too true, however disgraceful it may be to human nature, that nations in general will make war whenever they have a prospect of getting anything by it; nay, absolute monarchs will often make war when their nations are to get nothing by it, but for the purposes and objects merely personal, such as thirst for military glory, revenge for personal affronts, ambition, or private compacts to aggrandize or support their particular families or partisans. These and a variety of other motives, which affect only the mind of the sovereign, often lead him to engage in wars not sanctified by justice or the voice and interests of his people. But, independent of these inducements to war, which are more prevalent in absolute monarchies, but which well deserve our attention, there are others which affect nations as often as kings; and some of them will on examination be found to grow out of our relative situation and circumstances.

It's unfortunately true, no matter how shameful it may be, that nations will often go to war whenever they see a chance to gain something from it. In fact, absolute monarchs will frequently start wars even when their countries have nothing to gain, merely for personal reasons like a desire for military fame, revenge for slights, ambition, or agreements to strengthen their own families or allies. These and a range of other motivations, which only the leader considers, often drive them into conflicts that aren’t justified by justice or the will and interests of their people. Besides these reasons for war, which are more common in absolute monarchies and deserve our attention, there are other factors that influence nations just as much as kings; and some of these can be traced back to our specific situations and circumstances.

With France and with Britain we are rivals in the fisheries, and can supply their markets cheaper than they can themselves, notwithstanding any efforts to prevent it by bounties on their own or duties on foreign fish.

With France and Britain, we compete in the fisheries, and we can provide their markets at a lower cost than they can themselves, despite their attempts to stop us with subsidies for their own fish or tariffs on foreign fish.

With them and with most other European nations we are rivals in navigation and the carrying trade; and we shall deceive ourselves if we suppose that any of them will rejoice to see it flourish; for, as our carrying trade cannot increase without in some degree diminishing theirs, it is more their interest, and will be more their policy, to restrain than to promote it.

With them and with most other European countries, we are competitors in shipping and trade. We would be fooling ourselves if we think any of them will be pleased to see our trade thrive, because our trade can’t grow without somewhat reducing theirs. So, it’s more in their interest—and it will be more in their strategy—to limit rather than support it.

In the trade to China and India, we interfere with more than one nation, inasmuch as it enables us to partake in advantages which they had in a manner monopolized, and as we thereby supply ourselves with commodities which we used to purchase from them.

In trade with China and India, we engage with multiple nations, as this allows us to benefit from advantages they had largely monopolized, and we can now obtain goods that we used to buy from them.

The extension of our own commerce in our own vessels cannot give pleasure to any nations who possess territories on or near this continent, because the cheapness and excellence of our productions, added to the circumstance of vicinity, and the enterprise and address of our merchants and navigators, will give us a greater share in the advantages which those territories afford, than consists with the wishes or policy of their respective sovereigns.

The expansion of our trade in our own ships won’t be welcomed by any nations that have land on or near this continent. This is because the affordability and quality of our goods, combined with our proximity and the skills of our merchants and sailors, will grant us a larger portion of the benefits from those territories than what is desired by their rulers.

Spain thinks it convenient to shut the Mississippi against us on the one side, and Britain excludes us from the Saint Lawrence on the other; nor will either of them permit the other waters which are between them and us to become the means of mutual intercourse and traffic.

Spain finds it convenient to block the Mississippi from us on one side, while Britain keeps us out of the Saint Lawrence on the other; neither will allow the other waters between them and us to serve as channels for mutual interaction and trade.

From these and such like considerations, which might, if consistent with prudence, be more amplified and detailed, it is easy to see that jealousies and uneasinesses may gradually slide into the minds and cabinets of other nations, and that we are not to expect that they should regard our advancement in union, in power and consequence by land and by sea, with an eye of indifference and composure.

From these considerations, which could be further elaborated upon if it were wise to do so, it's clear that jealousy and unease can gradually creep into the minds and administrations of other nations. We shouldn't expect them to look at our growth in unity, power, and influence both on land and at sea with indifference or calmness.

The people of America are aware that inducements to war may arise out of these circumstances, as well as from others not so obvious at present, and that whenever such inducements may find fit time and opportunity for operation, pretenses to color and justify them will not be wanting. Wisely, therefore, do they consider union and a good national government as necessary to put and keep them in SUCH A SITUATION as, instead of INVITING war, will tend to repress and discourage it. That situation consists in the best possible state of defense, and necessarily depends on the government, the arms, and the resources of the country.

The people of America recognize that incentives for war may emerge from these circumstances, as well as from other less obvious factors. They understand that when such incentives find the right time and opportunity to take action, there will be no shortage of excuses to justify them. Therefore, they wisely view unity and a strong national government as essential to create and maintain a situation that, rather than inviting war, will help to suppress and discourage it. This situation relies on being in the best possible state of defense, which depends on the government, the military, and the resources of the country.

As the safety of the whole is the interest of the whole, and cannot be provided for without government, either one or more or many, let us inquire whether one good government is not, relative to the object in question, more competent than any other given number whatever.

As the safety of everyone is everyone’s concern, and it can’t be ensured without some form of government—whether it’s one, several, or many—let’s consider whether a single effective government isn’t more capable regarding the matter at hand than any other number of governments, no matter how many.

One government can collect and avail itself of the talents and experience of the ablest men, in whatever part of the Union they may be found. It can move on uniform principles of policy. It can harmonize, assimilate, and protect the several parts and members, and extend the benefit of its foresight and precautions to each. In the formation of treaties, it will regard the interest of the whole, and the particular interests of the parts as connected with that of the whole. It can apply the resources and power of the whole to the defense of any particular part, and that more easily and expeditiously than State governments or separate confederacies can possibly do, for want of concert and unity of system. It can place the militia under one plan of discipline, and, by putting their officers in a proper line of subordination to the Chief Magistrate, will, as it were, consolidate them into one corps, and thereby render them more efficient than if divided into thirteen or into three or four distinct independent companies.

One government can gather and utilize the talents and experience of the best individuals, no matter where they are in the country. It can operate on consistent policies. It can unify, integrate, and support all its parts and members, extending the benefits of its foresight and precautions to everyone. When forming treaties, it will consider the interests of the entire nation as well as the specific interests of individual parts in relation to the whole. It can mobilize the resources and power of the entire nation to defend any specific area, and do so more efficiently and swiftly than state governments or separate confederations can manage due to a lack of coordination and a unified system. It can organize the militia under one training plan, and by placing their officers in a proper hierarchy under the Chief Magistrate, it essentially consolidates them into one unit, making them more effective than if they were split into thirteen or just a few distinct independent companies.

What would the militia of Britain be if the English militia obeyed the government of England, if the Scotch militia obeyed the government of Scotland, and if the Welsh militia obeyed the government of Wales? Suppose an invasion; would those three governments (if they agreed at all) be able, with all their respective forces, to operate against the enemy so effectually as the single government of Great Britain would?

What would the militia of Britain look like if the English militia followed the government of England, if the Scottish militia followed the government of Scotland, and if the Welsh militia followed the government of Wales? Imagine there was an invasion; would those three governments (if they could even come to an agreement) be able to coordinate their forces effectively against the enemy like the single government of Great Britain could?

We have heard much of the fleets of Britain, and the time may come, if we are wise, when the fleets of America may engage attention. But if one national government, had not so regulated the navigation of Britain as to make it a nursery for seamen—if one national government had not called forth all the national means and materials for forming fleets, their prowess and their thunder would never have been celebrated. Let England have its navigation and fleet—let Scotland have its navigation and fleet—let Wales have its navigation and fleet—let Ireland have its navigation and fleet—let those four of the constituent parts of the British empire be under four independent governments, and it is easy to perceive how soon they would each dwindle into comparative insignificance.

We’ve heard a lot about Britain’s fleets, and the time might come, if we're smart, when America’s fleets will grab attention. But if a single national government hadn't organized Britain’s navigation to make it a training ground for seamen—if a single national government hadn't utilized all national resources to create fleets—their strength and power would never have been recognized. Let England have its navigation and fleet—let Scotland have its navigation and fleet—let Wales have its navigation and fleet—let Ireland have its navigation and fleet—if those four parts of the British empire were under four separate governments, it’s easy to see how quickly each would become relatively insignificant.

Apply these facts to our own case. Leave America divided into thirteen or, if you please, into three or four independent governments—what armies could they raise and pay—what fleets could they ever hope to have? If one was attacked, would the others fly to its succor, and spend their blood and money in its defense? Would there be no danger of their being flattered into neutrality by its specious promises, or seduced by a too great fondness for peace to decline hazarding their tranquillity and present safety for the sake of neighbors, of whom perhaps they have been jealous, and whose importance they are content to see diminished? Although such conduct would not be wise, it would, nevertheless, be natural. The history of the states of Greece, and of other countries, abounds with such instances, and it is not improbable that what has so often happened would, under similar circumstances, happen again.

Apply these facts to our situation. If we leave America split into thirteen or, if you prefer, into three or four separate governments—what armies could they gather and fund—what navies could they ever hope to have? If one was under attack, would the others rush to help, risking their resources and lives to defend it? Wouldn’t there be a risk of them being lured into staying neutral by deceptive promises, or tempted by a strong desire for peace to ignore the threat to their own stability and safety for the sake of neighbors, whom they might be envious of, and whose importance they’d be okay with seeing decline? While such behavior wouldn’t be smart, it would still be natural. The history of the states of Greece, and other countries, is full of examples like this, and it’s likely that what has happened so many times before would, under similar circumstances, happen again.

But admit that they might be willing to help the invaded State or confederacy. How, and when, and in what proportion shall aids of men and money be afforded? Who shall command the allied armies, and from which of them shall he receive his orders? Who shall settle the terms of peace, and in case of disputes what umpire shall decide between them and compel acquiescence? Various difficulties and inconveniences would be inseparable from such a situation; whereas one government, watching over the general and common interests, and combining and directing the powers and resources of the whole, would be free from all these embarrassments, and conduce far more to the safety of the people.

But let’s consider that they might want to help the invaded state or alliance. How, when, and in what amounts will support in terms of people and money be provided? Who will lead the combined armies, and who will give him his orders? Who will determine the terms of peace, and in case of disagreements, who will act as the judge to resolve them and ensure compliance? There would be various challenges and complications in such a scenario; however, a single government overseeing the common interests and coordinating the powers and resources of everyone would avoid these issues and better ensure the safety of the people.

But whatever may be our situation, whether firmly united under one national government, or split into a number of confederacies, certain it is, that foreign nations will know and view it exactly as it is; and they will act toward us accordingly. If they see that our national government is efficient and well administered, our trade prudently regulated, our militia properly organized and disciplined, our resources and finances discreetly managed, our credit re-established, our people free, contented, and united, they will be much more disposed to cultivate our friendship than provoke our resentment. If, on the other hand, they find us either destitute of an effectual government (each State doing right or wrong, as to its rulers may seem convenient), or split into three or four independent and probably discordant republics or confederacies, one inclining to Britain, another to France, and a third to Spain, and perhaps played off against each other by the three, what a poor, pitiful figure will America make in their eyes! How liable would she become not only to their contempt but to their outrage, and how soon would dear-bought experience proclaim that when a people or family so divide, it never fails to be against themselves.

But no matter what our situation is, whether we are united under one national government or divided into several confederacies, it’s clear that foreign nations will see us for who we really are, and they will respond accordingly. If they see our national government is effective and well-run, our trade managed wisely, our militia organized and trained properly, our resources and finances handled carefully, our credit restored, and our people happy, united, and free, they will be much more inclined to build friendships with us rather than provoke our anger. On the other hand, if they see us lacking a strong government (with each state acting however it sees fit), or divided into three or four independent and likely conflicting republics or confederacies—one leaning towards Britain, another towards France, and a third towards Spain, possibly being pitted against each other by all three—America would appear as a weak and pitiful sight in their eyes. How susceptible we would be to their disdain and abuse, and how quickly we would learn from painful experience that when a people or a family divides, it inevitably leads to their own downfall.

PUBLIUS

PUBLIUS





FEDERALIST No. 5. The Same Subject Continued (Concerning Dangers From Foreign Force and Influence)

For the Independent Journal. Saturday, November 10, 1787

JAY

JAY

To the People of the State of New York:

To the People of New York State:

QUEEN ANNE, in her letter of the 1st July, 1706, to the Scotch Parliament, makes some observations on the importance of the UNION then forming between England and Scotland, which merit our attention. I shall present the public with one or two extracts from it: "An entire and perfect union will be the solid foundation of lasting peace: It will secure your religion, liberty, and property; remove the animosities amongst yourselves, and the jealousies and differences betwixt our two kingdoms. It must increase your strength, riches, and trade; and by this union the whole island, being joined in affection and free from all apprehensions of different interest, will be ENABLED TO RESIST ALL ITS ENEMIES." "We most earnestly recommend to you calmness and unanimity in this great and weighty affair, that the union may be brought to a happy conclusion, being the only EFFECTUAL way to secure our present and future happiness, and disappoint the designs of our and your enemies, who will doubtless, on this occasion, USE THEIR UTMOST ENDEAVORS TO PREVENT OR DELAY THIS UNION."

QUEEN ANNE, in her letter dated July 1, 1706, to the Scottish Parliament, makes some comments on the significance of the UNION being formed between England and Scotland, which deserve our attention. I will share one or two excerpts from it: "A complete and perfect union will be the solid foundation of lasting peace. It will protect your religion, freedom, and property; eliminate the hostilities among yourselves, and the suspicions and disagreements between our two kingdoms. It must enhance your strength, wealth, and trade; and through this union, the entire island, united in affection and free from any fears of conflicting interests, will be ABLE TO RESIST ALL ITS ENEMIES." "We strongly urge you to remain calm and unified in this important matter, so that the union can reach a successful conclusion, as it is the only EFFECTIVE way to ensure our current and future happiness, and thwart the plans of our and your enemies, who will undoubtedly, in this matter, DO THEIR VERY BEST TO PREVENT OR DELAY THIS UNION."

It was remarked in the preceding paper, that weakness and divisions at home would invite dangers from abroad; and that nothing would tend more to secure us from them than union, strength, and good government within ourselves. This subject is copious and cannot easily be exhausted.

It was noted in the previous paper that weakness and divisions at home would attract dangers from abroad; and that nothing would do more to protect us from them than unity, strength, and good governance within ourselves. This topic is extensive and cannot be easily fully explored.

The history of Great Britain is the one with which we are in general the best acquainted, and it gives us many useful lessons. We may profit by their experience without paying the price which it cost them. Although it seems obvious to common sense that the people of such an island should be but one nation, yet we find that they were for ages divided into three, and that those three were almost constantly embroiled in quarrels and wars with one another. Notwithstanding their true interest with respect to the continental nations was really the same, yet by the arts and policy and practices of those nations, their mutual jealousies were perpetually kept inflamed, and for a long series of years they were far more inconvenient and troublesome than they were useful and assisting to each other.

The history of Great Britain is the one we generally know best, and it offers us many valuable lessons. We can learn from their experience without facing the same consequences they did. Although it seems clear that the people of such an island should be united as one nation, we find that they were historically divided into three, and those three were almost constantly tangled up in disputes and wars with each other. Even though their actual interests regarding the continental nations were essentially the same, the tactics and policies of those nations continually fueled their mutual rivalries, and for a long time, they were more of a hassle and a source of trouble for each other than they were helpful or supportive.

Should the people of America divide themselves into three or four nations, would not the same thing happen? Would not similar jealousies arise, and be in like manner cherished? Instead of their being "joined in affection" and free from all apprehension of different "interests," envy and jealousy would soon extinguish confidence and affection, and the partial interests of each confederacy, instead of the general interests of all America, would be the only objects of their policy and pursuits. Hence, like most other BORDERING nations, they would always be either involved in disputes and war, or live in the constant apprehension of them.

If the people of America split into three or four nations, wouldn’t the same issues arise? Wouldn’t similar jealousies emerge and be nurtured? Instead of being “joined in affection” and free from worrying about different “interests,” envy and jealousy would quickly undermine trust and affection, and the individual interests of each confederacy, rather than the overall interests of all of America, would become their sole focus and pursuits. As a result, like most other neighboring nations, they would either be caught up in conflicts and wars or live in constant fear of them.

The most sanguine advocates for three or four confederacies cannot reasonably suppose that they would long remain exactly on an equal footing in point of strength, even if it was possible to form them so at first; but, admitting that to be practicable, yet what human contrivance can secure the continuance of such equality? Independent of those local circumstances which tend to beget and increase power in one part and to impede its progress in another, we must advert to the effects of that superior policy and good management which would probably distinguish the government of one above the rest, and by which their relative equality in strength and consideration would be destroyed. For it cannot be presumed that the same degree of sound policy, prudence, and foresight would uniformly be observed by each of these confederacies for a long succession of years.

The most optimistic supporters of three or four alliances cannot realistically believe that they would stay equally strong for long, even if it were possible to set them up that way at the beginning. But even if that could be done, what human system can guarantee that this balance would last? Aside from the local factors that can create and boost power in one area while holding it back in another, we also need to consider the impact of superior strategies and effective governance that might elevate one alliance above the others, disrupting their relative strength and status. We can't assume that each alliance would consistently show the same level of wise decision-making, caution, and planning over a long period.

Whenever, and from whatever causes, it might happen, and happen it would, that any one of these nations or confederacies should rise on the scale of political importance much above the degree of her neighbors, that moment would those neighbors behold her with envy and with fear. Both those passions would lead them to countenance, if not to promote, whatever might promise to diminish her importance; and would also restrain them from measures calculated to advance or even to secure her prosperity. Much time would not be necessary to enable her to discern these unfriendly dispositions. She would soon begin, not only to lose confidence in her neighbors, but also to feel a disposition equally unfavorable to them. Distrust naturally creates distrust, and by nothing is good-will and kind conduct more speedily changed than by invidious jealousies and uncandid imputations, whether expressed or implied.

Whenever, and for whatever reasons, it might happen—and it would happen—that one of these nations or alliances rises significantly in political importance compared to her neighbors, in that moment those neighbors would view her with envy and fear. Both feelings would push them to support, if not actively encourage, anything that might reduce her significance; and would also hold them back from actions aimed at improving or even ensuring her prosperity. It wouldn't take long for her to notice these unfriendly attitudes. She would soon start to lose trust in her neighbors and also develop a similarly negative attitude toward them. Distrust naturally breeds more distrust, and nothing changes goodwill and positive behavior faster than petty jealousies and unfair accusations, whether they're explicitly stated or just implied.

The North is generally the region of strength, and many local circumstances render it probable that the most Northern of the proposed confederacies would, at a period not very distant, be unquestionably more formidable than any of the others. No sooner would this become evident than the NORTHERN HIVE would excite the same ideas and sensations in the more southern parts of America which it formerly did in the southern parts of Europe. Nor does it appear to be a rash conjecture that its young swarms might often be tempted to gather honey in the more blooming fields and milder air of their luxurious and more delicate neighbors.

The North is usually seen as the area of strength, and various local factors make it likely that the most Northern of the proposed alliances would soon be much more powerful than the others. As soon as this becomes clear, the NORTHERN HIVE would stir the same thoughts and feelings in the southern parts of America that it once did in the southern parts of Europe. It doesn’t seem far-fetched to think that its young swarms might frequently be drawn to gather resources in the richer fields and more pleasant climate of their more privileged and refined neighbors.

They who well consider the history of similar divisions and confederacies will find abundant reason to apprehend that those in contemplation would in no other sense be neighbors than as they would be borderers; that they would neither love nor trust one another, but on the contrary would be a prey to discord, jealousy, and mutual injuries; in short, that they would place us exactly in the situations in which some nations doubtless wish to see us, viz., FORMIDABLE ONLY TO EACH OTHER.

Those who carefully think about the history of similar divisions and alliances will find plenty of reasons to worry that the ones being considered would only be neighbors in the sense of being next to each other; that they wouldn’t love or trust one another, but instead would be caught up in conflict, jealousy, and harm to each other; in short, they would put us exactly in the situations that some nations certainly want to see us in, namely, FORMIDABLE ONLY TO EACH OTHER.

From these considerations it appears that those gentlemen are greatly mistaken who suppose that alliances offensive and defensive might be formed between these confederacies, and would produce that combination and union of wills of arms and of resources, which would be necessary to put and keep them in a formidable state of defense against foreign enemies.

From these thoughts, it seems clear that those individuals are seriously mistaken who think that offensive and defensive alliances could be formed between these coalitions, and that such agreements would create the necessary combination and unity of military power and resources to establish and maintain a strong defense against foreign threats.

When did the independent states, into which Britain and Spain were formerly divided, combine in such alliance, or unite their forces against a foreign enemy? The proposed confederacies will be DISTINCT NATIONS. Each of them would have its commerce with foreigners to regulate by distinct treaties; and as their productions and commodities are different and proper for different markets, so would those treaties be essentially different. Different commercial concerns must create different interests, and of course different degrees of political attachment to and connection with different foreign nations. Hence it might and probably would happen that the foreign nation with whom the SOUTHERN confederacy might be at war would be the one with whom the NORTHERN confederacy would be the most desirous of preserving peace and friendship. An alliance so contrary to their immediate interest would not therefore be easy to form, nor, if formed, would it be observed and fulfilled with perfect good faith.

When did the independent states that were once part of Britain and Spain come together in such an alliance or join forces against a foreign enemy? The proposed confederacies will be DISTINCT NATIONS. Each of them would manage its trade with foreign countries through separate treaties; and since their goods and products vary and are suitable for different markets, those treaties would be fundamentally different. Different commercial interests will lead to different priorities, and naturally different levels of political attachment and connection with various foreign nations. As a result, it could very well happen that the foreign nation that the SOUTHERN confederacy might be at war with would be the one that the NORTHERN confederacy would want to maintain peace and friendship with. An alliance that goes against their immediate interests would therefore be hard to establish, and if it were formed, it would likely not be honored or fulfilled with complete good faith.

Nay, it is far more probable that in America, as in Europe, neighboring nations, acting under the impulse of opposite interests and unfriendly passions, would frequently be found taking different sides. Considering our distance from Europe, it would be more natural for these confederacies to apprehend danger from one another than from distant nations, and therefore that each of them should be more desirous to guard against the others by the aid of foreign alliances, than to guard against foreign dangers by alliances between themselves. And here let us not forget how much more easy it is to receive foreign fleets into our ports, and foreign armies into our country, than it is to persuade or compel them to depart. How many conquests did the Romans and others make in the characters of allies, and what innovations did they under the same character introduce into the governments of those whom they pretended to protect.

No, it's much more likely that in America, just like in Europe, neighboring countries, driven by conflicting interests and hostility, would often find themselves on opposite sides. Given our distance from Europe, it makes more sense for these confederacies to see each other as a threat rather than distant nations, so each would be more inclined to protect themselves from each other through foreign alliances rather than uniting against outside dangers. And let's not forget how much easier it is to welcome foreign fleets into our ports and foreign armies into our land than it is to convince or force them to leave. How many conquests did the Romans and others achieve while claiming to be allies, and what changes did they introduce under that same pretense into the governments of those they claimed to protect?

Let candid men judge, then, whether the division of America into any given number of independent sovereignties would tend to secure us against the hostilities and improper interference of foreign nations.

Let honest people decide whether breaking America into several independent states would protect us from the conflicts and unwarranted interference of foreign countries.

PUBLIUS

PUBLIUS





FEDERALIST No. 6. Concerning Dangers from Dissensions Between the States

For the Independent Journal. Wednesday, November 14, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE three last numbers of this paper have been dedicated to an enumeration of the dangers to which we should be exposed, in a state of disunion, from the arms and arts of foreign nations. I shall now proceed to delineate dangers of a different and, perhaps, still more alarming kind—those which will in all probability flow from dissensions between the States themselves, and from domestic factions and convulsions. These have been already in some instances slightly anticipated; but they deserve a more particular and more full investigation.

The last three issues of this paper have focused on listing the threats we would face if we were divided, particularly from foreign nations’ military and political actions. Now, I will shift to discussing a different and possibly even more serious set of dangers—those likely to arise from conflicts among the states themselves and from internal strife and turmoil. These have been touched on briefly in some cases, but they warrant a more detailed and thorough examination.

A man must be far gone in Utopian speculations who can seriously doubt that, if these States should either be wholly disunited, or only united in partial confederacies, the subdivisions into which they might be thrown would have frequent and violent contests with each other. To presume a want of motives for such contests as an argument against their existence, would be to forget that men are ambitious, vindictive, and rapacious. To look for a continuation of harmony between a number of independent, unconnected sovereignties in the same neighborhood, would be to disregard the uniform course of human events, and to set at defiance the accumulated experience of ages.

A person must be quite lost in Utopian ideas to seriously doubt that if these States were to completely fall apart or only come together in partial alliances, the divisions that would emerge would frequently and violently clash with one another. Assuming there are no motives for such conflicts as a reason against their occurrence would overlook the fact that people are ambitious, vengeful, and greedy. Expecting continued harmony among a group of independent, unrelated powers in the same area would ignore the consistent patterns of human behavior and defy the lessons learned throughout history.

The causes of hostility among nations are innumerable. There are some which have a general and almost constant operation upon the collective bodies of society. Of this description are the love of power or the desire of pre-eminence and dominion—the jealousy of power, or the desire of equality and safety. There are others which have a more circumscribed though an equally operative influence within their spheres. Such are the rivalships and competitions of commerce between commercial nations. And there are others, not less numerous than either of the former, which take their origin entirely in private passions; in the attachments, enmities, interests, hopes, and fears of leading individuals in the communities of which they are members. Men of this class, whether the favorites of a king or of a people, have in too many instances abused the confidence they possessed; and assuming the pretext of some public motive, have not scrupled to sacrifice the national tranquillity to personal advantage or personal gratification.

The causes of tension between nations are countless. Some have a general and almost constant impact on society as a whole. This includes the love of power or the desire for superiority and control—the jealousy of power, or the longing for equality and security. There are also other factors that have a more limited but still significant influence within their own contexts. These include the rivalries and competitions in trade among commercial nations. Additionally, there are many more factors that stem entirely from personal feelings; the attachments, animosities, interests, hopes, and fears of influential people within their communities. Individuals in this category, whether they are favorites of a king or the public, have often misused the trust they were given; under the guise of some public purpose, they have no hesitation in sacrificing national peace for their own benefit or satisfaction.

The celebrated Pericles, in compliance with the resentment of a prostitute,(1) at the expense of much of the blood and treasure of his countrymen, attacked, vanquished, and destroyed the city of the SAMMIANS. The same man, stimulated by private pique against the MEGARENSIANS,(2) another nation of Greece, or to avoid a prosecution with which he was threatened as an accomplice of a supposed theft of the statuary Phidias,(3) or to get rid of the accusations prepared to be brought against him for dissipating the funds of the state in the purchase of popularity,(4) or from a combination of all these causes, was the primitive author of that famous and fatal war, distinguished in the Grecian annals by the name of the PELOPONNESIAN war; which, after various vicissitudes, intermissions, and renewals, terminated in the ruin of the Athenian commonwealth.

The famous Pericles, driven by the anger of a prostitute,(1) at the cost of much blood and treasure from his fellow citizens, attacked, defeated, and destroyed the city of the SAMMIANS. This same man, fueled by personal resentment against the MEGARENSIANS,(2) another Greek nation, or to escape a prosecution he faced as an alleged accomplice in the supposed theft of the statue by Phidias,(3) or to shake off the accusations that were about to be leveled against him for squandering public funds to gain popularity,(4) or perhaps for a mix of all these reasons, was the original instigator of that infamous and disastrous war, known in Greek history as the PELOPONNESIAN war; which, after many ups and downs, pauses, and renewals, ultimately led to the downfall of the Athenian state.

The ambitious cardinal, who was prime minister to Henry VIII., permitting his vanity to aspire to the triple crown,(5) entertained hopes of succeeding in the acquisition of that splendid prize by the influence of the Emperor Charles V. To secure the favor and interest of this enterprising and powerful monarch, he precipitated England into a war with France, contrary to the plainest dictates of policy, and at the hazard of the safety and independence, as well of the kingdom over which he presided by his counsels, as of Europe in general. For if there ever was a sovereign who bid fair to realize the project of universal monarchy, it was the Emperor Charles V., of whose intrigues Wolsey was at once the instrument and the dupe.

The ambitious cardinal, who served as prime minister to Henry VIII., allowed his vanity to aim for the papacy. He hoped to gain that prestigious position by leveraging the influence of Emperor Charles V. To win the favor and support of this determined and powerful ruler, he dragged England into a war with France, ignoring the clearest advice on policy and putting the safety and independence of both the kingdom he advised and Europe as a whole at risk. If there was ever a ruler who seemed likely to achieve the goal of universal monarchy, it was Emperor Charles V., of whose schemes Wolsey was both a tool and a victim.

The influence which the bigotry of one female,(6) the petulance of another,(7) and the cabals of a third,(8) had in the contemporary policy, ferments, and pacifications, of a considerable part of Europe, are topics that have been too often descanted upon not to be generally known.

The impact of one woman's bigotry,(6) another's irritability,(7) and a third's scheming,(8) on the current policies, conflicts, and peace agreements in a significant part of Europe is something that has been talked about so much that it's widely recognized.

To multiply examples of the agency of personal considerations in the production of great national events, either foreign or domestic, according to their direction, would be an unnecessary waste of time. Those who have but a superficial acquaintance with the sources from which they are to be drawn, will themselves recollect a variety of instances; and those who have a tolerable knowledge of human nature will not stand in need of such lights to form their opinion either of the reality or extent of that agency. Perhaps, however, a reference, tending to illustrate the general principle, may with propriety be made to a case which has lately happened among ourselves. If Shays had not been a DESPERATE DEBTOR, it is much to be doubted whether Massachusetts would have been plunged into a civil war.

To give more examples of how personal motivations influence major national events, whether they are foreign or domestic, would just waste time. Those with only a basic understanding of the sources will remember various instances on their own, and those who know a fair bit about human nature won’t need further evidence to understand the reality or scope of that influence. However, it might be appropriate to reference a recent case to illustrate this general principle. If Shays hadn’t been a DESPERATE DEBTOR, there’s a strong chance that Massachusetts wouldn’t have descended into a civil war.

But notwithstanding the concurring testimony of experience, in this particular, there are still to be found visionary or designing men, who stand ready to advocate the paradox of perpetual peace between the States, though dismembered and alienated from each other. The genius of republics (say they) is pacific; the spirit of commerce has a tendency to soften the manners of men, and to extinguish those inflammable humors which have so often kindled into wars. Commercial republics, like ours, will never be disposed to waste themselves in ruinous contentions with each other. They will be governed by mutual interest, and will cultivate a spirit of mutual amity and concord.

But despite the shared experiences that suggest otherwise, there are still dreamers or schemers who are ready to support the idea of lasting peace between states, even when they are separated and distant. They claim that the nature of republics is peaceful; the spirit of trade tends to soften people's behaviors and eliminate the fiery emotions that have often led to wars. Commercial republics, like ours, will not want to destroy themselves through pointless conflicts with one another. They will operate based on common interests and foster a spirit of friendship and harmony.

Is it not (we may ask these projectors in politics) the true interest of all nations to cultivate the same benevolent and philosophic spirit? If this be their true interest, have they in fact pursued it? Has it not, on the contrary, invariably been found that momentary passions, and immediate interest, have a more active and imperious control over human conduct than general or remote considerations of policy, utility or justice? Have republics in practice been less addicted to war than monarchies? Are not the former administered by MEN as well as the latter? Are there not aversions, predilections, rivalships, and desires of unjust acquisitions, that affect nations as well as kings? Are not popular assemblies frequently subject to the impulses of rage, resentment, jealousy, avarice, and of other irregular and violent propensities? Is it not well known that their determinations are often governed by a few individuals in whom they place confidence, and are, of course, liable to be tinctured by the passions and views of those individuals? Has commerce hitherto done anything more than change the objects of war? Is not the love of wealth as domineering and enterprising a passion as that of power or glory? Have there not been as many wars founded upon commercial motives since that has become the prevailing system of nations, as were before occasioned by the cupidity of territory or dominion? Has not the spirit of commerce, in many instances, administered new incentives to the appetite, both for the one and for the other? Let experience, the least fallible guide of human opinions, be appealed to for an answer to these inquiries.

Is it not worth asking these political thinkers whether it’s truly in the best interest of all nations to embrace the same compassionate and thoughtful spirit? If this is indeed their true interest, have they actually pursued it? On the contrary, hasn’t it always been the case that fleeting emotions and immediate interests have a stronger and more dominant influence on human behavior than broader or more distant considerations of policy, usefulness, or justice? Have republics really been less prone to war than monarchies? Aren’t both types of governments run by PEOPLE? Do nations not experience aversions, preferences, rivalries, and desires for unjust gains just like kings do? Are popular assemblies not often swayed by feelings of anger, resentment, jealousy, greed, and other unpredictable and intense urges? Isn’t it well-known that their decisions are frequently influenced by a handful of individuals they trust, and therefore they can easily be colored by the emotions and agendas of those individuals? Has trade only served to change the targets of wars? Isn’t the desire for wealth just as powerful and ambitious a passion as the pursuit of power or glory? Haven’t there been just as many wars driven by economic motives since commerce became the dominant system of nations as there were before due to the greed for land or control? Hasn’t the spirit of commerce, in many situations, provided new motivations for the desire for both? Let’s look to experience, the most reliable guide to human understanding, to answer these questions.

Sparta, Athens, Rome, and Carthage were all republics; two of them, Athens and Carthage, of the commercial kind. Yet were they as often engaged in wars, offensive and defensive, as the neighboring monarchies of the same times. Sparta was little better than a wellregulated camp; and Rome was never sated of carnage and conquest.

Sparta, Athens, Rome, and Carthage were all republics; two of them, Athens and Carthage, were commercial republics. However, they were just as often involved in wars, both offensive and defensive, as the nearby monarchies of their time. Sparta was hardly more than a well-organized military camp, and Rome was never satisfied with bloodshed and conquest.

Carthage, though a commercial republic, was the aggressor in the very war that ended in her destruction. Hannibal had carried her arms into the heart of Italy and to the gates of Rome, before Scipio, in turn, gave him an overthrow in the territories of Carthage, and made a conquest of the commonwealth.

Carthage, despite being a trading republic, was the one who started the war that ultimately led to its downfall. Hannibal took her army deep into Italy and almost to the gates of Rome, until Scipio defeated him in Carthage's own lands and conquered the republic.

Venice, in later times, figured more than once in wars of ambition, till, becoming an object to the other Italian states, Pope Julius II. found means to accomplish that formidable league,(9) which gave a deadly blow to the power and pride of this haughty republic.

Venice, over the years, was involved multiple times in wars driven by ambition, until it became a target for the other Italian states. Pope Julius II found a way to create that powerful alliance, which dealt a serious blow to the power and pride of this proud republic.

The provinces of Holland, till they were overwhelmed in debts and taxes, took a leading and conspicuous part in the wars of Europe. They had furious contests with England for the dominion of the sea, and were among the most persevering and most implacable of the opponents of Louis XIV.

The provinces of Holland, until they were buried in debt and taxes, played a prominent and significant role in the wars of Europe. They had intense battles with England for control of the sea and were among the most relentless and unyielding adversaries of Louis XIV.

In the government of Britain the representatives of the people compose one branch of the national legislature. Commerce has been for ages the predominant pursuit of that country. Few nations, nevertheless, have been more frequently engaged in war; and the wars in which that kingdom has been engaged have, in numerous instances, proceeded from the people.

In the British government, the people's representatives make up one branch of the national legislature. For ages, trade has been the main focus of that country. However, few nations have been involved in war as often; many of the wars that the kingdom has fought have, in many cases, been driven by the people.

There have been, if I may so express it, almost as many popular as royal wars. The cries of the nation and the importunities of their representatives have, upon various occasions, dragged their monarchs into war, or continued them in it, contrary to their inclinations, and sometimes contrary to the real interests of the State. In that memorable struggle for superiority between the rival houses of AUSTRIA and BOURBON, which so long kept Europe in a flame, it is well known that the antipathies of the English against the French, seconding the ambition, or rather the avarice, of a favorite leader,(10) protracted the war beyond the limits marked out by sound policy, and for a considerable time in opposition to the views of the court.

There have been, if I may say so, almost as many wars driven by the public as by royalty. The cries of the nation and the pressures from their representatives have, at various times, pulled their kings into war or kept them in it against their will, and sometimes against the true interests of the state. In that notable struggle for dominance between the rival houses of Austria and Bourbon, which kept Europe in turmoil for so long, it is well-known that the English animosity towards the French, fueled by the ambition—or rather greed—of a favored leader, extended the war beyond what sound policy would dictate and for a significant time opposed the interests of the court.

The wars of these two last-mentioned nations have in a great measure grown out of commercial considerations,—the desire of supplanting and the fear of being supplanted, either in particular branches of traffic or in the general advantages of trade and navigation, and sometimes even the more culpable desire of sharing in the commerce of other nations without their consent.

The conflicts between these two nations have largely emerged from business interests—the desire to replace others and the fear of being replaced, either in specific areas of trade or in the overall benefits of commerce and navigation, and sometimes even the more blameworthy desire to partake in the trade of other nations without their approval.

The last war but between Britain and Spain sprang from the attempts of the British merchants to prosecute an illicit trade with the Spanish main. These unjustifiable practices on their part produced severity on the part of the Spaniards toward the subjects of Great Britain which were not more justifiable, because they exceeded the bounds of a just retaliation and were chargeable with inhumanity and cruelty. Many of the English who were taken on the Spanish coast were sent to dig in the mines of Potosi; and by the usual progress of a spirit of resentment, the innocent were, after a while, confounded with the guilty in indiscriminate punishment. The complaints of the merchants kindled a violent flame throughout the nation, which soon after broke out in the House of Commons, and was communicated from that body to the ministry. Letters of reprisal were granted, and a war ensued, which in its consequences overthrew all the alliances that but twenty years before had been formed with sanguine expectations of the most beneficial fruits.

The last war between Britain and Spain started because British merchants tried to engage in illegal trade with Spain. These unjust actions led to harsh reactions from the Spanish towards British subjects, which were also unjustifiable, as they went beyond reasonable retaliation and were marked by inhumanity and cruelty. Many English people captured on the Spanish coast were sent to work in the mines of Potosi. Over time, out of a spirit of resentment, the innocent were punished alongside the guilty without distinction. The complaints from the merchants sparked a fierce reaction across the nation, which soon erupted in the House of Commons and was communicated to the government. Letters of reprisal were issued, leading to a war that ultimately destroyed all the alliances formed just twenty years earlier with hopeful expectations of great benefits.

From this summary of what has taken place in other countries, whose situations have borne the nearest resemblance to our own, what reason can we have to confide in those reveries which would seduce us into an expectation of peace and cordiality between the members of the present confederacy, in a state of separation? Have we not already seen enough of the fallacy and extravagance of those idle theories which have amused us with promises of an exemption from the imperfections, weaknesses and evils incident to society in every shape? Is it not time to awake from the deceitful dream of a golden age, and to adopt as a practical maxim for the direction of our political conduct that we, as well as the other inhabitants of the globe, are yet remote from the happy empire of perfect wisdom and perfect virtue?

From this summary of what has happened in other countries that are most similar to our own, why should we trust in those daydreams that lure us into expecting peace and goodwill among the members of the current confederacy during a time of division? Haven't we already seen enough of the false hopes and foolishness of those empty theories that have entertained us with promises of avoiding the flaws, weaknesses, and problems that come with society in any form? Isn't it time to wake up from the misleading fantasy of a perfect era and accept as a practical guideline for our political actions that we, like everyone else on the planet, are still far from the ideal realm of complete wisdom and perfect virtue?

Let the point of extreme depression to which our national dignity and credit have sunk, let the inconveniences felt everywhere from a lax and ill administration of government, let the revolt of a part of the State of North Carolina, the late menacing disturbances in Pennsylvania, and the actual insurrections and rebellions in Massachusetts, declare—!

Let the level of extreme despair to which our national pride and reputation have fallen, let the troubles experienced everywhere due to a weak and poor government, let the uprising in a part of North Carolina, the recent threatening disturbances in Pennsylvania, and the ongoing rebellions in Massachusetts, speak for themselves—!

So far is the general sense of mankind from corresponding with the tenets of those who endeavor to lull asleep our apprehensions of discord and hostility between the States, in the event of disunion, that it has from long observation of the progress of society become a sort of axiom in politics, that vicinity or nearness of situation, constitutes nations natural enemies. An intelligent writer expresses himself on this subject to this effect: "NEIGHBORING NATIONS (says he) are naturally enemies of each other unless their common weakness forces them to league in a CONFEDERATE REPUBLIC, and their constitution prevents the differences that neighborhood occasions, extinguishing that secret jealousy which disposes all states to aggrandize themselves at the expense of their neighbors."(11) This passage, at the same time, points out the EVIL and suggests the REMEDY.

The general outlook of people isn't in line with those who try to calm our fears about conflict and hostility between states if disunion occurs. Long observation of society's progress has led to a kind of political axiom that being close in location makes countries natural enemies. An insightful writer comments on this idea: "NEIGHBORING NATIONS are naturally enemies of each other unless their shared weaknesses force them to band together in a CONFEDERATE REPUBLIC, and their constitution prevents the conflicts that come from being neighbors, eliminating that hidden jealousy that drives all states to expand at the expense of others."(11) This statement highlights the ISSUE and proposes a SOLUTION.

PUBLIUS

PUBLIUS

1. Aspasia, vide "Plutarch's Life of Pericles."

1. Aspasia, see "Plutarch's Life of Pericles."

2. Ibid.

Ibid.

3. Ibid.

3. Same source.

4. Ibid. Phidias was supposed to have stolen some public gold, with the connivance of Pericles, for the embellishment of the statue of Minerva.

4. Ibid. Phidias was accused of stealing some public gold, with Pericles' cooperation, to enhance the statue of Minerva.

5. Worn by the popes.

Worn by the Pope.

6. Madame de Maintenon.

6. Madame de Maintenon.

7. Duchess of Marlborough.

Duchess of Marlborough.

8. Madame de Pompadour.

8. Madame de Pompadour.

9. The League of Cambray, comprehending the Emperor, the King of France, the King of Aragon, and most of the Italian princes and states.

9. The League of Cambray included the Emperor, the King of France, the King of Aragon, and most of the Italian princes and states.

10. The Duke of Marlborough.

The Duke of Marlborough.

11. Vide "Principes des Negociations" par l'Abbé de Mably.

11. See "Principes des Negociations" by Abbé de Mably.





FEDERALIST No. 7. The Same Subject Continued (Concerning Dangers from Dissensions Between the States)

For the Independent Journal. Thursday, November 15, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IT IS sometimes asked, with an air of seeming triumph, what inducements could the States have, if disunited, to make war upon each other? It would be a full answer to this question to say—precisely the same inducements which have, at different times, deluged in blood all the nations in the world. But, unfortunately for us, the question admits of a more particular answer. There are causes of differences within our immediate contemplation, of the tendency of which, even under the restraints of a federal constitution, we have had sufficient experience to enable us to form a judgment of what might be expected if those restraints were removed.

SOME PEOPLE occasionally ask, with a sense of triumph, what reasons the States would have to go to war with each other if they were separate. A complete answer to this question would be to say—exactly the same reasons that have, at different times, caused bloodshed among all the nations in the world. However, unfortunately for us, the question allows for a more detailed answer. There are causes of conflict right before us, and we’ve had enough experience under a federal constitution to judge what might happen if those restrictions were lifted.

Territorial disputes have at all times been found one of the most fertile sources of hostility among nations. Perhaps the greatest proportion of wars that have desolated the earth have sprung from this origin. This cause would exist among us in full force. We have a vast tract of unsettled territory within the boundaries of the United States. There still are discordant and undecided claims between several of them, and the dissolution of the Union would lay a foundation for similar claims between them all. It is well known that they have heretofore had serious and animated discussion concerning the rights to the lands which were ungranted at the time of the Revolution, and which usually went under the name of crown lands. The States within the limits of whose colonial governments they were comprised have claimed them as their property, the others have contended that the rights of the crown in this article devolved upon the Union; especially as to all that part of the Western territory which, either by actual possession, or through the submission of the Indian proprietors, was subjected to the jurisdiction of the king of Great Britain, till it was relinquished in the treaty of peace. This, it has been said, was at all events an acquisition to the Confederacy by compact with a foreign power. It has been the prudent policy of Congress to appease this controversy, by prevailing upon the States to make cessions to the United States for the benefit of the whole. This has been so far accomplished as, under a continuation of the Union, to afford a decided prospect of an amicable termination of the dispute. A dismemberment of the Confederacy, however, would revive this dispute, and would create others on the same subject. At present, a large part of the vacant Western territory is, by cession at least, if not by any anterior right, the common property of the Union. If that were at an end, the States which made the cession, on a principle of federal compromise, would be apt when the motive of the grant had ceased, to reclaim the lands as a reversion. The other States would no doubt insist on a proportion, by right of representation. Their argument would be, that a grant, once made, could not be revoked; and that the justice of participating in territory acquired or secured by the joint efforts of the Confederacy, remained undiminished. If, contrary to probability, it should be admitted by all the States, that each had a right to a share of this common stock, there would still be a difficulty to be surmounted, as to a proper rule of apportionment. Different principles would be set up by different States for this purpose; and as they would affect the opposite interests of the parties, they might not easily be susceptible of a pacific adjustment.

Territorial disputes have always been a major source of conflict between nations. A significant number of wars that have devastated the world originated from this issue. This situation would be strong among us as well. We have a large area of unsettled land within the boundaries of the United States. There are still conflicting and undecided claims among several states, and breaking up the Union would set the stage for similar claims among all of them. It is well known that they have previously had serious and heated debates concerning land rights that were ungranted at the time of the Revolution, which were typically referred to as crown lands. The states where these lands fell under colonial governments have claimed them as their own, while others have argued that the crown's rights to these lands passed to the Union, especially regarding the part of the Western territory that, either by actual possession or through agreements with the Native owners, was under the jurisdiction of the King of Great Britain until it was given up in the peace treaty. It has been said that this was, in any case, an acquisition to the Confederacy due to an agreement with a foreign power. Congress has wisely worked to resolve this controversy by encouraging the states to cede land to the United States for the greater good. This has been partly successful, and as long as the Union continues, there's a strong prospect for a peaceful resolution of the dispute. However, if the Confederacy were to fall apart, this dispute would resurface and create new ones on the same topic. Currently, a large portion of the vacant Western territory is, at least through cession if not through any prior right, the common property of the Union. If that ended, the states that ceded the land, based on a federal compromise, would likely try to reclaim it once the reason for the grant was no longer relevant. The other states would almost certainly demand a share, based on representation rights. They would argue that once a grant is made, it cannot be revoked and that the fairness of sharing in territory gained or secured through the joint efforts of the Confederacy remains unchanged. Even if, against all odds, all states were to agree that each had a right to a portion of this common stock, there would still be challenges in determining a fair way to divide it. Different states would propose various principles for this purpose, and given that these would affect opposing interests, it might not be easy to reach a peaceful resolution.

In the wide field of Western territory, therefore, we perceive an ample theatre for hostile pretensions, without any umpire or common judge to interpose between the contending parties. To reason from the past to the future, we shall have good ground to apprehend, that the sword would sometimes be appealed to as the arbiter of their differences. The circumstances of the dispute between Connecticut and Pennsylvania, respecting the land at Wyoming, admonish us not to be sanguine in expecting an easy accommodation of such differences. The articles of confederation obliged the parties to submit the matter to the decision of a federal court. The submission was made, and the court decided in favor of Pennsylvania. But Connecticut gave strong indications of dissatisfaction with that determination; nor did she appear to be entirely resigned to it, till, by negotiation and management, something like an equivalent was found for the loss she supposed herself to have sustained. Nothing here said is intended to convey the slightest censure on the conduct of that State. She no doubt sincerely believed herself to have been injured by the decision; and States, like individuals, acquiesce with great reluctance in determinations to their disadvantage.

In the vast expanse of Western territory, we see a significant stage for competing claims, with no referee or common judge to step in between the opposing sides. Looking at past events to predict the future, we have good reason to fear that conflicts might sometimes be settled by force. The dispute between Connecticut and Pennsylvania over the land at Wyoming serves as a reminder not to expect an easy resolution to such disagreements. The articles of confederation required the parties to take the matter to a federal court. The court was formed, and it ruled in favor of Pennsylvania. However, Connecticut showed clear signs of dissatisfaction with that ruling and didn't seem to accept it fully until negotiations led to a compromise that addressed what she felt was a loss. Nothing mentioned here is meant to criticize that State’s actions. She surely believed she was wronged by the decision, and just like individuals, states are often very reluctant to accept outcomes that are unfavorable to them.

Those who had an opportunity of seeing the inside of the transactions which attended the progress of the controversy between this State and the district of Vermont, can vouch the opposition we experienced, as well from States not interested as from those which were interested in the claim; and can attest the danger to which the peace of the Confederacy might have been exposed, had this State attempted to assert its rights by force. Two motives preponderated in that opposition: one, a jealousy entertained of our future power; and the other, the interest of certain individuals of influence in the neighboring States, who had obtained grants of lands under the actual government of that district. Even the States which brought forward claims, in contradiction to ours, seemed more solicitous to dismember this State, than to establish their own pretensions. These were New Hampshire, Massachusetts, and Connecticut. New Jersey and Rhode Island, upon all occasions, discovered a warm zeal for the independence of Vermont; and Maryland, till alarmed by the appearance of a connection between Canada and that State, entered deeply into the same views. These being small States, saw with an unfriendly eye the perspective of our growing greatness. In a review of these transactions we may trace some of the causes which would be likely to embroil the States with each other, if it should be their unpropitious destiny to become disunited.

Those who had the chance to witness the inside dealings surrounding the conflict between this State and the district of Vermont can confirm the opposition we faced, both from States that had no stake in the matter and from those that did. They can also verify the threat to the peace of the Confederacy had this State chosen to assert its rights through force. Two main reasons fueled that opposition: one was a fear of our future power, and the other was the interests of certain influential individuals in neighboring States who had received land grants under the current government of that district. Even the States that challenged our claims seemed more eager to break apart this State than to support their own arguments. These States included New Hampshire, Massachusetts, and Connecticut. New Jersey and Rhode Island consistently showed a strong support for Vermont's independence; and Maryland, until it became concerned about a potential connection between Canada and that State, aligned itself with those same views. Being smaller States, they viewed our growing strength with suspicion. Looking back at these events, we can identify some of the reasons that could lead to conflict among the States if they were to be unfortunate enough to become divided.

The competitions of commerce would be another fruitful source of contention. The States less favorably circumstanced would be desirous of escaping from the disadvantages of local situation, and of sharing in the advantages of their more fortunate neighbors. Each State, or separate confederacy, would pursue a system of commercial policy peculiar to itself. This would occasion distinctions, preferences, and exclusions, which would beget discontent. The habits of intercourse, on the basis of equal privileges, to which we have been accustomed since the earliest settlement of the country, would give a keener edge to those causes of discontent than they would naturally have independent of this circumstance. WE SHOULD BE READY TO DENOMINATE INJURIES THOSE THINGS WHICH WERE IN REALITY THE JUSTIFIABLE ACTS OF INDEPENDENT SOVEREIGNTIES CONSULTING A DISTINCT INTEREST. The spirit of enterprise, which characterizes the commercial part of America, has left no occasion of displaying itself unimproved. It is not at all probable that this unbridled spirit would pay much respect to those regulations of trade by which particular States might endeavor to secure exclusive benefits to their own citizens. The infractions of these regulations, on one side, the efforts to prevent and repel them, on the other, would naturally lead to outrages, and these to reprisals and wars.

The competition in trade would create a lot of conflict. States that are less advantaged would want to escape from their unfavorable situations and share in the benefits enjoyed by their luckier neighbors. Each state or separate confederacy would adopt its own unique trade policies. This would lead to distinctions, preferences, and exclusions, which would spark discontent. The habits of interaction, based on equal rights, that we’ve had since the early days of our country would amplify these feelings of discontent more than they would otherwise. WE WOULD BE QUICK TO CALL INJURIES WHAT WERE ACTUALLY JUSTIFIABLE ACTIONS OF INDEPENDENT SOVEREIGN STATES PURSUING THEIR OWN INTERESTS. The entrepreneurial spirit that defines the commercial sector of America has seized every opportunity to show itself. It's unlikely that this unrestrained spirit would pay much attention to trade regulations designed by certain states to ensure exclusive benefits for their citizens. Violations of these regulations on one side and attempts to enforce them on the other would naturally lead to conflicts, which could escalate into retaliation and wars.

The opportunities which some States would have of rendering others tributary to them by commercial regulations would be impatiently submitted to by the tributary States. The relative situation of New York, Connecticut, and New Jersey would afford an example of this kind. New York, from the necessities of revenue, must lay duties on her importations. A great part of these duties must be paid by the inhabitants of the two other States in the capacity of consumers of what we import. New York would neither be willing nor able to forego this advantage. Her citizens would not consent that a duty paid by them should be remitted in favor of the citizens of her neighbors; nor would it be practicable, if there were not this impediment in the way, to distinguish the customers in our own markets. Would Connecticut and New Jersey long submit to be taxed by New York for her exclusive benefit? Should we be long permitted to remain in the quiet and undisturbed enjoyment of a metropolis, from the possession of which we derived an advantage so odious to our neighbors, and, in their opinion, so oppressive? Should we be able to preserve it against the incumbent weight of Connecticut on the one side, and the co-operating pressure of New Jersey on the other? These are questions that temerity alone will answer in the affirmative.

The chances some states would have to make others dependent on them through trade rules would be quickly rejected by the dependent states. The situation between New York, Connecticut, and New Jersey serves as an example. New York, needing revenue, has to impose duties on its imports. A significant portion of these duties would be paid by the residents of the other two states as consumers of what New York imports. New York wouldn't want to give up this advantage. Its citizens wouldn’t agree to eliminate a duty they pay just to benefit their neighbors; and even if that weren't the case, it would be difficult to identify the customers in our markets. Would Connecticut and New Jersey really put up with being taxed by New York for New York's sole benefit for long? Could we expect to keep enjoying the benefits of being a major city while our neighbors found it so annoying and, in their view, so unfair? Could we defend our position against the pressing influence of Connecticut on one side and the combined pressure of New Jersey on the other? These are questions that only foolishness would answer positively.

The public debt of the Union would be a further cause of collision between the separate States or confederacies. The apportionment, in the first instance, and the progressive extinguishment afterward, would be alike productive of ill-humor and animosity. How would it be possible to agree upon a rule of apportionment satisfactory to all? There is scarcely any that can be proposed which is entirely free from real objections. These, as usual, would be exaggerated by the adverse interest of the parties. There are even dissimilar views among the States as to the general principle of discharging the public debt. Some of them, either less impressed with the importance of national credit, or because their citizens have little, if any, immediate interest in the question, feel an indifference, if not a repugnance, to the payment of the domestic debt at any rate. These would be inclined to magnify the difficulties of a distribution. Others of them, a numerous body of whose citizens are creditors to the public beyond proportion of the State in the total amount of the national debt, would be strenuous for some equitable and effective provision. The procrastinations of the former would excite the resentments of the latter. The settlement of a rule would, in the meantime, be postponed by real differences of opinion and affected delays. The citizens of the States interested would clamour; foreign powers would urge for the satisfaction of their just demands, and the peace of the States would be hazarded to the double contingency of external invasion and internal contention.

The public debt of the Union would create more conflict between the individual states or confederations. Initially determining how to divide it up, and then figuring out how to pay it off later, would lead to frustration and resentment. How could everyone agree on a fair way to divide the debt? It’s hard to propose a solution that doesn’t have real objections. These issues would be magnified by the conflicting interests of the parties involved. There are even different perspectives among the states about how to handle the public debt. Some states, either not seeing the importance of national credit or because their citizens don’t have a significant stake in the matter, might be indifferent, if not outright opposed, to paying off the domestic debt at any cost. These states would likely exaggerate the challenges of dividing the debt. On the other hand, some states, where many citizens are creditors of the government beyond their fair share of the national debt, would strongly advocate for a fair and effective solution. The delays from the first group would fuel resentment from the second. As a result, reaching an agreement would be delayed by genuine disagreements and intentional holdups. Citizens from the affected states would protest; foreign powers would push for their legitimate claims to be met, putting the peace of the states at risk from both external threats and internal strife.

Suppose the difficulties of agreeing upon a rule surmounted, and the apportionment made. Still there is great room to suppose that the rule agreed upon would, upon experiment, be found to bear harder upon some States than upon others. Those which were sufferers by it would naturally seek for a mitigation of the burden. The others would as naturally be disinclined to a revision, which was likely to end in an increase of their own incumbrances. Their refusal would be too plausible a pretext to the complaining States to withhold their contributions, not to be embraced with avidity; and the non-compliance of these States with their engagements would be a ground of bitter discussion and altercation. If even the rule adopted should in practice justify the equality of its principle, still delinquencies in payments on the part of some of the States would result from a diversity of other causes—the real deficiency of resources; the mismanagement of their finances; accidental disorders in the management of the government; and, in addition to the rest, the reluctance with which men commonly part with money for purposes that have outlived the exigencies which produced them, and interfere with the supply of immediate wants. Delinquencies, from whatever causes, would be productive of complaints, recriminations, and quarrels. There is, perhaps, nothing more likely to disturb the tranquillity of nations than their being bound to mutual contributions for any common object that does not yield an equal and coincident benefit. For it is an observation, as true as it is trite, that there is nothing men differ so readily about as the payment of money.

Suppose we've overcome the challenges of agreeing on a rule and made a division. Even so, it’s very likely that the agreed rule would turn out to be harsher on some states than others when put to the test. The states that are negatively affected would naturally seek to lighten their burden. The others would just as naturally resist any changes that could increase their own obligations. Their refusal would give the complaining states a convenient excuse to withhold their contributions, which they would eagerly embrace; and the failure of these states to meet their commitments would lead to intense debates and conflicts. Even if the adopted rule, in practice, upheld its principle of equality, some states would still fall behind on payments due to various reasons—like actual resource shortages, poor financial management, unexpected issues in government operations, and, on top of all this, the common reluctance to part with money for purposes that have outlived their urgency and interfere with immediate needs. Delays in payments, no matter the reasons, would lead to complaints, accusations, and disputes. There’s probably nothing that disrupts the peace between nations more than being required to contribute to a shared goal that doesn’t provide equal benefits. It’s a well-known fact that nothing sparks disagreements like the issue of paying money.

Laws in violation of private contracts, as they amount to aggressions on the rights of those States whose citizens are injured by them, may be considered as another probable source of hostility. We are not authorized to expect that a more liberal or more equitable spirit would preside over the legislations of the individual States hereafter, if unrestrained by any additional checks, than we have heretofore seen in too many instances disgracing their several codes. We have observed the disposition to retaliation excited in Connecticut in consequence of the enormities perpetrated by the Legislature of Rhode Island; and we reasonably infer that, in similar cases, under other circumstances, a war, not of PARCHMENT, but of the sword, would chastise such atrocious breaches of moral obligation and social justice.

Laws that violate private contracts, since they harm the rights of the states whose citizens are affected, can be seen as a potential source of conflict. We cannot expect that a more open-minded or fair attitude would guide the laws of the individual states in the future, if they aren't held back by additional restrictions, compared to what we've seen in too many cases that have shamed their legal systems. We've noticed the urge for retaliation growing in Connecticut because of the wrongs committed by the Legislature of Rhode Island; and we can reasonably conclude that in similar situations, under different circumstances, a war—not one fought on paper, but one fought with weapons—would respond to such terrible violations of moral duty and social justice.

The probability of incompatible alliances between the different States or confederacies and different foreign nations, and the effects of this situation upon the peace of the whole, have been sufficiently unfolded in some preceding papers. From the view they have exhibited of this part of the subject, this conclusion is to be drawn, that America, if not connected at all, or only by the feeble tie of a simple league, offensive and defensive, would, by the operation of such jarring alliances, be gradually entangled in all the pernicious labyrinths of European politics and wars; and by the destructive contentions of the parts into which she was divided, would be likely to become a prey to the artifices and machinations of powers equally the enemies of them all. Divide et impera(1) must be the motto of every nation that either hates or fears us.(2)

The chances of conflicting alliances between various states or confederacies and different foreign nations, along with the effects of this situation on overall peace, have been discussed in earlier writings. From the perspective presented in those discussions, it’s clear that if America is either completely disconnected or only linked by a weak agreement of mutual defense, it will become gradually trapped in the harmful complexities of European politics and wars due to these clashing alliances. The destructive conflicts among its divided parts would likely make America vulnerable to the schemes and tricks of powers that are enemies of all involved. Divide et impera(1) must be the motto of any nation that either hates or fears us.(2)

PUBLIUS

PUBLIUS

1. Divide and command.

Divide and conquer.

2. In order that the whole subject of these papers may as soon as possible be laid before the public, it is proposed to publish them four times a week—on Tuesday in the New York Packet and on Thursday in the Daily Advertiser.

2. To ensure that the entire topic of these papers is presented to the public as quickly as possible, we plan to publish them four times a week—on Tuesday in the New York Packet and on Thursday in the Daily Advertiser.





FEDERALIST No. 8. The Consequences of Hostilities Between the States

From the New York Packet. Tuesday, November 20, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

ASSUMING it therefore as an established truth that the several States, in case of disunion, or such combinations of them as might happen to be formed out of the wreck of the general Confederacy, would be subject to those vicissitudes of peace and war, of friendship and enmity, with each other, which have fallen to the lot of all neighboring nations not united under one government, let us enter into a concise detail of some of the consequences that would attend such a situation.

ASSUMING it as a given that the different States, in the event of disunion, or any groups formed from the collapse of the general Confederacy, would face the ups and downs of peace and war, of friendship and conflict, with one another—just like all neighboring nations that aren't united under a single government—let's go into a brief overview of some of the consequences that would come from such a situation.

War between the States, in the first period of their separate existence, would be accompanied with much greater distresses than it commonly is in those countries where regular military establishments have long obtained. The disciplined armies always kept on foot on the continent of Europe, though they bear a malignant aspect to liberty and economy, have, notwithstanding, been productive of the signal advantage of rendering sudden conquests impracticable, and of preventing that rapid desolation which used to mark the progress of war prior to their introduction. The art of fortification has contributed to the same ends. The nations of Europe are encircled with chains of fortified places, which mutually obstruct invasion. Campaigns are wasted in reducing two or three frontier garrisons, to gain admittance into an enemy's country. Similar impediments occur at every step, to exhaust the strength and delay the progress of an invader. Formerly, an invading army would penetrate into the heart of a neighboring country almost as soon as intelligence of its approach could be received; but now a comparatively small force of disciplined troops, acting on the defensive, with the aid of posts, is able to impede, and finally to frustrate, the enterprises of one much more considerable. The history of war, in that quarter of the globe, is no longer a history of nations subdued and empires overturned, but of towns taken and retaken; of battles that decide nothing; of retreats more beneficial than victories; of much effort and little acquisition.

War between the States, in the initial phase of their separate existence, would bring about much greater hardships than is typically seen in countries with established professional armies. The trained armies that are consistently present in Europe, despite their negative effect on freedom and economy, have nonetheless provided the significant benefit of making sudden conquests almost impossible and preventing the swift devastation that used to characterize warfare before their establishment. The development of fortifications has also played a role in achieving these goals. European nations are surrounded by networks of fortified locations that hinder invasions. Military campaigns often become exhausted by the need to capture just a few boundary garrisons in order to enter enemy territory. Similar obstacles arise at every turn, draining the strength and delaying the advance of an invader. In the past, an invading army could quickly move deep into a neighboring country as soon as news of its approach arrived; now, a relatively small group of well-trained troops, fortified with defensive positions, can significantly hinder and ultimately thwart the efforts of a much larger force. The history of warfare in that part of the world is no longer one of nations defeated and empires toppled, but rather a narrative of cities captured and recaptured; battles that lead to inconclusive outcomes; retreats that often prove more advantageous than victories; substantial efforts with minimal gains.

In this country the scene would be altogether reversed. The jealousy of military establishments would postpone them as long as possible. The want of fortifications, leaving the frontiers of one state open to another, would facilitate inroads. The populous States would, with little difficulty, overrun their less populous neighbors. Conquests would be as easy to be made as difficult to be retained. War, therefore, would be desultory and predatory. PLUNDER and devastation ever march in the train of irregulars. The calamities of individuals would make the principal figure in the events which would characterize our military exploits.

In this country, the situation would be completely different. The fear of military forces would delay their establishment for as long as possible. The lack of fortifications, which would leave one state's borders open to another, would allow for invasions. The more populated states could easily take over their less populated neighbors. Winning battles would be simple but keeping those gains would be tough. So, wars would be unpredictable and mainly about looting. Destruction and chaos always follow irregular troops. The suffering of individuals would be the main focus in the events that define our military actions.

This picture is not too highly wrought; though, I confess, it would not long remain a just one. Safety from external danger is the most powerful director of national conduct. Even the ardent love of liberty will, after a time, give way to its dictates. The violent destruction of life and property incident to war, the continual effort and alarm attendant on a state of continual danger, will compel nations the most attached to liberty to resort for repose and security to institutions which have a tendency to destroy their civil and political rights. To be more safe, they at length become willing to run the risk of being less free.

This situation isn't overly complex; however, I admit it won't stay accurate for long. Protection from outside threats is the strongest motivator for a country's actions. Even the deep passion for freedom will eventually yield to this influence. The brutal loss of life and property that comes with war, along with the constant stress and fear of ongoing danger, will force even the nations most committed to freedom to seek comfort and safety in systems that might undermine their civil and political rights. To feel safer, they ultimately become willing to risk being less free.

The institutions chiefly alluded to are STANDING ARMIES and the correspondent appendages of military establishments. Standing armies, it is said, are not provided against in the new Constitution; and it is therefore inferred that they may exist under it.(1) Their existence, however, from the very terms of the proposition, is, at most, problematical and uncertain. But standing armies, it may be replied, must inevitably result from a dissolution of the Confederacy. Frequent war and constant apprehension, which require a state of as constant preparation, will infallibly produce them. The weaker States or confederacies would first have recourse to them, to put themselves upon an equality with their more potent neighbors. They would endeavor to supply the inferiority of population and resources by a more regular and effective system of defense, by disciplined troops, and by fortifications. They would, at the same time, be necessitated to strengthen the executive arm of government, in doing which their constitutions would acquire a progressive direction toward monarchy. It is of the nature of war to increase the executive at the expense of the legislative authority.

The institutions mainly referred to are standing armies and their related military establishments. It’s argued that standing armies aren’t addressed in the new Constitution, leading to the conclusion that they could exist under it.(1) However, their existence, according to the terms of the proposition, is, at best, uncertain and questionable. On the other hand, one could argue that standing armies will inevitably emerge from the breakdown of the Confederacy. Frequent wars and constant fear, which necessitate a state of continuous readiness, will surely lead to their formation. Weaker states or confederacies would initially turn to them in order to match the strength of their more powerful neighbors. They would try to make up for their smaller populations and limited resources with a more organized and effective defense system, using trained troops and fortifications. At the same time, they would be forced to empower the executive branch of government, which would lead their constitutions to gradually lean toward monarchy. War tends to boost the power of the executive at the cost of the legislative authority.

The expedients which have been mentioned would soon give the States or confederacies that made use of them a superiority over their neighbors. Small states, or states of less natural strength, under vigorous governments, and with the assistance of disciplined armies, have often triumphed over large states, or states of greater natural strength, which have been destitute of these advantages. Neither the pride nor the safety of the more important States or confederacies would permit them long to submit to this mortifying and adventitious superiority. They would quickly resort to means similar to those by which it had been effected, to reinstate themselves in their lost pre-eminence. Thus, we should, in a little time, see established in every part of this country the same engines of despotism which have been the scourge of the Old World. This, at least, would be the natural course of things; and our reasonings will be the more likely to be just, in proportion as they are accommodated to this standard.

The strategies mentioned would quickly give the states or alliances that used them an advantage over their neighbors. Smaller states, or states with less natural strength, under strong governments, and with support from trained armies, have often succeeded against larger states, or states with greater natural strength, that lacked these benefits. Neither the pride nor the security of the more significant states or alliances would allow them to endure this humiliating and unexpected dominance for long. They would promptly turn to similar methods to reclaim their lost superiority. As a result, we would soon see the same oppressive systems that have plagued the Old World established throughout this country. This would be the natural progression of events, and our reasoning will be more accurate to the extent that it aligns with this expectation.

These are not vague inferences drawn from supposed or speculative defects in a Constitution, the whole power of which is lodged in the hands of a people, or their representatives and delegates, but they are solid conclusions, drawn from the natural and necessary progress of human affairs.

These aren't unclear conclusions based on presumed or hypothetical flaws in a Constitution, which is entirely controlled by the people or their representatives and delegates. Instead, they are concrete conclusions based on the natural and inevitable progression of human affairs.

It may, perhaps, be asked, by way of objection to this, why did not standing armies spring up out of the contentions which so often distracted the ancient republics of Greece? Different answers, equally satisfactory, may be given to this question. The industrious habits of the people of the present day, absorbed in the pursuits of gain, and devoted to the improvements of agriculture and commerce, are incompatible with the condition of a nation of soldiers, which was the true condition of the people of those republics. The means of revenue, which have been so greatly multiplied by the increase of gold and silver and of the arts of industry, and the science of finance, which is the offspring of modern times, concurring with the habits of nations, have produced an entire revolution in the system of war, and have rendered disciplined armies, distinct from the body of the citizens, the inseparable companions of frequent hostility.

One might question, as an objection to this, why standing armies didn't emerge from the conflicts that often troubled the ancient republics of Greece. There are different answers, all equally valid, to this question. The hardworking nature of today's people, focused on making money and dedicated to improving agriculture and commerce, is not compatible with the situation of a nation of soldiers, which was the reality for the individuals in those republics. The sources of revenue, greatly increased by the rise of gold and silver, along with advancements in industry and the modern science of finance, combined with the habits of nations, have brought about a complete transformation in the system of warfare, making organized armies, separate from the citizens, the constant companions of frequent conflict.

There is a wide difference, also, between military establishments in a country seldom exposed by its situation to internal invasions, and in one which is often subject to them, and always apprehensive of them. The rulers of the former can have no good pretext, if they are even so inclined, to keep on foot armies so numerous as must of necessity be maintained in the latter. These armies being, in the first case, rarely, if at all, called into activity for interior defense, the people are in no danger of being broken to military subordination. The laws are not accustomed to relaxations, in favor of military exigencies; the civil state remains in full vigor, neither corrupted, nor confounded with the principles or propensities of the other state. The smallness of the army renders the natural strength of the community an overmatch for it; and the citizens, not habituated to look up to the military power for protection, or to submit to its oppressions, neither love nor fear the soldiery; they view them with a spirit of jealous acquiescence in a necessary evil, and stand ready to resist a power which they suppose may be exerted to the prejudice of their rights.

There is a significant difference between military forces in a country that is rarely at risk from internal invasions and one that frequently faces them and is always wary of such threats. The leaders of the former have no valid reason, even if they wanted to, to maintain as large an army as is necessary in the latter case. In the former situation, these armies are seldom, if ever, called into action for internal defense, meaning the people aren’t at risk of being accustomed to military control. Laws aren’t used to ease restrictions for military needs; civil governance remains strong, uncorrupted, and separate from military interests. The small army size means the natural strength of the community easily surpasses it, and citizens, unaccustomed to relying on military power for protection or accepting its oppression, neither love nor fear the military. They regard it with a cautious acceptance as a necessary evil and are prepared to oppose any power they believe could threaten their rights.

The army under such circumstances may usefully aid the magistrate to suppress a small faction, or an occasional mob, or insurrection; but it will be unable to enforce encroachments against the united efforts of the great body of the people.

The army in such situations can effectively help the authorities to put down a small group, a mob, or an uprising; however, it won’t be able to impose its will against the combined efforts of the majority of the people.

In a country in the predicament last described, the contrary of all this happens. The perpetual menacings of danger oblige the government to be always prepared to repel it; its armies must be numerous enough for instant defense. The continual necessity for their services enhances the importance of the soldier, and proportionably degrades the condition of the citizen. The military state becomes elevated above the civil. The inhabitants of territories, often the theatre of war, are unavoidably subjected to frequent infringements on their rights, which serve to weaken their sense of those rights; and by degrees the people are brought to consider the soldiery not only as their protectors, but as their superiors. The transition from this disposition to that of considering them masters, is neither remote nor difficult; but it is very difficult to prevail upon a people under such impressions, to make a bold or effectual resistance to usurpations supported by the military power.

In a country facing the situation just described, the opposite occurs. The constant threat of danger forces the government to always be ready to defend itself; its armies must be large enough for immediate defense. The ongoing need for their services increases the importance of soldiers and proportionately lowers the status of citizens. The military becomes more prominent than the civil structure. Residents of areas that often experience war are inevitably subjected to frequent violations of their rights, which diminish their awareness and appreciation of those rights. Gradually, people start to see the military not only as their protectors but also as their superiors. The shift from viewing them as superiors to considering them masters is neither far off nor difficult; however, it’s very challenging for a population with such beliefs to stand up and effectively resist abuses backed by military power.

The kingdom of Great Britain falls within the first description. An insular situation, and a powerful marine, guarding it in a great measure against the possibility of foreign invasion, supersede the necessity of a numerous army within the kingdom. A sufficient force to make head against a sudden descent, till the militia could have time to rally and embody, is all that has been deemed requisite. No motive of national policy has demanded, nor would public opinion have tolerated, a larger number of troops upon its domestic establishment. There has been, for a long time past, little room for the operation of the other causes, which have been enumerated as the consequences of internal war. This peculiar felicity of situation has, in a great degree, contributed to preserve the liberty which that country to this day enjoys, in spite of the prevalent venality and corruption. If, on the contrary, Britain had been situated on the continent, and had been compelled, as she would have been, by that situation, to make her military establishments at home coextensive with those of the other great powers of Europe, she, like them, would in all probability be, at this day, a victim to the absolute power of a single man. It is possible, though not easy, that the people of that island may be enslaved from other causes; but it cannot be by the prowess of an army so inconsiderable as that which has been usually kept up within the kingdom.

The kingdom of Great Britain fits the first description. Its insular location and strong navy largely protect it from the threat of foreign invasion, reducing the need for a large army within the kingdom. A sufficient force to counter a sudden attack, until the militia can gather and organize, is all that has been seen as necessary. No national policy has required, nor would public opinion have allowed, a larger number of troops stationed within the country. For a long time, there has been little opportunity for the other reasons typically associated with civil war to take effect. This unique situation has significantly helped maintain the freedom that the country enjoys today, despite the widespread corruption and bribery. In contrast, if Britain were located on the continent, it would be forced, as it would have been, to match its military presence at home with those of other major European powers, and like them, it would likely be under the absolute control of a single individual today. While it’s possible, though not easy, for the people of the island to be enslaved for other reasons, it cannot happen through the might of an army as small as the one typically maintained within the kingdom.

If we are wise enough to preserve the Union we may for ages enjoy an advantage similar to that of an insulated situation. Europe is at a great distance from us. Her colonies in our vicinity will be likely to continue too much disproportioned in strength to be able to give us any dangerous annoyance. Extensive military establishments cannot, in this position, be necessary to our security. But if we should be disunited, and the integral parts should either remain separated, or, which is most probable, should be thrown together into two or three confederacies, we should be, in a short course of time, in the predicament of the continental powers of Europe—our liberties would be a prey to the means of defending ourselves against the ambition and jealousy of each other.

If we're smart enough to keep the Union intact, we could enjoy a similar advantage to that of being isolated for a long time. Europe is far away from us. The colonies near us are likely to stay too weak to pose any serious threat. We won't need large military forces for our safety in this situation. But if we become divided, and the individual parts either stay separate or, more likely, merge into two or three confederacies, we would quickly find ourselves in the same situation as the European powers—our freedoms would be at risk from the efforts to protect ourselves against each other's ambitions and rivalries.

This is an idea not superficial or futile, but solid and weighty. It deserves the most serious and mature consideration of every prudent and honest man of whatever party. If such men will make a firm and solemn pause, and meditate dispassionately on the importance of this interesting idea; if they will contemplate it in all its attitudes, and trace it to all its consequences, they will not hesitate to part with trivial objections to a Constitution, the rejection of which would in all probability put a final period to the Union. The airy phantoms that flit before the distempered imaginations of some of its adversaries would quickly give place to the more substantial forms of dangers, real, certain, and formidable.

This is an idea that isn’t shallow or pointless, but strong and significant. It deserves serious and thoughtful consideration from every sensible and honest person, no matter their political affiliation. If such individuals take a moment to pause and think carefully about the importance of this idea; if they examine it from every angle and consider all its consequences, they won’t hesitate to let go of trivial objections to a Constitution, the rejection of which would likely bring an end to the Union. The fleeting fears that haunt the troubled minds of some of its opponents would quickly be replaced by more concrete dangers that are real, certain, and serious.

PUBLIUS

PUBLIUS

1. This objection will be fully examined in its proper place, and it will be shown that the only natural precaution which could have been taken on this subject has been taken; and a much better one than is to be found in any constitution that has been heretofore framed in America, most of which contain no guard at all on this subject.

1. This objection will be thoroughly looked at in the right context, and it will be demonstrated that the only reasonable precaution that could have been implemented on this matter has indeed been taken; and it's a much better one than what exists in any constitution that has been previously created in America, most of which have no safeguards at all on this issue.





FEDERALIST No. 9. The Union as a Safeguard Against Domestic Faction and Insurrection

For the Independent Journal. Wednesday, November 21, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

A FIRM Union will be of the utmost moment to the peace and liberty of the States, as a barrier against domestic faction and insurrection. It is impossible to read the history of the petty republics of Greece and Italy without feeling sensations of horror and disgust at the distractions with which they were continually agitated, and at the rapid succession of revolutions by which they were kept in a state of perpetual vibration between the extremes of tyranny and anarchy. If they exhibit occasional calms, these only serve as short-lived contrast to the furious storms that are to succeed. If now and then intervals of felicity open to view, we behold them with a mixture of regret, arising from the reflection that the pleasing scenes before us are soon to be overwhelmed by the tempestuous waves of sedition and party rage. If momentary rays of glory break forth from the gloom, while they dazzle us with a transient and fleeting brilliancy, they at the same time admonish us to lament that the vices of government should pervert the direction and tarnish the lustre of those bright talents and exalted endowments for which the favored soils that produced them have been so justly celebrated.

A strong Union is crucial for the peace and freedom of the States, acting as a shield against internal conflict and rebellion. It's hard to read the history of the small republics of Greece and Italy without feeling horror and disgust at the turmoil they constantly faced and at the quick changes in government that left them in a state of endless chaos between tyranny and anarchy. If there were rare moments of calm, they only highlighted the fierce storms that would follow. If we sometimes glimpse periods of happiness, we look at them with regret, knowing that these pleasant times will soon be drowned by the turbulent waves of dissent and political anger. When brief moments of glory shine through the darkness, they dazzle us with their fleeting brilliance while reminding us to mourn that the flaws in government distort and diminish the greatness of the talents and abilities that the blessed lands which produced them were rightly praised for.

From the disorders that disfigure the annals of those republics the advocates of despotism have drawn arguments, not only against the forms of republican government, but against the very principles of civil liberty. They have decried all free government as inconsistent with the order of society, and have indulged themselves in malicious exultation over its friends and partisans. Happily for mankind, stupendous fabrics reared on the basis of liberty, which have flourished for ages, have, in a few glorious instances, refuted their gloomy sophisms. And, I trust, America will be the broad and solid foundation of other edifices, not less magnificent, which will be equally permanent monuments of their errors.

From the chaos that stains the history of those republics, supporters of tyranny have taken arguments not only against the style of republican government but also against the very principles of civil freedom. They have condemned all free governments as being in conflict with social order and have taken pleasure in mocking its advocates and supporters. Fortunately for humanity, incredible structures built on the foundation of liberty, which have thrived for centuries, have, in a few remarkable cases, proven their bleak arguments wrong. And I hope that America will become a strong and lasting base for other grand buildings that will also stand as enduring symbols of their mistakes.

But it is not to be denied that the portraits they have sketched of republican government were too just copies of the originals from which they were taken. If it had been found impracticable to have devised models of a more perfect structure, the enlightened friends to liberty would have been obliged to abandon the cause of that species of government as indefensible. The science of politics, however, like most other sciences, has received great improvement. The efficacy of various principles is now well understood, which were either not known at all, or imperfectly known to the ancients. The regular distribution of power into distinct departments; the introduction of legislative balances and checks; the institution of courts composed of judges holding their offices during good behavior; the representation of the people in the legislature by deputies of their own election: these are wholly new discoveries, or have made their principal progress towards perfection in modern times. They are means, and powerful means, by which the excellences of republican government may be retained and its imperfections lessened or avoided. To this catalogue of circumstances that tend to the amelioration of popular systems of civil government, I shall venture, however novel it may appear to some, to add one more, on a principle which has been made the foundation of an objection to the new Constitution; I mean the ENLARGEMENT of the ORBIT within which such systems are to revolve, either in respect to the dimensions of a single State or to the consolidation of several smaller States into one great Confederacy. The latter is that which immediately concerns the object under consideration. It will, however, be of use to examine the principle in its application to a single State, which shall be attended to in another place.

But it can't be denied that the portraits they've drawn of republican government were accurate representations of the originals. If it had been impossible to create models of a better design, the enlightened advocates for liberty would have had to abandon the idea of that type of government as unjustifiable. However, the science of politics, like many other fields, has significantly improved. The effectiveness of various principles is now well understood, principles that were either unknown or only partly understood by the ancients. The clear separation of powers into distinct branches; the introduction of legislative checks and balances; the establishment of courts with judges who hold their positions based on good behavior; and the representation of the people in the legislature by elected officials—these are all either entirely new insights or have seen major advancements in modern times. They are effective tools for preserving the strengths of republican government and reducing or eliminating its flaws. To this list of factors that contribute to the improvement of popular systems of governance, I will, despite how unconventional it may seem to some, add one more: the EXPANSION of the SCOPE within which such systems operate, whether concerning the size of a single State or the merging of several smaller States into one large Confederacy. The latter is what directly pertains to our current focus. However, it will also be helpful to explore this principle as it applies to a single State, which will be addressed elsewhere.

The utility of a Confederacy, as well to suppress faction and to guard the internal tranquillity of States, as to increase their external force and security, is in reality not a new idea. It has been practiced upon in different countries and ages, and has received the sanction of the most approved writers on the subject of politics. The opponents of the plan proposed have, with great assiduity, cited and circulated the observations of Montesquieu on the necessity of a contracted territory for a republican government. But they seem not to have been apprised of the sentiments of that great man expressed in another part of his work, nor to have adverted to the consequences of the principle to which they subscribe with such ready acquiescence.

The usefulness of a Confederacy, both for controlling factions and maintaining the peace within states, as well as for boosting their external strength and security, is actually not a new concept. It has been implemented in various countries and times, and has been endorsed by many respected political thinkers. Those against the proposed plan have diligently quoted and spread Montesquieu's views on the need for a smaller territory for a republican government. However, they seem unaware of that great man's opinions expressed elsewhere in his work, nor do they consider the implications of the principle they so readily accept.

When Montesquieu recommends a small extent for republics, the standards he had in view were of dimensions far short of the limits of almost every one of these States. Neither Virginia, Massachusetts, Pennsylvania, New York, North Carolina, nor Georgia can by any means be compared with the models from which he reasoned and to which the terms of his description apply. If we therefore take his ideas on this point as the criterion of truth, we shall be driven to the alternative either of taking refuge at once in the arms of monarchy, or of splitting ourselves into an infinity of little, jealous, clashing, tumultuous commonwealths, the wretched nurseries of unceasing discord, and the miserable objects of universal pity or contempt. Some of the writers who have come forward on the other side of the question seem to have been aware of the dilemma; and have even been bold enough to hint at the division of the larger States as a desirable thing. Such an infatuated policy, such a desperate expedient, might, by the multiplication of petty offices, answer the views of men who possess not qualifications to extend their influence beyond the narrow circles of personal intrigue, but it could never promote the greatness or happiness of the people of America.

When Montesquieu suggests small sizes for republics, he was thinking of dimensions much smaller than almost any of these States. Virginia, Massachusetts, Pennsylvania, New York, North Carolina, and Georgia can't really be compared to the examples he based his arguments on. If we take his views on this matter as the standard, we might either have to turn to monarchy or break ourselves into countless small, rival, chaotic communities that would just be breeding grounds for constant conflict and the unfortunate subjects of widespread pity or disdain. Some writers on the opposing side seem to recognize this dilemma and have even dared to imply that splitting larger States could be a good idea. Such a misguided approach, such a desperate measure, might create a lot of small jobs that cater to those who can only wield influence in their limited circles of personal schemes, but it could never contribute to the greatness or happiness of the American people.

Referring the examination of the principle itself to another place, as has been already mentioned, it will be sufficient to remark here that, in the sense of the author who has been most emphatically quoted upon the occasion, it would only dictate a reduction of the SIZE of the more considerable MEMBERS of the Union, but would not militate against their being all comprehended in one confederate government. And this is the true question, in the discussion of which we are at present interested.

Referring the examination of the principle itself to another place, as already mentioned, it’s enough to note here that, according to the author who has been most strongly quoted on the matter, it would only lead to a decrease in the SIZE of the larger MEMBERS of the Union, but would not oppose having all of them included in one federated government. And this is the main question we’re currently discussing.

So far are the suggestions of Montesquieu from standing in opposition to a general Union of the States, that he explicitly treats of a confederate republic as the expedient for extending the sphere of popular government, and reconciling the advantages of monarchy with those of republicanism.

Montesquieu's suggestions are actually far from opposing a general Union of the States; he clearly discusses a confederate republic as a way to broaden the reach of popular government and balance the benefits of monarchy with those of republicanism.

"It is very probable," (says he(1)) "that mankind would have been obliged at length to live constantly under the government of a single person, had they not contrived a kind of constitution that has all the internal advantages of a republican, together with the external force of a monarchical government. I mean a CONFEDERATE REPUBLIC."

"It’s very likely," he says, "that humanity would have eventually had to live under the rule of a single leader if they hadn’t come up with a sort of constitution that combines all the internal benefits of a republic with the external strength of a monarchy. I’m talking about a CONFEDERATE REPUBLIC."

"This form of government is a convention by which several smaller STATES agree to become members of a larger ONE, which they intend to form. It is a kind of assemblage of societies that constitute a new one, capable of increasing, by means of new associations, till they arrive to such a degree of power as to be able to provide for the security of the united body."

"This type of government is an agreement where several smaller STATES come together to become part of a larger ONE that they plan to create. It’s like a gathering of different societies that form a new one, able to grow through new partnerships, until they reach a level of power that allows them to ensure the security of the united group."

"A republic of this kind, able to withstand an external force, may support itself without any internal corruptions. The form of this society prevents all manner of inconveniences."

A republic like this, capable of resisting outside pressure, can maintain itself without internal corruption. The structure of this society eliminates all kinds of problems.

"If a single member should attempt to usurp the supreme authority, he could not be supposed to have an equal authority and credit in all the confederate states. Were he to have too great influence over one, this would alarm the rest. Were he to subdue a part, that which would still remain free might oppose him with forces independent of those which he had usurped and overpower him before he could be settled in his usurpation."

"If one member tried to take over the top authority, they wouldn't have equal power and respect across all the allied states. If they gained too much influence in one state, it would raise concerns in the others. If they conquered part of it, the remaining free states could challenge them with their own forces, potentially overpowering them before they could solidify their takeover."

"Should a popular insurrection happen in one of the confederate states the others are able to quell it. Should abuses creep into one part, they are reformed by those that remain sound. The state may be destroyed on one side, and not on the other; the confederacy may be dissolved, and the confederates preserve their sovereignty."

"If a popular rebellion occurs in a confederate state, other states can suppress it. If there's abuse of power somewhere, other healthy parts will reform. One state may be destroyed in one aspect while remaining intact in another; the confederation might dissolve, but its members can retain their sovereignty."

"As this government is composed of small republics, it enjoys the internal happiness of each; and with respect to its external situation, it is possessed, by means of the association, of all the advantages of large monarchies."

"As this government is made up of small republics, it benefits from the internal well-being of each one; and regarding its external position, it has, through their association, all the advantages of large monarchies."

I have thought it proper to quote at length these interesting passages, because they contain a luminous abridgment of the principal arguments in favor of the Union, and must effectually remove the false impressions which a misapplication of other parts of the work was calculated to make. They have, at the same time, an intimate connection with the more immediate design of this paper; which is, to illustrate the tendency of the Union to repress domestic faction and insurrection.

I thought it was important to quote these interesting sections in full because they provide a clear summary of the main arguments supporting the Union and will help clear up any misconceptions created by a misinterpretation of other parts of the work. They are also closely related to the main purpose of this paper, which is to show how the Union helps to reduce domestic conflict and rebellion.

A distinction, more subtle than accurate, has been raised between a CONFEDERACY and a CONSOLIDATION of the States. The essential characteristic of the first is said to be, the restriction of its authority to the members in their collective capacities, without reaching to the individuals of whom they are composed. It is contended that the national council ought to have no concern with any object of internal administration. An exact equality of suffrage between the members has also been insisted upon as a leading feature of a confederate government. These positions are, in the main, arbitrary; they are supported neither by principle nor precedent. It has indeed happened, that governments of this kind have generally operated in the manner which the distinction taken notice of, supposes to be inherent in their nature; but there have been in most of them extensive exceptions to the practice, which serve to prove, as far as example will go, that there is no absolute rule on the subject. And it will be clearly shown in the course of this investigation that as far as the principle contended for has prevailed, it has been the cause of incurable disorder and imbecility in the government.

A more subtle than accurate distinction has been made between a CONFEDERACY and a CONSOLIDATION of the States. The main characteristic of the former is said to be its authority limited to the members in their collective roles, without affecting the individuals who make them up. It's argued that the national council should have no involvement in internal administration. An exact equality of voting power among the members has also been emphasized as a key feature of a confederate government. These ideas are mostly arbitrary; they aren't backed by principle or precedent. It's true that governments like this have usually operated as if this distinction were inherent to their nature, but there have been many wide exceptions in most of them that demonstrate that there isn’t a strict rule on the matter. This investigation will clearly show that where this principle has been upheld, it has led to severe disorder and weakness in the government.

The definition of a CONFEDERATE REPUBLIC seems simply to be "an assemblage of societies," or an association of two or more states into one state. The extent, modifications, and objects of the federal authority are mere matters of discretion. So long as the separate organization of the members be not abolished; so long as it exists, by a constitutional necessity, for local purposes; though it should be in perfect subordination to the general authority of the union, it would still be, in fact and in theory, an association of states, or a confederacy. The proposed Constitution, so far from implying an abolition of the State governments, makes them constituent parts of the national sovereignty, by allowing them a direct representation in the Senate, and leaves in their possession certain exclusive and very important portions of sovereign power. This fully corresponds, in every rational import of the terms, with the idea of a federal government.

The definition of a CONFEDERATE REPUBLIC seems to simply mean "a group of societies," or an association of two or more states coming together as one state. The scope, changes, and purposes of federal authority are purely matters of judgment. As long as the separate structure of the members is not eliminated; as long as it remains, by constitutional necessity, for local functions; even if it is completely subordinate to the overall authority of the union, it would still be, in both fact and theory, an association of states, or a confederacy. The proposed Constitution, rather than suggesting an end to State governments, actually includes them as essential parts of national sovereignty by providing them with direct representation in the Senate, and it keeps certain exclusive and very important aspects of sovereign power in their hands. This fully aligns, in every logical sense of the terms, with the concept of a federal government.

In the Lycian confederacy, which consisted of twenty-three CITIES or republics, the largest were entitled to THREE votes in the COMMON COUNCIL, those of the middle class to TWO, and the smallest to ONE. The COMMON COUNCIL had the appointment of all the judges and magistrates of the respective CITIES. This was certainly the most, delicate species of interference in their internal administration; for if there be any thing that seems exclusively appropriated to the local jurisdictions, it is the appointment of their own officers. Yet Montesquieu, speaking of this association, says: "Were I to give a model of an excellent Confederate Republic, it would be that of Lycia." Thus we perceive that the distinctions insisted upon were not within the contemplation of this enlightened civilian; and we shall be led to conclude, that they are the novel refinements of an erroneous theory.

In the Lycian confederacy, made up of twenty-three cities or republics, the largest ones got three votes in the common council, the medium-sized ones got two, and the smallest got one. The common council was responsible for appointing all the judges and officials in the respective cities. This was definitely the most sensitive form of interference in their local governance because the appointment of their own officials seems like something that should be entirely under local control. Yet Montesquieu, when discussing this association, says, "If I were to propose a model of an excellent confederate republic, it would be that of Lycia." So, we can see that the distinctions emphasized were not something this enlightened thinker considered important, and it leads us to conclude that they are modern intricacies of a flawed theory.

PUBLIUS

PUBLIUS

1. "Spirit of Laws," vol. i., book ix., chap. i.

1. "Spirit of Laws," vol. 1, book 9, chap. 1.





FEDERALIST No. 10. The Same Subject Continued (The Union as a Safeguard Against Domestic Faction and Insurrection)

From the Daily Advertiser. Thursday, November 22, 1787.

MADISON

MADISON

To the People of the State of New York:

To the People of New York State:

AMONG the numerous advantages promised by a well constructed Union, none deserves to be more accurately developed than its tendency to break and control the violence of faction. The friend of popular governments never finds himself so much alarmed for their character and fate, as when he contemplates their propensity to this dangerous vice. He will not fail, therefore, to set a due value on any plan which, without violating the principles to which he is attached, provides a proper cure for it. The instability, injustice, and confusion introduced into the public councils, have, in truth, been the mortal diseases under which popular governments have everywhere perished; as they continue to be the favorite and fruitful topics from which the adversaries to liberty derive their most specious declamations. The valuable improvements made by the American constitutions on the popular models, both ancient and modern, cannot certainly be too much admired; but it would be an unwarrantable partiality, to contend that they have as effectually obviated the danger on this side, as was wished and expected. Complaints are everywhere heard from our most considerate and virtuous citizens, equally the friends of public and private faith, and of public and personal liberty, that our governments are too unstable, that the public good is disregarded in the conflicts of rival parties, and that measures are too often decided, not according to the rules of justice and the rights of the minor party, but by the superior force of an interested and overbearing majority. However anxiously we may wish that these complaints had no foundation, the evidence, of known facts will not permit us to deny that they are in some degree true. It will be found, indeed, on a candid review of our situation, that some of the distresses under which we labor have been erroneously charged on the operation of our governments; but it will be found, at the same time, that other causes will not alone account for many of our heaviest misfortunes; and, particularly, for that prevailing and increasing distrust of public engagements, and alarm for private rights, which are echoed from one end of the continent to the other. These must be chiefly, if not wholly, effects of the unsteadiness and injustice with which a factious spirit has tainted our public administrations.

AMONG the many benefits that a well-structured Union promises, none needs more careful explanation than its ability to mitigate and control the chaos of factions. A supporter of democratic governments often feels most anxious for their integrity and future when reflecting on their tendency toward this harmful issue. Therefore, he will certainly appreciate any solution that, without compromising his principles, offers a proper remedy for it. The instability, unfairness, and confusion that have entered our public decision-making processes have, in fact, been the fatal diseases under which democratic governments have collapsed everywhere; these remain the preferred and abundant themes from which those against liberty derive their most persuasive arguments. The significant improvements made by the American constitutions over both ancient and modern democratic models are certainly commendable; however, it would be unjustly biased to argue that they have fully addressed the dangers on this front as we hoped and anticipated. Complaints are frequently expressed by our most thoughtful and virtuous citizens—who are equally advocates for public and private integrity, as well as for public and personal freedom—that our governments are too inconsistent, that the common good is overlooked in the struggles between rival factions, and that decisions are often made not according to justice and the rights of the minority but by the sheer power of a self-serving and dominating majority. No matter how desperately we wish these complaints had no basis, the evidence of known facts won’t allow us to deny that they are somewhat true. A fair review of our circumstances will reveal that some of the troubles we face have been mistakenly attributed to our governments' functioning; yet it will also show that other factors cannot fully explain many of our most significant challenges, particularly the growing and pervasive distrust in public commitments and concern for private rights that resonate from one end of the continent to the other. These must primarily, if not entirely, be effects of the instability and injustice tainted by a factional spirit within our public administrations.

By a faction, I understand a number of citizens, whether amounting to a majority or a minority of the whole, who are united and actuated by some common impulse of passion, or of interest, adversed to the rights of other citizens, or to the permanent and aggregate interests of the community.

By a faction, I mean a group of citizens, whether they make up a majority or a minority, who are united and driven by a shared passion or interest that goes against the rights of other citizens or the long-term and overall interests of the community.

There are two methods of curing the mischiefs of faction: the one, by removing its causes; the other, by controlling its effects.

There are two ways to fix the problems caused by factions: one is to eliminate their causes, and the other is to manage their effects.

There are again two methods of removing the causes of faction: the one, by destroying the liberty which is essential to its existence; the other, by giving to every citizen the same opinions, the same passions, and the same interests.

There are again two ways to eliminate the causes of faction: one is by taking away the liberty that’s essential for its existence; the other is by ensuring that every citizen shares the same opinions, passions, and interests.

It could never be more truly said than of the first remedy, that it was worse than the disease. Liberty is to faction what air is to fire, an aliment without which it instantly expires. But it could not be less folly to abolish liberty, which is essential to political life, because it nourishes faction, than it would be to wish the annihilation of air, which is essential to animal life, because it imparts to fire its destructive agency.

It can never be said more accurately about the first remedy that it was worse than the disease. Liberty is to faction what air is to fire, a fuel without which it quickly goes out. But it would be just as foolish to eliminate liberty, which is essential to political life because it fuels faction, as it would be to wish for the elimination of air, which is vital to animal life, simply because it gives fire its destructive power.

The second expedient is as impracticable as the first would be unwise. As long as the reason of man continues fallible, and he is at liberty to exercise it, different opinions will be formed. As long as the connection subsists between his reason and his self-love, his opinions and his passions will have a reciprocal influence on each other; and the former will be objects to which the latter will attach themselves. The diversity in the faculties of men, from which the rights of property originate, is not less an insuperable obstacle to a uniformity of interests. The protection of these faculties is the first object of government. From the protection of different and unequal faculties of acquiring property, the possession of different degrees and kinds of property immediately results; and from the influence of these on the sentiments and views of the respective proprietors, ensues a division of the society into different interests and parties.

The second option is just as impractical as the first is unwise. As long as human reason remains fallible and people have the freedom to use it, differing opinions will arise. As long as there is a connection between a person's reasoning and their self-interest, their opinions and emotions will influence each other; preferences will naturally align with those opinions. The diversity in people's abilities, which is the basis for property rights, is also a significant barrier to a uniform set of interests. Protecting these abilities is the primary purpose of government. From this protection of varied and unequal abilities to acquire property comes the possession of different amounts and types of property; in turn, this influences the sentiments and views of the property owners, leading to a division of society into different interests and groups.

The latent causes of faction are thus sown in the nature of man; and we see them everywhere brought into different degrees of activity, according to the different circumstances of civil society. A zeal for different opinions concerning religion, concerning government, and many other points, as well of speculation as of practice; an attachment to different leaders ambitiously contending for pre-eminence and power; or to persons of other descriptions whose fortunes have been interesting to the human passions, have, in turn, divided mankind into parties, inflamed them with mutual animosity, and rendered them much more disposed to vex and oppress each other than to co-operate for their common good. So strong is this propensity of mankind to fall into mutual animosities, that where no substantial occasion presents itself, the most frivolous and fanciful distinctions have been sufficient to kindle their unfriendly passions and excite their most violent conflicts. But the most common and durable source of factions has been the various and unequal distribution of property. Those who hold and those who are without property have ever formed distinct interests in society. Those who are creditors, and those who are debtors, fall under a like discrimination. A landed interest, a manufacturing interest, a mercantile interest, a moneyed interest, with many lesser interests, grow up of necessity in civilized nations, and divide them into different classes, actuated by different sentiments and views. The regulation of these various and interfering interests forms the principal task of modern legislation, and involves the spirit of party and faction in the necessary and ordinary operations of the government.

The hidden causes of factions are embedded in human nature, and we see them activated to varying degrees based on the different circumstances of society. A passion for varying opinions about religion, government, and many other matters, both theoretical and practical; an allegiance to different leaders competing for power and superiority; or to individuals with stories that have stirred human emotions, have divided people into groups, fueled mutual hostility, and made them more inclined to annoy and oppress each other rather than work together for the common good. This tendency of humans to develop mutual animosities is so strong that even the slightest and most trivial differences can spark their unfriendly feelings and lead to intense conflicts. However, the most common and lasting source of factions has been the unequal distribution of property. Those who own property and those who do not have consistently formed distinct interests in society. Similarly, creditors and debtors experience a similar divide. Different interests related to land, manufacturing, commerce, and finance, along with many smaller interests, inevitably arise in civilized societies and split them into various classes, each driven by different feelings and goals. Managing these various and conflicting interests is the main responsibility of modern legislation and involves the dynamics of party and faction in the essential and routine functions of government.

No man is allowed to be a judge in his own cause, because his interest would certainly bias his judgment, and, not improbably, corrupt his integrity. With equal, nay with greater reason, a body of men are unfit to be both judges and parties at the same time; yet what are many of the most important acts of legislation, but so many judicial determinations, not indeed concerning the rights of single persons, but concerning the rights of large bodies of citizens? And what are the different classes of legislators but advocates and parties to the causes which they determine? Is a law proposed concerning private debts? It is a question to which the creditors are parties on one side and the debtors on the other. Justice ought to hold the balance between them. Yet the parties are, and must be, themselves the judges; and the most numerous party, or, in other words, the most powerful faction must be expected to prevail. Shall domestic manufactures be encouraged, and in what degree, by restrictions on foreign manufactures? are questions which would be differently decided by the landed and the manufacturing classes, and probably by neither with a sole regard to justice and the public good. The apportionment of taxes on the various descriptions of property is an act which seems to require the most exact impartiality; yet there is, perhaps, no legislative act in which greater opportunity and temptation are given to a predominant party to trample on the rules of justice. Every shilling with which they overburden the inferior number, is a shilling saved to their own pockets.

No one should be a judge in their own case because their personal interests would likely skew their judgment and potentially compromise their integrity. Even more importantly, a group of people is not fit to act as both judges and parties simultaneously; yet many of the most significant legislative actions are essentially judicial decisions about the rights of large groups of citizens rather than just individuals. The different types of legislators are essentially advocates and parties in the cases they are deciding. If a law is proposed about private debts, it involves creditors on one side and debtors on the other. Justice should fairly weigh both sides. However, the parties involved are also the judges, and the largest group, or the most influential faction, is likely to win out. Should we promote domestic manufacturing, and to what extent should we restrict foreign products? These questions would lead to different answers from the landowners and manufacturers, probably not considering justice and the public good. The distribution of taxes on different types of property seems to call for true impartiality; yet, there’s perhaps no legislative action that gives a dominant party more chances and temptations to disregard justice. Every extra burden they place on a smaller group saves them money in their own pockets.

It is in vain to say that enlightened statesmen will be able to adjust these clashing interests, and render them all subservient to the public good. Enlightened statesmen will not always be at the helm. Nor, in many cases, can such an adjustment be made at all without taking into view indirect and remote considerations, which will rarely prevail over the immediate interest which one party may find in disregarding the rights of another or the good of the whole.

It's pointless to say that wise leaders can balance these conflicting interests and make them serve the public good. Wise leaders won't always be in charge. Also, in many situations, such a balance can't be achieved without considering broader and more distant factors, which will seldom outweigh the immediate benefits one party may gain from ignoring another's rights or the overall good.

The inference to which we are brought is, that the CAUSES of faction cannot be removed, and that relief is only to be sought in the means of controlling its EFFECTS.

The conclusion we reach is that the CAUSES of faction can't be eliminated, and that the only way to find relief is through managing its EFFECTS.

If a faction consists of less than a majority, relief is supplied by the republican principle, which enables the majority to defeat its sinister views by regular vote. It may clog the administration, it may convulse the society; but it will be unable to execute and mask its violence under the forms of the Constitution. When a majority is included in a faction, the form of popular government, on the other hand, enables it to sacrifice to its ruling passion or interest both the public good and the rights of other citizens. To secure the public good and private rights against the danger of such a faction, and at the same time to preserve the spirit and the form of popular government, is then the great object to which our inquiries are directed. Let me add that it is the great desideratum by which this form of government can be rescued from the opprobrium under which it has so long labored, and be recommended to the esteem and adoption of mankind.

If a faction makes up less than half, the republican principle provides relief by allowing the majority to counter its harmful agenda through regular voting. This might obstruct the administration and shake up society, but it won't be able to carry out its violence while pretending to follow the Constitution. However, when a majority is part of a faction, the nature of popular government allows it to prioritize its own desires or interests over the public good and the rights of other citizens. To protect the public good and individual rights from the threat of such a faction, while also maintaining the spirit and structure of popular government, is the main focus of our discussions. I should add that it's the key goal that can help this form of government escape the negative reputation it has endured for so long and earn the respect and acceptance of people everywhere.

By what means is this object attainable? Evidently by one of two only. Either the existence of the same passion or interest in a majority at the same time must be prevented, or the majority, having such coexistent passion or interest, must be rendered, by their number and local situation, unable to concert and carry into effect schemes of oppression. If the impulse and the opportunity be suffered to coincide, we well know that neither moral nor religious motives can be relied on as an adequate control. They are not found to be such on the injustice and violence of individuals, and lose their efficacy in proportion to the number combined together, that is, in proportion as their efficacy becomes needful.

By what means can this goal be achieved? Clearly, there are only two options. Either we need to prevent the same passion or interest from being held by a majority at the same time, or if the majority shares that passion or interest, their numbers and local circumstances must make it impossible for them to organize and carry out oppressive schemes. If the impulse and the opportunity happen to align, we know well that neither moral nor religious motivations can be counted on as sufficient control. They are ineffective against the injustice and violence of individuals, and their effectiveness diminishes as the number of people involved increases, that is, as their effectiveness becomes more necessary.

From this view of the subject it may be concluded that a pure democracy, by which I mean a society consisting of a small number of citizens, who assemble and administer the government in person, can admit of no cure for the mischiefs of faction. A common passion or interest will, in almost every case, be felt by a majority of the whole; a communication and concert result from the form of government itself; and there is nothing to check the inducements to sacrifice the weaker party or an obnoxious individual. Hence it is that such democracies have ever been spectacles of turbulence and contention; have ever been found incompatible with personal security or the rights of property; and have in general been as short in their lives as they have been violent in their deaths. Theoretic politicians, who have patronized this species of government, have erroneously supposed that by reducing mankind to a perfect equality in their political rights, they would, at the same time, be perfectly equalized and assimilated in their possessions, their opinions, and their passions.

From this perspective, it can be concluded that a pure democracy, which I define as a society made up of a small number of citizens who meet and run the government themselves, cannot solve the problems caused by factions. A shared passion or interest will, in almost every instance, be experienced by a majority; communication and collaboration come from the structure of the government itself, and there’s nothing to prevent the majority from overpowering the minority or an unpopular individual. Because of this, such democracies have always been chaotic and contentious; they have never been compatible with personal safety or property rights, and they tend to be short-lived and end violently. Theoretical politicians who have supported this type of government have mistakenly believed that by making everyone politically equal, individuals would also be equal in their possessions, opinions, and passions.

A republic, by which I mean a government in which the scheme of representation takes place, opens a different prospect, and promises the cure for which we are seeking. Let us examine the points in which it varies from pure democracy, and we shall comprehend both the nature of the cure and the efficacy which it must derive from the Union.

A republic, which I mean as a government where representation is put into action, presents a different outlook and offers the solution we are looking for. Let's look at how it differs from pure democracy, and we will understand both the nature of the solution and the effectiveness it must gain from the Union.

The two great points of difference between a democracy and a republic are: first, the delegation of the government, in the latter, to a small number of citizens elected by the rest; secondly, the greater number of citizens, and greater sphere of country, over which the latter may be extended.

The two main differences between a democracy and a republic are: first, in a republic, the government is run by a small group of citizens elected by the rest; second, a republic can have a larger number of citizens and a bigger area of land compared to a democracy.

The effect of the first difference is, on the one hand, to refine and enlarge the public views, by passing them through the medium of a chosen body of citizens, whose wisdom may best discern the true interest of their country, and whose patriotism and love of justice will be least likely to sacrifice it to temporary or partial considerations. Under such a regulation, it may well happen that the public voice, pronounced by the representatives of the people, will be more consonant to the public good than if pronounced by the people themselves, convened for the purpose. On the other hand, the effect may be inverted. Men of factious tempers, of local prejudices, or of sinister designs, may, by intrigue, by corruption, or by other means, first obtain the suffrages, and then betray the interests, of the people. The question resulting is, whether small or extensive republics are more favorable to the election of proper guardians of the public weal; and it is clearly decided in favor of the latter by two obvious considerations:

The effect of the first difference is that it refines and expands public views by filtering them through a select group of citizens, whose wisdom can best understand the true interests of their country, and whose patriotism and love for justice are less likely to sacrifice it for short-term or narrow interests. With such a structure in place, it can happen that the public opinion expressed by the representatives of the people will be more aligned with the common good than if expressed directly by the people gathered for that purpose. On the flip side, the opposite effect can also occur. Individuals with divisive attitudes, local biases, or self-serving agendas may, through manipulation, bribery, or other tactics, gain votes and then betray the people’s interests. The resulting question is whether small or large republics are better at electing suitable protectors of the public good, and it is clearly shown that the latter is favored by two clear reasons:

In the first place, it is to be remarked that, however small the republic may be, the representatives must be raised to a certain number, in order to guard against the cabals of a few; and that, however large it may be, they must be limited to a certain number, in order to guard against the confusion of a multitude. Hence, the number of representatives in the two cases not being in proportion to that of the two constituents, and being proportionally greater in the small republic, it follows that, if the proportion of fit characters be not less in the large than in the small republic, the former will present a greater option, and consequently a greater probability of a fit choice.

First, it’s important to note that, no matter how small the republic is, there needs to be a minimum number of representatives to prevent cliques of a few individuals. Conversely, even in a large republic, the number of representatives should be capped to avoid chaos among the masses. Therefore, since the number of representatives isn't proportional to the size of the constituents, and is proportionally higher in a smaller republic, it follows that if the proportion of qualified individuals is at least equal in the larger republic as in the smaller one, the larger one will offer a wider selection and thus a greater chance of making a good choice.

In the next place, as each representative will be chosen by a greater number of citizens in the large than in the small republic, it will be more difficult for unworthy candidates to practice with success the vicious arts by which elections are too often carried; and the suffrages of the people being more free, will be more likely to centre in men who possess the most attractive merit and the most diffusive and established characters.

In addition, since each representative will be selected by a larger group of citizens in a big republic than in a small one, it will be harder for unqualified candidates to successfully use the corrupt tactics that often influence elections. Because the votes of the people will be more free, they are more likely to focus on individuals who have the most appealing qualities and well-established reputations.

It must be confessed that in this, as in most other cases, there is a mean, on both sides of which inconveniences will be found to lie. By enlarging too much the number of electors, you render the representatives too little acquainted with all their local circumstances and lesser interests; as by reducing it too much, you render him unduly attached to these, and too little fit to comprehend and pursue great and national objects. The federal Constitution forms a happy combination in this respect; the great and aggregate interests being referred to the national, the local and particular to the State legislatures.

It must be acknowledged that in this, as in many other situations, there is a balance, with challenges on both sides. If you increase the number of voters too much, the representatives will know too little about their local issues and smaller interests; conversely, if you decrease it too much, they become too focused on these and less capable of understanding and addressing larger national matters. The federal Constitution strikes a good balance here, assigning major national interests to the federal government while local and specific concerns are managed by the state legislatures.

The other point of difference is, the greater number of citizens and extent of territory which may be brought within the compass of republican than of democratic government; and it is this circumstance principally which renders factious combinations less to be dreaded in the former than in the latter. The smaller the society, the fewer probably will be the distinct parties and interests composing it; the fewer the distinct parties and interests, the more frequently will a majority be found of the same party; and the smaller the number of individuals composing a majority, and the smaller the compass within which they are placed, the more easily will they concert and execute their plans of oppression. Extend the sphere, and you take in a greater variety of parties and interests; you make it less probable that a majority of the whole will have a common motive to invade the rights of other citizens; or if such a common motive exists, it will be more difficult for all who feel it to discover their own strength, and to act in unison with each other. Besides other impediments, it may be remarked that, where there is a consciousness of unjust or dishonorable purposes, communication is always checked by distrust in proportion to the number whose concurrence is necessary.

The other point of difference is that a republican government can include a larger number of citizens and a broader territory compared to a democratic government. This key difference is what makes factions less of a concern in a republic than in a democracy. In a smaller society, there are likely to be fewer distinct parties and interests; with fewer parties and interests, it becomes easier for a majority to be made up of the same group. The smaller the majority and the closer-knit their community, the easier it is for them to plan and carry out acts of oppression. By expanding the community, you incorporate a wider range of parties and interests, making it less likely that a majority will share a common motive to violate the rights of other citizens. Even if such a common motive exists, it will be more challenging for those who feel it to recognize their collective strength and work together. Additionally, it's worth noting that when there is an awareness of unjust or dishonorable intentions, communication is hindered by distrust, especially as the number of people needed to agree increases.

Hence, it clearly appears, that the same advantage which a republic has over a democracy, in controlling the effects of faction, is enjoyed by a large over a small republic,—is enjoyed by the Union over the States composing it. Does the advantage consist in the substitution of representatives whose enlightened views and virtuous sentiments render them superior to local prejudices and schemes of injustice? It will not be denied that the representation of the Union will be most likely to possess these requisite endowments. Does it consist in the greater security afforded by a greater variety of parties, against the event of any one party being able to outnumber and oppress the rest? In an equal degree does the increased variety of parties comprised within the Union, increase this security. Does it, in fine, consist in the greater obstacles opposed to the concert and accomplishment of the secret wishes of an unjust and interested majority? Here, again, the extent of the Union gives it the most palpable advantage.

Therefore, it’s clear that the same benefit a republic has over a democracy in managing the impact of factions is also true for a large republic compared to a small one—and for the Union compared to the individual States within it. Does this advantage come from having representatives whose well-informed perspectives and ethical values make them better than local biases and unjust agendas? It’s hard to argue that the Union's representation is more likely to embody these necessary qualities. Does it stem from the greater security provided by a larger diversity of parties, ensuring that no single party can dominate and oppress the others? In the same way, the increased variety of parties within the Union enhances this security. Ultimately, does it arise from the greater challenges posed to the coordination and realization of the hidden desires of an unjust and self-serving majority? Here again, the size of the Union provides a significant benefit.

The influence of factious leaders may kindle a flame within their particular States, but will be unable to spread a general conflagration through the other States. A religious sect may degenerate into a political faction in a part of the Confederacy; but the variety of sects dispersed over the entire face of it must secure the national councils against any danger from that source. A rage for paper money, for an abolition of debts, for an equal division of property, or for any other improper or wicked project, will be less apt to pervade the whole body of the Union than a particular member of it; in the same proportion as such a malady is more likely to taint a particular county or district, than an entire State.

The influence of self-serving leaders might spark trouble in their own states, but it won't be able to spread chaos throughout the other states. A religious group might turn into a political faction in part of the Confederacy, but the diversity of groups spread across the whole area will protect the national government from any threat that might arise from that. A desire for paper money, for canceling debts, for equal distribution of wealth, or for any other improper or harmful plan is less likely to spread throughout the entire Union than to affect one specific member of it; just like such a problem is more likely to influence a specific county or district than an entire state.

In the extent and proper structure of the Union, therefore, we behold a republican remedy for the diseases most incident to republican government. And according to the degree of pleasure and pride we feel in being republicans, ought to be our zeal in cherishing the spirit and supporting the character of Federalists.

In the size and proper structure of the Union, we see a republican solution for the issues most common to republican government. The level of enjoyment and pride we have in being republicans should match our enthusiasm for nurturing the spirit and upholding the character of Federalists.

PUBLIUS

PUBLIUS





FEDERALIST No. 11. The Utility of the Union in Respect to Commercial Relations and a Navy

For the Independent Journal. Saturday, November 24, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE importance of the Union, in a commercial light, is one of those points about which there is least room to entertain a difference of opinion, and which has, in fact, commanded the most general assent of men who have any acquaintance with the subject. This applies as well to our intercourse with foreign countries as with each other.

THE importance of the Union, in terms of commerce, is one of those points where there’s little room for disagreement, and which has, in fact, received the most widespread agreement from those familiar with the topic. This applies equally to our interactions with foreign countries as well as with each other.

There are appearances to authorize a supposition that the adventurous spirit, which distinguishes the commercial character of America, has already excited uneasy sensations in several of the maritime powers of Europe. They seem to be apprehensive of our too great interference in that carrying trade, which is the support of their navigation and the foundation of their naval strength. Those of them which have colonies in America look forward to what this country is capable of becoming, with painful solicitude. They foresee the dangers that may threaten their American dominions from the neighborhood of States, which have all the dispositions, and would possess all the means, requisite to the creation of a powerful marine. Impressions of this kind will naturally indicate the policy of fostering divisions among us, and of depriving us, as far as possible, of an ACTIVE COMMERCE in our own bottoms. This would answer the threefold purpose of preventing our interference in their navigation, of monopolizing the profits of our trade, and of clipping the wings by which we might soar to a dangerous greatness. Did not prudence forbid the detail, it would not be difficult to trace, by facts, the workings of this policy to the cabinets of ministers.

There are signs that the adventurous spirit, which defines America's commercial character, has already raised concerns among several maritime powers in Europe. They seem worried about our potential interference in the carrying trade, which supports their shipping and forms the foundation of their naval strength. Those with colonies in America are anxiously considering what this country could become. They foresee the threats that could emerge for their American territories from neighboring states that have all the intentions and means necessary to build a strong navy. Such concerns will naturally lead to a strategy of encouraging divisions among us and limiting our ACTIVE COMMERCE on our own ships. This would serve the threefold purpose of preventing our involvement in their shipping, monopolizing the profits from our trade, and stifling our potential rise to significant power. If caution didn't prevent it, it wouldn’t be hard to document, using facts, how this strategy originates from the offices of government leaders.

If we continue united, we may counteract a policy so unfriendly to our prosperity in a variety of ways. By prohibitory regulations, extending, at the same time, throughout the States, we may oblige foreign countries to bid against each other, for the privileges of our markets. This assertion will not appear chimerical to those who are able to appreciate the importance of the markets of three millions of people—increasing in rapid progression, for the most part exclusively addicted to agriculture, and likely from local circumstances to remain so—to any manufacturing nation; and the immense difference there would be to the trade and navigation of such a nation, between a direct communication in its own ships, and an indirect conveyance of its products and returns, to and from America, in the ships of another country. Suppose, for instance, we had a government in America, capable of excluding Great Britain (with whom we have at present no treaty of commerce) from all our ports; what would be the probable operation of this step upon her politics? Would it not enable us to negotiate, with the fairest prospect of success, for commercial privileges of the most valuable and extensive kind, in the dominions of that kingdom? When these questions have been asked, upon other occasions, they have received a plausible, but not a solid or satisfactory answer. It has been said that prohibitions on our part would produce no change in the system of Britain, because she could prosecute her trade with us through the medium of the Dutch, who would be her immediate customers and paymasters for those articles which were wanted for the supply of our markets. But would not her navigation be materially injured by the loss of the important advantage of being her own carrier in that trade? Would not the principal part of its profits be intercepted by the Dutch, as a compensation for their agency and risk? Would not the mere circumstance of freight occasion a considerable deduction? Would not so circuitous an intercourse facilitate the competitions of other nations, by enhancing the price of British commodities in our markets, and by transferring to other hands the management of this interesting branch of the British commerce?

If we stay united, we can push back against a policy that's really hurting our prosperity in several ways. By putting in place prohibitory regulations that apply across all the States, we can force foreign countries to compete with each other for access to our markets. This claim won’t seem unrealistic to those who understand the value of the markets of three million people—growing quickly, mostly focused on agriculture, and likely to stay that way due to local conditions—for any manufacturing country; and the huge difference it would make for the trade and shipping of such a country, between shipping its goods directly in its own ships versus sending them to and from America in the ships of another nation. For example, if we had a government here in America that could keep Great Britain (which currently has no trade treaty with us) out of all our ports, what impact would that have on her politics? Wouldn’t it give us a strong chance to negotiate for very valuable trade privileges in the territories of that kingdom? When these questions have been raised before, the answers given often seemed reasonable, but not solid or convincing. It’s been suggested that our restrictions wouldn’t change Britain’s trading system because she could still trade with us through the Dutch, who would be her immediate customers and pay directly for the goods we need. But wouldn’t her shipping be significantly harmed by losing the important advantage of being able to transport her products herself? Wouldn’t the main part of her profits be taken by the Dutch as compensation for their involvement and risk? Wouldn’t just the cost of shipping lead to a significant reduction in profit? Wouldn’t such roundabout trading make it easier for other countries to compete by raising the prices of British goods in our markets and handing over the control of this important part of British trade to others?

A mature consideration of the objects suggested by these questions will justify a belief that the real disadvantages to Britain from such a state of things, conspiring with the pre-possessions of a great part of the nation in favor of the American trade, and with the importunities of the West India islands, would produce a relaxation in her present system, and would let us into the enjoyment of privileges in the markets of those islands elsewhere, from which our trade would derive the most substantial benefits. Such a point gained from the British government, and which could not be expected without an equivalent in exemptions and immunities in our markets, would be likely to have a correspondent effect on the conduct of other nations, who would not be inclined to see themselves altogether supplanted in our trade.

A thoughtful look at the issues raised by these questions will support the idea that the real disadvantages to Britain from this situation, combined with the strong opinions of many people in favor of American trade and the pressures from the West Indies, would likely lead to a relaxation of its current system. This would allow us to enjoy advantages in the markets of those islands and significantly benefit our trade. If we secure such a concession from the British government, which would likely require reciprocal exemptions and privileges in our markets, it would probably influence how other nations act, as they wouldn't want to be completely pushed out of our trade.

A further resource for influencing the conduct of European nations toward us, in this respect, would arise from the establishment of a federal navy. There can be no doubt that the continuance of the Union under an efficient government would put it in our power, at a period not very distant, to create a navy which, if it could not vie with those of the great maritime powers, would at least be of respectable weight if thrown into the scale of either of two contending parties. This would be more peculiarly the case in relation to operations in the West Indies. A few ships of the line, sent opportunely to the reinforcement of either side, would often be sufficient to decide the fate of a campaign, on the event of which interests of the greatest magnitude were suspended. Our position is, in this respect, a most commanding one. And if to this consideration we add that of the usefulness of supplies from this country, in the prosecution of military operations in the West Indies, it will readily be perceived that a situation so favorable would enable us to bargain with great advantage for commercial privileges. A price would be set not only upon our friendship, but upon our neutrality. By a steady adherence to the Union we may hope, erelong, to become the arbiter of Europe in America, and to be able to incline the balance of European competitions in this part of the world as our interest may dictate.

A further resource for influencing the behavior of European nations toward us in this regard would come from the creation of a federal navy. There's no doubt that the continuation of the Union under an effective government would allow us, in the not-too-distant future, to establish a navy that, while it might not compete with those of the major maritime powers, would still carry significant weight in any conflicts between two opposing sides. This would be especially true for operations in the West Indies. A few well-timed warships sent to bolster either side could often be enough to determine the outcome of a campaign, which would directly impact our important interests. Our position here is particularly advantageous. If we also consider the value of supplies from our country for military efforts in the West Indies, it’s clear that such a favorable situation would enable us to negotiate for commercial privileges with significant leverage. We would be able to put a value not just on our friendship, but also on our neutrality. Through a consistent commitment to the Union, we may soon hope to become the deciding factor for Europe in America and influence the balance of European rivalries in this region according to our interests.

But in the reverse of this eligible situation, we shall discover that the rivalships of the parts would make them checks upon each other, and would frustrate all the tempting advantages which nature has kindly placed within our reach. In a state so insignificant our commerce would be a prey to the wanton intermeddlings of all nations at war with each other; who, having nothing to fear from us, would with little scruple or remorse, supply their wants by depredations on our property as often as it fell in their way. The rights of neutrality will only be respected when they are defended by an adequate power. A nation, despicable by its weakness, forfeits even the privilege of being neutral.

But in contrast to this favorable situation, we’ll find that conflicts among the factions would act as checks on each other and would ruin all the appealing advantages that nature has generously provided us. In such an insignificant state, our trade would become a target for the reckless interference of all nations at war with one another; those nations, having nothing to fear from us, would readily exploit our resources without any hesitation or guilt whenever the opportunity arose. The rights of neutrality will only be upheld when backed by sufficient power. A nation that is looked down upon for its weakness even loses the right to be neutral.

Under a vigorous national government, the natural strength and resources of the country, directed to a common interest, would baffle all the combinations of European jealousy to restrain our growth. This situation would even take away the motive to such combinations, by inducing an impracticability of success. An active commerce, an extensive navigation, and a flourishing marine would then be the offspring of moral and physical necessity. We might defy the little arts of the little politicians to control or vary the irresistible and unchangeable course of nature.

With a strong national government, the country’s natural strength and resources, focused on a common interest, would outsmart any European attempts to limit our growth. This scenario would even eliminate the motivation for such attempts, making them practically impossible to succeed. A vibrant economy, widespread trade, and a thriving navy would emerge from both moral and physical necessities. We could ignore the petty tactics of small-time politicians trying to manipulate or change the unstoppable and unyielding forces of nature.

But in a state of disunion, these combinations might exist and might operate with success. It would be in the power of the maritime nations, availing themselves of our universal impotence, to prescribe the conditions of our political existence; and as they have a common interest in being our carriers, and still more in preventing our becoming theirs, they would in all probability combine to embarrass our navigation in such a manner as would in effect destroy it, and confine us to a PASSIVE COMMERCE. We should then be compelled to content ourselves with the first price of our commodities, and to see the profits of our trade snatched from us to enrich our enemies and persecutors. That unequaled spirit of enterprise, which signalizes the genius of the American merchants and navigators, and which is in itself an inexhaustible mine of national wealth, would be stifled and lost, and poverty and disgrace would overspread a country which, with wisdom, might make herself the admiration and envy of the world.

But in a state of disunity, these combinations could exist and operate successfully. It would be in the hands of maritime nations, taking advantage of our complete powerlessness, to dictate the terms of our political existence; and since they have a shared interest in being our carriers, and even more in preventing us from becoming theirs, they would likely join forces to hinder our navigation in a way that would effectively destroy it, leaving us to a PASSIVE TRADE. We would then have to settle for the initial price of our goods and watch as the profits from our trade are taken from us to enrich our enemies and oppressors. That unmatched spirit of enterprise, which highlights the talent of American merchants and navigators, and which is itself an endless source of national wealth, would be suffocated and lost, leading to poverty and shame in a country that, with wisdom, could become the admiration and envy of the world.

There are rights of great moment to the trade of America which are rights of the Union—I allude to the fisheries, to the navigation of the Western lakes, and to that of the Mississippi. The dissolution of the Confederacy would give room for delicate questions concerning the future existence of these rights; which the interest of more powerful partners would hardly fail to solve to our disadvantage. The disposition of Spain with regard to the Mississippi needs no comment. France and Britain are concerned with us in the fisheries, and view them as of the utmost moment to their navigation. They, of course, would hardly remain long indifferent to that decided mastery, of which experience has shown us to be possessed in this valuable branch of traffic, and by which we are able to undersell those nations in their own markets. What more natural than that they should be disposed to exclude from the lists such dangerous competitors?

There are important rights related to America's trade that are rights of the Union—I’m referring to the fisheries, the navigation of the Great Lakes, and the Mississippi River. Breaking up the Confederacy would raise complicated questions about the future of these rights, which more powerful partners would likely resolve to our disadvantage. Spain's stance on the Mississippi is well known. France and Britain are involved with us in the fisheries and consider them crucial for their navigation. They would not stay indifferent to our clear advantage, which has shown we can dominate this valuable market and undercut them in their own territories. It makes perfect sense that they would want to eliminate such significant competition.

This branch of trade ought not to be considered as a partial benefit. All the navigating States may, in different degrees, advantageously participate in it, and under circumstances of a greater extension of mercantile capital, would not be unlikely to do it. As a nursery of seamen, it now is, or when time shall have more nearly assimilated the principles of navigation in the several States, will become, a universal resource. To the establishment of a navy, it must be indispensable.

This trade should not be seen as just a limited benefit. All the maritime states can, to varying degrees, gain from it, and if there’s an increase in commercial capital, they are likely to do so. Currently, it serves as a training ground for sailors, and as the principles of navigation become more aligned among the states over time, it will become a valuable resource for everyone. It is essential for building a navy.

To this great national object, a NAVY, union will contribute in various ways. Every institution will grow and flourish in proportion to the quantity and extent of the means concentred towards its formation and support. A navy of the United States, as it would embrace the resources of all, is an object far less remote than a navy of any single State or partial confederacy, which would only embrace the resources of a single part. It happens, indeed, that different portions of confederated America possess each some peculiar advantage for this essential establishment. The more southern States furnish in greater abundance certain kinds of naval stores—tar, pitch, and turpentine. Their wood for the construction of ships is also of a more solid and lasting texture. The difference in the duration of the ships of which the navy might be composed, if chiefly constructed of Southern wood, would be of signal importance, either in the view of naval strength or of national economy. Some of the Southern and of the Middle States yield a greater plenty of iron, and of better quality. Seamen must chiefly be drawn from the Northern hive. The necessity of naval protection to external or maritime commerce does not require a particular elucidation, no more than the conduciveness of that species of commerce to the prosperity of a navy.

To this important national goal, a NAVY, the union will contribute in various ways. Every institution will grow and thrive based on the amount and extent of resources dedicated to its creation and support. A navy for the United States, which would draw on the resources of everyone, is far less distant than a navy for any single state or small confederacy, which would only involve the resources of one region. In fact, different regions of confederated America each have unique advantages for this essential establishment. The more southern states provide a greater abundance of certain naval supplies—tar, pitch, and turpentine. Their wood for building ships is also stronger and more durable. The difference in the lifespan of the ships made primarily from Southern wood would be particularly significant for both naval strength and national economy. Some of the Southern and Middle States produce a greater supply of iron, and of better quality too. Most sailors will need to come from the North. The need for naval protection for external or maritime commerce doesn’t need further explanation, just as the benefit of that type of commerce to the prosperity of a navy is clear.

An unrestrained intercourse between the States themselves will advance the trade of each by an interchange of their respective productions, not only for the supply of reciprocal wants at home, but for exportation to foreign markets. The veins of commerce in every part will be replenished, and will acquire additional motion and vigor from a free circulation of the commodities of every part. Commercial enterprise will have much greater scope, from the diversity in the productions of different States. When the staple of one fails from a bad harvest or unproductive crop, it can call to its aid the staple of another. The variety, not less than the value, of products for exportation contributes to the activity of foreign commerce. It can be conducted upon much better terms with a large number of materials of a given value than with a small number of materials of the same value; arising from the competitions of trade and from the fluctuations of markets. Particular articles may be in great demand at certain periods, and unsalable at others; but if there be a variety of articles, it can scarcely happen that they should all be at one time in the latter predicament, and on this account the operations of the merchant would be less liable to any considerable obstruction or stagnation. The speculative trader will at once perceive the force of these observations, and will acknowledge that the aggregate balance of the commerce of the United States would bid fair to be much more favorable than that of the thirteen States without union or with partial unions.

An unrestricted interaction among the States will boost each one's trade through the exchange of their unique products, fulfilling domestic needs and allowing for exports to international markets. Trade channels everywhere will be revitalized and will gain more energy from the free flow of goods from all regions. Commercial opportunities will expand significantly due to the variety of products offered by different States. If one State's main crop fails due to poor weather or unproductive yields, it can rely on another State's staple. The diversity, as well as the worth, of products available for export enhances the vibrancy of international trade. Trade can be managed much more effectively with a wide range of valuable materials than with just a few; this is due to competition among businesses and fluctuations in the market. Certain items might be highly sought after at specific times and not sell well at others; however, with a variety of goods, it’s unlikely that they would all be unsalable at the same time, meaning merchants would face fewer significant disruptions or stagnation. Savvy traders will quickly recognize the truth in these points and will agree that the overall balance of trade for the United States could be much more advantageous than that of the thirteen States without unity or with only partial unions.

It may perhaps be replied to this, that whether the States are united or disunited, there would still be an intimate intercourse between them which would answer the same ends; this intercourse would be fettered, interrupted, and narrowed by a multiplicity of causes, which in the course of these papers have been amply detailed. A unity of commercial, as well as political, interests, can only result from a unity of government.

It might be argued that regardless of whether the states are united or divided, there would still be a close interaction between them that serves the same purposes. However, this interaction would be restricted, disrupted, and limited by various factors, which have been thoroughly discussed throughout these papers. A shared set of commercial and political interests can only come from a unified government.

There are other points of view in which this subject might be placed, of a striking and animating kind. But they would lead us too far into the regions of futurity, and would involve topics not proper for a newspaper discussion. I shall briefly observe, that our situation invites and our interests prompt us to aim at an ascendant in the system of American affairs. The world may politically, as well as geographically, be divided into four parts, each having a distinct set of interests. Unhappily for the other three, Europe, by her arms and by her negotiations, by force and by fraud, has, in different degrees, extended her dominion over them all. Africa, Asia, and America, have successively felt her domination. The superiority she has long maintained has tempted her to plume herself as the Mistress of the World, and to consider the rest of mankind as created for her benefit. Men admired as profound philosophers have, in direct terms, attributed to her inhabitants a physical superiority, and have gravely asserted that all animals, and with them the human species, degenerate in America—that even dogs cease to bark after having breathed awhile in our atmosphere.(1) Facts have too long supported these arrogant pretensions of the Europeans. It belongs to us to vindicate the honor of the human race, and to teach that assuming brother, moderation. Union will enable us to do it. Disunion will will add another victim to his triumphs. Let Americans disdain to be the instruments of European greatness! Let the thirteen States, bound together in a strict and indissoluble Union, concur in erecting one great American system, superior to the control of all transatlantic force or influence, and able to dictate the terms of the connection between the old and the new world!

There are other perspectives on this topic that could be both compelling and energizing. However, exploring them would take us too far into the future and into discussions that aren't suitable for a newspaper. I will briefly note that our situation encourages us, and our interests drive us, to strive for a leading role in American affairs. Politically and geographically, the world can be divided into four parts, each with its own set of interests. Unfortunately for the other three, Europe has, through military force and negotiations, as well as manipulation and deceit, extended its control over all of them to varying degrees. Africa, Asia, and America have all felt her dominance. The superiority that Europe has long maintained has led her to see herself as the Mistress of the World, treating the rest of humanity as if they were created for her advantage. Esteemed philosophers have even claimed that the inhabitants of Europe have a physical superiority and have seriously stated that all animals, including humans, decline in America—suggesting that even dogs stop barking after spending some time in our atmosphere. For too long, facts have supported these arrogant claims of Europeans. It is our duty to defend the dignity of the human race and to teach that presumptuous sibling a lesson in moderation. Unity will allow us to achieve this. Disunity will only add another victim to his victories. Let Americans refuse to be the tools of European power! Let the thirteen states come together in a strong and unbreakable union to create one great American system, one that is beyond the influence of any foreign power, and that can set the terms for the relationship between the old world and the new!

PUBLIUS "Recherches philosophiques sur les Americains."

PUBLIUS "Philosophical Research on the Americans."





FEDERALIST No. 12. The Utility of the Union In Respect to Revenue

From the New York Packet. Tuesday, November 27, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

THE effects of Union upon the commercial prosperity of the States have been sufficiently delineated. Its tendency to promote the interests of revenue will be the subject of our present inquiry.

The effects of the Union on the commercial prosperity of the States have been clearly outlined. Its tendency to support revenue interests will be the focus of our current investigation.

The prosperity of commerce is now perceived and acknowledged by all enlightened statesmen to be the most useful as well as the most productive source of national wealth, and has accordingly become a primary object of their political cares. By multiplying the means of gratification, by promoting the introduction and circulation of the precious metals, those darling objects of human avarice and enterprise, it serves to vivify and invigorate the channels of industry, and to make them flow with greater activity and copiousness. The assiduous merchant, the laborious husbandman, the active mechanic, and the industrious manufacturer,—all orders of men, look forward with eager expectation and growing alacrity to this pleasing reward of their toils. The often-agitated question between agriculture and commerce has, from indubitable experience, received a decision which has silenced the rivalship that once subsisted between them, and has proved, to the satisfaction of their friends, that their interests are intimately blended and interwoven. It has been found in various countries that, in proportion as commerce has flourished, land has risen in value. And how could it have happened otherwise? Could that which procures a freer vent for the products of the earth, which furnishes new incitements to the cultivation of land, which is the most powerful instrument in increasing the quantity of money in a state—could that, in fine, which is the faithful handmaid of labor and industry, in every shape, fail to augment that article, which is the prolific parent of far the greatest part of the objects upon which they are exerted? It is astonishing that so simple a truth should ever have had an adversary; and it is one, among a multitude of proofs, how apt a spirit of ill-informed jealousy, or of too great abstraction and refinement, is to lead men astray from the plainest truths of reason and conviction.

The importance of trade is now recognized by all informed politicians as the most valuable and productive source of national wealth, becoming a key focus of their political agendas. By increasing opportunities for enjoyment and promoting the flow of precious metals—those highly sought-after objects of human greed and ambition—it helps to stimulate and strengthen the channels of industry, making them more active and abundant. The diligent merchant, the hardworking farmer, the skilled tradesperson, and the dedicated manufacturer—all groups of people eagerly anticipate and look forward to the rewards of their efforts. The frequently debated issue between agriculture and commerce has, through undeniable experience, reached a resolution that has quieted the competition that once existed between them, proving to their supporters that their interests are closely intertwined. In various countries, it has been shown that as trade has thrived, land values have increased. And how could it be any different? How could something that provides a better outlet for the products of the land, that encourages more land cultivation, and that is the most effective tool for increasing a state's money supply—how could this, after all, which is the loyal ally of labor and industry in all forms, fail to enhance the very thing that is the abundant source of most of what they strive for? It’s surprising that such a straightforward truth ever faced opposition; it highlights how easily an uninformed sense of jealousy or excessive abstraction can lead people away from the simplest truths of reason and understanding.

The ability of a country to pay taxes must always be proportioned, in a great degree, to the quantity of money in circulation, and to the celerity with which it circulates. Commerce, contributing to both these objects, must of necessity render the payment of taxes easier, and facilitate the requisite supplies to the treasury. The hereditary dominions of the Emperor of Germany contain a great extent of fertile, cultivated, and populous territory, a large proportion of which is situated in mild and luxuriant climates. In some parts of this territory are to be found the best gold and silver mines in Europe. And yet, from the want of the fostering influence of commerce, that monarch can boast but slender revenues. He has several times been compelled to owe obligations to the pecuniary succors of other nations for the preservation of his essential interests, and is unable, upon the strength of his own resources, to sustain a long or continued war.

A country's ability to pay taxes should always be, to a large extent, related to the amount of money in circulation and how quickly it moves around. Commerce, which helps both of these factors, naturally makes it easier to pay taxes and provides the necessary funds for the treasury. The hereditary lands of the Emperor of Germany include a vast area of fertile, cultivated, and densely populated land, much of which is in mild and lush climates. In some parts of this area are some of the best gold and silver mines in Europe. Yet, due to the lack of supportive commerce, that monarch can only claim limited revenues. He has often had to rely on financial assistance from other nations to protect his vital interests and cannot sustain a long or ongoing war with only his own resources.

But it is not in this aspect of the subject alone that Union will be seen to conduce to the purpose of revenue. There are other points of view, in which its influence will appear more immediate and decisive. It is evident from the state of the country, from the habits of the people, from the experience we have had on the point itself, that it is impracticable to raise any very considerable sums by direct taxation. Tax laws have in vain been multiplied; new methods to enforce the collection have in vain been tried; the public expectation has been uniformly disappointed, and the treasuries of the States have remained empty. The popular system of administration inherent in the nature of popular government, coinciding with the real scarcity of money incident to a languid and mutilated state of trade, has hitherto defeated every experiment for extensive collections, and has at length taught the different legislatures the folly of attempting them.

But it's not just in this aspect of the topic that Union contributes to revenue. There are other perspectives where its influence is more immediate and significant. It's clear from the state of the country, the habits of the people, and our own experiences that it's impractical to raise substantial amounts through direct taxation. We've tried to increase tax laws in vain; new methods to enforce collection have not worked either. The public's expectations have consistently been disappointed, and state treasuries have stayed empty. The popular system of administration inherent to a democratic government, combined with the actual shortage of money due to a sluggish and weakened trade, has so far thwarted every attempt at extensive collections, and it has ultimately shown various legislatures the futility of trying.

No person acquainted with what happens in other countries will be surprised at this circumstance. In so opulent a nation as that of Britain, where direct taxes from superior wealth must be much more tolerable, and, from the vigor of the government, much more practicable, than in America, far the greatest part of the national revenue is derived from taxes of the indirect kind, from imposts, and from excises. Duties on imported articles form a large branch of this latter description.

No one familiar with what goes on in other countries will be surprised by this situation. In a wealthy nation like Britain, where direct taxes from greater wealth are likely easier to handle and, due to the strong government, much more feasible than in America, the majority of national revenue comes from indirect taxes, including tariffs and excise taxes. Tariffs on imported goods make up a significant portion of this category.

In America, it is evident that we must a long time depend for the means of revenue chiefly on such duties. In most parts of it, excises must be confined within a narrow compass. The genius of the people will ill brook the inquisitive and peremptory spirit of excise laws. The pockets of the farmers, on the other hand, will reluctantly yield but scanty supplies, in the unwelcome shape of impositions on their houses and lands; and personal property is too precarious and invisible a fund to be laid hold of in any other way than by the imperceptible agency of taxes on consumption.

In America, it is clear that we must rely for a long time primarily on such duties for revenue. In most areas, excise taxes should be kept to a minimum. The nature of the people will not tolerate the intrusive and demanding nature of excise laws. Farmers, on the other hand, will unwillingly provide only limited funds through unwanted taxes on their homes and land; personal property is too uncertain and hidden to be targeted through any means other than the subtle impact of consumption taxes.

If these remarks have any foundation, that state of things which will best enable us to improve and extend so valuable a resource must be best adapted to our political welfare. And it cannot admit of a serious doubt, that this state of things must rest on the basis of a general Union. As far as this would be conducive to the interests of commerce, so far it must tend to the extension of the revenue to be drawn from that source. As far as it would contribute to rendering regulations for the collection of the duties more simple and efficacious, so far it must serve to answer the purposes of making the same rate of duties more productive, and of putting it into the power of the government to increase the rate without prejudice to trade.

If these comments have any truth to them, the situation that allows us to improve and expand such a valuable resource must be the one that benefits our political well-being the most. There’s no serious doubt that this situation must be built on the foundation of a general Union. To the extent that this promotes commerce, it will also increase the revenue coming from that source. And to the extent that it simplifies and makes regulations for collecting duties more effective, it will make the same duty rates more productive and enable the government to raise those rates without harming trade.

The relative situation of these States; the number of rivers with which they are intersected, and of bays that wash their shores; the facility of communication in every direction; the affinity of language and manners; the familiar habits of intercourse;—all these are circumstances that would conspire to render an illicit trade between them a matter of little difficulty, and would insure frequent evasions of the commercial regulations of each other. The separate States or confederacies would be necessitated by mutual jealousy to avoid the temptations to that kind of trade by the lowness of their duties. The temper of our governments, for a long time to come, would not permit those rigorous precautions by which the European nations guard the avenues into their respective countries, as well by land as by water; and which, even there, are found insufficient obstacles to the adventurous stratagems of avarice.

The situation of these states, the number of rivers that run through them, and the bays that touch their shores, along with the ease of communication in every direction, the similarities in language and culture, and the common social habits—all these factors would make illegal trade between them relatively easy, leading to frequent violations of each other’s trade regulations. The individual states or confederacies would be driven by mutual jealousy to keep their low tax rates from encouraging that type of trade. For a long time, the nature of our governments wouldn’t allow the strict measures that European nations use to protect their borders, both by land and by sea, which are, even in those places, often not enough to stop the clever schemes born from greed.

In France, there is an army of patrols (as they are called) constantly employed to secure their fiscal regulations against the inroads of the dealers in contraband trade. Mr. Neckar computes the number of these patrols at upwards of twenty thousand. This shows the immense difficulty in preventing that species of traffic, where there is an inland communication, and places in a strong light the disadvantages with which the collection of duties in this country would be encumbered, if by disunion the States should be placed in a situation, with respect to each other, resembling that of France with respect to her neighbors. The arbitrary and vexatious powers with which the patrols are necessarily armed, would be intolerable in a free country.

In France, there’s a large number of patrols (as they’re called) constantly working to enforce their tax regulations against the encroachments of illegal trade. Mr. Neckar estimates that there are over twenty thousand of these patrols. This highlights the significant challenge in stopping this kind of trafficking, especially with internal communication, and emphasizes the difficulties that would arise in collecting duties in this country if the states were to become divided, resembling France's situation with its neighbors. The arbitrary and frustrating powers that these patrols are given would be unacceptable in a free society.

If, on the contrary, there be but one government pervading all the States, there will be, as to the principal part of our commerce, but ONE SIDE to guard—the ATLANTIC COAST. Vessels arriving directly from foreign countries, laden with valuable cargoes, would rarely choose to hazard themselves to the complicated and critical perils which would attend attempts to unlade prior to their coming into port. They would have to dread both the dangers of the coast, and of detection, as well after as before their arrival at the places of their final destination. An ordinary degree of vigilance would be competent to the prevention of any material infractions upon the rights of the revenue. A few armed vessels, judiciously stationed at the entrances of our ports, might at a small expense be made useful sentinels of the laws. And the government having the same interest to provide against violations everywhere, the co-operation of its measures in each State would have a powerful tendency to render them effectual. Here also we should preserve by Union, an advantage which nature holds out to us, and which would be relinquished by separation. The United States lie at a great distance from Europe, and at a considerable distance from all other places with which they would have extensive connections of foreign trade. The passage from them to us, in a few hours, or in a single night, as between the coasts of France and Britain, and of other neighboring nations, would be impracticable. This is a prodigious security against a direct contraband with foreign countries; but a circuitous contraband to one State, through the medium of another, would be both easy and safe. The difference between a direct importation from abroad, and an indirect importation through the channel of a neighboring State, in small parcels, according to time and opportunity, with the additional facilities of inland communication, must be palpable to every man of discernment.

If, on the other hand, there is only one government overseeing all the States, then for most of our trade, there would be just ONE SIDE to protect—the ATLANTIC COAST. Ships coming directly from foreign countries, loaded with valuable cargo, would rarely want to risk the complicated and serious dangers that would come with trying to unload before reaching port. They would have to worry about both the risks of the coastline and the risk of being caught, both before and after arriving at their final destinations. A normal level of vigilance would be enough to prevent significant violations of revenue rights. A few armed vessels, strategically positioned at the entrances of our ports, could serve as effective guardians of the laws at a low cost. Since the government would have the same interest in preventing violations everywhere, cooperating on enforcement in each State would greatly enhance its effectiveness. By staying united, we would also maintain a significant advantage that nature offers us, which we would lose if we separated. The United States is far from Europe and a considerable distance from other places with which we would have significant foreign trade connections. Traveling from those places to ours would take hours or even an entire night, unlike the quick trips between the coasts of France and Britain or other nearby countries. This offers tremendous protection against direct smuggling from foreign countries; however, smuggling to one State through another would be both easy and safe. The difference between importing directly from abroad and indirectly through a neighboring State in small quantities, based on timing and opportunity, combined with the added advantages of inland communication, should be obvious to anyone who can think clearly.

It is therefore evident, that one national government would be able, at much less expense, to extend the duties on imports, beyond comparison, further than would be practicable to the States separately, or to any partial confederacies. Hitherto, I believe, it may safely be asserted, that these duties have not upon an average exceeded in any State three per cent. In France they are estimated to be about fifteen per cent., and in Britain they exceed this proportion.(1) There seems to be nothing to hinder their being increased in this country to at least treble their present amount. The single article of ardent spirits, under federal regulation, might be made to furnish a considerable revenue. Upon a ratio to the importation into this State, the whole quantity imported into the United States may be estimated at four millions of gallons; which, at a shilling per gallon, would produce two hundred thousand pounds. That article would well bear this rate of duty; and if it should tend to diminish the consumption of it, such an effect would be equally favorable to the agriculture, to the economy, to the morals, and to the health of the society. There is, perhaps, nothing so much a subject of national extravagance as these spirits.

It’s clear that a single national government would be able to extend import duties at a much lower cost than would be possible for individual states or any smaller alliances. So far, it can be safely said that these duties have not averaged more than three percent in any state. In France, they’re estimated to be around fifteen percent, and in Britain, they’re even higher. There’s nothing to stop these rates from being increased in this country to at least triple what they are now. The single item of alcoholic beverages, regulated federally, could generate significant revenue. Based on the amount imported into this state, the total quantity brought into the United States can be estimated at four million gallons; at one shilling per gallon, that would produce two hundred thousand pounds. This item could easily handle this duty rate, and if it reduces consumption, that would also benefit agriculture, the economy, morals, and public health. There’s probably nothing that screams national excess more than these spirits.

What will be the consequence, if we are not able to avail ourselves of the resource in question in its full extent? A nation cannot long exist without revenues. Destitute of this essential support, it must resign its independence, and sink into the degraded condition of a province. This is an extremity to which no government will of choice accede. Revenue, therefore, must be had at all events. In this country, if the principal part be not drawn from commerce, it must fall with oppressive weight upon land. It has been already intimated that excises, in their true signification, are too little in unison with the feelings of the people, to admit of great use being made of that mode of taxation; nor, indeed, in the States where almost the sole employment is agriculture, are the objects proper for excise sufficiently numerous to permit very ample collections in that way. Personal estate (as has been before remarked), from the difficulty in tracing it, cannot be subjected to large contributions, by any other means than by taxes on consumption. In populous cities, it may be enough the subject of conjecture, to occasion the oppression of individuals, without much aggregate benefit to the State; but beyond these circles, it must, in a great measure, escape the eye and the hand of the tax-gatherer. As the necessities of the State, nevertheless, must be satisfied in some mode or other, the defect of other resources must throw the principal weight of public burdens on the possessors of land. And as, on the other hand, the wants of the government can never obtain an adequate supply, unless all the sources of revenue are open to its demands, the finances of the community, under such embarrassments, cannot be put into a situation consistent with its respectability or its security. Thus we shall not even have the consolations of a full treasury, to atone for the oppression of that valuable class of the citizens who are employed in the cultivation of the soil. But public and private distress will keep pace with each other in gloomy concert; and unite in deploring the infatuation of those counsels which led to disunion.

What will happen if we can't fully utilize the resource in question? A nation can't survive long without income. Without this vital support, it must give up its independence and fall into the degraded state of a province. No government would willingly choose that path. Therefore, we must secure revenue at all costs. In this country, if most of it doesn't come from trade, it will heavily burden land. It's already been mentioned that excise taxes, in their true meaning, don't align well with the people's sentiments, limiting their effectiveness as a tax method. Moreover, in states where agriculture is the primary focus, there aren't enough excise tax objects to allow for significant collections. As previously noted, personal property is difficult to track and can't be taxed heavily except through consumption taxes. In busy cities, it may only be a matter of speculation, leading to the oppression of individuals without much overall benefit for the State. Outside these areas, it will largely evade the attention of the tax collector. However, since the State's needs must be met in some way, the lack of other resources will shift the main burden of public taxes onto landowners. Additionally, the government's needs can never be adequately met unless all revenue sources are available, leaving the community's finances in a state that undermines its respectability and security. Thus, we won’t even have the consolation of a full treasury to justify the burden on the essential citizens working the land. Instead, both public and private suffering will progress together in a dark partnership, lamenting the misguided decisions that led to disunion.

PUBLIUS

PUBLIUS

1. If my memory be right they amount to twenty per cent.

1. If I remember correctly, they add up to twenty percent.





FEDERALIST No. 13. Advantage of the Union in Respect to Economy in Government

For the Independent Journal. Wednesday, November 28, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

As CONNECTED with the subject of revenue, we may with propriety consider that of economy. The money saved from one object may be usefully applied to another, and there will be so much the less to be drawn from the pockets of the people. If the States are united under one government, there will be but one national civil list to support; if they are divided into several confederacies, there will be as many different national civil lists to be provided for—and each of them, as to the principal departments, coextensive with that which would be necessary for a government of the whole. The entire separation of the States into thirteen unconnected sovereignties is a project too extravagant and too replete with danger to have many advocates. The ideas of men who speculate upon the dismemberment of the empire seem generally turned toward three confederacies—one consisting of the four Northern, another of the four Middle, and a third of the five Southern States. There is little probability that there would be a greater number. According to this distribution, each confederacy would comprise an extent of territory larger than that of the kingdom of Great Britain. No well-informed man will suppose that the affairs of such a confederacy can be properly regulated by a government less comprehensive in its organs or institutions than that which has been proposed by the convention. When the dimensions of a State attain to a certain magnitude, it requires the same energy of government and the same forms of administration which are requisite in one of much greater extent. This idea admits not of precise demonstration, because there is no rule by which we can measure the momentum of civil power necessary to the government of any given number of individuals; but when we consider that the island of Britain, nearly commensurate with each of the supposed confederacies, contains about eight millions of people, and when we reflect upon the degree of authority required to direct the passions of so large a society to the public good, we shall see no reason to doubt that the like portion of power would be sufficient to perform the same task in a society far more numerous. Civil power, properly organized and exerted, is capable of diffusing its force to a very great extent; and can, in a manner, reproduce itself in every part of a great empire by a judicious arrangement of subordinate institutions.

As it relates to revenue, we should also consider the topic of economy. Money saved from one area can be effectively used in another, meaning there will be less taken from the people’s pockets. If the states are united under a single government, there will only be one national civil list to fund; if they are divided into multiple confederacies, there will be as many different national civil lists to support, and each will, in major departments, require as much as what would be necessary for a single government. The complete separation of the states into thirteen unrelated sovereignties is a plan that is too extreme and fraught with danger to have many supporters. Those who talk about breaking up the empire often think about three confederacies—one including the four Northern states, another with the four Middle states, and a third made up of the five Southern states. It's unlikely there would be more than that. According to this setup, each confederacy would cover an area larger than Great Britain. No informed person would believe that the affairs of such a confederacy could be effectively managed by a government with fewer powers or structures than what the convention has suggested. When a state reaches a certain size, it needs the same level of government energy and administration as a much larger one. This idea cannot be precisely proven, as there's no method to measure the civil power needed to govern a specific number of individuals; however, when we consider that Britain, approximately equal in size to each of the proposed confederacies, has about eight million people, and reflect on the level of authority needed to manage the interests of such a large society for the common good, we should have no doubts that a similar amount of power would be sufficient to manage a much larger population. Properly organized and exercised civil power can extend its influence significantly and can, in a way, replicate itself throughout a large empire with smartly arranged subordinate institutions.

The supposition that each confederacy into which the States would be likely to be divided would require a government not less comprehensive than the one proposed, will be strengthened by another supposition, more probable than that which presents us with three confederacies as the alternative to a general Union. If we attend carefully to geographical and commercial considerations, in conjunction with the habits and prejudices of the different States, we shall be led to conclude that in case of disunion they will most naturally league themselves under two governments. The four Eastern States, from all the causes that form the links of national sympathy and connection, may with certainty be expected to unite. New York, situated as she is, would never be unwise enough to oppose a feeble and unsupported flank to the weight of that confederacy. There are other obvious reasons that would facilitate her accession to it. New Jersey is too small a State to think of being a frontier, in opposition to this still more powerful combination; nor do there appear to be any obstacles to her admission into it. Even Pennsylvania would have strong inducements to join the Northern league. An active foreign commerce, on the basis of her own navigation, is her true policy, and coincides with the opinions and dispositions of her citizens. The more Southern States, from various circumstances, may not think themselves much interested in the encouragement of navigation. They may prefer a system which would give unlimited scope to all nations to be the carriers as well as the purchasers of their commodities. Pennsylvania may not choose to confound her interests in a connection so adverse to her policy. As she must at all events be a frontier, she may deem it most consistent with her safety to have her exposed side turned towards the weaker power of the Southern, rather than towards the stronger power of the Northern, Confederacy. This would give her the fairest chance to avoid being the Flanders of America. Whatever may be the determination of Pennsylvania, if the Northern Confederacy includes New Jersey, there is no likelihood of more than one confederacy to the south of that State.

The idea that each group of states might end up needing a government as comprehensive as the one proposed will be bolstered by another assumption, which is more likely than the one suggesting we could have three confederacies as an alternative to a unified nation. If we closely consider geographic and trade factors, along with the attitudes and biases of the different states, we'll likely conclude that in the event of separation, they would naturally come together under two governments. The four Eastern States, due to various reasons that create bonds of national sympathy and connection, can be expected to unite. New York, given its position, would be unwise to present a weak and unsupported front against the strength of that confederacy. There are also other clear reasons that would make joining it more attractive. New Jersey is too small to consider acting as a front against this more powerful combination, and there seem to be no barriers to her joining. Even Pennsylvania would have strong reasons to align with the Northern coalition. An active foreign trade based on its own shipping is in its best interest and aligns with the views and attitudes of its people. The more Southern States may not feel particularly invested in promoting their own shipping. They might prefer a system that allows all nations to carry and purchase their goods freely. Pennsylvania may not want to mix its interests in a connection that contradicts its policies. Since it must act as a front, it may feel it’s safer to face the weaker Southern power rather than the stronger Northern Confederacy. This would give it the best chance to avoid becoming the Flanders of America. Regardless of what Pennsylvania decides, if the Northern Confederacy includes New Jersey, it's unlikely there will be more than one confederacy south of that state.

Nothing can be more evident than that the thirteen States will be able to support a national government better than one half, or one third, or any number less than the whole. This reflection must have great weight in obviating that objection to the proposed plan, which is founded on the principle of expense; an objection, however, which, when we come to take a nearer view of it, will appear in every light to stand on mistaken ground.

Nothing is more clear than that the thirteen states can support a national government much better than just one half, one third, or any number less than all of them. This thought should carry significant weight in addressing the concern about the proposed plan based on cost; however, when we take a closer look at it, this objection will seem clearly misguided.

If, in addition to the consideration of a plurality of civil lists, we take into view the number of persons who must necessarily be employed to guard the inland communication between the different confederacies against illicit trade, and who in time will infallibly spring up out of the necessities of revenue; and if we also take into view the military establishments which it has been shown would unavoidably result from the jealousies and conflicts of the several nations into which the States would be divided, we shall clearly discover that a separation would be not less injurious to the economy, than to the tranquillity, commerce, revenue, and liberty of every part.

If we consider not only the various civil lists but also the number of people needed to monitor the internal communication between the different confederacies to prevent illegal trade, and who will inevitably emerge due to the need for revenue; and if we also consider the military forces that would inevitably arise from the rivalries and conflicts among the nations created by the separation, it will become clear that a split would be harmful not just to the economy but also to the peace, trade, revenue, and freedom of each region.

PUBLIUS

PUBLIUS





FEDERALIST No. 14. Objections to the Proposed Constitution From Extent of Territory Answered

From the New York Packet. Friday, November 30, 1787.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

WE HAVE seen the necessity of the Union, as our bulwark against foreign danger, as the conservator of peace among ourselves, as the guardian of our commerce and other common interests, as the only substitute for those military establishments which have subverted the liberties of the Old World, and as the proper antidote for the diseases of faction, which have proved fatal to other popular governments, and of which alarming symptoms have been betrayed by our own. All that remains, within this branch of our inquiries, is to take notice of an objection that may be drawn from the great extent of country which the Union embraces. A few observations on this subject will be the more proper, as it is perceived that the adversaries of the new Constitution are availing themselves of the prevailing prejudice with regard to the practicable sphere of republican administration, in order to supply, by imaginary difficulties, the want of those solid objections which they endeavor in vain to find.

WE HAVE seen the necessity of the Union, as our defense against foreign threats, as a way to maintain peace among ourselves, as the protector of our trade and common interests, as the only alternative to the military forces that have undermined freedoms in the Old World, and as the right solution for the problems of faction, which have been deadly to other democratic governments and of which we've seen alarming signs in our own. All that’s left for us to discuss in this part of our inquiries is to address an objection that may come from the vast area that the Union covers. A few comments on this matter are fitting, especially since it's clear that the opponents of the new Constitution are taking advantage of the common bias regarding the viable range of republican governance, trying to compensate for their lack of real objections with made-up challenges.

The error which limits republican government to a narrow district has been unfolded and refuted in preceding papers. I remark here only that it seems to owe its rise and prevalence chiefly to the confounding of a republic with a democracy, applying to the former reasonings drawn from the nature of the latter. The true distinction between these forms was also adverted to on a former occasion. It is, that in a democracy, the people meet and exercise the government in person; in a republic, they assemble and administer it by their representatives and agents. A democracy, consequently, will be confined to a small spot. A republic may be extended over a large region.

The mistake that limits republican government to a small area has been explained and debunked in previous papers. I’ll just note here that it seems to stem mainly from mixing up a republic with a democracy, using arguments about the latter to justify the former. The real difference between these forms was also pointed out earlier. In a democracy, people gather and govern in person; in a republic, they come together and manage it through their representatives and agents. As a result, a democracy is typically restricted to a small area, while a republic can cover a much larger region.

To this accidental source of the error may be added the artifice of some celebrated authors, whose writings have had a great share in forming the modern standard of political opinions. Being subjects either of an absolute or limited monarchy, they have endeavored to heighten the advantages, or palliate the evils of those forms, by placing in comparison the vices and defects of the republican, and by citing as specimens of the latter the turbulent democracies of ancient Greece and modern Italy. Under the confusion of names, it has been an easy task to transfer to a republic observations applicable to a democracy only; and among others, the observation that it can never be established but among a small number of people, living within a small compass of territory.

To this accidental source of the error, we can also add the tactics of some famous authors, whose writings have greatly influenced the modern standard of political opinions. As subjects of either an absolute or limited monarchy, they have tried to amplify the benefits or downplay the drawbacks of those systems by comparing them to the vices and shortcomings of the republican form, citing the chaotic democracies of ancient Greece and modern Italy as examples of the latter. With the confusion of terms, it has been easy to apply observations meant for a democracy to a republic, including the point that a republic can only be established among a small number of people living in a compact area.

Such a fallacy may have been the less perceived, as most of the popular governments of antiquity were of the democratic species; and even in modern Europe, to which we owe the great principle of representation, no example is seen of a government wholly popular, and founded, at the same time, wholly on that principle. If Europe has the merit of discovering this great mechanical power in government, by the simple agency of which the will of the largest political body may be concentred, and its force directed to any object which the public good requires, America can claim the merit of making the discovery the basis of unmixed and extensive republics. It is only to be lamented that any of her citizens should wish to deprive her of the additional merit of displaying its full efficacy in the establishment of the comprehensive system now under her consideration.

Such a mistake might have gone unnoticed, as most popular governments in ancient times were democratic; and even in modern Europe, which has given us the important idea of representation, there’s no example of a completely popular government that is entirely based on that principle. If Europe deserves credit for discovering this powerful mechanism in government, which allows the will of the largest political group to be concentrated and directed toward the common good, America can take pride in making that discovery the foundation of pure and extensive republics. It’s unfortunate that some of her citizens would want to take away from her the additional praise of showing its full effectiveness in setting up the comprehensive system currently being considered.

As the natural limit of a democracy is that distance from the central point which will just permit the most remote citizens to assemble as often as their public functions demand, and will include no greater number than can join in those functions; so the natural limit of a republic is that distance from the centre which will barely allow the representatives to meet as often as may be necessary for the administration of public affairs. Can it be said that the limits of the United States exceed this distance? It will not be said by those who recollect that the Atlantic coast is the longest side of the Union, that during the term of thirteen years, the representatives of the States have been almost continually assembled, and that the members from the most distant States are not chargeable with greater intermissions of attendance than those from the States in the neighborhood of Congress.

As the natural limit of a democracy is the distance from the central point that allows the most far-flung citizens to gather as often as needed for their public duties, and includes no more people than can participate in those duties; likewise, the natural limit of a republic is the distance from the center that just enables representatives to meet as often as necessary for managing public affairs. Can we say that the limits of the United States exceed this distance? Those who remember that the Atlantic coast is the longest side of the Union will not make that claim, considering that for thirteen years, the representatives of the States have almost always been in session, and that the representatives from the farthest States have not missed attendance more frequently than those from the states close to Congress.

That we may form a juster estimate with regard to this interesting subject, let us resort to the actual dimensions of the Union. The limits, as fixed by the treaty of peace, are: on the east the Atlantic, on the south the latitude of thirty-one degrees, on the west the Mississippi, and on the north an irregular line running in some instances beyond the forty-fifth degree, in others falling as low as the forty-second. The southern shore of Lake Erie lies below that latitude. Computing the distance between the thirty-first and forty-fifth degrees, it amounts to nine hundred and seventy-three common miles; computing it from thirty-one to forty-two degrees, to seven hundred and sixty-four miles and a half. Taking the mean for the distance, the amount will be eight hundred and sixty-eight miles and three-fourths. The mean distance from the Atlantic to the Mississippi does not probably exceed seven hundred and fifty miles. On a comparison of this extent with that of several countries in Europe, the practicability of rendering our system commensurate to it appears to be demonstrable. It is not a great deal larger than Germany, where a diet representing the whole empire is continually assembled; or than Poland before the late dismemberment, where another national diet was the depositary of the supreme power. Passing by France and Spain, we find that in Great Britain, inferior as it may be in size, the representatives of the northern extremity of the island have as far to travel to the national council as will be required of those of the most remote parts of the Union.

To get a clearer understanding of this fascinating topic, let's look at the actual size of the Union. According to the peace treaty, the boundaries are: the Atlantic to the east, the latitude of thirty-one degrees to the south, the Mississippi to the west, and an irregular line to the north that sometimes goes beyond the forty-fifth degree and at other times drops to the forty-second degree. The southern shore of Lake Erie is below that latitude. The distance between the thirty-first and forty-fifth degrees is nine hundred and seventy-three regular miles; the distance from thirty-one to forty-two degrees is seven hundred and sixty-four and a half miles. Taking the average distance gives us eight hundred and sixty-eight and three-fourths miles. The average distance from the Atlantic to the Mississippi probably doesn't exceed seven hundred and fifty miles. When we compare this size to several countries in Europe, it seems quite feasible to make our system fit. It's not much larger than Germany, where a legislative body representing the entire empire constantly meets, or Poland before its recent partition, where another national assembly held supreme power. Skipping over France and Spain, we find that in Great Britain, despite its smaller size, the representatives from the northern part of the island must travel just as far to reach the national council as those from the most distant areas of the Union.

Favorable as this view of the subject may be, some observations remain which will place it in a light still more satisfactory.

As positive as this perspective on the topic may be, there are still some observations that will present it in an even more favorable light.

In the first place it is to be remembered that the general government is not to be charged with the whole power of making and administering laws. Its jurisdiction is limited to certain enumerated objects, which concern all the members of the republic, but which are not to be attained by the separate provisions of any. The subordinate governments, which can extend their care to all those other subjects which can be separately provided for, will retain their due authority and activity. Were it proposed by the plan of the convention to abolish the governments of the particular States, its adversaries would have some ground for their objection; though it would not be difficult to show that if they were abolished the general government would be compelled, by the principle of self-preservation, to reinstate them in their proper jurisdiction.

First of all, it's important to remember that the federal government isn't responsible for all the power to create and enforce laws. Its authority is limited to specific areas that affect all members of the republic and can't be managed through individual state provisions. The state governments can handle all the other matters that can be addressed separately and will maintain their proper power and functions. If the convention's plan proposed getting rid of the governments of the individual States, their opponents would have some valid concerns; however, it wouldn't be hard to argue that if the state governments were eliminated, the federal government would have to, for its own survival, restore them to their appropriate roles.

A second observation to be made is that the immediate object of the federal Constitution is to secure the union of the thirteen primitive States, which we know to be practicable; and to add to them such other States as may arise in their own bosoms, or in their neighborhoods, which we cannot doubt to be equally practicable. The arrangements that may be necessary for those angles and fractions of our territory which lie on our northwestern frontier, must be left to those whom further discoveries and experience will render more equal to the task.

A second observation is that the main goal of the federal Constitution is to secure the union of the original thirteen States, which we know is possible; and to include any other States that may develop either from within or nearby, which we can confidently say is also achievable. The plans needed for those areas and borders of our territory in the northwestern frontier should be entrusted to those who, through further discoveries and experiences, will be better suited for the job.

Let it be remarked, in the third place, that the intercourse throughout the Union will be facilitated by new improvements. Roads will everywhere be shortened, and kept in better order; accommodations for travelers will be multiplied and meliorated; an interior navigation on our eastern side will be opened throughout, or nearly throughout, the whole extent of the thirteen States. The communication between the Western and Atlantic districts, and between different parts of each, will be rendered more and more easy by those numerous canals with which the beneficence of nature has intersected our country, and which art finds it so little difficult to connect and complete.

Let’s note, thirdly, that communication across the Union will be made easier with new improvements. Roads will be shorter and better maintained everywhere; accommodations for travelers will increase and improve; and internal navigation on our east side will be developed across, or nearly across, the entire stretch of the thirteen states. The connection between the Western and Atlantic regions, as well as between different parts of each, will become easier thanks to the many canals that nature has provided in our country, which are simple for man to connect and enhance.

A fourth and still more important consideration is, that as almost every State will, on one side or other, be a frontier, and will thus find, in regard to its safety, an inducement to make some sacrifices for the sake of the general protection; so the States which lie at the greatest distance from the heart of the Union, and which, of course, may partake least of the ordinary circulation of its benefits, will be at the same time immediately contiguous to foreign nations, and will consequently stand, on particular occasions, in greatest need of its strength and resources. It may be inconvenient for Georgia, or the States forming our western or northeastern borders, to send their representatives to the seat of government; but they would find it more so to struggle alone against an invading enemy, or even to support alone the whole expense of those precautions which may be dictated by the neighborhood of continual danger. If they should derive less benefit, therefore, from the Union in some respects than the less distant States, they will derive greater benefit from it in other respects, and thus the proper equilibrium will be maintained throughout.

A fourth and even more important point is that almost every state will, on one side or another, be a frontier and will therefore have a reason to make some sacrifices for the sake of overall safety. The states that are farthest from the center of the Union, which naturally benefit the least from its usual advantages, will be right next to foreign nations and will thus find themselves in greater need of the Union's strength and resources during certain situations. It might be inconvenient for Georgia or the states along our western or northeastern borders to send their representatives to the capital, but it would be much worse for them to face an invading enemy on their own, or to cover all the costs of necessary precautions against ongoing threats by themselves. Even if they get less benefit from the Union in some ways compared to the closer states, they will gain more in other ways, maintaining the right balance overall.

I submit to you, my fellow-citizens, these considerations, in full confidence that the good sense which has so often marked your decisions will allow them their due weight and effect; and that you will never suffer difficulties, however formidable in appearance, or however fashionable the error on which they may be founded, to drive you into the gloomy and perilous scene into which the advocates for disunion would conduct you. Hearken not to the unnatural voice which tells you that the people of America, knit together as they are by so many cords of affection, can no longer live together as members of the same family; can no longer continue the mutual guardians of their mutual happiness; can no longer be fellow citizens of one great, respectable, and flourishing empire. Hearken not to the voice which petulantly tells you that the form of government recommended for your adoption is a novelty in the political world; that it has never yet had a place in the theories of the wildest projectors; that it rashly attempts what it is impossible to accomplish. No, my countrymen, shut your ears against this unhallowed language. Shut your hearts against the poison which it conveys; the kindred blood which flows in the veins of American citizens, the mingled blood which they have shed in defense of their sacred rights, consecrate their Union, and excite horror at the idea of their becoming aliens, rivals, enemies. And if novelties are to be shunned, believe me, the most alarming of all novelties, the most wild of all projects, the most rash of all attempts, is that of rendering us in pieces, in order to preserve our liberties and promote our happiness. But why is the experiment of an extended republic to be rejected, merely because it may comprise what is new? Is it not the glory of the people of America, that, whilst they have paid a decent regard to the opinions of former times and other nations, they have not suffered a blind veneration for antiquity, for custom, or for names, to overrule the suggestions of their own good sense, the knowledge of their own situation, and the lessons of their own experience? To this manly spirit, posterity will be indebted for the possession, and the world for the example, of the numerous innovations displayed on the American theatre, in favor of private rights and public happiness. Had no important step been taken by the leaders of the Revolution for which a precedent could not be discovered, no government established of which an exact model did not present itself, the people of the United States might, at this moment have been numbered among the melancholy victims of misguided councils, must at best have been laboring under the weight of some of those forms which have crushed the liberties of the rest of mankind. Happily for America, happily, we trust, for the whole human race, they pursued a new and more noble course. They accomplished a revolution which has no parallel in the annals of human society. They reared the fabrics of governments which have no model on the face of the globe. They formed the design of a great Confederacy, which it is incumbent on their successors to improve and perpetuate. If their works betray imperfections, we wonder at the fewness of them. If they erred most in the structure of the Union, this was the work most difficult to be executed; this is the work which has been new modelled by the act of your convention, and it is that act on which you are now to deliberate and to decide.

I present to you, my fellow citizens, these thoughts, fully confident that your good judgment, which has often guided your decisions, will give them the attention they deserve; and that you will not allow challenges, no matter how daunting they may seem, or how popular the misconceptions they stem from, to lead you into the dark and dangerous situation that those advocating for division would push you toward. Do not listen to the unnatural voices suggesting that the people of America, bound together by so many ties of affection, can no longer exist as part of the same family; can no longer act as mutual protectors of each other's happiness; can no longer be fellow citizens of one great, respected, and thriving nation. Do not heed the voice that irritably claims that the proposed government is a strange concept in the political world; that it has never been considered by even the most outlandish thinkers; that it foolishly attempts what cannot be achieved. No, my fellow countrymen, ignore this disrespectful language. Resist the harmful ideas it carries; the shared blood running through the veins of American citizens, the blood they have shed in defense of their rights, sanctifies their Union and inspires revulsion at the thought of becoming strangers, rivals, or enemies. And if we must avoid new ideas, let me assure you, the most alarming of all innovations, the most reckless of all schemes, is the idea of breaking us apart to protect our freedoms and enhance our happiness. But why should we dismiss the idea of a larger republic just because it might include something new? Isn’t it a point of pride for the people of America that, while they respect the views of the past and of other nations, they have not allowed a blind reverence for tradition or names to overshadow the insights from their own reasoning, their understanding of their own situation, and the lessons from their own experiences? Future generations will owe thanks to this courageous spirit for the many innovations showcased in America that champion private rights and public well-being. If no significant steps had been taken by the leaders of the Revolution without a clear precedent, if no government had been formed without a precise model, the people of the United States might now be among those tragic victims of poor decision-making, burdened by the oppressive structures that have stifled the freedoms of many. Fortunately for America, and we hope for all of humanity, they chose a new and more noble path. They achieved a revolution that is unique in the history of mankind. They built governments that have no counterpart anywhere else in the world. They envisioned a grand Confederacy that it is now the responsibility of their successors to enhance and sustain. If their efforts show some flaws, we should marvel at how few they are. If they made the most mistakes in building the Union, it was the hardest task to complete; this is the effort that has been restructured by your convention, and it is that matter that you are now to discuss and decide upon.

PUBLIUS

PUBLIUS





FEDERALIST No. 15. The Insufficiency of the Present Confederation to Preserve the Union

For the Independent Journal. Saturday, December 1, 1787

HAMILTON

HAMILTON

To the People of the State of New York.

To the People of New York.

IN THE course of the preceding papers, I have endeavored, my fellow citizens, to place before you, in a clear and convincing light, the importance of Union to your political safety and happiness. I have unfolded to you a complication of dangers to which you would be exposed, should you permit that sacred knot which binds the people of America together be severed or dissolved by ambition or by avarice, by jealousy or by misrepresentation. In the sequel of the inquiry through which I propose to accompany you, the truths intended to be inculcated will receive further confirmation from facts and arguments hitherto unnoticed. If the road over which you will still have to pass should in some places appear to you tedious or irksome, you will recollect that you are in quest of information on a subject the most momentous which can engage the attention of a free people, that the field through which you have to travel is in itself spacious, and that the difficulties of the journey have been unnecessarily increased by the mazes with which sophistry has beset the way. It will be my aim to remove the obstacles from your progress in as compendious a manner as it can be done, without sacrificing utility to despatch.

In the previous papers, I have tried, my fellow citizens, to clearly and convincingly show you how important the Union is for your political safety and happiness. I have explained the complex dangers you would face if you allow the sacred bond that unites the people of America to be broken or dissolved by ambition, greed, jealousy, or misrepresentation. In the continuation of this inquiry, the truths I aim to convey will be further supported by previously unnoticed facts and arguments. If the path ahead seems tedious or frustrating at times, remember that you are seeking information on one of the most important subjects for a free people, that the area you are covering is vast, and that the challenges of the journey have been made unnecessarily complicated by the traps of false reasoning along the way. My goal is to clear the obstacles from your path as efficiently as possible without sacrificing usefulness for speed.

In pursuance of the plan which I have laid down for the discussion of the subject, the point next in order to be examined is the "insufficiency of the present Confederation to the preservation of the Union." It may perhaps be asked what need there is of reasoning or proof to illustrate a position which is not either controverted or doubted, to which the understandings and feelings of all classes of men assent, and which in substance is admitted by the opponents as well as by the friends of the new Constitution. It must in truth be acknowledged that, however these may differ in other respects, they in general appear to harmonize in this sentiment, at least, that there are material imperfections in our national system, and that something is necessary to be done to rescue us from impending anarchy. The facts that support this opinion are no longer objects of speculation. They have forced themselves upon the sensibility of the people at large, and have at length extorted from those, whose mistaken policy has had the principal share in precipitating the extremity at which we are arrived, a reluctant confession of the reality of those defects in the scheme of our federal government, which have been long pointed out and regretted by the intelligent friends of the Union.

As part of the plan I've set out for discussing this topic, the next point to look at is the "inadequacy of the current Confederation to maintain the Union." One might wonder why we need to reason or provide evidence for a claim that isn’t really disputed or doubted, one that everyone agrees on, and that both supporters and opponents of the new Constitution essentially acknowledge. It must be recognized that, although they may disagree on other issues, they generally seem to agree on one thing: that there are significant flaws in our national system, and that action is needed to save us from impending chaos. The facts backing this view are no longer up for debate. They have become clear to the public and have finally prompted those whose misguided policies contributed most to our current crisis to reluctantly admit the existence of the issues with our federal government's structure that have long been highlighted and lamented by the knowledgeable supporters of the Union.

We may indeed with propriety be said to have reached almost the last stage of national humiliation. There is scarcely anything that can wound the pride or degrade the character of an independent nation which we do not experience. Are there engagements to the performance of which we are held by every tie respectable among men? These are the subjects of constant and unblushing violation. Do we owe debts to foreigners and to our own citizens contracted in a time of imminent peril for the preservation of our political existence? These remain without any proper or satisfactory provision for their discharge. Have we valuable territories and important posts in the possession of a foreign power which, by express stipulations, ought long since to have been surrendered? These are still retained, to the prejudice of our interests, not less than of our rights. Are we in a condition to resent or to repel the aggression? We have neither troops, nor treasury, nor government.(1) Are we even in a condition to remonstrate with dignity? The just imputations on our own faith, in respect to the same treaty, ought first to be removed. Are we entitled by nature and compact to a free participation in the navigation of the Mississippi? Spain excludes us from it. Is public credit an indispensable resource in time of public danger? We seem to have abandoned its cause as desperate and irretrievable. Is commerce of importance to national wealth? Ours is at the lowest point of declension. Is respectability in the eyes of foreign powers a safeguard against foreign encroachments? The imbecility of our government even forbids them to treat with us. Our ambassadors abroad are the mere pageants of mimic sovereignty. Is a violent and unnatural decrease in the value of land a symptom of national distress? The price of improved land in most parts of the country is much lower than can be accounted for by the quantity of waste land at market, and can only be fully explained by that want of private and public confidence, which are so alarmingly prevalent among all ranks, and which have a direct tendency to depreciate property of every kind. Is private credit the friend and patron of industry? That most useful kind which relates to borrowing and lending is reduced within the narrowest limits, and this still more from an opinion of insecurity than from the scarcity of money. To shorten an enumeration of particulars which can afford neither pleasure nor instruction, it may in general be demanded, what indication is there of national disorder, poverty, and insignificance that could befall a community so peculiarly blessed with natural advantages as we are, which does not form a part of the dark catalogue of our public misfortunes?

We can rightfully say that we've reached almost the final stage of national humiliation. There's hardly anything that can hurt the pride or lower the standing of an independent nation that we don't experience. Are there commitments we have that are respected by everyone? These are constantly and shamelessly violated. Do we owe money to foreigners and our own citizens from a time of great danger for our political survival? Those debts remain unaddressed. Do we have valuable territories and crucial positions held by a foreign power that should have been handed back to us long ago? They are still held, undermining both our interests and our rights. Are we able to resist or push back against aggression? We have no soldiers, no funds, and no government. Can we even complain with dignity? We first need to clear the legitimate criticisms of our own commitments related to the same treaty. Are we entitled by nature and agreement to freely navigate the Mississippi? Spain is blocking us. Is public credit essential in times of danger? It seems we have given up on it as lost and irretrievable. Is trade important for national wealth? Ours is at an all-time low. Is respect from foreign powers a protection against their encroachments? The weakness of our government prevents them from engaging with us at all. Our ambassadors abroad are merely symbols of fake sovereignty. Is a sharp and unnatural drop in land value a sign of national distress? The price of improved land in many areas is much lower than can be explained by the amount of available wasteland, and this can only be fully understood by the lack of private and public confidence that is alarmingly widespread and directly drives down property values. Is private credit a supporter of industry? The most useful kind related to borrowing and lending has shrunk to the smallest limits, driven more by insecurity than by a lack of money. To sum up a list of issues that bring no pleasure or insight, we might ask, what signs of national disorder, poverty, and insignificance can a community as naturally blessed as ours possibly face that do not fit into the grim list of our public misfortunes?

This is the melancholy situation to which we have been brought by those very maxims and councils which would now deter us from adopting the proposed Constitution; and which, not content with having conducted us to the brink of a precipice, seem resolved to plunge us into the abyss that awaits us below. Here, my countrymen, impelled by every motive that ought to influence an enlightened people, let us make a firm stand for our safety, our tranquillity, our dignity, our reputation. Let us at last break the fatal charm which has too long seduced us from the paths of felicity and prosperity.

This is the sad situation we find ourselves in because of the very principles and advice that now warn us against accepting the proposed Constitution; and which, not satisfied with pushing us to the edge of a cliff, seem determined to throw us into the abyss below. Here, my fellow citizens, driven by every reason that should guide an informed populace, let’s take a strong stand for our safety, peace, dignity, and reputation. Let’s finally break the deadly spell that has kept us away from the paths of happiness and success for too long.

It is true, as has been before observed that facts, too stubborn to be resisted, have produced a species of general assent to the abstract proposition that there exist material defects in our national system; but the usefulness of the concession, on the part of the old adversaries of federal measures, is destroyed by a strenuous opposition to a remedy, upon the only principles that can give it a chance of success. While they admit that the government of the United States is destitute of energy, they contend against conferring upon it those powers which are requisite to supply that energy. They seem still to aim at things repugnant and irreconcilable; at an augmentation of federal authority, without a diminution of State authority; at sovereignty in the Union, and complete independence in the members. They still, in fine, seem to cherish with blind devotion the political monster of an imperium in imperio. This renders a full display of the principal defects of the Confederation necessary, in order to show that the evils we experience do not proceed from minute or partial imperfections, but from fundamental errors in the structure of the building, which cannot be amended otherwise than by an alteration in the first principles and main pillars of the fabric.

It's true, as has been pointed out before, that undeniable facts have led to a general agreement on the idea that there are serious flaws in our national system. However, the usefulness of this concession from those who once opposed federal measures is undermined by their strong resistance to a solution based on the only principles that could lead to success. While they acknowledge that the government of the United States lacks energy, they argue against granting it the powers needed to provide that energy. They continue to pursue contradictory and incompatible goals: increasing federal authority without reducing state authority, seeking sovereignty for the Union while demanding complete independence for its members. Ultimately, they still seem to hold a blind allegiance to the political monstrosity of dual sovereignty. This highlights the need to fully outline the main flaws of the Confederation to demonstrate that the issues we face stem not from minor or specific imperfections, but from foundational errors in the structure that can only be resolved by changing the core principles and main supports of the system.

The great and radical vice in the construction of the existing Confederation is in the principle of LEGISLATION for STATES or GOVERNMENTS, in their CORPORATE or COLLECTIVE CAPACITIES, and as contradistinguished from the INDIVIDUALS of which they consist. Though this principle does not run through all the powers delegated to the Union, yet it pervades and governs those on which the efficacy of the rest depends. Except as to the rule of appointment, the United States has an indefinite discretion to make requisitions for men and money; but they have no authority to raise either, by regulations extending to the individual citizens of America. The consequence of this is, that though in theory their resolutions concerning those objects are laws, constitutionally binding on the members of the Union, yet in practice they are mere recommendations which the States observe or disregard at their option.

The major issue with the current Confederation is the principle of making laws for STATES or GOVERNMENTS in their collective capacities, as opposed to the INDIVIDUALS that make them up. Although this principle isn't applied to all the powers given to the Union, it does influence those powers on which the effectiveness of the others depends. Aside from the appointment rule, the United States has broad authority to request men and money, but they can't raise either through regulations that apply to individual citizens. As a result, even though their resolutions about these matters are theoretically laws that are constitutionally binding on the members of the Union, in practice, they're just recommendations that the States can choose to follow or ignore.

It is a singular instance of the capriciousness of the human mind, that after all the admonitions we have had from experience on this head, there should still be found men who object to the new Constitution, for deviating from a principle which has been found the bane of the old, and which is in itself evidently incompatible with the idea of GOVERNMENT; a principle, in short, which, if it is to be executed at all, must substitute the violent and sanguinary agency of the sword to the mild influence of the magistracy.

It’s a unique example of how unpredictable the human mind can be that, despite all the warnings we've received from experience on this matter, there are still people who oppose the new Constitution for straying from a principle that has proven to be the downfall of the old one, and which is clearly incompatible with the concept of GOVERNMENT; a principle that, if it is to be enforced at all, must replace the harsh and bloody actions of the sword with the gentle guidance of the law.

There is nothing absurd or impracticable in the idea of a league or alliance between independent nations for certain defined purposes precisely stated in a treaty regulating all the details of time, place, circumstance, and quantity; leaving nothing to future discretion; and depending for its execution on the good faith of the parties. Compacts of this kind exist among all civilized nations, subject to the usual vicissitudes of peace and war, of observance and non-observance, as the interests or passions of the contracting powers dictate. In the early part of the present century there was an epidemical rage in Europe for this species of compacts, from which the politicians of the times fondly hoped for benefits which were never realized. With a view to establishing the equilibrium of power and the peace of that part of the world, all the resources of negotiation were exhausted, and triple and quadruple alliances were formed; but they were scarcely formed before they were broken, giving an instructive but afflicting lesson to mankind, how little dependence is to be placed on treaties which have no other sanction than the obligations of good faith, and which oppose general considerations of peace and justice to the impulse of any immediate interest or passion.

There’s nothing ridiculous or unrealistic about the idea of a league or alliance between independent nations for specific, clearly defined purposes outlined in a treaty that covers all the details of time, place, circumstance, and quantity; leaving nothing to future judgment; and relying for its enforcement on the good faith of the parties involved. Such agreements exist among all civilized nations, subject to the usual ups and downs of peace and war, compliance and non-compliance, as dictated by the interests or emotions of the negotiating parties. In the early part of this century, there was a widespread enthusiasm in Europe for this kind of agreement, from which the politicians of the time hoped to gain benefits that never materialized. In an attempt to establish a balance of power and peace in that region, all negotiation resources were utilized, and triple and quadruple alliances were formed; but they were barely established before they fell apart, providing a painful yet enlightening lesson to humanity about how little trust can be placed in treaties that rely solely on good faith obligations and which are easily swayed by immediate interests or emotions over broader concerns of peace and justice.

If the particular States in this country are disposed to stand in a similar relation to each other, and to drop the project of a general DISCRETIONARY SUPERINTENDENCE, the scheme would indeed be pernicious, and would entail upon us all the mischiefs which have been enumerated under the first head; but it would have the merit of being, at least, consistent and practicable Abandoning all views towards a confederate government, this would bring us to a simple alliance offensive and defensive; and would place us in a situation to be alternate friends and enemies of each other, as our mutual jealousies and rivalships, nourished by the intrigues of foreign nations, should prescribe to us.

If the individual states in this country want to maintain a similar relationship with each other and abandon the idea of a general DISCRETIONARY SUPERINTENDENCE, that plan would truly be harmful, and it would bring upon us all the issues we've listed before; however, at least it would be consistent and feasible. By giving up any plans for a confederate government, we would end up with a straightforward offensive and defensive alliance, putting us in a position where we could be friends and enemies of each other based on our mutual suspicions and rivalries, fueled by the schemes of foreign nations.

But if we are unwilling to be placed in this perilous situation; if we still will adhere to the design of a national government, or, which is the same thing, of a superintending power, under the direction of a common council, we must resolve to incorporate into our plan those ingredients which may be considered as forming the characteristic difference between a league and a government; we must extend the authority of the Union to the persons of the citizens,—the only proper objects of government.

But if we’re not willing to be put in this dangerous situation; if we still want to go ahead with the idea of a national government, or, the same thing, a governing authority under the guidance of a common council, we have to decide to include in our plan those elements that define the key differences between a league and a government; we need to expand the Union’s authority to the citizens themselves—the only rightful subjects of government.

Government implies the power of making laws. It is essential to the idea of a law, that it be attended with a sanction; or, in other words, a penalty or punishment for disobedience. If there be no penalty annexed to disobedience, the resolutions or commands which pretend to be laws will, in fact, amount to nothing more than advice or recommendation. This penalty, whatever it may be, can only be inflicted in two ways: by the agency of the courts and ministers of justice, or by military force; by the COERCION of the magistracy, or by the COERCION of arms. The first kind can evidently apply only to men; the last kind must of necessity, be employed against bodies politic, or communities, or States. It is evident that there is no process of a court by which the observance of the laws can, in the last resort, be enforced. Sentences may be denounced against them for violations of their duty; but these sentences can only be carried into execution by the sword. In an association where the general authority is confined to the collective bodies of the communities, that compose it, every breach of the laws must involve a state of war; and military execution must become the only instrument of civil obedience. Such a state of things can certainly not deserve the name of government, nor would any prudent man choose to commit his happiness to it.

Government means having the power to make laws. It's essential for a law to come with a consequence; in other words, a penalty or punishment for breaking it. If there's no penalty for disobedience, then what are meant to be laws will basically just be advice or suggestions. This penalty, whatever it is, can only be enforced in two ways: through the courts and justice officials, or by military force; by the COERCION of officials, or by the COERCION of arms. The first method can only be applied to individuals; the last must be used against political bodies, communities, or States. It's clear that there’s no legal process that ensures laws can ultimately be enforced. Penalties can be pronounced against those who violate their duties; however, these penalties can only be executed by force. In a system where the overall authority is limited to the collective bodies of the communities involved, any violation of the laws would lead to a state of war; and military action would become the sole means of civil compliance. Such a situation certainly cannot be called government, nor would any sensible person want to trust their well-being to it.

There was a time when we were told that breaches, by the States, of the regulations of the federal authority were not to be expected; that a sense of common interest would preside over the conduct of the respective members, and would beget a full compliance with all the constitutional requisitions of the Union. This language, at the present day, would appear as wild as a great part of what we now hear from the same quarter will be thought, when we shall have received further lessons from that best oracle of wisdom, experience. It at all times betrayed an ignorance of the true springs by which human conduct is actuated, and belied the original inducements to the establishment of civil power. Why has government been instituted at all? Because the passions of men will not conform to the dictates of reason and justice, without constraint. Has it been found that bodies of men act with more rectitude or greater disinterestedness than individuals? The contrary of this has been inferred by all accurate observers of the conduct of mankind; and the inference is founded upon obvious reasons. Regard to reputation has a less active influence, when the infamy of a bad action is to be divided among a number than when it is to fall singly upon one. A spirit of faction, which is apt to mingle its poison in the deliberations of all bodies of men, will often hurry the persons of whom they are composed into improprieties and excesses, for which they would blush in a private capacity.

There was a time when we were told that violations of federal regulations by the states were unlikely; that a shared sense of interest would guide the behavior of the members, leading to full compliance with all the constitutional requirements of the Union. Today, that idea seems just as unrealistic as much of what we hear from the same sources now will likely seem in the future, after we learn more from the best teacher of all, experience. It always showed a lack of understanding of the real motivations behind human behavior and contradicted the original reasons for establishing civil authority. Why was government created at all? Because people's passions do not align with reason and justice without some form of restraint. Have we found that groups of people act with more fairness or selflessness than individuals? Observers of human behavior have drawn the opposite conclusion, based on clear reasons. Concern for reputation has less impact when the shame of a bad action can be spread among many rather than resting solely on one person. A spirit of faction tends to inject its negativity into the discussions of any group, often leading those involved to act inappropriately and excessively in ways they would feel ashamed of if they were acting alone.

In addition to all this, there is, in the nature of sovereign power, an impatience of control, that disposes those who are invested with the exercise of it, to look with an evil eye upon all external attempts to restrain or direct its operations. From this spirit it happens, that in every political association which is formed upon the principle of uniting in a common interest a number of lesser sovereignties, there will be found a kind of eccentric tendency in the subordinate or inferior orbs, by the operation of which there will be a perpetual effort in each to fly off from the common centre. This tendency is not difficult to be accounted for. It has its origin in the love of power. Power controlled or abridged is almost always the rival and enemy of that power by which it is controlled or abridged. This simple proposition will teach us how little reason there is to expect, that the persons intrusted with the administration of the affairs of the particular members of a confederacy will at all times be ready, with perfect good-humor, and an unbiased regard to the public weal, to execute the resolutions or decrees of the general authority. The reverse of this results from the constitution of human nature.

In addition to all this, sovereign power naturally has an impatience for control, which leads those who wield it to view any outside attempts to limit or guide its actions with suspicion. Because of this mindset, in every political organization formed to unite various smaller sovereignties around a common interest, there tends to be a peculiar inclination in the subordinate entities, causing each one to constantly try to break away from the central authority. This tendency isn't hard to understand. It originates from the desire for power. Power that is restricted or diminished often sees itself as a rival or enemy to the authority that imposes those limitations. This simple idea shows us that we shouldn't expect those tasked with managing the affairs of individual members of a confederacy to always be willing, with a positive attitude and an unbiased view of the public good, to enforce the decisions or directives of the overall authority. The opposite is often true, resulting from human nature itself.

If, therefore, the measures of the Confederacy cannot be executed without the intervention of the particular administrations, there will be little prospect of their being executed at all. The rulers of the respective members, whether they have a constitutional right to do it or not, will undertake to judge of the propriety of the measures themselves. They will consider the conformity of the thing proposed or required to their immediate interests or aims; the momentary conveniences or inconveniences that would attend its adoption. All this will be done; and in a spirit of interested and suspicious scrutiny, without that knowledge of national circumstances and reasons of state, which is essential to a right judgment, and with that strong predilection in favor of local objects, which can hardly fail to mislead the decision. The same process must be repeated in every member of which the body is constituted; and the execution of the plans, framed by the councils of the whole, will always fluctuate on the discretion of the ill-informed and prejudiced opinion of every part. Those who have been conversant in the proceedings of popular assemblies; who have seen how difficult it often is, where there is no exterior pressure of circumstances, to bring them to harmonious resolutions on important points, will readily conceive how impossible it must be to induce a number of such assemblies, deliberating at a distance from each other, at different times, and under different impressions, long to co-operate in the same views and pursuits.

If the Confederacy's plans can't be carried out without input from the individual administrations, there's not much chance they'll happen at all. The leaders of the various members, whether they have the constitutional authority to do so or not, will decide for themselves whether the proposed measures are appropriate. They'll look at how the proposal aligns with their immediate interests or goals and weigh the short-term benefits or drawbacks of adopting it. This will all happen with a mindset of self-interest and skepticism, lacking the knowledge of national circumstances and state reasons necessary for a sound judgment. They'll also have a strong bias towards local issues, which is likely to skew their decisions. This same evaluation process will need to happen in each member of the Confederacy, and the execution of plans made by the collective councils will always depend on the narrow and biased opinions of each part. Those familiar with the operations of popular assemblies will understand how challenging it often is to reach consensus on significant issues without external pressures. It’s easy to see how nearly impossible it would be for several such assemblies, meeting at different times and under different circumstances, to consistently collaborate on the same goals and initiatives.

In our case, the concurrence of thirteen distinct sovereign wills is requisite, under the Confederation, to the complete execution of every important measure that proceeds from the Union. It has happened as was to have been foreseen. The measures of the Union have not been executed; the delinquencies of the States have, step by step, matured themselves to an extreme, which has, at length, arrested all the wheels of the national government, and brought them to an awful stand. Congress at this time scarcely possess the means of keeping up the forms of administration, till the States can have time to agree upon a more substantial substitute for the present shadow of a federal government. Things did not come to this desperate extremity at once. The causes which have been specified produced at first only unequal and disproportionate degrees of compliance with the requisitions of the Union. The greater deficiencies of some States furnished the pretext of example and the temptation of interest to the complying, or to the least delinquent States. Why should we do more in proportion than those who are embarked with us in the same political voyage? Why should we consent to bear more than our proper share of the common burden? These were suggestions which human selfishness could not withstand, and which even speculative men, who looked forward to remote consequences, could not, without hesitation, combat. Each State, yielding to the persuasive voice of immediate interest or convenience, has successively withdrawn its support, till the frail and tottering edifice seems ready to fall upon our heads, and to crush us beneath its ruins.

In our situation, it takes the agreement of thirteen different independent states, as per the Confederation, to fully carry out any significant action from the Union. As expected, the Union's actions have not been implemented; the shortcomings of the states have gradually worsened to the point that they have completely halted all functions of the national government, leaving it in a dire situation. Right now, Congress barely has what it needs to maintain any form of administration until the states can come together to find a more effective alternative to the current weak federal government. This didn't happen overnight. The issues mentioned initially caused only uneven and unequal compliance with the Union's requests. The substantial failings of some states provided an excuse for others, tempting them to comply less. Why should we contribute more than those who are in this political struggle with us? Why should we agree to carry more than our fair share of the common burden? These were arguments that human selfishness couldn't ignore and which even forward-thinking individuals found hard to refute. Each state, swayed by the lure of immediate self-interest or convenience, has slowly pulled back its support until the fragile and unstable structure now seems ready to collapse on us and bury us in its debris.

PUBLIUS

PUBLIUS

1. "I mean for the Union."

1. "I mean for the Union."





FEDERALIST No. 16. The Same Subject Continued (The Insufficiency of the Present Confederation to Preserve the Union)

From the New York Packet. Tuesday, December 4, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE tendency of the principle of legislation for States, or communities, in their political capacities, as it has been exemplified by the experiment we have made of it, is equally attested by the events which have befallen all other governments of the confederate kind, of which we have any account, in exact proportion to its prevalence in those systems. The confirmations of this fact will be worthy of a distinct and particular examination. I shall content myself with barely observing here, that of all the confederacies of antiquity, which history has handed down to us, the Lycian and Achaean leagues, as far as there remain vestiges of them, appear to have been most free from the fetters of that mistaken principle, and were accordingly those which have best deserved, and have most liberally received, the applauding suffrages of political writers.

THE tendency of the principle of legislation for states or communities in their political roles, as shown by our experience, is also supported by the events that have affected all other governments of a similar nature, in direct relation to how widespread this principle is in those systems. The confirmation of this fact deserves a detailed examination. For now, I will simply note that among all the ancient confederacies recorded in history, the Lycian and Achaean leagues, as far as any evidence remains, seem to have been the least constrained by that misguided principle and, therefore, have rightfully earned and received the most praise from political writers.

This exceptionable principle may, as truly as emphatically, be styled the parent of anarchy: It has been seen that delinquencies in the members of the Union are its natural and necessary offspring; and that whenever they happen, the only constitutional remedy is force, and the immediate effect of the use of it, civil war.

This questionable principle can just as accurately be called the root of anarchy: It's clear that offenses among the members of the Union are its natural and unavoidable consequences; and that whenever they occur, the only constitutional solution is force, which immediately leads to civil war.

It remains to inquire how far so odious an engine of government, in its application to us, would even be capable of answering its end. If there should not be a large army constantly at the disposal of the national government it would either not be able to employ force at all, or, when this could be done, it would amount to a war between parts of the Confederacy concerning the infractions of a league, in which the strongest combination would be most likely to prevail, whether it consisted of those who supported or of those who resisted the general authority. It would rarely happen that the delinquency to be redressed would be confined to a single member, and if there were more than one who had neglected their duty, similarity of situation would induce them to unite for common defense. Independent of this motive of sympathy, if a large and influential State should happen to be the aggressing member, it would commonly have weight enough with its neighbors to win over some of them as associates to its cause. Specious arguments of danger to the common liberty could easily be contrived; plausible excuses for the deficiencies of the party could, without difficulty, be invented to alarm the apprehensions, inflame the passions, and conciliate the good-will, even of those States which were not chargeable with any violation or omission of duty. This would be the more likely to take place, as the delinquencies of the larger members might be expected sometimes to proceed from an ambitious premeditation in their rulers, with a view to getting rid of all external control upon their designs of personal aggrandizement; the better to effect which it is presumable they would tamper beforehand with leading individuals in the adjacent States. If associates could not be found at home, recourse would be had to the aid of foreign powers, who would seldom be disinclined to encouraging the dissensions of a Confederacy, from the firm union of which they had so much to fear. When the sword is once drawn, the passions of men observe no bounds of moderation. The suggestions of wounded pride, the instigations of irritated resentment, would be apt to carry the States against which the arms of the Union were exerted, to any extremes necessary to avenge the affront or to avoid the disgrace of submission. The first war of this kind would probably terminate in a dissolution of the Union.

It remains to ask how effective such a terrible form of government would even be in dealing with us. Without a large army always at the national government's disposal, it would either be unable to use force at all or, if it did, it would likely lead to a conflict between parts of the Confederacy over violations of a league, where the strongest alliance would probably come out on top, whether it supported or opposed the overall authority. It would be rare for the wrongdoing that needed correcting to involve just one member, and if multiple members had failed in their duties, their similar situations would likely lead them to band together for mutual defense. Aside from this feeling of solidarity, if a large and powerful State happened to be the one acting aggressively, it would usually have enough influence to persuade some of its neighbors to join its cause. Convincing arguments about threats to shared freedom could easily be created, and plausible excuses for the aggressor's failings could just as easily be manufactured to evoke fear, inflame anger, and win the support of even those States not guilty of any wrongdoing. This scenario would be even more likely if the larger States’ misdeeds stemmed from the ambitious intentions of their leaders, who might be trying to break free from outside control to pursue their goals of personal gain; to achieve this, they could be expected to collaborate with key figures in neighboring States. If they couldn’t find allies at home, they would likely seek help from foreign powers, who would rarely hesitate to encourage the conflicts within a Confederacy they feared would stand strong. Once armed conflict begins, people's emotions know no moderation. Feelings of hurt pride and stirred-up resentment would likely push the States targeted by the Union’s forces to go to extreme lengths to avenge the insult or avoid the shame of surrender. The first war of this kind would probably lead to the breakup of the Union.

This may be considered as the violent death of the Confederacy. Its more natural death is what we now seem to be on the point of experiencing, if the federal system be not speedily renovated in a more substantial form. It is not probable, considering the genius of this country, that the complying States would often be inclined to support the authority of the Union by engaging in a war against the non-complying States. They would always be more ready to pursue the milder course of putting themselves upon an equal footing with the delinquent members by an imitation of their example. And the guilt of all would thus become the security of all. Our past experience has exhibited the operation of this spirit in its full light. There would, in fact, be an insuperable difficulty in ascertaining when force could with propriety be employed. In the article of pecuniary contribution, which would be the most usual source of delinquency, it would often be impossible to decide whether it had proceeded from disinclination or inability. The pretense of the latter would always be at hand. And the case must be very flagrant in which its fallacy could be detected with sufficient certainty to justify the harsh expedient of compulsion. It is easy to see that this problem alone, as often as it should occur, would open a wide field for the exercise of factious views, of partiality, and of oppression, in the majority that happened to prevail in the national council.

This can be seen as the violent end of the Confederacy. What we’re about to experience is more of a natural demise, unless the federal system is quickly revamped in a more solid way. Given the character of this country, it's unlikely that the compliant States would often choose to back the authority of the Union by going to war against the non-complying States. They would likely prefer to take a gentler approach by trying to level the playing field with the delinquent members by mimicking their behavior. As a result, everyone would share in the blame, which could end up protecting everyone. Our past has clearly shown how this attitude operates. In reality, it would be nearly impossible to determine when using force would be appropriate. Particularly regarding financial contributions, which are usually the main issue of delinquency, it would often be hard to tell if the shortfall was due to unwillingness or inability. The excuse of inability would always be available. Only in very obvious cases would we be able to prove the fallacy of this excuse with enough certainty to justify the harsh measure of compulsion. It's clear that this issue alone, whenever it arises, would open up a huge opportunity for the exercise of divisive interests, bias, and oppression by whichever group held the majority in the national council.

It seems to require no pains to prove that the States ought not to prefer a national Constitution which could only be kept in motion by the instrumentality of a large army continually on foot to execute the ordinary requisitions or decrees of the government. And yet this is the plain alternative involved by those who wish to deny it the power of extending its operations to individuals. Such a scheme, if practicable at all, would instantly degenerate into a military despotism; but it will be found in every light impracticable. The resources of the Union would not be equal to the maintenance of an army considerable enough to confine the larger States within the limits of their duty; nor would the means ever be furnished of forming such an army in the first instance. Whoever considers the populousness and strength of several of these States singly at the present juncture, and looks forward to what they will become, even at the distance of half a century, will at once dismiss as idle and visionary any scheme which aims at regulating their movements by laws to operate upon them in their collective capacities, and to be executed by a coercion applicable to them in the same capacities. A project of this kind is little less romantic than the monster-taming spirit which is attributed to the fabulous heroes and demi-gods of antiquity.

It seems obvious that the States shouldn’t choose a national Constitution that could only function with a large standing army constantly ready to enforce the government’s usual demands or decisions. Yet, this is the clear alternative faced by those who want to limit its power to reach individuals. Such a plan, if it could even work at all, would quickly turn into a military dictatorship; but in any case, it will be found to be completely unworkable. The resources of the Union wouldn’t be enough to sustain an army large enough to keep the bigger States in check, nor would there ever be a way to create such an army in the first place. Anyone who considers the population and strength of some of these States individually right now, and thinks ahead to what they will be like even in just fifty years, will see that any plan aimed at controlling their actions through laws directed at them as a group, enforced by coercion applicable in that same way, is completely unrealistic. A project like this is hardly less fanciful than the monster-taming legends associated with the mythical heroes and demigods of ancient times.

Even in those confederacies which have been composed of members smaller than many of our counties, the principle of legislation for sovereign States, supported by military coercion, has never been found effectual. It has rarely been attempted to be employed, but against the weaker members; and in most instances attempts to coerce the refractory and disobedient have been the signals of bloody wars, in which one half of the confederacy has displayed its banners against the other half.

Even in those alliances made up of members smaller than many of our counties, the idea of governing independent states through force has never really worked. It's rarely been tried, but when it has, it's usually been against the weaker members; in most cases, attempts to force the stubborn and disobedient have led to bloody wars, where one half of the alliance has raised its banners against the other half.

The result of these observations to an intelligent mind must be clearly this, that if it be possible at any rate to construct a federal government capable of regulating the common concerns and preserving the general tranquillity, it must be founded, as to the objects committed to its care, upon the reverse of the principle contended for by the opponents of the proposed Constitution. It must carry its agency to the persons of the citizens. It must stand in need of no intermediate legislations; but must itself be empowered to employ the arm of the ordinary magistrate to execute its own resolutions. The majesty of the national authority must be manifested through the medium of the courts of justice. The government of the Union, like that of each State, must be able to address itself immediately to the hopes and fears of individuals; and to attract to its support those passions which have the strongest influence upon the human heart. It must, in short, possess all the means, and have aright to resort to all the methods, of executing the powers with which it is intrusted, that are possessed and exercised by the government of the particular States.

The takeaway from these observations for a smart person must be clear: if it's possible to create a federal government that can manage common issues and maintain general peace, it needs to be based on the opposite of what the opponents of the proposed Constitution argue. It should reach directly to the citizens. It shouldn't rely on intermediate laws but should have the authority to use regular law enforcement to carry out its own decisions. The power of the national government must be shown through the court system. The Union's government, like that of each State, must connect directly with the hopes and fears of the people and draw on the emotions that have the strongest impact on human nature. In short, it needs to have all the tools and the right to use all the methods to exercise the powers it is given, just like the governments of individual States do.

To this reasoning it may perhaps be objected, that if any State should be disaffected to the authority of the Union, it could at any time obstruct the execution of its laws, and bring the matter to the same issue of force, with the necessity of which the opposite scheme is reproached.

To this reasoning, it might be argued that if any state is unhappy with the authority of the Union, it could at any time block the enforcement of its laws, leading to the same issue of force that the opposing plan is criticized for.

The plausibility of this objection will vanish the moment we advert to the essential difference between a mere NON-COMPLIANCE and a DIRECT and ACTIVE RESISTANCE. If the interposition of the State legislatures be necessary to give effect to a measure of the Union, they have only NOT TO ACT, or TO ACT EVASIVELY, and the measure is defeated. This neglect of duty may be disguised under affected but unsubstantial provisions, so as not to appear, and of course not to excite any alarm in the people for the safety of the Constitution. The State leaders may even make a merit of their surreptitious invasions of it on the ground of some temporary convenience, exemption, or advantage.

The validity of this objection disappears as soon as we recognize the key difference between simply NOT COMPLYING and actively RESISTING. If the involvement of state legislatures is necessary to implement a federal measure, they can either CHOOSE NOT TO ACT or ACT INDIRECTLY, and the measure will fail. This failure to fulfill their duty can be masked by superficial but empty provisions, so it doesn’t appear to be an issue and, naturally, doesn’t raise any alarm among the public about the safety of the Constitution. State leaders may even take pride in their covert violations of it, claiming it’s for some temporary convenience, exemption, or benefit.

But if the execution of the laws of the national government should not require the intervention of the State legislatures, if they were to pass into immediate operation upon the citizens themselves, the particular governments could not interrupt their progress without an open and violent exertion of an unconstitutional power. No omissions nor evasions would answer the end. They would be obliged to act, and in such a manner as would leave no doubt that they had encroached on the national rights. An experiment of this nature would always be hazardous in the face of a constitution in any degree competent to its own defense, and of a people enlightened enough to distinguish between a legal exercise and an illegal usurpation of authority. The success of it would require not merely a factious majority in the legislature, but the concurrence of the courts of justice and of the body of the people. If the judges were not embarked in a conspiracy with the legislature, they would pronounce the resolutions of such a majority to be contrary to the supreme law of the land, unconstitutional, and void. If the people were not tainted with the spirit of their State representatives, they, as the natural guardians of the Constitution, would throw their weight into the national scale and give it a decided preponderancy in the contest. Attempts of this kind would not often be made with levity or rashness, because they could seldom be made without danger to the authors, unless in cases of a tyrannical exercise of the federal authority.

But if enforcing the laws of the national government didn’t need the involvement of State legislatures, and those laws directly affected citizens, the local governments couldn’t interfere without openly using unconstitutional power. They couldn’t just ignore or avoid the laws. They would have to act in a way that made it clear they were overstepping national rights. Attempting something like this would always be risky if the constitution was even somewhat capable of defending itself, and if the people were informed enough to tell the difference between legal enforcement and illegal power grabs. For it to succeed, it would take more than just a troublesome majority in the legislature; it would require the support of the courts and the general public. If the judges weren’t conspiring with the legislature, they would declare the actions of that majority to be against the supreme law of the land, unconstitutional, and null. If the people weren’t influenced by their State representatives, they, as the rightful protectors of the Constitution, would support the national side and tip the scales in the argument. Such attempts wouldn’t usually be made lightly or recklessly, since they would risk danger to those behind them, unless the federal authority was being exercised tyrannically.

If opposition to the national government should arise from the disorderly conduct of refractory or seditious individuals, it could be overcome by the same means which are daily employed against the same evil under the State governments. The magistracy, being equally the ministers of the law of the land, from whatever source it might emanate, would doubtless be as ready to guard the national as the local regulations from the inroads of private licentiousness. As to those partial commotions and insurrections, which sometimes disquiet society, from the intrigues of an inconsiderable faction, or from sudden or occasional illhumors that do not infect the great body of the community the general government could command more extensive resources for the suppression of disturbances of that kind than would be in the power of any single member. And as to those mortal feuds which, in certain conjunctures, spread a conflagration through a whole nation, or through a very large proportion of it, proceeding either from weighty causes of discontent given by the government or from the contagion of some violent popular paroxysm, they do not fall within any ordinary rules of calculation. When they happen, they commonly amount to revolutions and dismemberments of empire. No form of government can always either avoid or control them. It is in vain to hope to guard against events too mighty for human foresight or precaution, and it would be idle to object to a government because it could not perform impossibilities.

If there’s opposition to the national government due to the disruptive actions of rebellious or seditious individuals, it can be tackled using the same methods that state governments use daily against such issues. The officials, who serve as representatives of the law regardless of where it originates, would certainly be just as willing to protect national regulations as they are to safeguard local ones from private misconduct. Regarding those minor disturbances and uprisings that occasionally disturb society, often due to the schemes of a small faction or sudden, temporary frustrations that don’t affect the larger community, the federal government has access to greater resources to manage such disruptions than any individual state could muster. As for those intense conflicts, which in certain situations can ignite widespread unrest across an entire nation or a significant portion of it, arising either from serious grievances against the government or from the effects of a violent public outbreak, they do not follow any standard rules of assessment. When they occur, they often lead to revolutions and fragmentation of empires. No type of government can consistently avoid or control them. It is futile to expect protection against events that are beyond human foresight or preparation, and it would be unreasonable to criticize a government for failing to accomplish the impossible.

PUBLIUS

PUBLIUS





FEDERALIST No. 17. The Same Subject Continued (The Insufficiency of the Present Confederation to Preserve the Union)

For the Independent Journal. Wednesday, December 5, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

AN OBJECTION, of a nature different from that which has been stated and answered, in my last address, may perhaps be likewise urged against the principle of legislation for the individual citizens of America. It may be said that it would tend to render the government of the Union too powerful, and to enable it to absorb those residuary authorities, which it might be judged proper to leave with the States for local purposes. Allowing the utmost latitude to the love of power which any reasonable man can require, I confess I am at a loss to discover what temptation the persons intrusted with the administration of the general government could ever feel to divest the States of the authorities of that description. The regulation of the mere domestic police of a State appears to me to hold out slender allurements to ambition. Commerce, finance, negotiation, and war seem to comprehend all the objects which have charms for minds governed by that passion; and all the powers necessary to those objects ought, in the first instance, to be lodged in the national depository. The administration of private justice between the citizens of the same State, the supervision of agriculture and of other concerns of a similar nature, all those things, in short, which are proper to be provided for by local legislation, can never be desirable cares of a general jurisdiction. It is therefore improbable that there should exist a disposition in the federal councils to usurp the powers with which they are connected; because the attempt to exercise those powers would be as troublesome as it would be nugatory; and the possession of them, for that reason, would contribute nothing to the dignity, to the importance, or to the splendor of the national government.

AN OBJECTION, different from the ones I've addressed in my last talk, might be raised against the idea of legislation for individual citizens in America. Some might argue that it would make the federal government too powerful and allow it to take over authorities that should remain with the states for local needs. Even considering the strongest desire for power that any reasonable person might have, I find it hard to see why those in charge of the federal government would want to strip the states of such powers. The management of a state's local affairs doesn't seem to offer much appeal to ambition. Areas like commerce, finance, diplomacy, and military matters seem to encompass everything that attracts ambitious minds; thus, the necessary powers for those areas should initially be held by the national government. Managing private disputes between citizens of the same state, overseeing agriculture, and other similar concerns—all of which are better handled by local legislation—should never be a priority for a federal authority. Therefore, it's unlikely that there would be a desire within the federal government to take over these powers, since trying to do so would be just as annoying as it would be pointless; and having those powers would not enhance the prestige, significance, or grandeur of the national government in any way.

But let it be admitted, for argument's sake, that mere wantonness and lust of domination would be sufficient to beget that disposition; still it may be safely affirmed, that the sense of the constituent body of the national representatives, or, in other words, the people of the several States, would control the indulgence of so extravagant an appetite. It will always be far more easy for the State governments to encroach upon the national authorities than for the national government to encroach upon the State authorities. The proof of this proposition turns upon the greater degree of influence which the State governments if they administer their affairs with uprightness and prudence, will generally possess over the people; a circumstance which at the same time teaches us that there is an inherent and intrinsic weakness in all federal constitutions; and that too much pains cannot be taken in their organization, to give them all the force which is compatible with the principles of liberty.

But let's agree, for the sake of argument, that simple indulgence and a desire for control could lead to that attitude; it can still be confidently said that the understanding of the representative body of the nation, or in other words, the people of the different States, would limit the satisfaction of such an extreme desire. It will always be much easier for State governments to overstep their bounds with national authorities than for the national government to infringe upon State authorities. The evidence for this claim lies in the greater influence that State governments can have over the people if they manage their affairs honestly and wisely; this also shows us that there is a fundamental and intrinsic weakness in all federal systems, highlighting the importance of careful organization to provide them with as much strength as possible while still adhering to the principles of freedom.

The superiority of influence in favor of the particular governments would result partly from the diffusive construction of the national government, but chiefly from the nature of the objects to which the attention of the State administrations would be directed.

The greater influence of specific governments would come partly from how the national government is structured, but mostly from the types of issues that State administrations would focus on.

It is a known fact in human nature, that its affections are commonly weak in proportion to the distance or diffusiveness of the object. Upon the same principle that a man is more attached to his family than to his neighborhood, to his neighborhood than to the community at large, the people of each State would be apt to feel a stronger bias towards their local governments than towards the government of the Union; unless the force of that principle should be destroyed by a much better administration of the latter.

It’s a well-known fact about human nature that our feelings tend to be weaker when the object of our affection is far away or spread out. Just like a person feels more connected to their family than to their neighbors, and more to their neighbors than to the larger community, people in each state are likely to feel a stronger attachment to their local governments than to the federal government; unless this tendency is outweighed by a significantly better management of the latter.

This strong propensity of the human heart would find powerful auxiliaries in the objects of State regulation.

This strong tendency of the human heart would find strong support in the objects of state regulation.

The variety of more minute interests, which will necessarily fall under the superintendence of the local administrations, and which will form so many rivulets of influence, running through every part of the society, cannot be particularized, without involving a detail too tedious and uninteresting to compensate for the instruction it might afford.

The range of smaller interests that will naturally be overseen by local administrations, which will create many streams of influence flowing through every part of society, can't be specified without getting into a lengthy and dull explanation that wouldn't be worth the knowledge it might provide.

There is one transcendant advantage belonging to the province of the State governments, which alone suffices to place the matter in a clear and satisfactory light,—I mean the ordinary administration of criminal and civil justice. This, of all others, is the most powerful, most universal, and most attractive source of popular obedience and attachment. It is that which, being the immediate and visible guardian of life and property, having its benefits and its terrors in constant activity before the public eye, regulating all those personal interests and familiar concerns to which the sensibility of individuals is more immediately awake, contributes, more than any other circumstance, to impressing upon the minds of the people, affection, esteem, and reverence towards the government. This great cement of society, which will diffuse itself almost wholly through the channels of the particular governments, independent of all other causes of influence, would insure them so decided an empire over their respective citizens as to render them at all times a complete counterpoise, and, not unfrequently, dangerous rivals to the power of the Union.

There is one outstanding advantage that belongs to the state governments, which is enough to clarify the situation in a straightforward and satisfactory way—I'm talking about the usual administration of criminal and civil justice. This is by far the strongest, most widespread, and most appealing source of public obedience and loyalty. It is the immediate and visible protector of life and property, with its benefits and threats constantly in the public eye, managing all those personal interests and everyday issues that people are most sensitive to. This contributes more than anything else to creating feelings of affection, respect, and reverence for the government among the people. This essential bond of society, which mostly operates through the state governments, independent of other influences, would ensure that they have such a strong hold over their citizens that they could serve as a complete counterbalance and often a significant rival to the power of the Union.

The operations of the national government, on the other hand, falling less immediately under the observation of the mass of the citizens, the benefits derived from it will chiefly be perceived and attended to by speculative men. Relating to more general interests, they will be less apt to come home to the feelings of the people; and, in proportion, less likely to inspire an habitual sense of obligation, and an active sentiment of attachment.

The actions of the national government, however, are less directly visible to the general public, so the advantages it brings will mainly be recognized and considered by thoughtful individuals. Since these actions involve broader interests, they are less likely to resonate with the everyday experiences of the people; consequently, they are also less likely to foster a consistent sense of duty and a strong feeling of loyalty.

The reasoning on this head has been abundantly exemplified by the experience of all federal constitutions with which we are acquainted, and of all others which have borne the least analogy to them.

The reasoning on this topic has been clearly demonstrated by the experiences of all federal constitutions we know of, as well as by others that are somewhat similar to them.

Though the ancient feudal systems were not, strictly speaking, confederacies, yet they partook of the nature of that species of association. There was a common head, chieftain, or sovereign, whose authority extended over the whole nation; and a number of subordinate vassals, or feudatories, who had large portions of land allotted to them, and numerous trains of INFERIOR vassals or retainers, who occupied and cultivated that land upon the tenure of fealty or obedience, to the persons of whom they held it. Each principal vassal was a kind of sovereign, within his particular demesnes. The consequences of this situation were a continual opposition to authority of the sovereign, and frequent wars between the great barons or chief feudatories themselves. The power of the head of the nation was commonly too weak, either to preserve the public peace, or to protect the people against the oppressions of their immediate lords. This period of European affairs is emphatically styled by historians, the times of feudal anarchy.

Though the ancient feudal systems weren't exactly confederacies, they shared similarities with that type of association. There was a common leader, chieftain, or ruler whose authority extended over the entire nation, along with a number of subordinate vassals, or feudatories, who were given large portions of land. They had many lower vassals or retainers who worked the land under the condition of loyalty or obedience to the lords they served. Each main vassal acted like a ruler within their specific territories. The result of this situation was a constant pushback against the authority of the ruler and frequent conflicts among the powerful barons or chief feudatories themselves. The head of the nation typically lacked the power to maintain public peace or protect the people from the abuses of their immediate lords. This period in European history is famously referred to by historians as the era of feudal anarchy.

When the sovereign happened to be a man of vigorous and warlike temper and of superior abilities, he would acquire a personal weight and influence, which answered, for the time, the purpose of a more regular authority. But in general, the power of the barons triumphed over that of the prince; and in many instances his dominion was entirely thrown off, and the great fiefs were erected into independent principalities or States. In those instances in which the monarch finally prevailed over his vassals, his success was chiefly owing to the tyranny of those vassals over their dependents. The barons, or nobles, equally the enemies of the sovereign and the oppressors of the common people, were dreaded and detested by both; till mutual danger and mutual interest effected a union between them fatal to the power of the aristocracy. Had the nobles, by a conduct of clemency and justice, preserved the fidelity and devotion of their retainers and followers, the contests between them and the prince must almost always have ended in their favor, and in the abridgment or subversion of the royal authority.

When the ruler was a strong, warlike man with exceptional skills, he would gain personal influence and power that temporarily fulfilled the role of a more structured authority. However, generally speaking, the barons' power often overshadowed that of the prince, and in many cases, his rule was completely overthrown, leading to the greater fiefs becoming independent principalities or states. In situations where the monarch ultimately defeated his vassals, it was mainly due to the tyranny those vassals exerted over their own subordinates. The barons, or nobles, were at once adversaries of the sovereign and oppressors of the common people, feared and hated by both parties until a shared threat and common interests brought them together, which ultimately weakened aristocratic power. If the nobles had acted with kindness and fairness to maintain the loyalty of their retainers and followers, the conflicts between them and the prince would likely have frequently favored the nobles, resulting in a reduction or overthrow of royal authority.

This is not an assertion founded merely in speculation or conjecture. Among other illustrations of its truth which might be cited, Scotland will furnish a cogent example. The spirit of clanship which was, at an early day, introduced into that kingdom, uniting the nobles and their dependants by ties equivalent to those of kindred, rendered the aristocracy a constant overmatch for the power of the monarch, till the incorporation with England subdued its fierce and ungovernable spirit, and reduced it within those rules of subordination which a more rational and more energetic system of civil polity had previously established in the latter kingdom.

This isn't just a claim based on guesswork or assumptions. Among other examples that could be mentioned, Scotland provides a strong case. The strong sense of kinship that was established early on in that kingdom, connecting the nobles and their followers with bonds like family ties, made the aristocracy a constant challenge to the power of the king, until the union with England tamed its fierce and rebellious nature and brought it under the rules of order that a more logical and dynamic system of civil government had already established in the latter kingdom.

The separate governments in a confederacy may aptly be compared with the feudal baronies; with this advantage in their favor, that from the reasons already explained, they will generally possess the confidence and good-will of the people, and with so important a support, will be able effectually to oppose all encroachments of the national government. It will be well if they are not able to counteract its legitimate and necessary authority. The points of similitude consist in the rivalship of power, applicable to both, and in the CONCENTRATION of large portions of the strength of the community into particular DEPOSITORIES, in one case at the disposal of individuals, in the other case at the disposal of political bodies.

The separate governments in a confederacy can be likened to feudal baronies; however, they have the advantage of generally having the trust and support of the people. With this significant backing, they can effectively resist any overreach by the national government. It would be beneficial if they do not impede its legitimate and necessary authority. The similarities lie in the competition for power in both cases, and in the concentration of considerable strength of the community in specific entities, where in one case it’s at the disposal of individuals, and in the other, it’s managed by political bodies.

A concise review of the events that have attended confederate governments will further illustrate this important doctrine; an inattention to which has been the great source of our political mistakes, and has given our jealousy a direction to the wrong side. This review shall form the subject of some ensuing papers.

A brief look at the events involving confederate governments will further highlight this important principle; neglecting it has been the main cause of our political mistakes and has caused our jealousy to be misdirected. This review will be the topic of some upcoming papers.

PUBLIUS

PUBLIUS





FEDERALIST No. 18. The Same Subject Continued (The Insufficiency of the Present Confederation to Preserve the Union)

For the New York Packet. Friday, December 7, 1787

MADISON, with HAMILTON

MADISON and HAMILTON

To the People of the State of New York:

To the People of New York:

AMONG the confederacies of antiquity, the most considerable was that of the Grecian republics, associated under the Amphictyonic council. From the best accounts transmitted of this celebrated institution, it bore a very instructive analogy to the present Confederation of the American States.

AMONG the alliances of ancient times, the most significant was that of the Greek city-states, united under the Amphictyonic council. From the best accounts passed down about this famous organization, it had a very instructive similarity to the current Confederation of the American States.

The members retained the character of independent and sovereign states, and had equal votes in the federal council. This council had a general authority to propose and resolve whatever it judged necessary for the common welfare of Greece; to declare and carry on war; to decide, in the last resort, all controversies between the members; to fine the aggressing party; to employ the whole force of the confederacy against the disobedient; to admit new members. The Amphictyons were the guardians of religion, and of the immense riches belonging to the temple of Delphos, where they had the right of jurisdiction in controversies between the inhabitants and those who came to consult the oracle. As a further provision for the efficacy of the federal powers, they took an oath mutually to defend and protect the united cities, to punish the violators of this oath, and to inflict vengeance on sacrilegious despoilers of the temple.

The members maintained their status as independent and sovereign states, each having an equal vote in the federal council. This council had broad authority to propose and take actions that it deemed necessary for the common good of Greece; to declare and engage in war; to settle any disputes between members; to impose fines on the offending party; to deploy the full force of the confederacy against those who refused to comply; and to admit new members. The Amphictyons acted as the protectors of religion and the vast wealth of the temple of Delphos, where they had the right to adjudicate disputes between the local residents and visitors seeking guidance from the oracle. To further ensure the effectiveness of the federal powers, they agreed to an oath to mutually defend and protect the united cities, to punish those who broke this oath, and to take revenge on those who desecrated the temple.

In theory, and upon paper, this apparatus of powers seems amply sufficient for all general purposes. In several material instances, they exceed the powers enumerated in the articles of confederation. The Amphictyons had in their hands the superstition of the times, one of the principal engines by which government was then maintained; they had a declared authority to use coercion against refractory cities, and were bound by oath to exert this authority on the necessary occasions.

In theory, and on paper, this system of powers looks more than enough for all general purposes. In several concrete cases, they go beyond the powers listed in the articles of confederation. The Amphictyons held the dominant beliefs of the time, which was one of the main tools for maintaining government; they had official authority to use force against stubborn cities and were obligated by oath to use this authority when needed.

Very different, nevertheless, was the experiment from the theory. The powers, like those of the present Congress, were administered by deputies appointed wholly by the cities in their political capacities; and exercised over them in the same capacities. Hence the weakness, the disorders, and finally the destruction of the confederacy. The more powerful members, instead of being kept in awe and subordination, tyrannized successively over all the rest. Athens, as we learn from Demosthenes, was the arbiter of Greece seventy-three years. The Lacedaemonians next governed it twenty-nine years; at a subsequent period, after the battle of Leuctra, the Thebans had their turn of domination.

The experiment was very different from the theory. The powers, similar to those of today's Congress, were held by representatives chosen entirely by the cities in their political roles; and these powers were exercised over them in the same roles. This led to weakness, chaos, and ultimately the collapse of the confederacy. The more powerful members, rather than being kept in check, ended up dominating all the others. According to Demosthenes, Athens was the ruler of Greece for seventy-three years. The Spartans then controlled it for twenty-nine years; later, after the Battle of Leuctra, it was the Thebans' turn to rule.

It happened but too often, according to Plutarch, that the deputies of the strongest cities awed and corrupted those of the weaker; and that judgment went in favor of the most powerful party.

It happened way too often, according to Plutarch, that the representatives of the strongest cities intimidated and corrupted those from the weaker ones; and that decisions favored the most powerful group.

Even in the midst of defensive and dangerous wars with Persia and Macedon, the members never acted in concert, and were, more or fewer of them, eternally the dupes or the hirelings of the common enemy. The intervals of foreign war were filled up by domestic vicissitudes convulsions, and carnage.

Even during the defensive and perilous wars with Persia and Macedon, the members never worked together and were, at times, the unwitting pawns or mercenaries of a common enemy. The gaps between foreign wars were filled with domestic upheavals, chaos, and bloodshed.

After the conclusion of the war with Xerxes, it appears that the Lacedaemonians required that a number of the cities should be turned out of the confederacy for the unfaithful part they had acted. The Athenians, finding that the Lacedaemonians would lose fewer partisans by such a measure than themselves, and would become masters of the public deliberations, vigorously opposed and defeated the attempt. This piece of history proves at once the inefficiency of the union, the ambition and jealousy of its most powerful members, and the dependent and degraded condition of the rest. The smaller members, though entitled by the theory of their system to revolve in equal pride and majesty around the common center, had become, in fact, satellites of the orbs of primary magnitude.

After the war with Xerxes ended, it seems that the Lacedaemonians wanted some of the cities to be removed from the alliance because of their disloyalty. The Athenians realized that this would benefit the Lacedaemonians more than themselves and that they would gain control over public discussions, so they strongly opposed and stopped the plan. This bit of history highlights the weakness of the alliance, the ambition and rivalry among its strongest members, and the inferior and degraded situation of the others. Although the smaller members were theoretically supposed to share equal status and importance in the alliance, they had effectively become satellites of the more powerful ones.

Had the Greeks, says the Abbe Milot, been as wise as they were courageous, they would have been admonished by experience of the necessity of a closer union, and would have availed themselves of the peace which followed their success against the Persian arms, to establish such a reformation. Instead of this obvious policy, Athens and Sparta, inflated with the victories and the glory they had acquired, became first rivals and then enemies; and did each other infinitely more mischief than they had suffered from Xerxes. Their mutual jealousies, fears, hatreds, and injuries ended in the celebrated Peloponnesian war; which itself ended in the ruin and slavery of the Athenians who had begun it.

Had the Greeks, as Abbe Milot states, been as wise as they were brave, they would have learned from experience the need for a tighter union and would have taken advantage of the peace that followed their victory over the Persians to create such a change. Instead of following this clear course of action, Athens and Sparta, filled with pride from their victories and the glory they had won, turned into rivals and eventually enemies, causing each other far more harm than they had experienced from Xerxes. Their mutual jealousy, fear, hatred, and injuries led to the famous Peloponnesian War, which ultimately resulted in the ruin and enslavement of the Athenians who had initiated it.

As a weak government, when not at war, is ever agitated by internal dissentions, so these never fail to bring on fresh calamities from abroad. The Phocians having ploughed up some consecrated ground belonging to the temple of Apollo, the Amphictyonic council, according to the superstition of the age, imposed a fine on the sacrilegious offenders. The Phocians, being abetted by Athens and Sparta, refused to submit to the decree. The Thebans, with others of the cities, undertook to maintain the authority of the Amphictyons, and to avenge the violated god. The latter, being the weaker party, invited the assistance of Philip of Macedon, who had secretly fostered the contest. Philip gladly seized the opportunity of executing the designs he had long planned against the liberties of Greece. By his intrigues and bribes he won over to his interests the popular leaders of several cities; by their influence and votes, gained admission into the Amphictyonic council; and by his arts and his arms, made himself master of the confederacy.

As a weak government, when not at war, is always troubled by internal conflicts, these issues inevitably lead to new disasters from outside. The Phocians had farmed some sacred land belonging to the temple of Apollo, and the Amphictyonic council, reflecting the superstitions of the time, imposed a fine on the offenders. With the support of Athens and Sparta, the Phocians refused to accept the decree. The Thebans and other city-states took it upon themselves to uphold the authority of the Amphictyons and to take revenge for the desecrated god. Being the weaker side, they sought help from Philip of Macedon, who had secretly encouraged the conflict. Philip eagerly took this chance to carry out his long-standing plans against the freedoms of Greece. Through his schemes and bribes, he won over popular leaders from several cities; using their influence and votes, he gained a seat in the Amphictyonic council, and through his cunning and military might, he took control of the alliance.

Such were the consequences of the fallacious principle on which this interesting establishment was founded. Had Greece, says a judicious observer on her fate, been united by a stricter confederation, and persevered in her union, she would never have worn the chains of Macedon; and might have proved a barrier to the vast projects of Rome.

Such were the consequences of the misguided idea on which this fascinating establishment was built. If Greece, according to a wise observer of her destiny, had been united by a stronger alliance and maintained that unity, she would never have been bound by the chains of Macedon and could have stood as a barrier to Rome’s grand ambitions.

The Achaean league, as it is called, was another society of Grecian republics, which supplies us with valuable instruction.

The Achaean League, as it’s known, was another group of Greek republics that provides us with valuable lessons.

The Union here was far more intimate, and its organization much wiser, than in the preceding instance. It will accordingly appear, that though not exempt from a similar catastrophe, it by no means equally deserved it.

The Union here was much closer, and its organization was much smarter than before. It will therefore seem that, although it wasn't free from a similar disaster, it certainly didn't deserve it to the same extent.

The cities composing this league retained their municipal jurisdiction, appointed their own officers, and enjoyed a perfect equality. The senate, in which they were represented, had the sole and exclusive right of peace and war; of sending and receiving ambassadors; of entering into treaties and alliances; of appointing a chief magistrate or praetor, as he was called, who commanded their armies, and who, with the advice and consent of ten of the senators, not only administered the government in the recess of the senate, but had a great share in its deliberations, when assembled. According to the primitive constitution, there were two praetors associated in the administration; but on trial a single one was preferred.

The cities in this league maintained their local authority, chose their own leaders, and had equal standing. The senate, where they were represented, held the exclusive rights to make decisions about peace and war; to send and receive ambassadors; to create treaties and alliances; and to appoint a chief magistrate, or praetor, who led their armies. This praetor, with the approval of ten senators, not only ran the government when the senate was not in session but also played a significant role in its discussions when it was. Initially, there were two praetors involved in the administration, but it was found that having just one was more effective.

It appears that the cities had all the same laws and customs, the same weights and measures, and the same money. But how far this effect proceeded from the authority of the federal council is left in uncertainty. It is said only that the cities were in a manner compelled to receive the same laws and usages. When Lacedaemon was brought into the league by Philopoemen, it was attended with an abolition of the institutions and laws of Lycurgus, and an adoption of those of the Achaeans. The Amphictyonic confederacy, of which she had been a member, left her in the full exercise of her government and her legislation. This circumstance alone proves a very material difference in the genius of the two systems.

It seems that the cities shared the same laws and customs, the same weights and measures, and the same currency. However, it's unclear how much of this uniformity came from the authority of the federal council. It's noted that the cities were somewhat forced to adopt the same laws and practices. When Philopoemen brought Lacedaemon into the league, it resulted in the abolition of the institutions and laws of Lycurgus, replaced by those of the Achaeans. The Amphictyonic confederacy, of which Lacedaemon had been a member, allowed it to maintain its own government and legislation. This fact alone highlights a significant difference in the nature of the two systems.

It is much to be regretted that such imperfect monuments remain of this curious political fabric. Could its interior structure and regular operation be ascertained, it is probable that more light would be thrown by it on the science of federal government, than by any of the like experiments with which we are acquainted.

It's really unfortunate that such incomplete records of this interesting political system still exist. If we could find out more about its inner workings and how it functioned regularly, it’s likely that we would gain more insight into the science of federal government than from any other similar experiments we know of.

One important fact seems to be witnessed by all the historians who take notice of Achaean affairs. It is, that as well after the renovation of the league by Aratus, as before its dissolution by the arts of Macedon, there was infinitely more of moderation and justice in the administration of its government, and less of violence and sedition in the people, than were to be found in any of the cities exercising SINGLY all the prerogatives of sovereignty. The Abbe Mably, in his observations on Greece, says that the popular government, which was so tempestuous elsewhere, caused no disorders in the members of the Achaean republic, BECAUSE IT WAS THERE TEMPERED BY THE GENERAL AUTHORITY AND LAWS OF THE CONFEDERACY.

One important fact seems to be acknowledged by all historians who focus on Achaean matters. It is that both after the league was renewed by Aratus and before its collapse due to Macedonian influence, there was significantly more moderation and fairness in the government's administration, and less violence and unrest among the people, than in any cities that enjoyed all the powers of sovereignty on their own. The Abbe Mably, in his observations about Greece, notes that the popular government, which was so chaotic elsewhere, did not cause any disturbances in the members of the Achaean republic, because it was balanced by the overall authority and laws of the confederacy.

We are not to conclude too hastily, however, that faction did not, in a certain degree, agitate the particular cities; much less that a due subordination and harmony reigned in the general system. The contrary is sufficiently displayed in the vicissitudes and fate of the republic.

We shouldn't jump to the conclusion that factions didn't, to some extent, stir up specific cities; even less should we think that there was proper order and harmony in the overall system. The opposite is clearly shown in the ups and downs and the fate of the republic.

Whilst the Amphictyonic confederacy remained, that of the Achaeans, which comprehended the less important cities only, made little figure on the theatre of Greece. When the former became a victim to Macedon, the latter was spared by the policy of Philip and Alexander. Under the successors of these princes, however, a different policy prevailed. The arts of division were practiced among the Achaeans. Each city was seduced into a separate interest; the union was dissolved. Some of the cities fell under the tyranny of Macedonian garrisons; others under that of usurpers springing out of their own confusions. Shame and oppression erelong awaken their love of liberty. A few cities reunited. Their example was followed by others, as opportunities were found of cutting off their tyrants. The league soon embraced almost the whole Peloponnesus. Macedon saw its progress; but was hindered by internal dissensions from stopping it. All Greece caught the enthusiasm and seemed ready to unite in one confederacy, when the jealousy and envy in Sparta and Athens, of the rising glory of the Achaeans, threw a fatal damp on the enterprise. The dread of the Macedonian power induced the league to court the alliance of the Kings of Egypt and Syria, who, as successors of Alexander, were rivals of the king of Macedon. This policy was defeated by Cleomenes, king of Sparta, who was led by his ambition to make an unprovoked attack on his neighbors, the Achaeans, and who, as an enemy to Macedon, had interest enough with the Egyptian and Syrian princes to effect a breach of their engagements with the league.

While the Amphictyonic confederacy was in place, the Achaeans, which included only the less significant cities, had little influence in Greece. When the former fell to Macedon, the latter was spared due to the strategies of Philip and Alexander. However, under the successors of these leaders, a different approach emerged. The Achaeans were divided; each city was lured into pursuing its own interests, and the union fell apart. Some cities fell under the control of Macedonian garrisons, while others succumbed to usurpers that arose from their own chaos. However, shame and oppression soon sparked their desire for freedom. A few cities came back together. Others soon followed, seizing opportunities to eliminate their tyrants. The league quickly included nearly the entire Peloponnesus. Macedon noticed this growth but was unable to stop it due to internal conflicts. All of Greece felt the enthusiasm and seemed ready to unite in one confederacy when jealousy and envy from Sparta and Athens over the Achaeans' rising prosperity dampened the effort. Fearing Macedonian power, the league sought alliances with the Kings of Egypt and Syria, who, as successors of Alexander, were rivals of the king of Macedon. This strategy was undermined by Cleomenes, the king of Sparta, who, driven by ambition, launched an unprovoked attack on his neighbors, the Achaeans, and, as an opponent of Macedon, had enough influence with the Egyptian and Syrian princes to disrupt their commitments to the league.

The Achaeans were now reduced to the dilemma of submitting to Cleomenes, or of supplicating the aid of Macedon, its former oppressor. The latter expedient was adopted. The contests of the Greeks always afforded a pleasing opportunity to that powerful neighbor of intermeddling in their affairs. A Macedonian army quickly appeared. Cleomenes was vanquished. The Achaeans soon experienced, as often happens, that a victorious and powerful ally is but another name for a master. All that their most abject compliances could obtain from him was a toleration of the exercise of their laws. Philip, who was now on the throne of Macedon, soon provoked by his tyrannies, fresh combinations among the Greeks. The Achaeans, though weakened by internal dissensions and by the revolt of Messene, one of its members, being joined by the AEtolians and Athenians, erected the standard of opposition. Finding themselves, though thus supported, unequal to the undertaking, they once more had recourse to the dangerous expedient of introducing the succor of foreign arms. The Romans, to whom the invitation was made, eagerly embraced it. Philip was conquered; Macedon subdued. A new crisis ensued to the league. Dissensions broke out among it members. These the Romans fostered. Callicrates and other popular leaders became mercenary instruments for inveigling their countrymen. The more effectually to nourish discord and disorder the Romans had, to the astonishment of those who confided in their sincerity, already proclaimed universal liberty(1) throughout Greece. With the same insidious views, they now seduced the members from the league, by representing to their pride the violation it committed on their sovereignty. By these arts this union, the last hope of Greece, the last hope of ancient liberty, was torn into pieces; and such imbecility and distraction introduced, that the arms of Rome found little difficulty in completing the ruin which their arts had commenced. The Achaeans were cut to pieces, and Achaia loaded with chains, under which it is groaning at this hour.

The Achaeans were now faced with the choice of either submitting to Cleomenes or asking for help from Macedon, their former oppressor. They chose the latter option. The conflicts among the Greeks always provided a chance for that powerful neighbor to meddle in their affairs. A Macedonian army quickly showed up, and Cleomenes was defeated. The Achaeans soon realized, as often happens, that a victorious and powerful ally is just another name for a master. All they could get from him, despite their most servile submissions, was permission to continue using their laws. Philip, who was now king of Macedon, soon stirred up fresh unrest among the Greeks with his tyranny. The Achaeans, although weakened by internal disputes and the revolt of Messene, one of their members, rallied with the help of the Aetolians and Athenians and raised the flag of resistance. Yet, despite this support, they found themselves incapable of the fight and once again resorted to the risky move of asking for foreign help. The Romans eagerly accepted the invitation. Philip was defeated, and Macedon was subdued. A new crisis emerged for the league. Conflicts broke out among its members, which the Romans encouraged. Callicrates and other popular leaders became mercenary tools to deceive their fellow citizens. To further promote discord and chaos, the Romans, to the astonishment of those who trusted them, had already declared universal freedom throughout Greece. With the same deceptive motives, they now lured members away from the league by appealing to their pride over the affront to their sovereignty. Through these tactics, this union, the last hope of Greece and the last hope of ancient liberty, was shattered; such weakness and turmoil were introduced that the Roman forces had little trouble finishing the destruction their schemes had begun. The Achaeans were slaughtered, and Achaia was burdened with chains, under which it still suffers today.

I have thought it not superfluous to give the outlines of this important portion of history; both because it teaches more than one lesson, and because, as a supplement to the outlines of the Achaean constitution, it emphatically illustrates the tendency of federal bodies rather to anarchy among the members, than to tyranny in the head.

I thought it would be useful to provide an overview of this significant part of history; not only because it offers multiple lessons but also because, as a supplement to the outlines of the Achaean constitution, it clearly shows the tendency of federal entities to lead to chaos among the members rather than oppression from the leaders.

PUBLIUS

PUBLIUS

1. This was but another name more specious for the independence of the members on the federal head.

1. This was just another fancy term for the independence of the members from the federal authority.





FEDERALIST No. 19. The Same Subject Continued (The Insufficiency of the Present Confederation to Preserve the Union)

For the Independent Journal. Saturday, December 8, 1787

MADISON, with HAMILTON

MADISON and HAMILTON

To the People of the State of New York:

To the People of the State of New York:

THE examples of ancient confederacies, cited in my last paper, have not exhausted the source of experimental instruction on this subject. There are existing institutions, founded on a similar principle, which merit particular consideration. The first which presents itself is the Germanic body.

THE examples of ancient alliances mentioned in my last paper haven't fully explored the wealth of practical lessons on this topic. There are current organizations based on a similar principle that deserve careful attention. The first one that comes to mind is the Germanic body.

In the early ages of Christianity, Germany was occupied by seven distinct nations, who had no common chief. The Franks, one of the number, having conquered the Gauls, established the kingdom which has taken its name from them. In the ninth century Charlemagne, its warlike monarch, carried his victorious arms in every direction; and Germany became a part of his vast dominions. On the dismemberment, which took place under his sons, this part was erected into a separate and independent empire. Charlemagne and his immediate descendants possessed the reality, as well as the ensigns and dignity of imperial power. But the principal vassals, whose fiefs had become hereditary, and who composed the national diets which Charlemagne had not abolished, gradually threw off the yoke and advanced to sovereign jurisdiction and independence. The force of imperial sovereignty was insufficient to restrain such powerful dependants; or to preserve the unity and tranquillity of the empire. The most furious private wars, accompanied with every species of calamity, were carried on between the different princes and states. The imperial authority, unable to maintain the public order, declined by degrees till it was almost extinct in the anarchy, which agitated the long interval between the death of the last emperor of the Suabian, and the accession of the first emperor of the Austrian lines. In the eleventh century the emperors enjoyed full sovereignty: In the fifteenth they had little more than the symbols and decorations of power.

In the early days of Christianity, Germany was divided among seven distinct nations, each without a common leader. The Franks were one of these nations; after conquering the Gauls, they established a kingdom named after them. In the ninth century, Charlemagne, their warlike king, expanded his territories in all directions, and Germany became part of his extensive empire. After his sons divided the empire, this region was formed into a separate and independent empire. Charlemagne and his immediate heirs held both the actual power and the symbols of imperial authority. However, the main vassals, whose lands had become hereditary and who made up the national assemblies that Charlemagne had not abolished, gradually shed their subservience and sought more autonomy. The power of imperial sovereignty was not enough to control these powerful vassals or to maintain the unity and peace of the empire. Intense private wars broke out, bringing various calamities as different princes and states battled each other. The imperial authority, unable to enforce public order, waned over time until it was nearly nonexistent during the chaos that followed the death of the last emperor of the Suabian dynasty and the rise of the first emperor from the Austrian line. In the eleventh century, the emperors held full sovereignty; by the fifteenth century, they possessed little more than the symbols and formalities of power.

Out of this feudal system, which has itself many of the important features of a confederacy, has grown the federal system which constitutes the Germanic empire. Its powers are vested in a diet representing the component members of the confederacy; in the emperor, who is the executive magistrate, with a negative on the decrees of the diet; and in the imperial chamber and the aulic council, two judiciary tribunals having supreme jurisdiction in controversies which concern the empire, or which happen among its members.

Out of this feudal system, which has many key features of a confederacy, has come the federal system that makes up the Germanic empire. Its powers are held by a diet that represents the individual members of the confederacy; by the emperor, who acts as the executive magistrate and can veto the diet's decisions; and by the imperial chamber and the aulic council, two judicial courts with the highest authority in disputes that involve the empire or occur between its members.

The diet possesses the general power of legislating for the empire; of making war and peace; contracting alliances; assessing quotas of troops and money; constructing fortresses; regulating coin; admitting new members; and subjecting disobedient members to the ban of the empire, by which the party is degraded from his sovereign rights and his possessions forfeited. The members of the confederacy are expressly restricted from entering into compacts prejudicial to the empire; from imposing tolls and duties on their mutual intercourse, without the consent of the emperor and diet; from altering the value of money; from doing injustice to one another; or from affording assistance or retreat to disturbers of the public peace. And the ban is denounced against such as shall violate any of these restrictions. The members of the diet, as such, are subject in all cases to be judged by the emperor and diet, and in their private capacities by the aulic council and imperial chamber.

The diet has the overall authority to legislate for the empire; to declare war and peace; to form alliances; to assess troop and financial contributions; to build fortresses; to regulate currency; to admit new members; and to punish members who disobey by subjecting them to the ban of the empire, which strips them of their sovereign rights and confiscates their property. Members of the confederation are specifically prohibited from making agreements that could harm the empire; from imposing tolls and duties on their interactions without the emperor's and diet's approval; from changing the value of money; from treating each other unfairly; or from offering help or shelter to those who disrupt public order. The ban is enforced against anyone who violates these rules. Members of the diet are to be judged by the emperor and the diet in all cases, and in their personal matters by the aulic council and imperial chamber.

The prerogatives of the emperor are numerous. The most important of them are: his exclusive right to make propositions to the diet; to negative its resolutions; to name ambassadors; to confer dignities and titles; to fill vacant electorates; to found universities; to grant privileges not injurious to the states of the empire; to receive and apply the public revenues; and generally to watch over the public safety. In certain cases, the electors form a council to him. In quality of emperor, he possesses no territory within the empire, nor receives any revenue for his support. But his revenue and dominions, in other qualities, constitute him one of the most powerful princes in Europe.

The emperor has many privileges. The most significant ones include: his exclusive right to propose ideas to the diet; to reject its decisions; to appoint ambassadors; to bestow honors and titles; to fill vacant electorates; to establish universities; to grant privileges that don’t harm the states of the empire; to collect and manage public funds; and generally to ensure public safety. In certain situations, the electors form a council for him. As emperor, he doesn't own any land within the empire or receive any income for his support. However, his wealth and territories in other roles make him one of the most powerful rulers in Europe.

From such a parade of constitutional powers, in the representatives and head of this confederacy, the natural supposition would be, that it must form an exception to the general character which belongs to its kindred systems. Nothing would be further from the reality. The fundamental principle on which it rests, that the empire is a community of sovereigns, that the diet is a representation of sovereigns and that the laws are addressed to sovereigns, renders the empire a nerveless body, incapable of regulating its own members, insecure against external dangers, and agitated with unceasing fermentations in its own bowels.

From such a display of constitutional powers in the representatives and leader of this confederation, one might assume it would stand out from the general nature of similar systems. Nothing could be further from the truth. The basic principle on which it is founded—that the empire is a community of sovereigns, that the diet represents sovereigns, and that the laws are aimed at sovereigns—makes the empire a weak entity, unable to manage its own members, vulnerable to external threats, and constantly in turmoil within itself.

The history of Germany is a history of wars between the emperor and the princes and states; of wars among the princes and states themselves; of the licentiousness of the strong, and the oppression of the weak; of foreign intrusions, and foreign intrigues; of requisitions of men and money disregarded, or partially complied with; of attempts to enforce them, altogether abortive, or attended with slaughter and desolation, involving the innocent with the guilty; of general imbecility, confusion, and misery.

The history of Germany is marked by conflicts between the emperor and the princes and states; by fighting among the princes and states themselves; by the reckless actions of the powerful, and the suffering of the weak; by foreign interventions and conspiracies; by demands for men and money that were ignored or only partially met; by failed attempts to enforce these demands, often resulting in violence and devastation that affected both the innocent and the guilty; and by widespread incompetence, chaos, and suffering.

In the sixteenth century, the emperor, with one part of the empire on his side, was seen engaged against the other princes and states. In one of the conflicts, the emperor himself was put to flight, and very near being made prisoner by the elector of Saxony. The late king of Prussia was more than once pitted against his imperial sovereign; and commonly proved an overmatch for him. Controversies and wars among the members themselves have been so common, that the German annals are crowded with the bloody pages which describe them. Previous to the peace of Westphalia, Germany was desolated by a war of thirty years, in which the emperor, with one half of the empire, was on one side, and Sweden, with the other half, on the opposite side. Peace was at length negotiated, and dictated by foreign powers; and the articles of it, to which foreign powers are parties, made a fundamental part of the Germanic constitution.

In the sixteenth century, the emperor, backed by part of the empire, was engaged in conflict against other princes and states. During one of these clashes, the emperor himself was forced to retreat and came very close to being captured by the elector of Saxony. The late king of Prussia frequently faced off against his imperial ruler and usually proved to be stronger. Disputes and wars among the members were so frequent that German history is filled with bloody accounts describing them. Before the peace of Westphalia, Germany was ravaged by a thirty-year war, where the emperor, supported by half of the empire, was on one side, while Sweden, with the other half, was on the opposite side. Eventually, peace was negotiated, imposed by foreign powers, and the terms of this agreement, involving foreign powers, became a fundamental part of the Germanic constitution.

If the nation happens, on any emergency, to be more united by the necessity of self-defense, its situation is still deplorable. Military preparations must be preceded by so many tedious discussions, arising from the jealousies, pride, separate views, and clashing pretensions of sovereign bodies, that before the diet can settle the arrangements, the enemy are in the field; and before the federal troops are ready to take it, are retiring into winter quarters.

If the country finds itself united by the need for self-defense during an emergency, its situation is still unfortunate. Military preparations have to go through so many lengthy discussions due to the jealousies, pride, differing opinions, and conflicting agendas of individual governments that by the time the assembly can finalize the plans, the enemy is already on the move; and before the federal troops can be deployed, they are retreating into their winter quarters.

The small body of national troops, which has been judged necessary in time of peace, is defectively kept up, badly paid, infected with local prejudices, and supported by irregular and disproportionate contributions to the treasury.

The small group of national troops, seen as necessary during peacetime, is poorly maintained, underpaid, influenced by local biases, and funded by irregular and unequal contributions to the treasury.

The impossibility of maintaining order and dispensing justice among these sovereign subjects, produced the experiment of dividing the empire into nine or ten circles or districts; of giving them an interior organization, and of charging them with the military execution of the laws against delinquent and contumacious members. This experiment has only served to demonstrate more fully the radical vice of the constitution. Each circle is the miniature picture of the deformities of this political monster. They either fail to execute their commissions, or they do it with all the devastation and carnage of civil war. Sometimes whole circles are defaulters; and then they increase the mischief which they were instituted to remedy.

The difficulty of keeping order and delivering justice among these independent subjects led to the attempt to divide the empire into nine or ten regions or districts; to give them their own organization, and to assign them the responsibility of enforcing the laws against delinquent and defiant members. This attempt has only shown more clearly the fundamental flaws in the constitution. Each district is a small version of the issues of this political system. They either fail to carry out their duties, or they do so with all the destruction and chaos of civil war. Sometimes entire districts fall short; in those cases, they only worsen the problems they were meant to solve.

We may form some judgment of this scheme of military coercion from a sample given by Thuanus. In Donawerth, a free and imperial city of the circle of Suabia, the Abbe de St. Croix enjoyed certain immunities which had been reserved to him. In the exercise of these, on some public occasions, outrages were committed on him by the people of the city. The consequence was that the city was put under the ban of the empire, and the Duke of Bavaria, though director of another circle, obtained an appointment to enforce it. He soon appeared before the city with a corps of ten thousand troops, and finding it a fit occasion, as he had secretly intended from the beginning, to revive an antiquated claim, on the pretext that his ancestors had suffered the place to be dismembered from his territory,(1) he took possession of it in his own name, disarmed, and punished the inhabitants, and reannexed the city to his domains.

We can judge this military coercion plan from an example given by Thuanus. In Donawerth, a free and imperial city in the Suabia region, the Abbe de St. Croix had certain privileges that were meant for him. During some public events, the people of the city committed acts of aggression against him. As a result, the city was placed under imperial ban, and the Duke of Bavaria, although in charge of another region, was given the authority to enforce it. He quickly showed up at the city with ten thousand troops, and seizing the moment—just as he had secretly planned from the start—he revived an old claim under the pretext that his ancestors had allowed the city to be taken from his territory,(1) took control of it in his own name, disarmed and punished the residents, and reattached the city to his lands.

It may be asked, perhaps, what has so long kept this disjointed machine from falling entirely to pieces? The answer is obvious: The weakness of most of the members, who are unwilling to expose themselves to the mercy of foreign powers; the weakness of most of the principal members, compared with the formidable powers all around them; the vast weight and influence which the emperor derives from his separate and hereditary dominions; and the interest he feels in preserving a system with which his family pride is connected, and which constitutes him the first prince in Europe;—these causes support a feeble and precarious Union; whilst the repellant quality, incident to the nature of sovereignty, and which time continually strengthens, prevents any reform whatever, founded on a proper consolidation. Nor is it to be imagined, if this obstacle could be surmounted, that the neighboring powers would suffer a revolution to take place which would give to the empire the force and preeminence to which it is entitled. Foreign nations have long considered themselves as interested in the changes made by events in this constitution; and have, on various occasions, betrayed their policy of perpetuating its anarchy and weakness.

One might wonder what has kept this disjointed system from completely falling apart for so long. The answer is clear: the fragility of most of its members, who are reluctant to risk the mercy of foreign powers; the weakness of many key players in comparison to the strong nations surrounding them; the significant influence the emperor gains from his own separate and hereditary territories; and his vested interest in maintaining a system tied to his family legacy, which positions him as the foremost prince in Europe. These factors uphold a weak and unstable Union, while the inherent resistance of sovereignty—an issue that time only amplifies—blocks any real reform based on proper consolidation. Moreover, even if this hurdle could be overcome, it's hard to believe that neighboring powers would allow a revolution that could grant the empire the strength and significance it rightly deserves. Foreign nations have long viewed themselves as having a stake in the shifts occurring within this constitution and have, on several occasions, revealed their strategy of sustaining its chaos and fragility.

If more direct examples were wanting, Poland, as a government over local sovereigns, might not improperly be taken notice of. Nor could any proof more striking be given of the calamities flowing from such institutions. Equally unfit for self-government and self-defense, it has long been at the mercy of its powerful neighbors; who have lately had the mercy to disburden it of one third of its people and territories.

If more direct examples were needed, Poland, as a government over local rulers, could certainly be highlighted. There could not be a more striking example of the disasters resulting from such systems. Unfit for self-governance and self-defense, it has long been at the mercy of its strong neighbors, who have recently shown the mercy to relieve it of one-third of its population and land.

The connection among the Swiss cantons scarcely amounts to a confederacy; though it is sometimes cited as an instance of the stability of such institutions.

The relationship between the Swiss cantons hardly qualifies as a confederacy; although it is occasionally mentioned as an example of the stability of such institutions.

They have no common treasury; no common troops even in war; no common coin; no common judicatory; nor any other common mark of sovereignty.

They have no shared treasury; no joint military even in times of war; no common currency; no unified judicial system; nor any other shared symbol of authority.

They are kept together by the peculiarity of their topographical position; by their individual weakness and insignificancy; by the fear of powerful neighbors, to one of which they were formerly subject; by the few sources of contention among a people of such simple and homogeneous manners; by their joint interest in their dependent possessions; by the mutual aid they stand in need of, for suppressing insurrections and rebellions, an aid expressly stipulated and often required and afforded; and by the necessity of some regular and permanent provision for accommodating disputes among the cantons. The provision is, that the parties at variance shall each choose four judges out of the neutral cantons, who, in case of disagreement, choose an umpire. This tribunal, under an oath of impartiality, pronounces definitive sentence, which all the cantons are bound to enforce. The competency of this regulation may be estimated by a clause in their treaty of 1683, with Victor Amadeus of Savoy; in which he obliges himself to interpose as mediator in disputes between the cantons, and to employ force, if necessary, against the contumacious party.

They stay united because of their unique geographical position; because of their individual weakness and lack of significance; because of the fear of strong neighbors, one of which they used to be subject to; because there are few reasons to conflict among a people with such simple and similar ways; because of their shared interests in their dependent territories; because they need to help each other in putting down uprisings and rebellions, which is explicitly agreed upon and often needed and provided; and because they require a consistent and formal way to settle disputes among the cantons. This arrangement means that the parties in conflict will each select four judges from the neutral cantons, who will then choose a mediator if there's a disagreement. This court, sworn to fairness, delivers a final ruling that all the cantons are obligated to follow. The effectiveness of this rule can be gauged by a clause in their treaty of 1683 with Victor Amadeus of Savoy, where he commits to stepping in as a mediator in disputes between the cantons and to use force, if necessary, against the non-compliant party.

So far as the peculiarity of their case will admit of comparison with that of the United States, it serves to confirm the principle intended to be established. Whatever efficacy the union may have had in ordinary cases, it appears that the moment a cause of difference sprang up, capable of trying its strength, it failed. The controversies on the subject of religion, which in three instances have kindled violent and bloody contests, may be said, in fact, to have severed the league. The Protestant and Catholic cantons have since had their separate diets, where all the most important concerns are adjusted, and which have left the general diet little other business than to take care of the common bailages.

As far as how their situation compares to that of the United States, it supports the principle being established. While the union may have been effective in regular situations, it seems that as soon as a real issue arose that tested its strength, it fell apart. The disputes over religion, which have sparked violent and bloody conflicts on three occasions, can be seen as having actually broken the alliance. The Protestant and Catholic regions have since held their own separate assemblies, where all the most important matters are dealt with, leaving the general assembly with little more to do than manage shared responsibilities.

That separation had another consequence, which merits attention. It produced opposite alliances with foreign powers: of Berne, at the head of the Protestant association, with the United Provinces; and of Luzerne, at the head of the Catholic association, with France.

That separation had another consequence worth noting. It created opposing alliances with foreign powers: Berne, leading the Protestant coalition, allied with the United Provinces; and Luzerne, leading the Catholic coalition, allied with France.

PUBLIUS

PUBLIUS

1. Pfeffel, "Nouvel Abrég. Chronol. de l'Hist., etc., d'Allemagne," says the pretext was to indemnify himself for the expense of the expedition.

1. Pfeffel, "Nouvel Abrég. Chronol. de l'Hist., etc., d'Allemagne," says the excuse was to compensate himself for the costs of the expedition.





FEDERALIST No. 20. The Same Subject Continued (The Insufficiency of the Present Confederation to Preserve the Union)

From the New York Packet. Tuesday, December 11, 1787.

MADISON, with HAMILTON

MADISON, with HAMILTON

To the People of the State of New York:

To the people of New York State:

THE United Netherlands are a confederacy of republics, or rather of aristocracies of a very remarkable texture, yet confirming all the lessons derived from those which we have already reviewed.

THE United Netherlands are a confederation of republics, or more accurately, of aristocracies of a very unique nature, yet they reinforce all the lessons learned from those we have already discussed.

The union is composed of seven coequal and sovereign states, and each state or province is a composition of equal and independent cities. In all important cases, not only the provinces but the cities must be unanimous.

The union is made up of seven equal and independent states, and each state or province consists of equal and independent cities. In all significant matters, not just the provinces but also the cities must agree unanimously.

The sovereignty of the Union is represented by the States-General, consisting usually of about fifty deputies appointed by the provinces. They hold their seats, some for life, some for six, three, and one years; from two provinces they continue in appointment during pleasure.

The authority of the Union is represented by the States-General, which usually consists of around fifty deputies appointed by the provinces. They hold their positions for varying terms: some for life, some for six, three, or one year; from two provinces, they remain in their roles at the pleasure of the appointing body.

The States-General have authority to enter into treaties and alliances; to make war and peace; to raise armies and equip fleets; to ascertain quotas and demand contributions. In all these cases, however, unanimity and the sanction of their constituents are requisite. They have authority to appoint and receive ambassadors; to execute treaties and alliances already formed; to provide for the collection of duties on imports and exports; to regulate the mint, with a saving to the provincial rights; to govern as sovereigns the dependent territories. The provinces are restrained, unless with the general consent, from entering into foreign treaties; from establishing imposts injurious to others, or charging their neighbors with higher duties than their own subjects. A council of state, a chamber of accounts, with five colleges of admiralty, aid and fortify the federal administration.

The States-General have the power to enter into treaties and alliances, make war and peace, raise armies, and equip fleets. They can determine quotas and request contributions. However, in all these matters, they need unanimous agreement and approval from their constituents. They have the authority to appoint and receive ambassadors, execute treaties and alliances that have already been established, collect duties on imports and exports, and regulate the mint while respecting provincial rights. They also govern the dependent territories as sovereigns. The provinces are restricted from entering into foreign treaties or establishing taxes that could harm others without general consent, and they can’t charge their neighbors higher duties than what their own subjects pay. A council of state, a chamber of accounts, and five admiralty colleges support and strengthen the federal administration.

The executive magistrate of the union is the stadtholder, who is now an hereditary prince. His principal weight and influence in the republic are derived from this independent title; from his great patrimonial estates; from his family connections with some of the chief potentates of Europe; and, more than all, perhaps, from his being stadtholder in the several provinces, as well as for the union; in which provincial quality he has the appointment of town magistrates under certain regulations, executes provincial decrees, presides when he pleases in the provincial tribunals, and has throughout the power of pardon.

The executive leader of the union is the stadtholder, who is now a hereditary prince. His main influence and authority in the republic come from this independent title, his extensive inherited estates, his family ties with some of the leading rulers in Europe, and perhaps most importantly, his role as stadtholder in various provinces, in addition to the union. In this provincial role, he appoints town magistrates under certain rules, enforces provincial laws, presides over provincial courts as he sees fit, and has the overall power to grant pardons.

As stadtholder of the union, he has, however, considerable prerogatives.

As the leader of the union, he has significant powers.

In his political capacity he has authority to settle disputes between the provinces, when other methods fail; to assist at the deliberations of the States-General, and at their particular conferences; to give audiences to foreign ambassadors, and to keep agents for his particular affairs at foreign courts.

In his political role, he has the power to resolve conflicts between provinces when other methods don't work; to participate in the discussions of the States-General and their special meetings; to meet with foreign ambassadors, and to maintain representatives for his specific interests at foreign courts.

In his military capacity he commands the federal troops, provides for garrisons, and in general regulates military affairs; disposes of all appointments, from colonels to ensigns, and of the governments and posts of fortified towns.

In his role as a military leader, he commands the federal troops, oversees the garrisons, and generally manages military operations; he makes all appointments, from colonels to ensigns, and handles the governance and administration of fortified towns.

In his marine capacity he is admiral-general, and superintends and directs every thing relative to naval forces and other naval affairs; presides in the admiralties in person or by proxy; appoints lieutenant-admirals and other officers; and establishes councils of war, whose sentences are not executed till he approves them.

In his role at sea, he is the admiral-general and oversees everything related to naval forces and other maritime matters; he personally presides over the admiralties or does so by proxy; he appoints lieutenant-admirals and other officers; and he sets up councils of war, whose decisions aren't carried out until he gives his approval.

His revenue, exclusive of his private income, amounts to three hundred thousand florins. The standing army which he commands consists of about forty thousand men.

His income, not including his personal earnings, totals three hundred thousand florins. The regular army he oversees has around forty thousand soldiers.

Such is the nature of the celebrated Belgic confederacy, as delineated on parchment. What are the characters which practice has stamped upon it? Imbecility in the government; discord among the provinces; foreign influence and indignities; a precarious existence in peace, and peculiar calamities from war.

Such is the nature of the famous Belgic confederacy, as described on paper. What traits has experience impressed upon it? Weakness in the government; conflict among the provinces; foreign influence and disrespect; an unstable peace, and unique misfortunes from war.

It was long ago remarked by Grotius, that nothing but the hatred of his countrymen to the house of Austria kept them from being ruined by the vices of their constitution.

It was noted long ago by Grotius that only the hatred of his fellow countrymen towards the house of Austria prevented them from being destroyed by the flaws in their system.

The union of Utrecht, says another respectable writer, reposes an authority in the States-General, seemingly sufficient to secure harmony, but the jealousy in each province renders the practice very different from the theory.

The Union of Utrecht, as noted by another respected writer, gives the States-General authority that seems enough to maintain harmony. However, the jealousy within each province makes the reality very different from the theory.

The same instrument, says another, obliges each province to levy certain contributions; but this article never could, and probably never will, be executed; because the inland provinces, who have little commerce, cannot pay an equal quota.

The same instrument, another argues, requires each province to impose certain contributions; however, this article has never been able to, and likely never will, be enforced because the inland provinces, which have minimal commerce, can't contribute equally.

In matters of contribution, it is the practice to waive the articles of the constitution. The danger of delay obliges the consenting provinces to furnish their quotas, without waiting for the others; and then to obtain reimbursement from the others, by deputations, which are frequent, or otherwise, as they can. The great wealth and influence of the province of Holland enable her to effect both these purposes.

In terms of contributions, it's standard to set aside the constitutional rules. The risk of delays forces the agreeing provinces to provide their shares without waiting for the others; they then seek reimbursement from the other provinces through regular or occasional committees, whichever works. The significant wealth and power of the province of Holland allow it to accomplish both tasks effectively.

It has more than once happened, that the deficiencies had to be ultimately collected at the point of the bayonet; a thing practicable, though dreadful, in a confederacy where one of the members exceeds in force all the rest, and where several of them are too small to meditate resistance; but utterly impracticable in one composed of members, several of which are equal to each other in strength and resources, and equal singly to a vigorous and persevering defense.

It has happened more than once that the shortcomings had to be ultimately dealt with at the point of a bayonet; a thing that can be done, though terrifying, in a coalition where one member is significantly stronger than the rest, and where several of them are too small to even think about resisting; but it is completely unworkable in a group made up of members, many of whom are equal in strength and resources, and capable on their own of a strong and persistent defense.

Foreign ministers, says Sir William Temple, who was himself a foreign minister, elude matters taken ad referendum, by tampering with the provinces and cities. In 1726, the treaty of Hanover was delayed by these means a whole year. Instances of a like nature are numerous and notorious.

Foreign ministers, according to Sir William Temple, who was also a foreign minister, avoid issues that are meant to be decided later by interfering with the provinces and cities. In 1726, the treaty of Hanover was postponed for an entire year because of this. There are many well-known and similar examples.

In critical emergencies, the States-General are often compelled to overleap their constitutional bounds. In 1688, they concluded a treaty of themselves at the risk of their heads. The treaty of Westphalia, in 1648, by which their independence was formerly and finally recognized, was concluded without the consent of Zealand. Even as recently as the last treaty of peace with Great Britain, the constitutional principle of unanimity was departed from. A weak constitution must necessarily terminate in dissolution, for want of proper powers, or the usurpation of powers requisite for the public safety. Whether the usurpation, when once begun, will stop at the salutary point, or go forward to the dangerous extreme, must depend on the contingencies of the moment. Tyranny has perhaps oftener grown out of the assumptions of power, called for, on pressing exigencies, by a defective constitution, than out of the full exercise of the largest constitutional authorities.

In critical emergencies, the States-General often have to go beyond their constitutional limits. In 1688, they made a treaty themselves, risking their lives in the process. The treaty of Westphalia in 1648, which finally recognized their independence, was completed without Zealand's approval. Even in the most recent peace treaty with Great Britain, the constitutional rule of unanimous consent was ignored. A weak constitution will inevitably lead to its collapse due to a lack of necessary powers or the usurpation of powers needed for public safety. Whether this usurpation, once it starts, will stop at a reasonable point or escalate to a dangerous extreme depends on the circumstances at the time. Tyranny has likely emerged more often from power grabs that were deemed necessary due to a flawed constitution than from the legitimate exercise of full constitutional powers.

Notwithstanding the calamities produced by the stadtholdership, it has been supposed that without his influence in the individual provinces, the causes of anarchy manifest in the confederacy would long ago have dissolved it. "Under such a government," says the Abbe Mably, "the Union could never have subsisted, if the provinces had not a spring within themselves, capable of quickening their tardiness, and compelling them to the same way of thinking. This spring is the stadtholder." It is remarked by Sir William Temple, "that in the intermissions of the stadtholdership, Holland, by her riches and her authority, which drew the others into a sort of dependence, supplied the place."

Despite the troubles caused by the stadtholdership, it has been believed that without his influence in the individual provinces, the anarchy visible in the confederacy would have already led to its breakdown. "Under such a government," says Abbe Mably, "the Union could never have lasted if the provinces didn't have an internal motivation to overcome their sluggishness and think alike. This motivation is the stadtholder." Sir William Temple notes, "that during the times when there was no stadtholder, Holland, with her wealth and power that made others somewhat dependent, filled that role."

These are not the only circumstances which have controlled the tendency to anarchy and dissolution. The surrounding powers impose an absolute necessity of union to a certain degree, at the same time that they nourish by their intrigues the constitutional vices which keep the republic in some degree always at their mercy.

These aren't the only factors that have influenced the trend toward chaos and disintegration. The neighboring powers create a strong need for some level of unity, while simultaneously fueling the political flaws that keep the republic somewhat dependent on them.

The true patriots have long bewailed the fatal tendency of these vices, and have made no less than four regular experiments by EXTRAORDINARY ASSEMBLIES, convened for the special purpose, to apply a remedy. As many times has their laudable zeal found it impossible to UNITE THE PUBLIC COUNCILS in reforming the known, the acknowledged, the fatal evils of the existing constitution. Let us pause, my fellow-citizens, for one moment, over this melancholy and monitory lesson of history; and with the tear that drops for the calamities brought on mankind by their adverse opinions and selfish passions, let our gratitude mingle an ejaculation to Heaven, for the propitious concord which has distinguished the consultations for our political happiness.

True patriots have long lamented the serious issues caused by these vices and have held no less than four official gatherings specifically aimed at finding a solution. Each time, their commendable efforts have struggled to bring together the public councils in order to address the known, recognized, and serious problems with the current constitution. Let us take a moment, fellow citizens, to reflect on this sad and cautionary lesson from history; and with a tear for the suffering caused by conflicting opinions and selfish desires, let us express our gratitude with a prayer to Heaven for the favorable unity that has marked our discussions about political well-being.

A design was also conceived of establishing a general tax to be administered by the federal authority. This also had its adversaries and failed.

A plan was also created to set up a general tax to be managed by the federal government. This also faced opposition and didn't succeed.

This unhappy people seem to be now suffering from popular convulsions, from dissensions among the states, and from the actual invasion of foreign arms, the crisis of their destiny. All nations have their eyes fixed on the awful spectacle. The first wish prompted by humanity is, that this severe trial may issue in such a revolution of their government as will establish their union, and render it the parent of tranquillity, freedom and happiness: The next, that the asylum under which, we trust, the enjoyment of these blessings will speedily be secured in this country, may receive and console them for the catastrophe of their own.

This unhappy people seem to be suffering from public upheaval, conflicts among the states, and the actual invasion of foreign forces, marking a critical point in their future. All nations have their eyes on this awful situation. The first wish driven by humanity is that this difficult time leads to a change in their government that will establish their unity and make it a source of peace, freedom, and happiness. The next wish is that the refuge we hope will soon ensure the enjoyment of these blessings in this country will receive and comfort them for the disaster they are facing.

I make no apology for having dwelt so long on the contemplation of these federal precedents. Experience is the oracle of truth; and where its responses are unequivocal, they ought to be conclusive and sacred. The important truth, which it unequivocally pronounces in the present case, is that a sovereignty over sovereigns, a government over governments, a legislation for communities, as contradistinguished from individuals, as it is a solecism in theory, so in practice it is subversive of the order and ends of civil polity, by substituting VIOLENCE in place of LAW, or the destructive COERCION of the SWORD in place of the mild and salutary COERCION of the MAGISTRACY.

I don't apologize for spending so much time discussing these federal precedents. Experience is the ultimate source of truth; when its answers are clear, they should be accepted as final and respected. The key truth that it clearly expresses in this case is that having authority over authorities, a government over governments, and laws for communities, rather than individuals, is not only a flawed idea in theory but also undermines the structure and purpose of civil society. It replaces LAW with VIOLENCE and the harsh FORCE of the SWORD instead of the gentle and beneficial FORCE of the MAGISTRACY.

PUBLIUS

PUBLIUS





FEDERALIST No. 21. Other Defects of the Present Confederation

For the Independent Journal. Wednesday, December 12, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

HAVING in the three last numbers taken a summary review of the principal circumstances and events which have depicted the genius and fate of other confederate governments, I shall now proceed in the enumeration of the most important of those defects which have hitherto disappointed our hopes from the system established among ourselves. To form a safe and satisfactory judgment of the proper remedy, it is absolutely necessary that we should be well acquainted with the extent and malignity of the disease.

HAVING in the last three issues provided a brief overview of the key circumstances and events that illustrate the strengths and weaknesses of other confederate governments, I will now outline the most significant flaws that have so far let us down in our own system. To determine a safe and effective solution, it's crucial that we fully understand the severity and nature of the problem.

The next most palpable defect of the subsisting Confederation, is the total want of a SANCTION to its laws. The United States, as now composed, have no powers to exact obedience, or punish disobedience to their resolutions, either by pecuniary mulcts, by a suspension or divestiture of privileges, or by any other constitutional mode. There is no express delegation of authority to them to use force against delinquent members; and if such a right should be ascribed to the federal head, as resulting from the nature of the social compact between the States, it must be by inference and construction, in the face of that part of the second article, by which it is declared, "that each State shall retain every power, jurisdiction, and right, not EXPRESSLY delegated to the United States in Congress assembled." There is, doubtless, a striking absurdity in supposing that a right of this kind does not exist, but we are reduced to the dilemma either of embracing that supposition, preposterous as it may seem, or of contravening or explaining away a provision, which has been of late a repeated theme of the eulogies of those who oppose the new Constitution; and the want of which, in that plan, has been the subject of much plausible animadversion, and severe criticism. If we are unwilling to impair the force of this applauded provision, we shall be obliged to conclude, that the United States afford the extraordinary spectacle of a government destitute even of the shadow of constitutional power to enforce the execution of its own laws. It will appear, from the specimens which have been cited, that the American Confederacy, in this particular, stands discriminated from every other institution of a similar kind, and exhibits a new and unexampled phenomenon in the political world.

The next clear flaw in the current Confederation is the complete lack of a SANCTION for its laws. The United States, as they are now formed, have no power to enforce obedience or punish disobedience to their resolutions, whether through fines, suspension or removal of privileges, or any other constitutional method. There’s no explicit grant of authority to use force against members who don’t comply; and if such a right is to be assumed for the federal government, it must come from interpreting the nature of the social contract between the States, even though the second article clearly states, “that each State shall retain every power, jurisdiction, and right, not EXPRESSLY delegated to the United States in Congress assembled.” It’s certainly absurd to think that such a right doesn’t exist, but we are faced with the choice of accepting that absurdity or contradicting a provision that has recently been praised by those who oppose the new Constitution; the lack of this power in that plan has been a subject of much reasonable criticism. If we don’t want to undermine this highly regarded provision, we must conclude that the United States presents a unique situation where a government has no constitutional authority to enforce its own laws. As shown in the examples mentioned, the American Confederacy differs in this respect from every other similar institution and creates a new and unprecedented situation in the political world.

The want of a mutual guaranty of the State governments is another capital imperfection in the federal plan. There is nothing of this kind declared in the articles that compose it; and to imply a tacit guaranty from considerations of utility, would be a still more flagrant departure from the clause which has been mentioned, than to imply a tacit power of coercion from the like considerations. The want of a guaranty, though it might in its consequences endanger the Union, does not so immediately attack its existence as the want of a constitutional sanction to its laws.

The lack of a mutual guarantee among the state governments is another major flaw in the federal plan. There’s nothing like this stated in the articles that make it up; suggesting a silent guarantee based on practical reasons would be an even bigger violation of the previously mentioned clause than suggesting a silent power of coercion for the same practical reasons. While the absence of a guarantee could ultimately threaten the Union, it doesn’t directly challenge its existence as much as the lack of a constitutional endorsement for its laws does.

Without a guaranty the assistance to be derived from the Union in repelling those domestic dangers which may sometimes threaten the existence of the State constitutions, must be renounced. Usurpation may rear its crest in each State, and trample upon the liberties of the people, while the national government could legally do nothing more than behold its encroachments with indignation and regret. A successful faction may erect a tyranny on the ruins of order and law, while no succor could constitutionally be afforded by the Union to the friends and supporters of the government. The tempestuous situation from which Massachusetts has scarcely emerged, evinces that dangers of this kind are not merely speculative. Who can determine what might have been the issue of her late convulsions, if the malcontents had been headed by a Caesar or by a Cromwell? Who can predict what effect a despotism, established in Massachusetts, would have upon the liberties of New Hampshire or Rhode Island, of Connecticut or New York?

Without a guarantee, the help that could come from the Union in fighting off the domestic threats that sometimes endanger state constitutions must be given up. Usurpation could rise in any state and trample on the people's freedoms while the national government would be legally limited to just watching its violations with anger and sorrow. A successful faction could build a tyranny on the ruins of order and law, while the Union could not properly provide assistance to those who support the government. The chaotic situation that Massachusetts has only recently emerged from shows that these dangers are not just theoretical. Who can say what the outcome of recent upheavals might have been if the dissenters had been led by a Caesar or a Cromwell? Who can predict what impact a tyranny in Massachusetts would have on the freedoms of New Hampshire or Rhode Island, Connecticut or New York?

The inordinate pride of State importance has suggested to some minds an objection to the principle of a guaranty in the federal government, as involving an officious interference in the domestic concerns of the members. A scruple of this kind would deprive us of one of the principal advantages to be expected from union, and can only flow from a misapprehension of the nature of the provision itself. It could be no impediment to reforms of the State constitution by a majority of the people in a legal and peaceable mode. This right would remain undiminished. The guaranty could only operate against changes to be effected by violence. Towards the preventions of calamities of this kind, too many checks cannot be provided. The peace of society and the stability of government depend absolutely on the efficacy of the precautions adopted on this head. Where the whole power of the government is in the hands of the people, there is the less pretense for the use of violent remedies in partial or occasional distempers of the State. The natural cure for an ill-administration, in a popular or representative constitution, is a change of men. A guaranty by the national authority would be as much levelled against the usurpations of rulers as against the ferments and outrages of faction and sedition in the community.

The excessive pride in state importance has led some to question the principle of a guarantee from the federal government, seeing it as unwanted interference in the domestic issues of the states. This concern would take away one of the main benefits of union and comes from a misunderstanding of what the provision actually means. It wouldn't prevent reforms to the state constitution by a majority of the people in a lawful and peaceful way. That right would remain intact. The guarantee would only prevent changes brought about by violence. We can't have too many safeguards against disasters of this kind. The peace of society and the stability of government rely entirely on the effectiveness of the measures taken in this regard. When the entire power of the government rests with the people, there's less justification for resorting to violent solutions for minor or temporary issues within the state. The natural remedy for poor administration in a popular or representative system is a change of leaders. A guarantee from the national authority would be aimed at preventing the abuses of rulers as well as the unrest and violence caused by factions and sedition in the community.

The principle of regulating the contributions of the States to the common treasury by QUOTAS is another fundamental error in the Confederation. Its repugnancy to an adequate supply of the national exigencies has been already pointed out, and has sufficiently appeared from the trial which has been made of it. I speak of it now solely with a view to equality among the States. Those who have been accustomed to contemplate the circumstances which produce and constitute national wealth, must be satisfied that there is no common standard or barometer by which the degrees of it can be ascertained. Neither the value of lands, nor the numbers of the people, which have been successively proposed as the rule of State contributions, has any pretension to being a just representative. If we compare the wealth of the United Netherlands with that of Russia or Germany, or even of France, and if we at the same time compare the total value of the lands and the aggregate population of that contracted district with the total value of the lands and the aggregate population of the immense regions of either of the three last-mentioned countries, we shall at once discover that there is no comparison between the proportion of either of these two objects and that of the relative wealth of those nations. If the like parallel were to be run between several of the American States, it would furnish a like result. Let Virginia be contrasted with North Carolina, Pennsylvania with Connecticut, or Maryland with New Jersey, and we shall be convinced that the respective abilities of those States, in relation to revenue, bear little or no analogy to their comparative stock in lands or to their comparative population. The position may be equally illustrated by a similar process between the counties of the same State. No man who is acquainted with the State of New York will doubt that the active wealth of King's County bears a much greater proportion to that of Montgomery than it would appear to be if we should take either the total value of the lands or the total number of the people as a criterion!

The principle of regulating state contributions to the common treasury by QUOTAS is another major flaw in the Confederation. It's already been pointed out how it fails to adequately meet national needs, and this has been clearly demonstrated through its implementation. I'm bringing it up now just to discuss equality among the states. Anyone who has considered what creates and determines national wealth should see that there's no common standard or measure to determine the levels of it. Neither land value nor population numbers, which have been suggested as rules for state contributions, can fairly represent this. If we compare the wealth of the United Netherlands with that of Russia, Germany, or even France, and simultaneously look at the total value of land and population within that smaller area compared to the vast lands and populations of those three countries, it quickly becomes obvious that there's no real comparison between these measures and the actual wealth of those nations. If we were to do a similar comparison among various American states, we'd see the same result. Take Virginia and compare it with North Carolina, or Pennsylvania with Connecticut, or Maryland with New Jersey, and we would find that the revenue-raising abilities of those states have little connection to their respective land value or population sizes. The same can be illustrated through comparisons among counties within the same state. No one familiar with New York State would doubt that the active wealth of King's County is much greater compared to Montgomery than it would seem based on either land value or population numbers!

The wealth of nations depends upon an infinite variety of causes. Situation, soil, climate, the nature of the productions, the nature of the government, the genius of the citizens, the degree of information they possess, the state of commerce, of arts, of industry, these circumstances and many more, too complex, minute, or adventitious to admit of a particular specification, occasion differences hardly conceivable in the relative opulence and riches of different countries. The consequence clearly is that there can be no common measure of national wealth, and, of course, no general or stationary rule by which the ability of a state to pay taxes can be determined. The attempt, therefore, to regulate the contributions of the members of a confederacy by any such rule, cannot fail to be productive of glaring inequality and extreme oppression.

The wealth of nations depends on a countless number of factors. Location, soil, climate, the types of goods produced, the style of government, the intelligence of the citizens, their level of information, and the state of trade, the arts, and industry—these factors, along with many others that are too complex, detailed, or random to specify, create differences that are often unimaginable in the relative wealth and richness of various countries. The clear implication is that there can be no universal measure of national wealth and, therefore, no general or fixed rule to determine a state's ability to pay taxes. Trying to regulate the contributions of members within a confederation by such a rule will inevitably lead to obvious inequality and severe oppression.

This inequality would of itself be sufficient in America to work the eventual destruction of the Union, if any mode of enforcing a compliance with its requisitions could be devised. The suffering States would not long consent to remain associated upon a principle which distributes the public burdens with so unequal a hand, and which was calculated to impoverish and oppress the citizens of some States, while those of others would scarcely be conscious of the small proportion of the weight they were required to sustain. This, however, is an evil inseparable from the principle of quotas and requisitions.

This inequality alone would be enough in America to eventually destroy the Union if a way to enforce compliance with its demands could be found. The suffering States would not agree to stay united under a principle that distributes public burdens so unfairly, which is designed to impoverish and oppress the citizens of some States while the citizens of others hardly notice the small portion of the burden they have to carry. However, this is a problem that's unavoidable with the principle of quotas and requisitions.

There is no method of steering clear of this inconvenience, but by authorizing the national government to raise its own revenues in its own way. Imposts, excises, and, in general, all duties upon articles of consumption, may be compared to a fluid, which will, in time, find its level with the means of paying them. The amount to be contributed by each citizen will in a degree be at his own option, and can be regulated by an attention to his resources. The rich may be extravagant, the poor can be frugal; and private oppression may always be avoided by a judicious selection of objects proper for such impositions. If inequalities should arise in some States from duties on particular objects, these will, in all probability, be counterbalanced by proportional inequalities in other States, from the duties on other objects. In the course of time and things, an equilibrium, as far as it is attainable in so complicated a subject, will be established everywhere. Or, if inequalities should still exist, they would neither be so great in their degree, so uniform in their operation, nor so odious in their appearance, as those which would necessarily spring from quotas, upon any scale that can possibly be devised.

There's no way to avoid this issue except by allowing the national government to generate its own revenue in its own manner. Taxes, fees, and generally all duties on consumer goods can be compared to a liquid that will eventually level out according to how people can pay them. The amount that each citizen contributes will partially be up to them and can be adjusted based on their financial situation. Wealthy individuals may spend freely, while those with less can be careful with their spending; and unfair burdens can always be avoided by carefully choosing what items to tax. If some states face disparities due to taxes on certain items, it's likely that other states will experience similar but different inequalities from taxes on different items. Over time, a balance, as much as possible in such a complex issue, will be struck everywhere. Even if inequalities persist, they won't be as severe, as consistent, or as objectionable as those that would inevitably arise from any quotas based on any proposed scale.

It is a signal advantage of taxes on articles of consumption, that they contain in their own nature a security against excess. They prescribe their own limit; which cannot be exceeded without defeating the end proposed, that is, an extension of the revenue. When applied to this object, the saying is as just as it is witty, that, "in political arithmetic, two and two do not always make four." If duties are too high, they lessen the consumption; the collection is eluded; and the product to the treasury is not so great as when they are confined within proper and moderate bounds. This forms a complete barrier against any material oppression of the citizens by taxes of this class, and is itself a natural limitation of the power of imposing them.

A key advantage of taxes on consumer goods is that they inherently limit excess. They set their own boundaries, which can’t be surpassed without undermining the goal of increasing revenue. When applied to this goal, the saying "in political math, two and two don’t always equal four" is both accurate and clever. If the taxes are too high, consumption decreases; people find ways to avoid paying, and the revenue for the treasury ends up being less than if the taxes are kept within reasonable limits. This creates a solid barrier against any significant oppression of citizens through these types of taxes and naturally restricts the government's power to impose them.

Impositions of this kind usually fall under the denomination of indirect taxes, and must for a long time constitute the chief part of the revenue raised in this country. Those of the direct kind, which principally relate to land and buildings, may admit of a rule of apportionment. Either the value of land, or the number of the people, may serve as a standard. The state of agriculture and the populousness of a country have been considered as nearly connected with each other. And, as a rule, for the purpose intended, numbers, in the view of simplicity and certainty, are entitled to a preference. In every country it is a herculean task to obtain a valuation of the land; in a country imperfectly settled and progressive in improvement, the difficulties are increased almost to impracticability. The expense of an accurate valuation is, in all situations, a formidable objection. In a branch of taxation where no limits to the discretion of the government are to be found in the nature of things, the establishment of a fixed rule, not incompatible with the end, may be attended with fewer inconveniences than to leave that discretion altogether at large.

Impositions like these usually fall under the category of indirect taxes and have historically made up the main part of the revenue collected in this country. Direct taxes, which mainly involve land and buildings, can usually follow a system of distribution. Either the land’s value or the population count can be used as a standard. The state of agriculture and the country’s population are often seen as closely linked. Generally, for the purpose intended, using population numbers is preferred for simplicity and reliability. In any country, getting a valuation of the land is a huge challenge; in a country that is still developing and improving, these difficulties can become nearly impossible. The cost of an accurate valuation is always a significant concern. In a type of tax where there are no natural limits to the government’s discretion, creating a fixed rule that aligns with the intended purpose may cause fewer issues than leaving that discretion completely unrestricted.

PUBLIUS

PUBLIUS





FEDERALIST No. 22. The Same Subject Continued (Other Defects of the Present Confederation)

From the New York Packet. Friday, December 14, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IN ADDITION to the defects already enumerated in the existing federal system, there are others of not less importance, which concur in rendering it altogether unfit for the administration of the affairs of the Union.

IN ADDITION to the flaws already mentioned in the current federal system, there are other significant issues that contribute to its overall unsuitability for managing the affairs of the Union.

The want of a power to regulate commerce is by all parties allowed to be of the number. The utility of such a power has been anticipated under the first head of our inquiries; and for this reason, as well as from the universal conviction entertained upon the subject, little need be added in this place. It is indeed evident, on the most superficial view, that there is no object, either as it respects the interests of trade or finance, that more strongly demands a federal superintendence. The want of it has already operated as a bar to the formation of beneficial treaties with foreign powers, and has given occasions of dissatisfaction between the States. No nation acquainted with the nature of our political association would be unwise enough to enter into stipulations with the United States, by which they conceded privileges of any importance to them, while they were apprised that the engagements on the part of the Union might at any moment be violated by its members, and while they found from experience that they might enjoy every advantage they desired in our markets, without granting us any return but such as their momentary convenience might suggest. It is not, therefore, to be wondered at that Mr. Jenkinson, in ushering into the House of Commons a bill for regulating the temporary intercourse between the two countries, should preface its introduction by a declaration that similar provisions in former bills had been found to answer every purpose to the commerce of Great Britain, and that it would be prudent to persist in the plan until it should appear whether the American government was likely or not to acquire greater consistency.(1)

The need for a power to regulate commerce is acknowledged by everyone involved. The benefits of such power have been discussed earlier in our inquiries, and because of the widespread agreement on this issue, there’s not much more to say here. It’s clear, even at a glance, that there is no matter concerning trade or finance that more urgently requires federal oversight. The lack of this authority has already hindered the establishment of beneficial treaties with foreign nations and has caused conflicts between the States. No country that understands our political setup would be foolish enough to make agreements with the United States that grant us significant privileges while knowing that commitments from the Union could be easily broken by its members at any time, and having seen that they can benefit from our markets without offering us anything in return except what suits them in the moment. Therefore, it’s not surprising that Mr. Jenkinson, when introducing a bill in the House of Commons to regulate temporary trade between the two countries, would start his presentation by stating that similar provisions in past bills have worked well for British trade and that it would be wise to continue this approach until it becomes clear whether the American government is likely to become more stable.

Several States have endeavored, by separate prohibitions, restrictions, and exclusions, to influence the conduct of that kingdom in this particular, but the want of concert, arising from the want of a general authority and from clashing and dissimilar views in the State, has hitherto frustrated every experiment of the kind, and will continue to do so as long as the same obstacles to a uniformity of measures continue to exist.

Several states have tried, through various bans, restrictions, and exclusions, to affect the actions of that kingdom in this matter, but the lack of unity, due to the absence of a central authority and competing views within the states, has so far undermined every attempt of this kind. This will keep happening as long as the same barriers to consistent actions remain.

The interfering and unneighborly regulations of some States, contrary to the true spirit of the Union, have, in different instances, given just cause of umbrage and complaint to others, and it is to be feared that examples of this nature, if not restrained by a national control, would be multiplied and extended till they became not less serious sources of animosity and discord than injurious impediments to the intercourse between the different parts of the Confederacy. "The commerce of the German empire(2) is in continual trammels from the multiplicity of the duties which the several princes and states exact upon the merchandises passing through their territories, by means of which the fine streams and navigable rivers with which Germany is so happily watered are rendered almost useless." Though the genius of the people of this country might never permit this description to be strictly applicable to us, yet we may reasonably expect, from the gradual conflicts of State regulations, that the citizens of each would at length come to be considered and treated by the others in no better light than that of foreigners and aliens.

The interfering and unfriendly regulations of some states, which go against the true spirit of the Union, have, at various times, justifiably upset and annoyed others. It’s concerning that if this kind of behavior isn’t managed by national oversight, it could increase and spread until it becomes as serious a source of hostility and conflict as it is a harmful barrier to interaction among different parts of the Confederacy. "The commerce of the German empire(2) is constantly held back by the numerous duties that various princes and states impose on goods passing through their territories, making the beautiful rivers and navigable streams of Germany almost useless.” While the character of the people in this country might not allow this situation to fully apply to us, we can reasonably expect that due to the ongoing clashes of state regulations, citizens from each state could eventually be viewed and treated by others no better than foreigners and outsiders.

The power of raising armies, by the most obvious construction of the articles of the Confederation, is merely a power of making requisitions upon the States for quotas of men. This practice in the course of the late war, was found replete with obstructions to a vigorous and to an economical system of defense. It gave birth to a competition between the States which created a kind of auction for men. In order to furnish the quotas required of them, they outbid each other till bounties grew to an enormous and insupportable size. The hope of a still further increase afforded an inducement to those who were disposed to serve to procrastinate their enlistment, and disinclined them from engaging for any considerable periods. Hence, slow and scanty levies of men, in the most critical emergencies of our affairs; short enlistments at an unparalleled expense; continual fluctuations in the troops, ruinous to their discipline and subjecting the public safety frequently to the perilous crisis of a disbanded army. Hence, also, those oppressive expedients for raising men which were upon several occasions practiced, and which nothing but the enthusiasm of liberty would have induced the people to endure.

The power to raise armies, according to the articles of the Confederation, is basically just the ability to ask the States for their share of soldiers. This approach during the recent war proved to be full of obstacles to an effective and cost-efficient defense system. It led to competition among the States, creating a sort of bidding war for soldiers. To meet their required quotas, they outbid one another until the bounties became incredibly high and unsustainable. The expectation of even higher bounties tempted those willing to serve to delay their enlistment and discouraged them from signing up for longer periods. As a result, there were slow and inadequate recruitments during our most critical times; short enlistments at an extraordinary cost; constant changes in the troops, which harmed their discipline and frequently put public safety at risk due to having a disbanded army. This also led to those harsh measures for recruiting soldiers that were used at various times, which nothing but the passion for liberty would have motivated people to put up with.

This method of raising troops is not more unfriendly to economy and vigor than it is to an equal distribution of the burden. The States near the seat of war, influenced by motives of self-preservation, made efforts to furnish their quotas, which even exceeded their abilities; while those at a distance from danger were, for the most part, as remiss as the others were diligent, in their exertions. The immediate pressure of this inequality was not in this case, as in that of the contributions of money, alleviated by the hope of a final liquidation. The States which did not pay their proportions of money might at least be charged with their deficiencies; but no account could be formed of the deficiencies in the supplies of men. We shall not, however, see much reason to regret the want of this hope, when we consider how little prospect there is, that the most delinquent States will ever be able to make compensation for their pecuniary failures. The system of quotas and requisitions, whether it be applied to men or money, is, in every view, a system of imbecility in the Union, and of inequality and injustice among the members.

This way of raising troops is just as detrimental to efficiency and strength as it is to a fair distribution of the burden. The states close to the front lines, motivated by self-preservation, made great efforts to meet their quotas, often exceeding their capabilities. In contrast, those further from danger were mostly as negligent as the others were active in their efforts. The immediate impact of this imbalance was not eased in this case, as it would be with monetary contributions, by the hope of a final settlement. States that failed to pay their share of money might at least be held accountable for their shortfalls; however, there was no way to account for the shortages in manpower. Nevertheless, we won’t feel much regret about the absence of this hope when we consider how unlikely it is that the most negligent states will ever be able to make up for their financial shortcomings. The system of quotas and requisitions, whether it applies to people or money, is, in every respect, a system of weakness within the Union, and of inequality and injustice among its members.

The right of equal suffrage among the States is another exceptionable part of the Confederation. Every idea of proportion and every rule of fair representation conspire to condemn a principle, which gives to Rhode Island an equal weight in the scale of power with Massachusetts, or Connecticut, or New York; and to Delaware an equal voice in the national deliberations with Pennsylvania, or Virginia, or North Carolina. Its operation contradicts the fundamental maxim of republican government, which requires that the sense of the majority should prevail. Sophistry may reply, that sovereigns are equal, and that a majority of the votes of the States will be a majority of confederated America. But this kind of logical legerdemain will never counteract the plain suggestions of justice and common-sense. It may happen that this majority of States is a small minority of the people of America;(3) and two thirds of the people of America could not long be persuaded, upon the credit of artificial distinctions and syllogistic subtleties, to submit their interests to the management and disposal of one third. The larger States would after a while revolt from the idea of receiving the law from the smaller. To acquiesce in such a privation of their due importance in the political scale, would be not merely to be insensible to the love of power, but even to sacrifice the desire of equality. It is neither rational to expect the first, nor just to require the last. The smaller States, considering how peculiarly their safety and welfare depend on union, ought readily to renounce a pretension which, if not relinquished, would prove fatal to its duration.

The right to equal voting among the States is another problematic aspect of the Confederation. Every idea of proportion and every rule of fair representation condemns a principle that gives Rhode Island equal power compared to Massachusetts, Connecticut, or New York; and gives Delaware an equal voice in national discussions with Pennsylvania, Virginia, or North Carolina. Its functioning goes against the basic principle of republican government, which states that the majority's opinion should prevail. Some might argue that the states are equal and that a majority of state votes represents a majority of confederated America. But this kind of faulty reasoning will never override the clear principles of justice and common sense. It's possible that this majority of states is just a small minority of the American population; and two-thirds of the American people would not accept, based merely on artificial distinctions and complex arguments, that one-third should control their interests. Eventually, the larger states would reject the idea of taking orders from the smaller. To agree to such an unfair reduction of their importance in the political system would mean not only ignoring the desire for power but also sacrificing the wish for equality. It’s neither reasonable to expect the former nor fair to demand the latter. The smaller states, knowing how much their safety and well-being rely on unity, should willingly let go of a claim that, if not dropped, would threaten their existence.

It may be objected to this, that not seven but nine States, or two thirds of the whole number, must consent to the most important resolutions; and it may be thence inferred that nine States would always comprehend a majority of the Union. But this does not obviate the impropriety of an equal vote between States of the most unequal dimensions and populousness; nor is the inference accurate in point of fact; for we can enumerate nine States which contain less than a majority of the people;(4) and it is constitutionally possible that these nine may give the vote. Besides, there are matters of considerable moment determinable by a bare majority; and there are others, concerning which doubts have been entertained, which, if interpreted in favor of the sufficiency of a vote of seven States, would extend its operation to interests of the first magnitude. In addition to this, it is to be observed that there is a probability of an increase in the number of States, and no provision for a proportional augmentation of the ratio of votes.

Some might argue that not seven, but nine States—or two-thirds of the total number—must agree on the most significant decisions, suggesting that nine States would always represent a majority of the Union. However, this doesn't address the issue of equal voting among States that vary greatly in size and population; nor is the assumption factually correct, since we can list nine States that together have less than a majority of the population; and constitutionally, it's possible for these nine to cast their votes. Furthermore, there are important matters that can be decided by just a simple majority, and others where there have been questions that, if interpreted to support a vote from seven States, could impact issues of major importance. Additionally, it's worth noting that there is a likelihood of more States joining, with no provision for adjusting the voting ratios accordingly.

But this is not all: what at first sight may seem a remedy, is, in reality, a poison. To give a minority a negative upon the majority (which is always the case where more than a majority is requisite to a decision), is, in its tendency, to subject the sense of the greater number to that of the lesser. Congress, from the nonattendance of a few States, have been frequently in the situation of a Polish diet, where a single VOTE has been sufficient to put a stop to all their movements. A sixtieth part of the Union, which is about the proportion of Delaware and Rhode Island, has several times been able to oppose an entire bar to its operations. This is one of those refinements which, in practice, has an effect the reverse of what is expected from it in theory. The necessity of unanimity in public bodies, or of something approaching towards it, has been founded upon a supposition that it would contribute to security. But its real operation is to embarrass the administration, to destroy the energy of the government, and to substitute the pleasure, caprice, or artifices of an insignificant, turbulent, or corrupt junto, to the regular deliberations and decisions of a respectable majority. In those emergencies of a nation, in which the goodness or badness, the weakness or strength of its government, is of the greatest importance, there is commonly a necessity for action. The public business must, in some way or other, go forward. If a pertinacious minority can control the opinion of a majority, respecting the best mode of conducting it, the majority, in order that something may be done, must conform to the views of the minority; and thus the sense of the smaller number will overrule that of the greater, and give a tone to the national proceedings. Hence, tedious delays; continual negotiation and intrigue; contemptible compromises of the public good. And yet, in such a system, it is even happy when such compromises can take place: for upon some occasions things will not admit of accommodation; and then the measures of government must be injuriously suspended, or fatally defeated. It is often, by the impracticability of obtaining the concurrence of the necessary number of votes, kept in a state of inaction. Its situation must always savor of weakness, sometimes border upon anarchy.

But that’s not all: what might seem like a solution at first glance is actually a trap. Giving a minority the power to veto the majority (which happens whenever more than a simple majority is needed to make a decision) means the opinion of the larger group gets overshadowed by the smaller one. Congress has often been in a position similar to a Polish diet, where a single vote could halt all progress. A tiny fraction of the Union, like Delaware and Rhode Island, has been able to completely block its actions multiple times. This is one of those complexities that, in practice, produces the opposite effect of what was intended in theory. The idea that unanimity or something close to it in public bodies would ensure security is flawed. In reality, it complicates government operations, weakens authority, and allows the whims and tricks of a small, troublesome, or corrupt faction to replace the proper discussions and decisions of a legitimate majority. During critical moments for a nation, when the quality or strength of its government matters most, there’s usually a pressing need for action. The government must push forward in some way. If a stubborn minority can shape the majority’s view on how to proceed, then the majority, just to get something done, has to align with the minority’s perspective; this way, the smaller group’s opinion overrides that of the larger one and dictates national actions. This leads to long delays, endless negotiations, and the degrading of the public good through unsatisfactory compromises. Yet, in such a system, it’s actually fortunate when compromises can occur; on some occasions, matters won’t allow for any compromise, and then government actions are either harmful suspended or completely defeated. Often, it finds itself stuck due to the difficulty of getting the necessary votes, leaving it inactive. This situation always reeks of weakness, sometimes even teetering on the edge of chaos.

It is not difficult to discover, that a principle of this kind gives greater scope to foreign corruption, as well as to domestic faction, than that which permits the sense of the majority to decide; though the contrary of this has been presumed. The mistake has proceeded from not attending with due care to the mischiefs that may be occasioned by obstructing the progress of government at certain critical seasons. When the concurrence of a large number is required by the Constitution to the doing of any national act, we are apt to rest satisfied that all is safe, because nothing improper will be likely TO BE DONE, but we forget how much good may be prevented, and how much ill may be produced, by the power of hindering the doing what may be necessary, and of keeping affairs in the same unfavorable posture in which they may happen to stand at particular periods.

It's not hard to see that a principle like this allows for more foreign corruption and domestic division than one that lets the majority decide; even though people have assumed the opposite. This misunderstanding comes from not paying enough attention to the problems that can arise from delaying government action during critical times. When the Constitution requires a large consensus for any national action, we tend to feel confident that everything is secure because nothing inappropriate is likely to happen. However, we often overlook how much good could be blocked and how much harm could arise from the power to prevent necessary actions, keeping things in the same unfavorable state they may be in at certain times.

Suppose, for instance, we were engaged in a war, in conjunction with one foreign nation, against another. Suppose the necessity of our situation demanded peace, and the interest or ambition of our ally led him to seek the prosecution of the war, with views that might justify us in making separate terms. In such a state of things, this ally of ours would evidently find it much easier, by his bribes and intrigues, to tie up the hands of government from making peace, where two thirds of all the votes were requisite to that object, than where a simple majority would suffice. In the first case, he would have to corrupt a smaller number; in the last, a greater number. Upon the same principle, it would be much easier for a foreign power with which we were at war to perplex our councils and embarrass our exertions. And, in a commercial view, we may be subjected to similar inconveniences. A nation, with which we might have a treaty of commerce, could with much greater facility prevent our forming a connection with her competitor in trade, though such a connection should be ever so beneficial to ourselves.

Imagine, for example, that we're involved in a war alongside another country against a different one. If the situation called for peace, but our ally was motivated by their own interests or ambitions to continue the fight, they might push us to make separate peace agreements. In this scenario, our ally could easily leverage their influence and bribery to prevent our government from pursuing peace, especially when two-thirds of the votes were needed for that, rather than just a simple majority. In the first situation, they would only need to corrupt a smaller group of people, while in the latter, they would have to sway a larger group. Similarly, it would be much easier for a foreign nation we were at war with to complicate our decision-making and hinder our efforts. From a trade perspective, we could face similar challenges. A country we had a trade agreement with could more easily block us from forming a partnership with their competing nation, even if such a partnership would be incredibly beneficial for us.

Evils of this description ought not to be regarded as imaginary. One of the weak sides of republics, among their numerous advantages, is that they afford too easy an inlet to foreign corruption. An hereditary monarch, though often disposed to sacrifice his subjects to his ambition, has so great a personal interest in the government and in the external glory of the nation, that it is not easy for a foreign power to give him an equivalent for what he would sacrifice by treachery to the state. The world has accordingly been witness to few examples of this species of royal prostitution, though there have been abundant specimens of every other kind.

Evils like this shouldn't be seen as just imaginary. One of the downsides of republics, despite their many benefits, is that they make it too easy for foreign corruption to take hold. An hereditary monarch, even if often tempted to put his ambition above his subjects, has such a strong personal interest in the government and the nation’s external reputation that it’s hard for a foreign power to offer him something that could make him betray the state. Consequently, the world has seen few cases of this kind of royal betrayal, although there are plenty of examples of other types.

In republics, persons elevated from the mass of the community, by the suffrages of their fellow-citizens, to stations of great pre-eminence and power, may find compensations for betraying their trust, which, to any but minds animated and guided by superior virtue, may appear to exceed the proportion of interest they have in the common stock, and to overbalance the obligations of duty. Hence it is that history furnishes us with so many mortifying examples of the prevalency of foreign corruption in republican governments. How much this contributed to the ruin of the ancient commonwealths has been already delineated. It is well known that the deputies of the United Provinces have, in various instances, been purchased by the emissaries of the neighboring kingdoms. The Earl of Chesterfield (if my memory serves me right), in a letter to his court, intimates that his success in an important negotiation must depend on his obtaining a major's commission for one of those deputies. And in Sweden the parties were alternately bought by France and England in so barefaced and notorious a manner that it excited universal disgust in the nation, and was a principal cause that the most limited monarch in Europe, in a single day, without tumult, violence, or opposition, became one of the most absolute and uncontrolled.

In republics, individuals elevated from the general population by the votes of their fellow citizens to positions of great importance and power may find incentives for betraying their trust that, for anyone lacking a strong sense of virtue, might seem to outweigh their stake in the common good and their duty obligations. This is why history provides us with many embarrassing examples of foreign corruption in republican governments. The extent to which this contributed to the downfall of ancient republics has already been described. It’s well known that representatives from the United Provinces have, on various occasions, been bought off by agents from neighboring kingdoms. The Earl of Chesterfield (if I remember correctly) mentioned in a letter to his court that his success in an important negotiation depended on securing a major's commission for one of those representatives. In Sweden, the factions were outright bribed by France and England in such an obvious and blatant way that it led to widespread outrage in the country, which was a major factor in how the most limited monarch in Europe, in just one day and without disturbance, violence, or resistance, became one of the most absolute and uncontested rulers.

A circumstance which crowns the defects of the Confederation remains yet to be mentioned, the want of a judiciary power. Laws are a dead letter without courts to expound and define their true meaning and operation. The treaties of the United States, to have any force at all, must be considered as part of the law of the land. Their true import, as far as respects individuals, must, like all other laws, be ascertained by judicial determinations. To produce uniformity in these determinations, they ought to be submitted, in the last resort, to one SUPREME TRIBUNAL. And this tribunal ought to be instituted under the same authority which forms the treaties themselves. These ingredients are both indispensable. If there is in each State a court of final jurisdiction, there may be as many different final determinations on the same point as there are courts. There are endless diversities in the opinions of men. We often see not only different courts but the judges of the came court differing from each other. To avoid the confusion which would unavoidably result from the contradictory decisions of a number of independent judicatories, all nations have found it necessary to establish one court paramount to the rest, possessing a general superintendence, and authorized to settle and declare in the last resort a uniform rule of civil justice.

A key issue that highlights the weaknesses of the Confederation is the lack of a judicial power. Laws are worthless without courts to interpret and clarify their true meaning and application. For treaties of the United States to have any real impact, they must be considered part of the law of the land. Their exact meaning, especially regarding individuals, must be determined by judicial decisions, just like all other laws. To ensure consistency in these decisions, they should ultimately be appealed to one SUPREME TRIBUNAL. This tribunal should be established under the same authority that creates the treaties. Both of these elements are essential. If each state has its own highest court, there could be as many different conclusions on the same issue as there are courts. People’s opinions can vary widely. We often see not just different courts but also judges within the same court disagreeing with each other. To prevent the chaos that would inevitably arise from conflicting rulings by multiple independent courts, all nations have found it necessary to create one superior court with overall authority, responsible for establishing and declaring a consistent rule of civil justice.

This is the more necessary where the frame of the government is so compounded that the laws of the whole are in danger of being contravened by the laws of the parts. In this case, if the particular tribunals are invested with a right of ultimate jurisdiction, besides the contradictions to be expected from difference of opinion, there will be much to fear from the bias of local views and prejudices, and from the interference of local regulations. As often as such an interference was to happen, there would be reason to apprehend that the provisions of the particular laws might be preferred to those of the general laws; for nothing is more natural to men in office than to look with peculiar deference towards that authority to which they owe their official existence.

This is especially important where the structure of the government is set up in such a way that the laws governing the whole can be at odds with the laws of individual parts. In this situation, if local courts have the ultimate authority, aside from the inevitable disagreements that come from differing opinions, there’s a lot to worry about when it comes to local biases and prejudices, as well as interference from local regulations. Whenever this kind of interference occurs, there would be good reason to worry that the specific laws might be prioritized over the general laws, because it’s only natural for people in power to show special respect for the authority that gives them their positions.

The treaties of the United States, under the present Constitution, are liable to the infractions of thirteen different legislatures, and as many different courts of final jurisdiction, acting under the authority of those legislatures. The faith, the reputation, the peace of the whole Union, are thus continually at the mercy of the prejudices, the passions, and the interests of every member of which it is composed. Is it possible that foreign nations can either respect or confide in such a government? Is it possible that the people of America will longer consent to trust their honor, their happiness, their safety, on so precarious a foundation?

The treaties of the United States, under the current Constitution, are subject to violations by thirteen different state legislatures and just as many different final courts, operating under the authority of those legislatures. The integrity, reputation, and peace of the entire Union are therefore constantly at the mercy of the biases, emotions, and interests of each member that makes it up. Can foreign nations really respect or trust such a government? Can the people of America continue to rely on their honor, happiness, and safety being placed on such an unstable foundation?

In this review of the Confederation, I have confined myself to the exhibition of its most material defects; passing over those imperfections in its details by which even a great part of the power intended to be conferred upon it has been in a great measure rendered abortive. It must be by this time evident to all men of reflection, who can divest themselves of the prepossessions of preconceived opinions, that it is a system so radically vicious and unsound, as to admit not of amendment but by an entire change in its leading features and characters.

In this review of the Confederation, I've focused on highlighting its main flaws, skipping over the smaller details that have largely undermined the power it was meant to hold. It should now be clear to anyone who can set aside their preconceived notions that this system is fundamentally flawed and unhealthy, requiring a complete overhaul of its key elements and characteristics rather than just simple adjustments.

The organization of Congress is itself utterly improper for the exercise of those powers which are necessary to be deposited in the Union. A single assembly may be a proper receptacle of those slender, or rather fettered, authorities, which have been heretofore delegated to the federal head; but it would be inconsistent with all the principles of good government, to intrust it with those additional powers which, even the moderate and more rational adversaries of the proposed Constitution admit, ought to reside in the United States. If that plan should not be adopted, and if the necessity of the Union should be able to withstand the ambitious aims of those men who may indulge magnificent schemes of personal aggrandizement from its dissolution, the probability would be, that we should run into the project of conferring supplementary powers upon Congress, as they are now constituted; and either the machine, from the intrinsic feebleness of its structure, will moulder into pieces, in spite of our ill-judged efforts to prop it; or, by successive augmentations of its force an energy, as necessity might prompt, we shall finally accumulate, in a single body, all the most important prerogatives of sovereignty, and thus entail upon our posterity one of the most execrable forms of government that human infatuation ever contrived. Thus, we should create in reality that very tyranny which the adversaries of the new Constitution either are, or affect to be, solicitous to avert.

The way Congress is set up is completely inappropriate for handling the powers that need to be given to the Union. A single assembly might be an acceptable place for the limited, or even restricted, authorities that have been previously assigned to the federal government; however, it would go against all principles of good governance to trust it with the extra powers that even the moderate and more reasonable opponents of the proposed Constitution agree should belong to the United States. If that plan isn’t approved, and if the need for the Union can withstand the ambitions of those who might pursue grand personal agendas from its collapse, we would probably end up trying to give extra powers to Congress as it currently stands. Either the system, due to its inherent weakness, will fall apart despite our misguided attempts to support it; or, as circumstances demand, we will keep increasing its power and energy until we accumulate all the essential sovereign powers in one body, thereby imposing on our descendants one of the most terrible forms of government ever devised by human foolishness. In doing so, we would actually create the very tyranny that the opponents of the new Constitution either fear or pretend to want to avoid.

It has not a little contributed to the infirmities of the existing federal system, that it never had a ratification by the PEOPLE. Resting on no better foundation than the consent of the several legislatures, it has been exposed to frequent and intricate questions concerning the validity of its powers, and has, in some instances, given birth to the enormous doctrine of a right of legislative repeal. Owing its ratification to the law of a State, it has been contended that the same authority might repeal the law by which it was ratified. However gross a heresy it may be to maintain that a PARTY to a COMPACT has a right to revoke that COMPACT, the doctrine itself has had respectable advocates. The possibility of a question of this nature proves the necessity of laying the foundations of our national government deeper than in the mere sanction of delegated authority. The fabric of American empire ought to rest on the solid basis of THE CONSENT OF THE PEOPLE. The streams of national power ought to flow immediately from that pure, original fountain of all legitimate authority.

It has significantly contributed to the weaknesses of the current federal system that it was never ratified by the PEOPLE. Based on nothing more solid than the approval of various legislatures, it has faced frequent and complicated questions about the legitimacy of its powers. In some cases, this has led to the troubling idea that there is a right to legislative repeal. Since its ratification comes from state law, it has been argued that the same authority could repeal the law that ratified it. Even though it's a serious mistake to argue that a PARTY to a COMPACT can revoke that COMPACT, this idea has had some notable supporters. The mere possibility of such a question highlights the need to establish the foundations of our national government more firmly than just the approval of delegated authority. The structure of the American empire should be built on the solid ground of THE CONSENT OF THE PEOPLE. The channels of national power should flow directly from that pure, original source of all legitimate authority.

PUBLIUS

PUBLIUS

1. This, as nearly as I can recollect, was the sense of his speech on introducing the last bill.

1. As far as I can remember, this was the gist of his speech when he introduced the last bill.

2. Encyclopedia, article "Empire."

2. Encyclopedia, article "Empire."

3. New Hampshire, Rhode Island, New Jersey, Delaware, Georgia, South Carolina, and Maryland are a majority of the whole number of the States, but they do not contain one third of the people.

3. New Hampshire, Rhode Island, New Jersey, Delaware, Georgia, South Carolina, and Maryland make up the majority of the total number of states, but they don't account for one-third of the population.

4. Add New York and Connecticut to the foregoing seven, and they will be less than a majority.

4. If you add New York and Connecticut to the seven mentioned above, they will be fewer than a majority.





FEDERALIST No. 23. The Necessity of a Government as Energetic as the One Proposed to the Preservation of the Union

From the New York Packet. Tuesday, December 18, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of the State of New York:

THE necessity of a Constitution, at least equally energetic with the one proposed, to the preservation of the Union, is the point at the examination of which we are now arrived.

The need for a Constitution that is at least as strong as the one being proposed, to maintain the Union, is the issue we are now looking into.

This inquiry will naturally divide itself into three branches—the objects to be provided for by the federal government, the quantity of power necessary to the accomplishment of those objects, the persons upon whom that power ought to operate. Its distribution and organization will more properly claim our attention under the succeeding head.

This inquiry will naturally break down into three parts—the things the federal government needs to provide, the amount of power needed to achieve those things, and the people that power should affect. We will better address its distribution and organization in the next section.

The principal purposes to be answered by union are these—the common defense of the members; the preservation of the public peace as well against internal convulsions as external attacks; the regulation of commerce with other nations and between the States; the superintendence of our intercourse, political and commercial, with foreign countries.

The main goals of the union are these: the shared defense of its members; maintaining public peace both from internal disruptions and external threats; regulating trade with other nations and between the states; and overseeing our political and commercial relationships with foreign countries.

The authorities essential to the common defense are these: to raise armies; to build and equip fleets; to prescribe rules for the government of both; to direct their operations; to provide for their support. These powers ought to exist without limitation, BECAUSE IT IS IMPOSSIBLE TO FORESEE OR DEFINE THE EXTENT AND VARIETY OF NATIONAL EXIGENCIES, OR THE CORRESPONDENT EXTENT AND VARIETY OF THE MEANS WHICH MAY BE NECESSARY TO SATISFY THEM. The circumstances that endanger the safety of nations are infinite, and for this reason no constitutional shackles can wisely be imposed on the power to which the care of it is committed. This power ought to be coextensive with all the possible combinations of such circumstances; and ought to be under the direction of the same councils which are appointed to preside over the common defense.

The essential powers for our national defense are these: to raise armies, to build and equip fleets, to set rules for their governance, to oversee their operations, and to ensure their support. These powers should be unlimited because it’s impossible to predict or detail the range and variety of national emergencies, or the corresponding extent and variety of the resources needed to address them. The situations that threaten the safety of nations are countless, which is why no constitutional restrictions should be wisely placed on the authority tasked with ensuring that safety. This authority should be as broad as all possible combinations of such situations and should be managed by the same leadership responsible for our national defense.

This is one of those truths which, to a correct and unprejudiced mind, carries its own evidence along with it; and may be obscured, but cannot be made plainer by argument or reasoning. It rests upon axioms as simple as they are universal; the MEANS ought to be proportioned to the END; the persons, from whose agency the attainment of any END is expected, ought to possess the MEANS by which it is to be attained.

This is one of those truths that, to a clear and unbiased mind, carries its own proof with it; it might be hidden, but it can't be clarified further by debate or reasoning. It is based on principles that are as simple as they are universal: the MEANS should match the END; the individuals whose actions are expected to achieve any END should have the MEANS to achieve it.

Whether there ought to be a federal government intrusted with the care of the common defense, is a question in the first instance, open for discussion; but the moment it is decided in the affirmative, it will follow, that that government ought to be clothed with all the powers requisite to complete execution of its trust. And unless it can be shown that the circumstances which may affect the public safety are reducible within certain determinate limits; unless the contrary of this position can be fairly and rationally disputed, it must be admitted, as a necessary consequence, that there can be no limitation of that authority which is to provide for the defense and protection of the community, in any matter essential to its efficacy that is, in any matter essential to the FORMATION, DIRECTION, or SUPPORT of the NATIONAL FORCES.

Whether there should be a federal government responsible for the common defense is a question that can be discussed; however, once the answer is yes, it follows that this government must be given all the powers necessary to fulfill its responsibilities. Unless it's proven that the circumstances affecting public safety can be limited to specific bounds, and unless this viewpoint can be reasonably challenged, it must be accepted as a necessary conclusion that there can't be restrictions on the authority needed to ensure the community's defense and protection in any matters essential to its effectiveness, including the FORMATION, DIRECTION, or SUPPORT of the NATIONAL FORCES.

Defective as the present Confederation has been proved to be, this principle appears to have been fully recognized by the framers of it; though they have not made proper or adequate provision for its exercise. Congress have an unlimited discretion to make requisitions of men and money; to govern the army and navy; to direct their operations. As their requisitions are made constitutionally binding upon the States, who are in fact under the most solemn obligations to furnish the supplies required of them, the intention evidently was that the United States should command whatever resources were by them judged requisite to the "common defense and general welfare." It was presumed that a sense of their true interests, and a regard to the dictates of good faith, would be found sufficient pledges for the punctual performance of the duty of the members to the federal head.

Defective as the current Confederation has proven to be, this principle seems to have been fully acknowledged by its framers; however, they haven't made proper or adequate arrangements for its implementation. Congress has the unlimited authority to request men and money, to manage the army and navy, and to direct their operations. Since their requests are constitutionally binding on the States, which are under serious obligations to provide the required supplies, it was clearly intended that the United States should be able to command whatever resources they deemed necessary for the "common defense and general welfare." It was expected that a sense of their true interests and a commitment to good faith would be strong enough guarantees for the timely fulfillment of the members' duties to the federal authority.

The experiment has, however, demonstrated that this expectation was ill-founded and illusory; and the observations, made under the last head, will, I imagine, have sufficed to convince the impartial and discerning, that there is an absolute necessity for an entire change in the first principles of the system; that if we are in earnest about giving the Union energy and duration, we must abandon the vain project of legislating upon the States in their collective capacities; we must extend the laws of the federal government to the individual citizens of America; we must discard the fallacious scheme of quotas and requisitions, as equally impracticable and unjust. The result from all this is that the Union ought to be invested with full power to levy troops; to build and equip fleets; and to raise the revenues which will be required for the formation and support of an army and navy, in the customary and ordinary modes practiced in other governments.

The experiment has shown that this expectation was misguided and unrealistic; and the observations made under the last point will likely convince fair-minded and perceptive individuals that there is a pressing need for a complete overhaul of the system's foundational principles. If we genuinely want to give the Union strength and longevity, we must let go of the unrealistic idea of legislating for the States as a whole. Instead, we need to apply the laws of the federal government directly to individual citizens of America. We must also abandon the flawed approach of quotas and requisitions, which are equally impractical and unfair. The conclusion from all this is that the Union should have the full authority to raise troops, build and equip fleets, and generate the necessary revenue to establish and maintain an army and navy, in ways that are typical in other governments.

If the circumstances of our country are such as to demand a compound instead of a simple, a confederate instead of a sole, government, the essential point which will remain to be adjusted will be to discriminate the OBJECTS, as far as it can be done, which shall appertain to the different provinces or departments of power; allowing to each the most ample authority for fulfilling the objects committed to its charge. Shall the Union be constituted the guardian of the common safety? Are fleets and armies and revenues necessary to this purpose? The government of the Union must be empowered to pass all laws, and to make all regulations which have relation to them. The same must be the case in respect to commerce, and to every other matter to which its jurisdiction is permitted to extend. Is the administration of justice between the citizens of the same State the proper department of the local governments? These must possess all the authorities which are connected with this object, and with every other that may be allotted to their particular cognizance and direction. Not to confer in each case a degree of power commensurate to the end, would be to violate the most obvious rules of prudence and propriety, and improvidently to trust the great interests of the nation to hands which are disabled from managing them with vigor and success.

If our country's situation calls for a combined rather than a single, a united rather than a singular government, the main issue that needs to be resolved is identifying the OBJECTS that should belong to the different regions or areas of authority, giving each sufficient power to carry out the tasks assigned to it. Should the Union be responsible for ensuring the common safety? Are fleets, armies, and funds necessary for that purpose? The Union's government must have the authority to create all laws and regulations relevant to those needs. The same applies to commerce and any other areas within its jurisdiction. Is the local government the appropriate body to handle justice between citizens of the same State? They must hold all necessary powers related to this and any other responsibilities designated to them. Failing to grant an appropriate level of authority in each instance would undermine basic principles of reason and appropriateness and would irresponsibly leave the nation's significant interests in the hands of those who cannot effectively manage them.

Who is likely to make suitable provisions for the public defense, as that body to which the guardianship of the public safety is confided; which, as the centre of information, will best understand the extent and urgency of the dangers that threaten; as the representative of the WHOLE, will feel itself most deeply interested in the preservation of every part; which, from the responsibility implied in the duty assigned to it, will be most sensibly impressed with the necessity of proper exertions; and which, by the extension of its authority throughout the States, can alone establish uniformity and concert in the plans and measures by which the common safety is to be secured? Is there not a manifest inconsistency in devolving upon the federal government the care of the general defense, and leaving in the State governments the EFFECTIVE powers by which it is to be provided for? Is not a want of co-operation the infallible consequence of such a system? And will not weakness, disorder, an undue distribution of the burdens and calamities of war, an unnecessary and intolerable increase of expense, be its natural and inevitable concomitants? Have we not had unequivocal experience of its effects in the course of the revolution which we have just accomplished?

Who is likely to make appropriate arrangements for public defense, as that entity entrusted with the guardianship of public safety; which, as the center of information, will best understand the extent and urgency of the threats we face; as the representative of the WHOLE, will be most deeply concerned with the preservation of every part; which, due to the responsibility inherent in its assigned duty, will be most acutely aware of the need for proper efforts; and which, by extending its authority throughout the States, can alone create consistency and cooperation in the plans and measures needed for our common safety? Is there not a clear inconsistency in assigning the federal government the task of general defense while leaving the STATE governments with the EFFECTIVE powers needed to implement it? Is there not a lack of cooperation that is the obvious result of such a system? And won't weakness, disorder, an unfair distribution of the burdens and consequences of war, and an unnecessary and excessive increase in costs inevitably follow? Have we not had clear experiences of its effects during the recent revolution we just completed?

Every view we may take of the subject, as candid inquirers after truth, will serve to convince us, that it is both unwise and dangerous to deny the federal government an unconfined authority, as to all those objects which are intrusted to its management. It will indeed deserve the most vigilant and careful attention of the people, to see that it be modeled in such a manner as to admit of its being safely vested with the requisite powers. If any plan which has been, or may be, offered to our consideration, should not, upon a dispassionate inspection, be found to answer this description, it ought to be rejected. A government, the constitution of which renders it unfit to be trusted with all the powers which a free people ought to delegate to any government, would be an unsafe and improper depositary of the NATIONAL INTERESTS. Wherever THESE can with propriety be confided, the coincident powers may safely accompany them. This is the true result of all just reasoning upon the subject. And the adversaries of the plan promulgated by the convention ought to have confined themselves to showing, that the internal structure of the proposed government was such as to render it unworthy of the confidence of the people. They ought not to have wandered into inflammatory declamations and unmeaning cavils about the extent of the powers. The POWERS are not too extensive for the OBJECTS of federal administration, or, in other words, for the management of our NATIONAL INTERESTS; nor can any satisfactory argument be framed to show that they are chargeable with such an excess. If it be true, as has been insinuated by some of the writers on the other side, that the difficulty arises from the nature of the thing, and that the extent of the country will not permit us to form a government in which such ample powers can safely be reposed, it would prove that we ought to contract our views, and resort to the expedient of separate confederacies, which will move within more practicable spheres. For the absurdity must continually stare us in the face of confiding to a government the direction of the most essential national interests, without daring to trust it to the authorities which are indispensable to their proper and efficient management. Let us not attempt to reconcile contradictions, but firmly embrace a rational alternative.

Every perspective we take on this issue, as honest seekers of truth, convinces us that it is both unwise and risky to deny the federal government broad authority over the matters assigned to it. It certainly deserves our careful and watchful attention to ensure it is structured in a way that allows it to safely hold the necessary powers. If any proposal that has been or might be presented to us fails, upon objective examination, to meet this standard, it should be rejected. A government that is designed in a way that makes it unfit to be entrusted with all the powers that a free people should grant to any government would be an unsafe and unsuitable steward of the NATIONAL INTERESTS. Wherever THESE can be appropriately entrusted, the corresponding powers can safely go with them. This is the true conclusion of all sound reasoning on the matter. The opponents of the plan proposed by the convention should have limited their arguments to demonstrating that the internal structure of the proposed government was such that it did not deserve the people's trust. They should not have drifted into exaggerated speeches and pointless complaints about the extent of the powers. The POWERS are not too extensive for the OBJECTS of federal administration, or, in other words, for managing our NATIONAL INTERESTS; nor can a convincing argument be made to prove they go beyond what is necessary. If it is true, as some of the opposing writers have suggested, that the difficulty comes from the nature of the issue, and that the vastness of the country prevents us from forming a government that can safely hold such broad powers, it would indicate that we should narrow our focus and consider separate confederacies that could operate within more manageable spheres. For we must continuously confront the absurdity of trusting a government with directing the most crucial national interests while hesitating to give it the authorities essential for their proper and effective management. Let us not try to reconcile contradictions but instead firmly choose a rational option.

I trust, however, that the impracticability of one general system cannot be shown. I am greatly mistaken, if any thing of weight has yet been advanced of this tendency; and I flatter myself, that the observations which have been made in the course of these papers have served to place the reverse of that position in as clear a light as any matter still in the womb of time and experience can be susceptible of. This, at all events, must be evident, that the very difficulty itself, drawn from the extent of the country, is the strongest argument in favor of an energetic government; for any other can certainly never preserve the Union of so large an empire. If we embrace the tenets of those who oppose the adoption of the proposed Constitution, as the standard of our political creed, we cannot fail to verify the gloomy doctrines which predict the impracticability of a national system pervading entire limits of the present Confederacy.

I believe that it's impossible to prove that a single, unified system can't work. I would be very wrong if any strong arguments have been made suggesting otherwise; I’m confident that the discussions in these papers have clearly shown the opposite view to be valid, as much as any topic still waiting for time and experience can be understood. It must be clear that the very challenge posed by the country's size actually supports the need for a strong government, because anything less will certainly not be able to hold together such a vast nation. If we adopt the views of those who are against the proposed Constitution as our guiding principles, we will inevitably confirm the bleak theories that say a national system can't effectively cover the entire area of our current Confederacy.

PUBLIUS

PUBLIUS





FEDERALIST No. 24. The Powers Necessary to the Common Defense Further Considered

For the Independent Journal. Wednesday, December 19, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

TO THE powers proposed to be conferred upon the federal government, in respect to the creation and direction of the national forces, I have met with but one specific objection, which, if I understand it right, is this, that proper provision has not been made against the existence of standing armies in time of peace; an objection which, I shall now endeavor to show, rests on weak and unsubstantial foundations.

TO THE powers suggested to be granted to the federal government, regarding the creation and management of the national forces, I have encountered only one specific objection. If I understand it correctly, the concern is that adequate measures have not been taken to prevent the existence of standing armies during peacetime. I will now attempt to demonstrate that this objection is based on weak and unfounded grounds.

It has indeed been brought forward in the most vague and general form, supported only by bold assertions, without the appearance of argument; without even the sanction of theoretical opinions; in contradiction to the practice of other free nations, and to the general sense of America, as expressed in most of the existing constitutions. The proprietary of this remark will appear, the moment it is recollected that the objection under consideration turns upon a supposed necessity of restraining the LEGISLATIVE authority of the nation, in the article of military establishments; a principle unheard of, except in one or two of our State constitutions, and rejected in all the rest.

It has been presented in a very vague and general way, backed only by bold claims and lacking any real argument; there’s not even any support from theoretical opinions; it contradicts the practices of other free nations and goes against the general consensus in America, as shown in most of our current constitutions. The point of this observation will be clear once it’s remembered that the objection being discussed hinges on a supposed need to limit the legislative power of the nation regarding military establishments; a principle that is rarely seen, except in one or two of our state constitutions, and is rejected in all the others.

A stranger to our politics, who was to read our newspapers at the present juncture, without having previously inspected the plan reported by the convention, would be naturally led to one of two conclusions: either that it contained a positive injunction, that standing armies should be kept up in time of peace; or that it vested in the EXECUTIVE the whole power of levying troops, without subjecting his discretion, in any shape, to the control of the legislature.

A person unfamiliar with our politics, who reads our newspapers right now without having looked at the plan reported by the convention, would likely come to one of two conclusions: either that it explicitly states that standing armies should be maintained during peacetime; or that it gives the EXECUTIVE complete authority to raise troops, without putting any checks on their discretion from the legislature.

If he came afterwards to peruse the plan itself, he would be surprised to discover, that neither the one nor the other was the case; that the whole power of raising armies was lodged in the LEGISLATURE, not in the EXECUTIVE; that this legislature was to be a popular body, consisting of the representatives of the people periodically elected; and that instead of the provision he had supposed in favor of standing armies, there was to be found, in respect to this object, an important qualification even of the legislative discretion, in that clause which forbids the appropriation of money for the support of an army for any longer period than two years a precaution which, upon a nearer view of it, will appear to be a great and real security against the keeping up of troops without evident necessity.

If he later looked over the plan itself,

Disappointed in his first surmise, the person I have supposed would be apt to pursue his conjectures a little further. He would naturally say to himself, it is impossible that all this vehement and pathetic declamation can be without some colorable pretext. It must needs be that this people, so jealous of their liberties, have, in all the preceding models of the constitutions which they have established, inserted the most precise and rigid precautions on this point, the omission of which, in the new plan, has given birth to all this apprehension and clamor.

Disappointed by his first guess, the person I imagined would likely dig a little deeper into his theories. He would probably think to himself that it’s impossible for all this passionate and emotional speech to be without some valid reason. It has to be that this people, so protective of their freedoms, have included the most specific and strict safeguards concerning this issue in all the previous versions of the constitutions they’ve created, and the lack of these in the new plan has caused all this worry and outcry.

If, under this impression, he proceeded to pass in review the several State constitutions, how great would be his disappointment to find that TWO ONLY of them(1) contained an interdiction of standing armies in time of peace; that the other eleven had either observed a profound silence on the subject, or had in express terms admitted the right of the Legislature to authorize their existence.

If he looked over the various State constitutions with that idea in mind, he would be very disappointed to discover that ONLY TWO of them(1) prohibited standing armies in times of peace; the other eleven either said nothing about it or explicitly allowed the Legislature to authorize their existence.

Still, however he would be persuaded that there must be some plausible foundation for the cry raised on this head. He would never be able to imagine, while any source of information remained unexplored, that it was nothing more than an experiment upon the public credulity, dictated either by a deliberate intention to deceive, or by the overflowings of a zeal too intemperate to be ingenuous. It would probably occur to him, that he would be likely to find the precautions he was in search of in the primitive compact between the States. Here, at length, he would expect to meet with a solution of the enigma. No doubt, he would observe to himself, the existing Confederation must contain the most explicit provisions against military establishments in time of peace; and a departure from this model, in a favorite point, has occasioned the discontent which appears to influence these political champions.

Still, he would be convinced that there must be some reasonable basis for the uproar surrounding this issue. He could never believe, while any source of information was still unexplored, that it was simply an experiment on public gullibility, driven either by a deliberate intention to mislead or by an excessive enthusiasm that lacked sincerity. He would likely think that he would find the answers he was looking for in the original agreement between the States. Finally, he would expect to discover a solution to the mystery here. No doubt, he would remind himself that the current Confederation must include the clearest rules against military forces during peacetime, and a deviation from this principle in a favored area has led to the dissatisfaction that seems to be influencing these political advocates.

If he should now apply himself to a careful and critical survey of the articles of Confederation, his astonishment would not only be increased, but would acquire a mixture of indignation, at the unexpected discovery, that these articles, instead of containing the prohibition he looked for, and though they had, with jealous circumspection, restricted the authority of the State legislatures in this particular, had not imposed a single restraint on that of the United States. If he happened to be a man of quick sensibility, or ardent temper, he could now no longer refrain from regarding these clamors as the dishonest artifices of a sinister and unprincipled opposition to a plan which ought at least to receive a fair and candid examination from all sincere lovers of their country! How else, he would say, could the authors of them have been tempted to vent such loud censures upon that plan, about a point in which it seems to have conformed itself to the general sense of America as declared in its different forms of government, and in which it has even superadded a new and powerful guard unknown to any of them? If, on the contrary, he happened to be a man of calm and dispassionate feelings, he would indulge a sigh for the frailty of human nature, and would lament, that in a matter so interesting to the happiness of millions, the true merits of the question should be perplexed and entangled by expedients so unfriendly to an impartial and right determination. Even such a man could hardly forbear remarking, that a conduct of this kind has too much the appearance of an intention to mislead the people by alarming their passions, rather than to convince them by arguments addressed to their understandings.

If he were to carefully and critically review the Articles of Confederation now, he would not only be shocked but also filled with indignation at the surprising realization that these articles, instead of containing the prohibition he expected, and despite the careful limitations they placed on the authority of state legislatures in this regard, imposed no restrictions on that of the United States. If he were a person of strong feelings or a fiery temperament, he could no longer hold back from seeing these outcries as the dishonest tactics of a corrupt and unprincipled opposition to a plan that deserves at least to be thoroughly and honestly examined by all genuine patriots! How else, he might wonder, could the authors of such complaints have been driven to voice such harsh criticisms of that plan, particularly on an issue where it seems aligned with the overall sentiment of America as expressed in its various forms of government, and where it even adds a new and powerful safeguard unknown to any of them? Conversely, if he were someone with calm and rational feelings, he would let out a sigh over the shortcomings of human nature and lament that in a matter so crucial to the happiness of millions, the actual merits of the issue are obscured and complicated by tactics that are so unhelpful for unbiased and proper resolution. Even such a person might struggle to ignore the fact that this kind of behavior appears more like an attempt to mislead the public by playing on their emotions than to persuade them through reasoned arguments aimed at their understanding.

But however little this objection may be countenanced, even by precedents among ourselves, it may be satisfactory to take a nearer view of its intrinsic merits. From a close examination it will appear that restraints upon the discretion of the legislature in respect to military establishments in time of peace, would be improper to be imposed, and if imposed, from the necessities of society, would be unlikely to be observed.

But regardless of how little support this objection might have, even among our own examples, it could be helpful to take a closer look at its actual merits. A detailed examination will show that limiting the legislature's discretion regarding military establishments during peacetime would be inappropriate and, if such limits were set, they would likely be ignored due to society's needs.

Though a wide ocean separates the United States from Europe, yet there are various considerations that warn us against an excess of confidence or security. On one side of us, and stretching far into our rear, are growing settlements subject to the dominion of Britain. On the other side, and extending to meet the British settlements, are colonies and establishments subject to the dominion of Spain. This situation and the vicinity of the West India Islands, belonging to these two powers create between them, in respect to their American possessions and in relation to us, a common interest. The savage tribes on our Western frontier ought to be regarded as our natural enemies, their natural allies, because they have most to fear from us, and most to hope from them. The improvements in the art of navigation have, as to the facility of communication, rendered distant nations, in a great measure, neighbors. Britain and Spain are among the principal maritime powers of Europe. A future concert of views between these nations ought not to be regarded as improbable. The increasing remoteness of consanguinity is every day diminishing the force of the family compact between France and Spain. And politicians have ever with great reason considered the ties of blood as feeble and precarious links of political connection. These circumstances combined, admonish us not to be too sanguine in considering ourselves as entirely out of the reach of danger.

Although a vast ocean separates the United States from Europe, there are several factors that caution us against being overly confident or complacent. On one side, and extending far behind us, we have expanding settlements under British control. On the other side, reaching to meet the British settlements, there are colonies and establishments under Spanish rule. This situation, along with the proximity of the West Indies, which belong to these two powers, creates a shared interest regarding their American territories and our relationship with them. The Native tribes on our Western frontier should be seen as our natural enemies, as they have the most to fear from us and the most to gain from an alliance with the Europeans. Advances in navigation have, in terms of communication, largely made distant nations feel like neighbors. Britain and Spain are among the main maritime powers of Europe. A future alignment of interests between these nations shouldn't be seen as unlikely. The growing distance in familial ties is gradually weakening the strong bond between France and Spain. Historically, politicians have reasoned that blood ties are weak and unreliable links in political alliances. All these factors together warn us not to be too optimistic about being completely safe from danger.

Previous to the Revolution, and ever since the peace, there has been a constant necessity for keeping small garrisons on our Western frontier. No person can doubt that these will continue to be indispensable, if it should only be against the ravages and depredations of the Indians. These garrisons must either be furnished by occasional detachments from the militia, or by permanent corps in the pay of the government. The first is impracticable; and if practicable, would be pernicious. The militia would not long, if at all, submit to be dragged from their occupations and families to perform that most disagreeable duty in times of profound peace. And if they could be prevailed upon or compelled to do it, the increased expense of a frequent rotation of service, and the loss of labor and disconcertion of the industrious pursuits of individuals, would form conclusive objections to the scheme. It would be as burdensome and injurious to the public as ruinous to private citizens. The latter resource of permanent corps in the pay of the government amounts to a standing army in time of peace; a small one, indeed, but not the less real for being small. Here is a simple view of the subject, that shows us at once the impropriety of a constitutional interdiction of such establishments, and the necessity of leaving the matter to the discretion and prudence of the legislature.

Before the Revolution, and ever since the peace, there has been an ongoing need to keep small garrisons on our Western frontier. No one can deny that these will continue to be essential, especially to protect against the attacks and raids by the Indians. These garrisons must be staffed either by temporary detachments from the militia or by permanent troops funded by the government. The first option is impractical; and even if it were possible, it would be damaging. The militia would not tolerate being pulled away from their jobs and families to carry out this unpleasant duty during times of peace. And if they could be convinced or forced to do it, the increased costs of frequent duty rotations, along with the loss of productivity and disruption of individuals' work, would be strong arguments against the plan. It would be just as burdensome and harmful to the public as it would be devastating to private citizens. The alternative of permanent troops on the government payroll essentially creates a standing army during peacetime; it's small, but still very real. This provides a clear perspective on the issue, highlighting both the inappropriateness of a constitutional ban on such forces and the necessity of letting the legislature handle the matter with discretion and care.

In proportion to our increase in strength, it is probable, nay, it may be said certain, that Britain and Spain would augment their military establishments in our neighborhood. If we should not be willing to be exposed, in a naked and defenseless condition, to their insults and encroachments, we should find it expedient to increase our frontier garrisons in some ratio to the force by which our Western settlements might be annoyed. There are, and will be, particular posts, the possession of which will include the command of large districts of territory, and facilitate future invasions of the remainder. It may be added that some of those posts will be keys to the trade with the Indian nations. Can any man think it would be wise to leave such posts in a situation to be at any instant seized by one or the other of two neighboring and formidable powers? To act this part would be to desert all the usual maxims of prudence and policy.

As we gain strength, it's likely, and even certain, that Britain and Spain will expand their military presence near us. If we don’t want to be vulnerable and defenseless against their insults and encroachments, we should consider boosting our border garrisons in proportion to the threat our Western settlements might face. There are specific locations whose control will allow us to manage large areas of land and make future invasions easier. It's worth noting that some of these locations will be key to trading with the Native nations. Can anyone honestly believe it would be smart to leave these locations vulnerable to being taken at any moment by either of these powerful neighboring countries? Acting this way would mean abandoning all the usual principles of caution and strategy.

If we mean to be a commercial people, or even to be secure on our Atlantic side, we must endeavor, as soon as possible, to have a navy. To this purpose there must be dock-yards and arsenals; and for the defense of these, fortifications, and probably garrisons. When a nation has become so powerful by sea that it can protect its dock-yards by its fleets, this supersedes the necessity of garrisons for that purpose; but where naval establishments are in their infancy, moderate garrisons will, in all likelihood, be found an indispensable security against descents for the destruction of the arsenals and dock-yards, and sometimes of the fleet itself.

If we want to be a trading nation, or even just safe on our Atlantic side, we need to work on building a navy as soon as we can. For this, we need shipyards and storage facilities for weapons; and to protect these, we need fortifications and likely military garrisons. Once a nation has become strong enough at sea to defend its shipyards with its fleets, then it can eliminate the need for garrisons for that role; but when a navy is still developing, having some troops on hand will probably be essential to guard against attacks aimed at destroying the storage facilities and shipyards, and sometimes even the fleet itself.

PUBLIUS

PUBLIUS

1 This statement of the matter is taken from the printed collection of State constitutions. Pennsylvania and North Carolina are the two which contain the interdiction in these words: "As standing armies in time of peace are dangerous to liberty, THEY OUGHT NOT to be kept up." This is, in truth, rather a CAUTION than a PROHIBITION. New Hampshire, Massachusetts, Delaware, and Maryland have, in each of their bills of rights, a clause to this effect: "Standing armies are dangerous to liberty, and ought not to be raised or kept up WITHOUT THE CONSENT OF THE LEGISLATURE"; which is a formal admission of the authority of the Legislature. New York has no bills of rights, and her constitution says not a word about the matter. No bills of rights appear annexed to the constitutions of the other States, except the foregoing, and their constitutions are equally silent. I am told, however that one or two States have bills of rights which do not appear in this collection; but that those also recognize the right of the legislative authority in this respect.

1 This statement is taken from the published collection of State constitutions. Pennsylvania and North Carolina are the two that include the prohibition in these words: "As standing armies in times of peace are dangerous to liberty, THEY OUGHT NOT to be maintained." This is actually more of a CAUTION than a PROHIBITION. New Hampshire, Massachusetts, Delaware, and Maryland each have a clause in their bills of rights stating: "Standing armies are dangerous to liberty, and should not be raised or maintained WITHOUT THE CONSENT OF THE LEGISLATURE"; which formally acknowledges the authority of the Legislature. New York has no bill of rights, and its constitution doesn’t mention this issue at all. No bills of rights are attached to the constitutions of the other States, except for the ones mentioned, and their constitutions are also silent on this matter. I've been informed, however, that one or two States do have bills of rights that aren't included in this collection; but those also acknowledge the legislative authority in this regard.





FEDERALIST No. 25. The Same Subject Continued (The Powers Necessary to the Common Defense Further Considered)

From the New York Packet. Friday, December 21, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IT MAY perhaps be urged that the objects enumerated in the preceding number ought to be provided for by the State governments, under the direction of the Union. But this would be, in reality, an inversion of the primary principle of our political association, as it would in practice transfer the care of the common defense from the federal head to the individual members: a project oppressive to some States, dangerous to all, and baneful to the Confederacy.

It might be argued that the items mentioned earlier should be managed by the state governments, under the guidance of the federal government. However, this would actually reverse the fundamental principle of our political union, as it would shift the responsibility of common defense from the federal government to the individual states: a plan that would burden some states, pose risks to all, and harm the Confederacy.

The territories of Britain, Spain, and of the Indian nations in our neighborhood do not border on particular States, but encircle the Union from Maine to Georgia. The danger, though in different degrees, is therefore common. And the means of guarding against it ought, in like manner, to be the objects of common councils and of a common treasury. It happens that some States, from local situation, are more directly exposed. New York is of this class. Upon the plan of separate provisions, New York would have to sustain the whole weight of the establishments requisite to her immediate safety, and to the mediate or ultimate protection of her neighbors. This would neither be equitable as it respected New York nor safe as it respected the other States. Various inconveniences would attend such a system. The States, to whose lot it might fall to support the necessary establishments, would be as little able as willing, for a considerable time to come, to bear the burden of competent provisions. The security of all would thus be subjected to the parsimony, improvidence, or inability of a part. If the resources of such part becoming more abundant and extensive, its provisions should be proportionally enlarged, the other States would quickly take the alarm at seeing the whole military force of the Union in the hands of two or three of its members, and those probably amongst the most powerful. They would each choose to have some counterpoise, and pretenses could easily be contrived. In this situation, military establishments, nourished by mutual jealousy, would be apt to swell beyond their natural or proper size; and being at the separate disposal of the members, they would be engines for the abridgment or demolition of the national authority.

The territories of Britain, Spain, and the Native American nations near us don’t border specific states but surround the Union from Maine to Georgia. The danger, though varying in intensity, is therefore shared. The ways to defend against it should, likewise, be the focus of joint discussions and a shared budget. Some states, due to their locations, are more directly vulnerable. New York falls into this category. Under a system of separate arrangements, New York would have to handle the full burden of the necessary measures for its immediate safety, as well as for the protection of its neighboring states. This would be unfair to New York and unsafe for the other states. Various issues would arise from such a system. The states tasked with supporting the essential measures would likely be neither able nor willing to carry the burden of adequate defenses for a significant period. The safety of all would then depend on the frugality, shortsightedness, or inability of just a few. If that part were to become more resourceful, its allocations would increase accordingly, and the other states would quickly become alarmed at seeing most of the military power of the Union controlled by a couple of its members, particularly those that are the most powerful. Each would want some balance of power, and excuses for conflict could easily be created. In this scenario, military forces, fueled by mutual distrust, would likely grow larger than necessary, and, being under individual control, they could threaten to undermine or dismantle national authority.

Reasons have been already given to induce a supposition that the State governments will too naturally be prone to a rivalship with that of the Union, the foundation of which will be the love of power; and that in any contest between the federal head and one of its members the people will be most apt to unite with their local government. If, in addition to this immense advantage, the ambition of the members should be stimulated by the separate and independent possession of military forces, it would afford too strong a temptation and too great a facility to them to make enterprises upon, and finally to subvert, the constitutional authority of the Union. On the other hand, the liberty of the people would be less safe in this state of things than in that which left the national forces in the hands of the national government. As far as an army may be considered as a dangerous weapon of power, it had better be in those hands of which the people are most likely to be jealous than in those of which they are least likely to be jealous. For it is a truth, which the experience of ages has attested, that the people are always most in danger when the means of injuring their rights are in the possession of those of whom they entertain the least suspicion.

Reasons have already been provided to suggest that state governments are likely to compete with the federal government, driven by a desire for power. In any conflict between the federal government and a state, people will likely side with their local government. If, on top of this significant advantage, the ambitions of state leaders are fueled by having their own military forces, it would create a strong temptation for them to challenge and potentially overthrow the constitutional authority of the federal government. Conversely, people's freedom would be less secure in such a scenario than if the national military were under the control of the national government. When considering the army as a potential threat, it’s safer for it to be in the hands of the government that the people are more likely to scrutinize rather than one they view with less suspicion. History has shown us that people are most at risk when those who hold the power to violate their rights are the ones they least suspect.

The framers of the existing Confederation, fully aware of the danger to the Union from the separate possession of military forces by the States, have, in express terms, prohibited them from having either ships or troops, unless with the consent of Congress. The truth is, that the existence of a federal government and military establishments under State authority are not less at variance with each other than a due supply of the federal treasury and the system of quotas and requisitions.

The creators of the current Confederation, fully aware of the threat to the Union posed by individual States having their own military forces, have clearly stated that States cannot have ships or troops without Congress's approval. The reality is that having a federal government and military operations controlled by the States are just as incompatible as having enough money in the federal treasury and the system of quotas and requisitions.

There are other lights besides those already taken notice of, in which the impropriety of restraints on the discretion of the national legislature will be equally manifest. The design of the objection, which has been mentioned, is to preclude standing armies in time of peace, though we have never been informed how far it is designed the prohibition should extend; whether to raising armies as well as to KEEPING THEM UP in a season of tranquillity or not. If it be confined to the latter it will have no precise signification, and it will be ineffectual for the purpose intended. When armies are once raised what shall be denominated "keeping them up," contrary to the sense of the Constitution? What time shall be requisite to ascertain the violation? Shall it be a week, a month, a year? Or shall we say they may be continued as long as the danger which occasioned their being raised continues? This would be to admit that they might be kept up IN TIME OF PEACE, against threatening or impending danger, which would be at once to deviate from the literal meaning of the prohibition, and to introduce an extensive latitude of construction. Who shall judge of the continuance of the danger? This must undoubtedly be submitted to the national government, and the matter would then be brought to this issue, that the national government, to provide against apprehended danger, might in the first instance raise troops, and might afterwards keep them on foot as long as they supposed the peace or safety of the community was in any degree of jeopardy. It is easy to perceive that a discretion so latitudinary as this would afford ample room for eluding the force of the provision.

There are other factors to consider beyond what we've already discussed, where the inappropriate limitations on the national legislature's discretion will be just as clear. The intention behind this objection is to prevent standing armies during peacetime, but we’ve never been told how far this ban is supposed to go; does it apply to raising armies as well as maintaining them during peaceful times? If it only applies to the latter, it won’t have any clear meaning and won’t achieve its intended purpose. Once armies are raised, what counts as "maintaining them," in opposition to the Constitution's intent? How long will it take to determine if there’s been a violation? A week, a month, a year? Or should we say they can stay active as long as there’s a perceived threat? This would mean allowing them to be maintained during peacetime due to potential danger, which strays from the strict interpretation of the ban and opens the door for a broad interpretation of the rules. Who decides how long the danger lasts? This clearly would have to be left to the national government, leading us to the conclusion that the national government could raise troops to address perceived threats and then keep them active for as long as they believed the community's peace or safety was at risk. It’s easy to see that such broad discretion would provide plenty of opportunities to avoid the intention of the law.

The supposed utility of a provision of this kind can only be founded on the supposed probability, or at least possibility, of a combination between the executive and the legislative, in some scheme of usurpation. Should this at any time happen, how easy would it be to fabricate pretenses of approaching danger! Indian hostilities, instigated by Spain or Britain, would always be at hand. Provocations to produce the desired appearances might even be given to some foreign power, and appeased again by timely concessions. If we can reasonably presume such a combination to have been formed, and that the enterprise is warranted by a sufficient prospect of success, the army, when once raised, from whatever cause, or on whatever pretext, may be applied to the execution of the project.

The supposed usefulness of a provision like this can only be based on the assumed likelihood, or at least the possibility, of a collaboration between the executive and the legislative branches in some scheme of overreach. If this were to happen at any point, how easy it would be to create reasons for a perceived threat! Conflicts with Native Americans, stirred up by Spain or Britain, would always be a concern. Provocations might even be directed at some foreign nation to create the desired tension, only to be calmed later with timely concessions. If we can reasonably suspect that such a partnership has formed and that the endeavor is backed by a strong chance of success, the army, once assembled, for any reason or under any pretext, could be used to carry out the plan.

If, to obviate this consequence, it should be resolved to extend the prohibition to the RAISING of armies in time of peace, the United States would then exhibit the most extraordinary spectacle which the world has yet seen, that of a nation incapacitated by its Constitution to prepare for defense, before it was actually invaded. As the ceremony of a formal denunciation of war has of late fallen into disuse, the presence of an enemy within our territories must be waited for, as the legal warrant to the government to begin its levies of men for the protection of the State. We must receive the blow, before we could even prepare to return it. All that kind of policy by which nations anticipate distant danger, and meet the gathering storm, must be abstained from, as contrary to the genuine maxims of a free government. We must expose our property and liberty to the mercy of foreign invaders, and invite them by our weakness to seize the naked and defenseless prey, because we are afraid that rulers, created by our choice, dependent on our will, might endanger that liberty, by an abuse of the means necessary to its preservation.

If we decide to prevent this situation by banning the formation of armies during peacetime, the United States would then present an unprecedented sight: a nation unable, due to its Constitution, to prepare for defense until it is actually invaded. Since formal declarations of war have mostly fallen out of practice, we must wait for an enemy to enter our territory before the government can start recruiting soldiers to protect the State. We must endure the attack before we can even prepare to fight back. Any policy that allows nations to anticipate future threats and respond to approaching danger must be avoided, as it goes against the true principles of a free government. We must leave our property and freedom vulnerable to foreign invaders and invite them to take advantage of our weakness, all because we fear that leaders we elected, who rely on our support, might jeopardize that freedom by misusing the resources needed to protect it.

Here I expect we shall be told that the militia of the country is its natural bulwark, and would be at all times equal to the national defense. This doctrine, in substance, had like to have lost us our independence. It cost millions to the United States that might have been saved. The facts which, from our own experience, forbid a reliance of this kind, are too recent to permit us to be the dupes of such a suggestion. The steady operations of war against a regular and disciplined army can only be successfully conducted by a force of the same kind. Considerations of economy, not less than of stability and vigor, confirm this position. The American militia, in the course of the late war, have, by their valor on numerous occasions, erected eternal monuments to their fame; but the bravest of them feel and know that the liberty of their country could not have been established by their efforts alone, however great and valuable they were. War, like most other things, is a science to be acquired and perfected by diligence, by perseverance, by time, and by practice.

Here, I expect to hear that the country's militia is its natural defense and would always be capable of protecting the nation. This belief almost cost us our independence. It ended up costing millions for the United States that could have been avoided. The recent experiences that show why we can't rely on this idea are too fresh to let us fall for it. The consistent conduct of war against a regular and trained army can only be effectively managed by a similar force. Arguments for saving money, along with the need for stability and effectiveness, support this view. The American militia, during the recent war, demonstrated their bravery on many occasions, creating lasting legacies for their courage; however, even the bravest among them realize that their efforts alone, no matter how significant, couldn't have secured the country's freedom. War, like many other things, is a skill that must be learned and honed through hard work, persistence, time, and practice.

All violent policy, as it is contrary to the natural and experienced course of human affairs, defeats itself. Pennsylvania, at this instant, affords an example of the truth of this remark. The Bill of Rights of that State declares that standing armies are dangerous to liberty, and ought not to be kept up in time of peace. Pennsylvania, nevertheless, in a time of profound peace, from the existence of partial disorders in one or two of her counties, has resolved to raise a body of troops; and in all probability will keep them up as long as there is any appearance of danger to the public peace. The conduct of Massachusetts affords a lesson on the same subject, though on different ground. That State (without waiting for the sanction of Congress, as the articles of the Confederation require) was compelled to raise troops to quell a domestic insurrection, and still keeps a corps in pay to prevent a revival of the spirit of revolt. The particular constitution of Massachusetts opposed no obstacle to the measure; but the instance is still of use to instruct us that cases are likely to occur under our government, as well as under those of other nations, which will sometimes render a military force in time of peace essential to the security of the society, and that it is therefore improper in this respect to control the legislative discretion. It also teaches us, in its application to the United States, how little the rights of a feeble government are likely to be respected, even by its own constituents. And it teaches us, in addition to the rest, how unequal parchment provisions are to a struggle with public necessity.

All violent policies, because they go against the natural and observed course of human affairs, end up failing. Pennsylvania, at this moment, provides an example of this truth. The Bill of Rights of that state states that standing armies are a threat to freedom and shouldn't be maintained during peacetime. Yet, Pennsylvania has decided to raise troops during a time of deep peace due to some minor troubles in a few of its counties, and it’s likely they will keep these troops as long as there’s any hint of danger to public order. Massachusetts offers a similar lesson, albeit from a different angle. That state raised troops to suppress a domestic uprising without waiting for Congress’s approval, as required by the articles of the Confederation, and continues to pay a unit to prevent the resurgence of rebelliousness. The Massachusetts constitution didn’t hinder this action; however, this example shows that situations can arise in our government, just like in other nations, where a military force may be crucial for societal security, making it inappropriate to limit legislative authority in this regard. It also illustrates how little respect the rights of a weak government often receive, even from its own citizens. Additionally, it demonstrates how ineffective written provisions can be in the face of public needs.

It was a fundamental maxim of the Lacedaemonian commonwealth, that the post of admiral should not be conferred twice on the same person. The Peloponnesian confederates, having suffered a severe defeat at sea from the Athenians, demanded Lysander, who had before served with success in that capacity, to command the combined fleets. The Lacedaemonians, to gratify their allies, and yet preserve the semblance of an adherence to their ancient institutions, had recourse to the flimsy subterfuge of investing Lysander with the real power of admiral, under the nominal title of vice-admiral. This instance is selected from among a multitude that might be cited to confirm the truth already advanced and illustrated by domestic examples; which is, that nations pay little regard to rules and maxims calculated in their very nature to run counter to the necessities of society. Wise politicians will be cautious about fettering the government with restrictions that cannot be observed, because they know that every breach of the fundamental laws, though dictated by necessity, impairs that sacred reverence which ought to be maintained in the breast of rulers towards the constitution of a country, and forms a precedent for other breaches where the same plea of necessity does not exist at all, or is less urgent and palpable.

It was a basic rule of the Spartans that the position of admiral shouldn't be given to the same person twice. After experiencing a major defeat at sea by the Athenians, the allies from the Peloponnesian League requested that Lysander, who had previously been successful in that role, command their united fleets. To satisfy their allies while still pretending to follow their old traditions, the Spartans came up with a weak excuse by giving Lysander the actual power of admiral but calling him vice-admiral instead. This example is just one of many that could illustrate the point previously made with domestic examples: that nations often ignore rules and maxims that conflict with society's needs. Wise leaders should be careful not to bind the government with rules that can't be followed, because they understand that every violation of fundamental laws, even if necessary, weakens the essential respect that rulers should have for a country's constitution, and sets a precedent for further violations, even when the same necessity doesn't apply or is less urgent.

PUBLIUS

PUBLIUS





FEDERALIST No. 26. The Idea of Restraining the Legislative Authority in Regard to the Common Defense Considered.

For the Independent Journal. Saturday, December 22, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

IT WAS a thing hardly to be expected that in a popular revolution the minds of men should stop at that happy mean which marks the salutary boundary between POWER and PRIVILEGE, and combines the energy of government with the security of private rights. A failure in this delicate and important point is the great source of the inconveniences we experience, and if we are not cautious to avoid a repetition of the error, in our future attempts to rectify and ameliorate our system, we may travel from one chimerical project to another; we may try change after change; but we shall never be likely to make any material change for the better.

It was unlikely that during a popular revolution, people would find that perfect balance between POWER and PRIVILEGE, combining effective governance with the protection of individual rights. Failing to achieve this crucial point is the main reason for the problems we face. If we’re not careful to avoid repeating this mistake in our future efforts to improve our system, we could end up chasing one unrealistic idea after another; we could try change after change, but it’s unlikely we’ll make any significant progress for the better.

The idea of restraining the legislative authority, in the means of providing for the national defense, is one of those refinements which owe their origin to a zeal for liberty more ardent than enlightened. We have seen, however, that it has not had thus far an extensive prevalency; that even in this country, where it made its first appearance, Pennsylvania and North Carolina are the only two States by which it has been in any degree patronized; and that all the others have refused to give it the least countenance; wisely judging that confidence must be placed somewhere; that the necessity of doing it, is implied in the very act of delegating power; and that it is better to hazard the abuse of that confidence than to embarrass the government and endanger the public safety by impolitic restrictions on the legislative authority. The opponents of the proposed Constitution combat, in this respect, the general decision of America; and instead of being taught by experience the propriety of correcting any extremes into which we may have heretofore run, they appear disposed to conduct us into others still more dangerous, and more extravagant. As if the tone of government had been found too high, or too rigid, the doctrines they teach are calculated to induce us to depress or to relax it, by expedients which, upon other occasions, have been condemned or forborne. It may be affirmed without the imputation of invective, that if the principles they inculcate, on various points, could so far obtain as to become the popular creed, they would utterly unfit the people of this country for any species of government whatever. But a danger of this kind is not to be apprehended. The citizens of America have too much discernment to be argued into anarchy. And I am much mistaken, if experience has not wrought a deep and solemn conviction in the public mind, that greater energy of government is essential to the welfare and prosperity of the community.

The idea of limiting legislative power when it comes to national defense comes from a passion for liberty that’s more intense than well-informed. However, we’ve seen that it hasn't really caught on widely; even in this country, where it first emerged, only Pennsylvania and North Carolina have somewhat supported it, while all the other states have refused to even acknowledge it. They've wisely concluded that trust has to be placed somewhere; that the need for it is implied in the act of granting power; and that it’s better to risk abuse of that trust than to hinder the government and put public safety at risk with imprudent limits on legislative authority. The opponents of the proposed Constitution are opposing the general consensus in America on this matter. Instead of learning from experience the need to correct any past extremes, they seem inclined to lead us into even more dangerous and excessive ones. As if the government’s tone has been too harsh or too strict, the ideas they promote are likely to push us towards lowering or loosening that tone with methods that have been criticized or avoided in other circumstances. It can be said without being offensive that if the principles they promote were to become widely accepted, they would completely unfit the people of this country for any form of government. However, such a danger is not something to worry about. The citizens of America are too discerning to be led into chaos. I would be very mistaken if I didn't believe that experience has created a deep and serious understanding among the public that a stronger government is necessary for the welfare and prosperity of the community.

It may not be amiss in this place concisely to remark the origin and progress of the idea, which aims at the exclusion of military establishments in time of peace. Though in speculative minds it may arise from a contemplation of the nature and tendency of such institutions, fortified by the events that have happened in other ages and countries, yet as a national sentiment, it must be traced to those habits of thinking which we derive from the nation from whom the inhabitants of these States have in general sprung.

It might be worthwhile here to briefly discuss the origin and development of the idea that seeks to eliminate military establishments during peacetime. While it may emerge from thoughtful consideration of the nature and impact of such institutions, supported by historical events from other times and places, as a national sentiment, it can be traced back to the ways of thinking that we inherit from the nation from which the people of these States generally originate.

In England, for a long time after the Norman Conquest, the authority of the monarch was almost unlimited. Inroads were gradually made upon the prerogative, in favor of liberty, first by the barons, and afterwards by the people, till the greatest part of its most formidable pretensions became extinct. But it was not till the revolution in 1688, which elevated the Prince of Orange to the throne of Great Britain, that English liberty was completely triumphant. As incident to the undefined power of making war, an acknowledged prerogative of the crown, Charles II. had, by his own authority, kept on foot in time of peace a body of 5,000 regular troops. And this number James II. increased to 30,000; who were paid out of his civil list. At the revolution, to abolish the exercise of so dangerous an authority, it became an article of the Bill of Rights then framed, that "the raising or keeping a standing army within the kingdom in time of peace, UNLESS WITH THE CONSENT OF PARLIAMENT, was against law."

In England, for a long time after the Norman Conquest, the monarch's power was nearly absolute. Over time, this power was gradually challenged by the barons and then by the people, until most of its most serious claims were eliminated. However, it wasn't until the revolution in 1688, which brought the Prince of Orange to the throne of Great Britain, that English liberty truly prevailed. Related to the unchecked power to wage war, which was a recognized privilege of the crown, Charles II had maintained a force of 5,000 regular troops during peacetime by his own authority. James II then increased this number to 30,000, funded from his civil list. During the revolution, to eliminate the use of such a risky power, it became a provision in the Bill of Rights that "raising or maintaining a standing army within the kingdom in peacetime, UNLESS WITH THE CONSENT OF PARLIAMENT, was against the law."

In that kingdom, when the pulse of liberty was at its highest pitch, no security against the danger of standing armies was thought requisite, beyond a prohibition of their being raised or kept up by the mere authority of the executive magistrate. The patriots, who effected that memorable revolution, were too temperate, too wellinformed, to think of any restraint on the legislative discretion. They were aware that a certain number of troops for guards and garrisons were indispensable; that no precise bounds could be set to the national exigencies; that a power equal to every possible contingency must exist somewhere in the government: and that when they referred the exercise of that power to the judgment of the legislature, they had arrived at the ultimate point of precaution which was reconcilable with the safety of the community.

In that kingdom, when the spirit of freedom was at its peak, there was no need for security against the threat of standing armies beyond a rule that they couldn't be created or maintained solely by the authority of the executive leader. The patriots who brought about that unforgettable revolution were too moderate and well-informed to consider any limits on legislative authority. They recognized that a certain number of troops for protection and garrisons were essential; that there were no clear limits to the nation's needs; that there had to be a power capable of handling every possible situation somewhere in the government; and that by allowing the legislature to have that power, they had reached the highest level of caution that was compatible with the safety of the community.

From the same source, the people of America may be said to have derived an hereditary impression of danger to liberty, from standing armies in time of peace. The circumstances of a revolution quickened the public sensibility on every point connected with the security of popular rights, and in some instances raise the warmth of our zeal beyond the degree which consisted with the due temperature of the body politic. The attempts of two of the States to restrict the authority of the legislature in the article of military establishments, are of the number of these instances. The principles which had taught us to be jealous of the power of an hereditary monarch were by an injudicious excess extended to the representatives of the people in their popular assemblies. Even in some of the States, where this error was not adopted, we find unnecessary declarations that standing armies ought not to be kept up, in time of peace, WITHOUT THE CONSENT OF THE LEGISLATURE. I call them unnecessary, because the reason which had introduced a similar provision into the English Bill of Rights is not applicable to any of the State constitutions. The power of raising armies at all, under those constitutions, can by no construction be deemed to reside anywhere else, than in the legislatures themselves; and it was superfluous, if not absurd, to declare that a matter should not be done without the consent of a body, which alone had the power of doing it. Accordingly, in some of these constitutions, and among others, in that of this State of New York, which has been justly celebrated, both in Europe and America, as one of the best of the forms of government established in this country, there is a total silence upon the subject.

From the same source, it's fair to say that the people of America have developed a lasting concern about the threat to liberty posed by standing armies during peacetime. The events of the revolution heightened public awareness regarding the protection of popular rights, sometimes fueling our passion beyond what was reasonable for the health of the political community. Attempts by two states to limit the legislature's power when it comes to military establishments are examples of this. The principles that made us wary of a hereditary monarch’s power were wrongly applied to the people's representatives in their assemblies. Even in some states where this mistake wasn’t made, we see unnecessary statements asserting that standing armies shouldn’t exist during peacetime WITHOUT THE LEGISLATURE'S CONSENT. I consider these unnecessary because the reason for a similar rule in the English Bill of Rights doesn’t apply to any state constitutions. The authority to raise armies under those constitutions can only be found within the legislatures themselves; it was pointless, if not ridiculous, to declare that something shouldn’t happen without the approval of a body that already had the power to make it happen. Consequently, in some of these constitutions, including that of New York—rightly praised in both Europe and America as one of the best forms of government established in this country—there is a complete lack of mention of the issue.

It is remarkable, that even in the two States which seem to have meditated an interdiction of military establishments in time of peace, the mode of expression made use of is rather cautionary than prohibitory. It is not said, that standing armies SHALL NOT BE kept up, but that they OUGHT NOT to be kept up, in time of peace. This ambiguity of terms appears to have been the result of a conflict between jealousy and conviction; between the desire of excluding such establishments at all events, and the persuasion that an absolute exclusion would be unwise and unsafe.

It's interesting that even in the two states that seem to have considered banning military forces during peacetime, the way it's expressed is more of a warning than a hard rule. It doesn’t say that standing armies CANNOT exist, but rather that they SHOULD NOT exist during peacetime. This vague language seems to come from a struggle between suspicion and belief; between the wish to completely ban such forces and the feeling that an outright ban would be unwise and risky.

Can it be doubted that such a provision, whenever the situation of public affairs was understood to require a departure from it, would be interpreted by the legislature into a mere admonition, and would be made to yield to the necessities or supposed necessities of the State? Let the fact already mentioned, with respect to Pennsylvania, decide. What then (it may be asked) is the use of such a provision, if it cease to operate the moment there is an inclination to disregard it?

Can anyone really question that a rule like this, when the circumstances of public affairs are seen as needing a change, would simply be viewed by lawmakers as a suggestion and would bend to the needs or perceived needs of the State? Consider the situation with Pennsylvania as evidence. So, one might ask, what's the point of having such a rule if it stops being effective as soon as there's a chance to ignore it?

Let us examine whether there be any comparison, in point of efficacy, between the provision alluded to and that which is contained in the new Constitution, for restraining the appropriations of money for military purposes to the period of two years. The former, by aiming at too much, is calculated to effect nothing; the latter, by steering clear of an imprudent extreme, and by being perfectly compatible with a proper provision for the exigencies of the nation, will have a salutary and powerful operation.

Let’s consider if there’s any comparison, in terms of effectiveness, between the mentioned provision and the one in the new Constitution, which limits military funding to a two-year period. The first one, by trying to do too much, ends up achieving nothing; the second one, by avoiding an unwise extreme and being completely suitable for the country’s needs, will have a positive and strong impact.

The legislature of the United States will be OBLIGED, by this provision, once at least in every two years, to deliberate upon the propriety of keeping a military force on foot; to come to a new resolution on the point; and to declare their sense of the matter, by a formal vote in the face of their constituents. They are not AT LIBERTY to vest in the executive department permanent funds for the support of an army, if they were even incautious enough to be willing to repose in it so improper a confidence. As the spirit of party, in different degrees, must be expected to infect all political bodies, there will be, no doubt, persons in the national legislature willing enough to arraign the measures and criminate the views of the majority. The provision for the support of a military force will always be a favorable topic for declamation. As often as the question comes forward, the public attention will be roused and attracted to the subject, by the party in opposition; and if the majority should be really disposed to exceed the proper limits, the community will be warned of the danger, and will have an opportunity of taking measures to guard against it. Independent of parties in the national legislature itself, as often as the period of discussion arrived, the State legislatures, who will always be not only vigilant but suspicious and jealous guardians of the rights of the citizens against encroachments from the federal government, will constantly have their attention awake to the conduct of the national rulers, and will be ready enough, if any thing improper appears, to sound the alarm to the people, and not only to be the VOICE, but, if necessary, the ARM of their discontent.

The U.S. legislature is required, by this provision, at least once every two years, to discuss whether to maintain a standing military force; to come to a new decision on the matter; and to officially express their opinion through a vote in front of their constituents. They cannot give the executive branch permanent funds for supporting an army, even if they were reckless enough to trust it with such power. Given that party spirit will inevitably influence political bodies to varying degrees, there will certainly be individuals in the national legislature who are eager to criticize the actions and intentions of the majority. The issue of military funding will always be a popular topic for debate. Whenever this question arises, the opposing party will draw public attention to the topic; and if the majority genuinely intends to overstep acceptable boundaries, the community will be alerted to the danger and will have the chance to take action to protect against it. Aside from the political parties in the national legislature, whenever it's time for discussion, the state legislatures, which will always be vigilant and wary protectors of citizens' rights against federal overreach, will be closely watching the actions of national leaders, ready to alert the public if anything concerning arises, and not only be the VOICE but, if necessary, the ARM of the people's discontent.

Schemes to subvert the liberties of a great community REQUIRE TIME to mature them for execution. An army, so large as seriously to menace those liberties, could only be formed by progressive augmentations; which would suppose, not merely a temporary combination between the legislature and executive, but a continued conspiracy for a series of time. Is it probable that such a combination would exist at all? Is it probable that it would be persevered in, and transmitted along through all the successive variations in a representative body, which biennial elections would naturally produce in both houses? Is it presumable, that every man, the instant he took his seat in the national Senate or House of Representatives, would commence a traitor to his constituents and to his country? Can it be supposed that there would not be found one man, discerning enough to detect so atrocious a conspiracy, or bold or honest enough to apprise his constituents of their danger? If such presumptions can fairly be made, there ought at once to be an end of all delegated authority. The people should resolve to recall all the powers they have heretofore parted with out of their own hands, and to divide themselves into as many States as there are counties, in order that they may be able to manage their own concerns in person.

Plans to undermine the freedoms of a large community TAKE TIME to develop for action. An army large enough to seriously threaten those freedoms could only be built through gradual increases; this would suggest not just a temporary alliance between the legislature and executive, but an ongoing conspiracy over a long period. Is it likely that such a alliance would exist at all? Is it likely that it would be maintained and passed on through all the changes in a representative body, which the two-year elections would naturally bring about in both houses? Is it reasonable to think that every person, as soon as they took their seat in the national Senate or House of Representatives, would become a traitor to their constituents and their country? Can we really believe that there wouldn't be one person smart enough to uncover such a terrible conspiracy, or brave or honest enough to warn their constituents about the threat? If such assumptions are plausible, there should immediately be an end to all delegated authority. The people should decide to take back all the powers they have previously given away and split themselves into as many States as there are counties, so they can take care of their own affairs directly.

If such suppositions could even be reasonably made, still the concealment of the design, for any duration, would be impracticable. It would be announced, by the very circumstance of augmenting the army to so great an extent in time of profound peace. What colorable reason could be assigned, in a country so situated, for such vast augmentations of the military force? It is impossible that the people could be long deceived; and the destruction of the project, and of the projectors, would quickly follow the discovery.

If such assumptions could even be considered, keeping the plan secret for any length of time would be impossible. It would be obvious, simply because of the large increase in the army during a time of peace. What plausible reason could be given in a country like this for such a massive buildup of military power? It’s unlikely that the people could be fooled for long, and the failure of the plan—and those behind it—would quickly follow once it was found out.

It has been said that the provision which limits the appropriation of money for the support of an army to the period of two years would be unavailing, because the Executive, when once possessed of a force large enough to awe the people into submission, would find resources in that very force sufficient to enable him to dispense with supplies from the acts of the legislature. But the question again recurs, upon what pretense could he be put in possession of a force of that magnitude in time of peace? If we suppose it to have been created in consequence of some domestic insurrection or foreign war, then it becomes a case not within the principles of the objection; for this is levelled against the power of keeping up troops in time of peace. Few persons will be so visionary as seriously to contend that military forces ought not to be raised to quell a rebellion or resist an invasion; and if the defense of the community under such circumstances should make it necessary to have an army so numerous as to hazard its liberty, this is one of those calamities for which there is neither preventative nor cure. It cannot be provided against by any possible form of government; it might even result from a simple league offensive and defensive, if it should ever be necessary for the confederates or allies to form an army for common defense.

It has been argued that the rule limiting the funding for supporting an army to two years would be ineffective because the Executive, once in command of a force strong enough to intimidate the public into compliance, would find resources within that very force that would allow him to operate without legislative support. However, the question still remains: how could he come into possession of such a large force during peacetime? If we assume it was created due to a domestic uprising or foreign conflict, then it falls outside the principles of the objection because this argument is directed at the authority to maintain troops during peacetime. Few people would be so unrealistic as to seriously argue that military forces should not be raised to put down a rebellion or defend against an invasion; and if protecting the community under such circumstances means needing an army large enough to threaten its own freedom, this is a disaster for which there is no way to prevent or remedy. No form of government could guard against it; it could even arise from a simple mutual defense agreement if the allies ever needed to create a joint army for protection.

But it is an evil infinitely less likely to attend us in a united than in a disunited state; nay, it may be safely asserted that it is an evil altogether unlikely to attend us in the latter situation. It is not easy to conceive a possibility that dangers so formidable can assail the whole Union, as to demand a force considerable enough to place our liberties in the least jeopardy, especially if we take into our view the aid to be derived from the militia, which ought always to be counted upon as a valuable and powerful auxiliary. But in a state of disunion (as has been fully shown in another place), the contrary of this supposition would become not only probable, but almost unavoidable.

But it's a problem that's much less likely to affect us when we're united than when we're divided; in fact, we can confidently say that it's a problem that's pretty much unlikely to happen if we're divided. It's hard to imagine a scenario where such serious threats could attack the entire Union, to the point where we would need a significant force that could put our freedoms at risk, especially if we consider the support we can get from the militia, which should always be seen as a valuable and strong resource. However, in a state of disunion (as has been fully explained elsewhere), the opposite of this idea would not only become likely, but almost unavoidable.

PUBLIUS

PUBLIUS __A_TAG_PLACEHOLDER_0__





FEDERALIST No. 27. The Same Subject Continued (The Idea of Restraining the Legislative Authority in Regard to the Common Defense Considered)

From the New York Packet. Tuesday, December 25, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

IT HAS been urged, in different shapes, that a Constitution of the kind proposed by the convention cannot operate without the aid of a military force to execute its laws. This, however, like most other things that have been alleged on that side, rests on mere general assertion, unsupported by any precise or intelligible designation of the reasons upon which it is founded. As far as I have been able to divine the latent meaning of the objectors, it seems to originate in a presupposition that the people will be disinclined to the exercise of federal authority in any matter of an internal nature. Waiving any exception that might be taken to the inaccuracy or inexplicitness of the distinction between internal and external, let us inquire what ground there is to presuppose that disinclination in the people. Unless we presume at the same time that the powers of the general government will be worse administered than those of the State government, there seems to be no room for the presumption of ill-will, disaffection, or opposition in the people. I believe it may be laid down as a general rule that their confidence in and obedience to a government will commonly be proportioned to the goodness or badness of its administration. It must be admitted that there are exceptions to this rule; but these exceptions depend so entirely on accidental causes, that they cannot be considered as having any relation to the intrinsic merits or demerits of a constitution. These can only be judged of by general principles and maxims.

IT HAS been argued in various ways that a Constitution like the one proposed by the convention cannot function without military force to enforce its laws. However, this claim, like many other assertions from that perspective, is based on vague generalizations and lacks any clear or understandable explanation of the reasons behind it. From what I can gather about the underlying concerns of the critics, it seems to stem from the assumption that the public will be unwilling to accept federal authority in matters that are internal. Setting aside any objections to the ambiguity of the distinction between internal and external issues, let’s explore what basis there is for assuming such reluctance among the public. Unless we also assume that the federal government will be worse at administering its powers than the State government, there seems to be no justification for presuming negative feelings, dissatisfaction, or resistance among the people. I believe it can be established as a general principle that the public's confidence in and compliance with a government typically align with the quality of its administration. It must be acknowledged that there are exceptions to this principle; however, these exceptions are so dependent on random factors that they cannot be seen as related to the fundamental strengths or weaknesses of a constitution. These can only be evaluated based on general principles and maxims.

Various reasons have been suggested, in the course of these papers, to induce a probability that the general government will be better administered than the particular governments; the principal of which reasons are that the extension of the spheres of election will present a greater option, or latitude of choice, to the people; that through the medium of the State legislatures which are select bodies of men, and which are to appoint the members of the national Senate there is reason to expect that this branch will generally be composed with peculiar care and judgment; that these circumstances promise greater knowledge and more extensive information in the national councils, and that they will be less apt to be tainted by the spirit of faction, and more out of the reach of those occasional ill-humors, or temporary prejudices and propensities, which, in smaller societies, frequently contaminate the public councils, beget injustice and oppression of a part of the community, and engender schemes which, though they gratify a momentary inclination or desire, terminate in general distress, dissatisfaction, and disgust. Several additional reasons of considerable force, to fortify that probability, will occur when we come to survey, with a more critical eye, the interior structure of the edifice which we are invited to erect. It will be sufficient here to remark, that until satisfactory reasons can be assigned to justify an opinion, that the federal government is likely to be administered in such a manner as to render it odious or contemptible to the people, there can be no reasonable foundation for the supposition that the laws of the Union will meet with any greater obstruction from them, or will stand in need of any other methods to enforce their execution, than the laws of the particular members.

Various reasons have been presented throughout these papers to suggest that the federal government will be managed better than local governments. The main reasons include that the wider election options will give people more choices; that state legislatures, which are made up of select individuals, will appoint national senators, making this body expected to be formed with great care and judgment; that these factors promise more knowledge and broader information in national decision-making, and that they will be less susceptible to factional influences and the occasional biases or temporary emotions that often taint public decision-making in smaller societies, leading to injustice and oppression for some community members, as well as schemes that, while they may satisfy a fleeting desire, ultimately result in widespread distress, dissatisfaction, and frustration. Several additional strong reasons will emerge when we take a closer look at the internal structure of the system we are being encouraged to build. For now, it is enough to note that until convincing reasons can be provided to justify the belief that the federal government is likely to be run in a way that makes it hated or looked down upon by the people, there is no reasonable basis for thinking that the laws of the Union will face any more resistance from them, or will require different methods to enforce them than the laws at the state level.

The hope of impunity is a strong incitement to sedition; the dread of punishment, a proportionably strong discouragement to it. Will not the government of the Union, which, if possessed of a due degree of power, can call to its aid the collective resources of the whole Confederacy, be more likely to repress the FORMER sentiment and to inspire the LATTER, than that of a single State, which can only command the resources within itself? A turbulent faction in a State may easily suppose itself able to contend with the friends to the government in that State; but it can hardly be so infatuated as to imagine itself a match for the combined efforts of the Union. If this reflection be just, there is less danger of resistance from irregular combinations of individuals to the authority of the Confederacy than to that of a single member.

The belief that you can get away with something is a strong motivator for rebellion; the fear of punishment is a similarly strong deterrent. Isn't it more likely that the federal government, which has enough power to draw on the resources of the entire Confederacy, can suppress that first sentiment and encourage the second one, compared to a single state that can only utilize its own resources? A disruptive group in a state might think it can go up against the supporters of that state's government, but it's hard to believe they'd think they could compete with the combined strength of the Union. If this line of thinking is correct, there’s less risk of people banding together in rebellion against the authority of the Confederacy than against a single state.

I will, in this place, hazard an observation, which will not be the less just because to some it may appear new; which is, that the more the operations of the national authority are intermingled in the ordinary exercise of government, the more the citizens are accustomed to meet with it in the common occurrences of their political life, the more it is familiarized to their sight and to their feelings, the further it enters into those objects which touch the most sensible chords and put in motion the most active springs of the human heart, the greater will be the probability that it will conciliate the respect and attachment of the community. Man is very much a creature of habit. A thing that rarely strikes his senses will generally have but little influence upon his mind. A government continually at a distance and out of sight can hardly be expected to interest the sensations of the people. The inference is, that the authority of the Union, and the affections of the citizens towards it, will be strengthened, rather than weakened, by its extension to what are called matters of internal concern; and will have less occasion to recur to force, in proportion to the familiarity and comprehensiveness of its agency. The more it circulates through those channels and currents in which the passions of mankind naturally flow, the less will it require the aid of the violent and perilous expedients of compulsion.

I want to make an observation here that may seem new to some, but it’s still valid: the more the national authority is involved in everyday government activities, the more citizens encounter it in their political lives, the more familiar it becomes to them, and the more it engages their emotions and touches their deepest concerns, the more likely they are to respect and feel attached to it. People are creatures of habit; things that rarely catch their attention typically don’t have much influence on them. A government that is distant and unseen is unlikely to engage the people's feelings. Therefore, the conclusion is that the authority of the Union, and the citizens' feelings towards it, will become stronger, not weaker, by extending its reach to what are known as internal matters; and it will have less need to resort to force, as its presence becomes more familiar and encompassing. The more it interacts with the natural passions of people, the less it will need to rely on coercive and dangerous measures.

One thing, at all events, must be evident, that a government like the one proposed would bid much fairer to avoid the necessity of using force, than that species of league contend for by most of its opponents; the authority of which should only operate upon the States in their political or collective capacities. It has been shown that in such a Confederacy there can be no sanction for the laws but force; that frequent delinquencies in the members are the natural offspring of the very frame of the government; and that as often as these happen, they can only be redressed, if at all, by war and violence.

One thing is clear: a government like the one proposed would be much more likely to avoid the need for force than the kind of league most of its opponents are arguing for, which would only act on the states in their political or collective roles. It has been demonstrated that in such a Confederacy, there can be no enforcement of the laws except through force; that repeated offenses by the members are a natural result of the government’s structure; and that whenever these occur, they can only be addressed, if at all, through war and violence.

The plan reported by the convention, by extending the authority of the federal head to the individual citizens of the several States, will enable the government to employ the ordinary magistracy of each, in the execution of its laws. It is easy to perceive that this will tend to destroy, in the common apprehension, all distinction between the sources from which they might proceed; and will give the federal government the same advantage for securing a due obedience to its authority which is enjoyed by the government of each State, in addition to the influence on public opinion which will result from the important consideration of its having power to call to its assistance and support the resources of the whole Union. It merits particular attention in this place, that the laws of the Confederacy, as to the ENUMERATED and LEGITIMATE objects of its jurisdiction, will become the SUPREME LAW of the land; to the observance of which all officers, legislative, executive, and judicial, in each State, will be bound by the sanctity of an oath. Thus the legislatures, courts, and magistrates, of the respective members, will be incorporated into the operations of the national government AS FAR AS ITS JUST AND CONSTITUTIONAL AUTHORITY EXTENDS; and will be rendered auxiliary to the enforcement of its laws.(1) Any man who will pursue, by his own reflections, the consequences of this situation, will perceive that there is good ground to calculate upon a regular and peaceable execution of the laws of the Union, if its powers are administered with a common share of prudence. If we will arbitrarily suppose the contrary, we may deduce any inferences we please from the supposition; for it is certainly possible, by an injudicious exercise of the authorities of the best government that ever was, or ever can be instituted, to provoke and precipitate the people into the wildest excesses. But though the adversaries of the proposed Constitution should presume that the national rulers would be insensible to the motives of public good, or to the obligations of duty, I would still ask them how the interests of ambition, or the views of encroachment, can be promoted by such a conduct?

The plan put forth by the convention, by expanding the authority of the federal government to the individual citizens of each State, will allow the government to use the local officials in carrying out its laws. It's clear that this will blur the lines in public perception regarding the sources of authority, giving the federal government the same advantage for ensuring compliance with its laws that each State government enjoys. This also brings the added benefit of influencing public opinion, since it has the power to leverage the resources of the entire Union. It’s important to note here that the laws of the Confederacy, concerning the ENUMERATED and LEGITIMATE areas of its jurisdiction, will become the SUPREME LAW of the land; all officers—legislative, executive, and judicial—in every State will be required to uphold these laws with an oath of office. In this way, the legislatures, courts, and officials of the individual States will be integrated into the workings of the national government AS FAR AS ITS JUST AND CONSTITUTIONAL AUTHORITY EXTENDS, and will support the enforcement of its laws.(1) Anyone who thoughtfully considers the implications of this situation will find good reason to expect a regular and peaceful enforcement of the Union’s laws, provided its powers are exercised with reasonable prudence. If we were to hypothetically assume the opposite, we could draw any conclusions we want based on that assumption; it is certainly possible for even the best government, through poor judgment, to incite the people into extreme reactions. However, even if the opponents of the proposed Constitution believe that national leaders would be indifferent to the public good or their responsibilities, I would still question how ambition or the desire to encroach could benefit from such behavior?

PUBLIUS

PUBLIUS

1. The sophistry which has been employed to show that this will tend to the destruction of the State governments, will, in its will, in its proper place, be fully detected.

1. The deceptive reasoning used to argue that this will lead to the downfall of state governments will, when it's time, be thoroughly exposed.





FEDERALIST No. 28. The Same Subject Continued (The Idea of Restraining the Legislative Authority in Regard to the Common Defense Considered)

For the Independent Journal. Wednesday, December 26, 1787

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York State:

THAT there may happen cases in which the national government may be necessitated to resort to force, cannot be denied. Our own experience has corroborated the lessons taught by the examples of other nations; that emergencies of this sort will sometimes arise in all societies, however constituted; that seditions and insurrections are, unhappily, maladies as inseparable from the body politic as tumors and eruptions from the natural body; that the idea of governing at all times by the simple force of law (which we have been told is the only admissible principle of republican government), has no place but in the reveries of those political doctors whose sagacity disdains the admonitions of experimental instruction.

That there may be situations where the national government has to use force is undeniable. Our own experiences support the lessons learned from other countries’ examples; that emergencies like these will sometimes occur in all societies, regardless of their structure; that revolts and uprisings are, unfortunately, illnesses as inseparable from the political body as tumors and skin conditions are from the human body; that the notion of governing solely through the strict application of law (which we’ve been told is the only acceptable principle of republican government) exists only in the fantasies of those political theorists whose wisdom ignores the lessons of practical experience.

Should such emergencies at any time happen under the national government, there could be no remedy but force. The means to be employed must be proportioned to the extent of the mischief. If it should be a slight commotion in a small part of a State, the militia of the residue would be adequate to its suppression; and the national presumption is that they would be ready to do their duty. An insurrection, whatever may be its immediate cause, eventually endangers all government. Regard to the public peace, if not to the rights of the Union, would engage the citizens to whom the contagion had not communicated itself to oppose the insurgents; and if the general government should be found in practice conducive to the prosperity and felicity of the people, it were irrational to believe that they would be disinclined to its support.

If emergencies like this ever happen under the national government, the only solution would be to use force. The actions taken must match the severity of the issue. If it's just a small disturbance in one part of a state, the militia from the rest of the state would be enough to handle it, and it’s expected that they would be ready to fulfill their duty. An uprising, regardless of its immediate cause, puts all government at risk. Concern for public peace, if not for the Union's rights, would motivate citizens who aren’t affected to stand against the insurgents; and if the national government is actually helping the people thrive and be happy, it would be unreasonable to think they would not want to support it.

If, on the contrary, the insurrection should pervade a whole State, or a principal part of it, the employment of a different kind of force might become unavoidable. It appears that Massachusetts found it necessary to raise troops for repressing the disorders within that State; that Pennsylvania, from the mere apprehension of commotions among a part of her citizens, has thought proper to have recourse to the same measure. Suppose the State of New York had been inclined to re-establish her lost jurisdiction over the inhabitants of Vermont, could she have hoped for success in such an enterprise from the efforts of the militia alone? Would she not have been compelled to raise and to maintain a more regular force for the execution of her design? If it must then be admitted that the necessity of recurring to a force different from the militia, in cases of this extraordinary nature, is applicable to the State governments themselves, why should the possibility, that the national government might be under a like necessity, in similar extremities, be made an objection to its existence? Is it not surprising that men who declare an attachment to the Union in the abstract, should urge as an objection to the proposed Constitution what applies with tenfold weight to the plan for which they contend; and what, as far as it has any foundation in truth, is an inevitable consequence of civil society upon an enlarged scale? Who would not prefer that possibility to the unceasing agitations and frequent revolutions which are the continual scourges of petty republics?

If, on the other hand, the uprising spreads throughout an entire state, or a major part of it, using a different kind of force might become necessary. It seems that Massachusetts had to raise troops to deal with the disorder within that state; that Pennsylvania, out of fear of unrest among some of its citizens, decided to do the same. If New York had wanted to re-establish its authority over the people of Vermont, could it have expected to succeed using only the militia? Wouldn’t it have had to raise and maintain a more organized force to carry out its plans? If we accept that the need for a force other than the militia in these extraordinary situations applies to state governments, why should the possibility of the national government facing a similar need in comparable crises be seen as a reason to oppose its existence? Isn’t it surprising that people who express support for the Union in theory would use this as an argument against the proposed Constitution while the same reasoning applies even more strongly to the plan they support; and what, as much as it has any basis in reality, is an unavoidable outcome of civil society on a larger scale? Who wouldn’t prefer that possibility over the constant unrest and frequent revolutions that plague small republics?

Let us pursue this examination in another light. Suppose, in lieu of one general system, two, or three, or even four Confederacies were to be formed, would not the same difficulty oppose itself to the operations of either of these Confederacies? Would not each of them be exposed to the same casualties; and when these happened, be obliged to have recourse to the same expedients for upholding its authority which are objected to in a government for all the States? Would the militia, in this supposition, be more ready or more able to support the federal authority than in the case of a general union? All candid and intelligent men must, upon due consideration, acknowledge that the principle of the objection is equally applicable to either of the two cases; and that whether we have one government for all the States, or different governments for different parcels of them, or even if there should be an entire separation of the States, there might sometimes be a necessity to make use of a force constituted differently from the militia, to preserve the peace of the community and to maintain the just authority of the laws against those violent invasions of them which amount to insurrections and rebellions.

Let’s look at this issue from a different perspective. Imagine instead of one unified system, we had two, three, or even four Confederacies. Wouldn't the same problems still arise for any of those Confederacies? Wouldn't each of them face the same challenges, and when these challenges occurred, have to resort to the same solutions for maintaining their authority that are criticized in a government for all the States? Would the militia, in this scenario, be any more prepared or capable of supporting federal authority than they would in a general union? Any fair and thoughtful person must, upon reflection, recognize that the basis of the objection applies equally to both situations; whether we have one government for all the States, or separate governments for different groups of them, or even if the States were to completely separate, there would sometimes be a need to use a force organized differently than the militia to keep the peace and uphold the legitimate authority of the laws against those violent violations that lead to insurrections and rebellions.

Independent of all other reasonings upon the subject, it is a full answer to those who require a more peremptory provision against military establishments in time of peace, to say that the whole power of the proposed government is to be in the hands of the representatives of the people. This is the essential, and, after all, only efficacious security for the rights and privileges of the people, which is attainable in civil society.(1)

Regardless of other arguments on the topic, a complete response to those who want stricter measures against military forces during peacetime is that all the power of the proposed government will rest with the people's representatives. This is the key, and ultimately the only effective safeguard for the rights and privileges of the people that can be achieved in civil society.(1)

If the representatives of the people betray their constituents, there is then no resource left but in the exertion of that original right of self-defense which is paramount to all positive forms of government, and which against the usurpations of the national rulers, may be exerted with infinitely better prospect of success than against those of the rulers of an individual state. In a single state, if the persons intrusted with supreme power become usurpers, the different parcels, subdivisions, or districts of which it consists, having no distinct government in each, can take no regular measures for defense. The citizens must rush tumultuously to arms, without concert, without system, without resource; except in their courage and despair. The usurpers, clothed with the forms of legal authority, can too often crush the opposition in embryo. The smaller the extent of the territory, the more difficult will it be for the people to form a regular or systematic plan of opposition, and the more easy will it be to defeat their early efforts. Intelligence can be more speedily obtained of their preparations and movements, and the military force in the possession of the usurpers can be more rapidly directed against the part where the opposition has begun. In this situation there must be a peculiar coincidence of circumstances to insure success to the popular resistance.

If the representatives of the people betray their constituents, the only option left is to exercise that fundamental right of self-defense, which is more important than any government structure. This right can be used against the national rulers' abuses with a much better chance of success than against those of the rulers of a single state. In one state, if the people in power become usurpers, the different areas or districts that make it up, lacking individual governments, cannot take organized action for defense. The citizens would have to take up arms in chaos, without coordination, without a plan, and only relying on their bravery and desperation. The usurpers, appearing to hold legal authority, can often crush any form of opposition before it even begins. The smaller the territory, the harder it will be for the people to create a coordinated strategy against them, making it easier for the usurpers to thwart their initial attempts. Information about their plans and movements can be gathered quickly, and the military force held by the usurpers can be swiftly directed to where the opposition has started. In this situation, there must be a specific set of circumstances for popular resistance to succeed.

The obstacles to usurpation and the facilities of resistance increase with the increased extent of the state, provided the citizens understand their rights and are disposed to defend them. The natural strength of the people in a large community, in proportion to the artificial strength of the government, is greater than in a small, and of course more competent to a struggle with the attempts of the government to establish a tyranny. But in a confederacy the people, without exaggeration, may be said to be entirely the masters of their own fate. Power being almost always the rival of power, the general government will at all times stand ready to check the usurpations of the state governments, and these will have the same disposition towards the general government. The people, by throwing themselves into either scale, will infallibly make it preponderate. If their rights are invaded by either, they can make use of the other as the instrument of redress. How wise will it be in them by cherishing the union to preserve to themselves an advantage which can never be too highly prized!

The barriers to taking over power and the means of resisting it grow as the size of the state increases, as long as the citizens are aware of their rights and are willing to defend them. In a large community, the natural strength of the people, compared to the artificial strength of the government, is greater than in a smaller one, making them more capable of fighting against any attempts by the government to impose tyranny. However, in a confederation, the people can genuinely be seen as the masters of their own future. Since power often competes with power, the federal government will always be ready to counteract any overreach by state governments, which will also be inclined to do the same towards the federal government. By aligning themselves with either side, the people will definitely be able to tip the balance. If their rights are threatened by one, they can use the other as a tool for making things right. How wise it will be for them to cherish the union to maintain an advantage that can never be valued too highly!

It may safely be received as an axiom in our political system, that the State governments will, in all possible contingencies, afford complete security against invasions of the public liberty by the national authority. Projects of usurpation cannot be masked under pretenses so likely to escape the penetration of select bodies of men, as of the people at large. The legislatures will have better means of information. They can discover the danger at a distance; and possessing all the organs of civil power, and the confidence of the people, they can at once adopt a regular plan of opposition, in which they can combine all the resources of the community. They can readily communicate with each other in the different States, and unite their common forces for the protection of their common liberty.

It can be confidently accepted as a basic principle in our political system that state governments will always provide complete protection against threats to public freedom from the national authority. Attempts at overreach can’t be hidden under excuses that are likely to go unnoticed by the general public. Legislatures have better access to information. They can identify danger from afar, and with all the tools of civilian power and the trust of the people, they can quickly implement a coordinated plan of resistance that brings together all the community's resources. They can easily communicate with each other across different states and unite their efforts to protect their shared liberty.

The great extent of the country is a further security. We have already experienced its utility against the attacks of a foreign power. And it would have precisely the same effect against the enterprises of ambitious rulers in the national councils. If the federal army should be able to quell the resistance of one State, the distant States would have it in their power to make head with fresh forces. The advantages obtained in one place must be abandoned to subdue the opposition in others; and the moment the part which had been reduced to submission was left to itself, its efforts would be renewed, and its resistance revive.

The vastness of the country adds another layer of security. We've already seen how effective it can be against foreign attacks. It would serve the same purpose against the ambitions of powerful leaders within our own government. If the federal army manages to suppress one state's resistance, the far-off states could rally their own forces to counterattack. Any advantages gained in one area would need to be sacrificed to deal with resistance in others; and as soon as the subdued area is left on its own, it would start pushing back and fighting again.

We should recollect that the extent of the military force must, at all events, be regulated by the resources of the country. For a long time to come, it will not be possible to maintain a large army; and as the means of doing this increase, the population and natural strength of the community will proportionably increase. When will the time arrive that the federal government can raise and maintain an army capable of erecting a despotism over the great body of the people of an immense empire, who are in a situation, through the medium of their State governments, to take measures for their own defense, with all the celerity, regularity, and system of independent nations? The apprehension may be considered as a disease, for which there can be found no cure in the resources of argument and reasoning.

We need to remember that the size of the military force should always align with the country's resources. For a long time to come, it won't be feasible to maintain a large army; as we develop the means to do so, the population and natural strength of the community will grow accordingly. When will the time come when the federal government can raise and sustain an army strong enough to impose tyranny over the large population of a vast empire, who can, through their State governments, take swift, organized, and systematic action for their own defense like independent nations? This fear can be viewed as a kind of illness, for which there is no remedy in logical argument or reasoning.

PUBLIUS

PUBLIUS

1. Its full efficacy will be examined hereafter.

1. Its full effectiveness will be looked at later.





FEDERALIST No. 29. Concerning the Militia

From the New York Packet. Wednesday, January 9, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE power of regulating the militia, and of commanding its services in times of insurrection and invasion are natural incidents to the duties of superintending the common defense, and of watching over the internal peace of the Confederacy.

The power to regulate the militia and to command its services during times of insurrection and invasion are natural parts of overseeing the common defense and maintaining internal peace in the Confederacy.

It requires no skill in the science of war to discern that uniformity in the organization and discipline of the militia would be attended with the most beneficial effects, whenever they were called into service for the public defense. It would enable them to discharge the duties of the camp and of the field with mutual intelligence and concert an advantage of peculiar moment in the operations of an army; and it would fit them much sooner to acquire the degree of proficiency in military functions which would be essential to their usefulness. This desirable uniformity can only be accomplished by confiding the regulation of the militia to the direction of the national authority. It is, therefore, with the most evident propriety, that the plan of the convention proposes to empower the Union "to provide for organizing, arming, and disciplining the militia, and for governing such part of them as may be employed in the service of the United States, RESERVING TO THE STATES RESPECTIVELY THE APPOINTMENT OF THE OFFICERS, AND THE AUTHORITY OF TRAINING THE MILITIA ACCORDING TO THE DISCIPLINE PRESCRIBED BY CONGRESS."

It doesn’t take a military expert to see that having a consistent organization and discipline in the militia would be highly beneficial whenever they are called to serve for public defense. It would allow them to carry out their duties in the camp and on the battlefield with shared understanding and coordination, which is especially important for army operations. It would also help them learn the necessary military skills much more quickly, making them more effective. Achieving this desired consistency can only happen by placing the regulation of the militia under national authority. Therefore, it is completely appropriate for the convention's plan to empower the Union "to provide for organizing, arming, and disciplining the militia, and for governing such part of them as may be employed in the service of the United States, RESERVING TO THE STATES RESPECTIVELY THE APPOINTMENT OF THE OFFICERS, AND THE AUTHORITY OF TRAINING THE MILITIA ACCORDING TO THE DISCIPLINE PRESCRIBED BY CONGRESS."

Of the different grounds which have been taken in opposition to the plan of the convention, there is none that was so little to have been expected, or is so untenable in itself, as the one from which this particular provision has been attacked. If a well-regulated militia be the most natural defense of a free country, it ought certainly to be under the regulation and at the disposal of that body which is constituted the guardian of the national security. If standing armies are dangerous to liberty, an efficacious power over the militia, in the body to whose care the protection of the State is committed, ought, as far as possible, to take away the inducement and the pretext to such unfriendly institutions. If the federal government can command the aid of the militia in those emergencies which call for the military arm in support of the civil magistrate, it can the better dispense with the employment of a different kind of force. If it cannot avail itself of the former, it will be obliged to recur to the latter. To render an army unnecessary, will be a more certain method of preventing its existence than a thousand prohibitions upon paper.

Of all the reasons people have opposed the plan from the convention, none were less expected or more flawed than this particular criticism. If a well-regulated militia is the most natural defense for a free country, it definitely should be under the control and management of the authority responsible for national security. If standing armies pose a threat to liberty, then having effective control over the militia by the body charged with the State's protection should reduce the motivation and justification for such hostile institutions. If the federal government can call upon the militia in emergencies that require military support for law enforcement, it can more easily avoid using a different type of force. If it can't rely on the militia, it will have to turn to other options. Making an army unnecessary is a more effective way to prevent its existence than a thousand written prohibitions.

In order to cast an odium upon the power of calling forth the militia to execute the laws of the Union, it has been remarked that there is nowhere any provision in the proposed Constitution for calling out the POSSE COMITATUS, to assist the magistrate in the execution of his duty, whence it has been inferred, that military force was intended to be his only auxiliary. There is a striking incoherence in the objections which have appeared, and sometimes even from the same quarter, not much calculated to inspire a very favorable opinion of the sincerity or fair dealing of their authors. The same persons who tell us in one breath, that the powers of the federal government will be despotic and unlimited, inform us in the next, that it has not authority sufficient even to call out the POSSE COMITATUS. The latter, fortunately, is as much short of the truth as the former exceeds it. It would be as absurd to doubt, that a right to pass all laws NECESSARY AND PROPER to execute its declared powers, would include that of requiring the assistance of the citizens to the officers who may be intrusted with the execution of those laws, as it would be to believe, that a right to enact laws necessary and proper for the imposition and collection of taxes would involve that of varying the rules of descent and of the alienation of landed property, or of abolishing the trial by jury in cases relating to it. It being therefore evident that the supposition of a want of power to require the aid of the POSSE COMITATUS is entirely destitute of color, it will follow, that the conclusion which has been drawn from it, in its application to the authority of the federal government over the militia, is as uncandid as it is illogical. What reason could there be to infer, that force was intended to be the sole instrument of authority, merely because there is a power to make use of it when necessary? What shall we think of the motives which could induce men of sense to reason in this manner? How shall we prevent a conflict between charity and conviction?

To cast doubt on the authority to call forth the militia to enforce the laws of the Union, it has been pointed out that the proposed Constitution includes no provision for summoning the POSSE COMITATUS to help the magistrate in his duties. From this, it's been suggested that military force was meant to be the only support for him. There is a clear inconsistency in the objections that have been raised, often even from the same source, which doesn’t inspire much confidence in the sincerity or fairness of their authors. The same individuals who tell us, on one hand, that the powers of the federal government will be tyrannical and unlimited, claim on the other hand, that it lacks the authority to even call out the POSSE COMITATUS. Fortunately, the latter statement is just as far from the truth as the former is excessive. It would be just as ridiculous to doubt that the right to pass all NECESSARY AND PROPER laws to execute its designated powers would include the ability to call on citizens to assist the officers charged with enforcing those laws, as it would be to believe that the right to create laws necessary and proper for collecting taxes would also allow for changing the rules of inheritance or the transfer of land, or for eliminating jury trials in related cases. Therefore, it’s clear that the assumption of a lack of power to require the help of the POSSE COMITATUS is completely unfounded, leading to the conclusion drawn about the federal government's authority over the militia being both insincere and illogical. What reason could there be to assume that force was meant to be the only means of authority just because there is a power to use it when needed? What should we think about the motivations that could lead sensible people to reason this way? How can we avoid a conflict between compassion and belief?

By a curious refinement upon the spirit of republican jealousy, we are even taught to apprehend danger from the militia itself, in the hands of the federal government. It is observed that select corps may be formed, composed of the young and ardent, who may be rendered subservient to the views of arbitrary power. What plan for the regulation of the militia may be pursued by the national government, is impossible to be foreseen. But so far from viewing the matter in the same light with those who object to select corps as dangerous, were the Constitution ratified, and were I to deliver my sentiments to a member of the federal legislature from this State on the subject of a militia establishment, I should hold to him, in substance, the following discourse:

By a curious twist of republican caution, we are even led to fear the militia itself when it's under the control of the federal government. It's noted that select groups could be formed, made up of young, enthusiastic individuals who could be used to carry out the wishes of an oppressive power. It’s impossible to predict what approach the national government might take regarding militia regulation. However, instead of sharing the concerns of those who see select groups as a threat, if the Constitution were ratified and I had the chance to express my views to a member of the federal legislature from this State about establishing a militia, I would essentially convey the following thoughts:

"The project of disciplining all the militia of the United States is as futile as it would be injurious, if it were capable of being carried into execution. A tolerable expertness in military movements is a business that requires time and practice. It is not a day, or even a week, that will suffice for the attainment of it. To oblige the great body of the yeomanry, and of the other classes of the citizens, to be under arms for the purpose of going through military exercises and evolutions, as often as might be necessary to acquire the degree of perfection which would entitle them to the character of a well-regulated militia, would be a real grievance to the people, and a serious public inconvenience and loss. It would form an annual deduction from the productive labor of the country, to an amount which, calculating upon the present numbers of the people, would not fall far short of the whole expense of the civil establishments of all the States. To attempt a thing which would abridge the mass of labor and industry to so considerable an extent, would be unwise: and the experiment, if made, could not succeed, because it would not long be endured. Little more can reasonably be aimed at, with respect to the people at large, than to have them properly armed and equipped; and in order to see that this be not neglected, it will be necessary to assemble them once or twice in the course of a year.

"The effort to train all the militia in the United States is as pointless as it would be damaging if it could actually be done. Gaining even a moderate skill in military maneuvers takes time and practice. It doesn’t happen in a day or even a week. Forcing the large body of farmers and other citizens to be armed and participate in military drills frequently enough to reach a level of proficiency that qualifies them as a well-regulated militia would be a real burden on the people and a significant public hassle and expense. It would result in a yearly loss of productive labor for the country, amounting to nearly the total cost of all the civil services of every state, based on current population figures. Trying to do something that would cut down the overall labor and productivity by such a significant amount would be unwise; and if attempted, it wouldn’t last long because people wouldn’t tolerate it. The most reasonable goal regarding the general population is to ensure they are properly armed and equipped. To make sure this isn’t ignored, it will be necessary to gather them once or twice a year."

"But though the scheme of disciplining the whole nation must be abandoned as mischievous or impracticable; yet it is a matter of the utmost importance that a well-digested plan should, as soon as possible, be adopted for the proper establishment of the militia. The attention of the government ought particularly to be directed to the formation of a select corps of moderate extent, upon such principles as will really fit them for service in case of need. By thus circumscribing the plan, it will be possible to have an excellent body of well-trained militia, ready to take the field whenever the defense of the State shall require it. This will not only lessen the call for military establishments, but if circumstances should at any time oblige the government to form an army of any magnitude that army can never be formidable to the liberties of the people while there is a large body of citizens, little, if at all, inferior to them in discipline and the use of arms, who stand ready to defend their own rights and those of their fellow-citizens. This appears to me the only substitute that can be devised for a standing army, and the best possible security against it, if it should exist."

"But although the idea of training the entire nation should be dropped as harmful or unrealistic, it’s crucial to quickly establish a well-thought-out plan for the militia. The government should focus on creating a select group of moderate size based on principles that truly prepare them for duty if needed. By narrowing the plan like this, we can have a strong, well-trained militia ready to mobilize whenever the state's defense requires it. This will not only reduce the need for permanent military forces, but if the government ever has to create a sizable army, that army won’t threaten people’s freedoms as long as there is a large group of citizens, equal to or nearly equal in training and weaponry, prepared to defend their rights and those of their neighbors. To me, this seems like the only alternative we can come up with for a standing army and the best safeguard against it, should it exist."

Thus differently from the adversaries of the proposed Constitution should I reason on the same subject, deducing arguments of safety from the very sources which they represent as fraught with danger and perdition. But how the national legislature may reason on the point, is a thing which neither they nor I can foresee.

Thus, unlike the opponents of the proposed Constitution, I will approach the same subject by drawing arguments for safety from the very sources they claim are filled with danger and destruction. However, how the national legislature will approach this issue is something neither they nor I can predict.

There is something so far-fetched and so extravagant in the idea of danger to liberty from the militia, that one is at a loss whether to treat it with gravity or with raillery; whether to consider it as a mere trial of skill, like the paradoxes of rhetoricians; as a disingenuous artifice to instil prejudices at any price; or as the serious offspring of political fanaticism. Where in the name of common-sense, are our fears to end if we may not trust our sons, our brothers, our neighbors, our fellow-citizens? What shadow of danger can there be from men who are daily mingling with the rest of their countrymen and who participate with them in the same feelings, sentiments, habits and interests? What reasonable cause of apprehension can be inferred from a power in the Union to prescribe regulations for the militia, and to command its services when necessary, while the particular States are to have the SOLE AND EXCLUSIVE APPOINTMENT OF THE OFFICERS? If it were possible seriously to indulge a jealousy of the militia upon any conceivable establishment under the federal government, the circumstance of the officers being in the appointment of the States ought at once to extinguish it. There can be no doubt that this circumstance will always secure to them a preponderating influence over the militia.

The idea of danger to liberty from the militia seems so exaggerated and ridiculous that it's hard to know whether to take it seriously or laugh it off; whether to see it as just a clever argument, like the tricks of rhetoricians; as a misleading tactic to create unwarranted fears; or as the genuine product of political extremism. Seriously, where does our fear stop if we can’t trust our sons, brothers, neighbors, and fellow citizens? What real threat can come from people who are constantly interacting with their fellow countrymen and share the same feelings, beliefs, habits, and interests? What logical reason is there to be worried about the federal government's power to set rules for the militia and call on its services when needed, especially since the individual States have the SOLE AND EXCLUSIVE AUTHORITY TO APPOINT THE OFFICERS? If there were any reason to genuinely distrust the militia under the federal government, the fact that the States appoint the officers should immediately put that concern to rest. There’s no doubt this will ensure they always have a strong influence over the militia.

In reading many of the publications against the Constitution, a man is apt to imagine that he is perusing some ill-written tale or romance, which instead of natural and agreeable images, exhibits to the mind nothing but frightful and distorted shapes—

In reading many of the writings against the Constitution, one might think they are reading some poorly written story or romance, which instead of offering natural and pleasant images, shows the mind nothing but terrifying and twisted shapes—

"Gorgons, hydras, and chimeras dire";

"Gorgons, hydras, and dire chimeras"

discoloring and disfiguring whatever it represents, and transforming everything it touches into a monster.

discoloring and distorting whatever it represents, and turning everything it touches into a monster.

A sample of this is to be observed in the exaggerated and improbable suggestions which have taken place respecting the power of calling for the services of the militia. That of New Hampshire is to be marched to Georgia, of Georgia to New Hampshire, of New York to Kentucky, and of Kentucky to Lake Champlain. Nay, the debts due to the French and Dutch are to be paid in militiamen instead of louis d'ors and ducats. At one moment there is to be a large army to lay prostrate the liberties of the people; at another moment the militia of Virginia are to be dragged from their homes five or six hundred miles, to tame the republican contumacy of Massachusetts; and that of Massachusetts is to be transported an equal distance to subdue the refractory haughtiness of the aristocratic Virginians. Do the persons who rave at this rate imagine that their art or their eloquence can impose any conceits or absurdities upon the people of America for infallible truths?

A clear example of this can be seen in the ridiculous and unrealistic claims about the ability to summon the militia. New Hampshire's troops are supposed to march to Georgia, Georgia's to New Hampshire, New York's to Kentucky, and Kentucky's to Lake Champlain. Moreover, people suggest that debts owed to the French and Dutch are to be settled with militiamen instead of gold coins. One moment, there's talk of a massive army to crush the people's freedoms; the next, Virginia's militia is expected to be pulled from their homes, traveling five or six hundred miles to control the rebellious spirit of Massachusetts, while Massachusetts' militia is supposed to travel a similar distance to put down the defiant arrogance of the aristocrats in Virginia. Do those who rant in this way really think that their skill or their speech can convince the people of America that their fantasies or ridiculous ideas are undeniable truths?

If there should be an army to be made use of as the engine of despotism, what need of the militia? If there should be no army, whither would the militia, irritated by being called upon to undertake a distant and hopeless expedition, for the purpose of riveting the chains of slavery upon a part of their countrymen, direct their course, but to the seat of the tyrants, who had meditated so foolish as well as so wicked a project, to crush them in their imagined intrenchments of power, and to make them an example of the just vengeance of an abused and incensed people? Is this the way in which usurpers stride to dominion over a numerous and enlightened nation? Do they begin by exciting the detestation of the very instruments of their intended usurpations? Do they usually commence their career by wanton and disgustful acts of power, calculated to answer no end, but to draw upon themselves universal hatred and execration? Are suppositions of this sort the sober admonitions of discerning patriots to a discerning people? Or are they the inflammatory ravings of incendiaries or distempered enthusiasts? If we were even to suppose the national rulers actuated by the most ungovernable ambition, it is impossible to believe that they would employ such preposterous means to accomplish their designs.

If there were an army being used as the tool of a tyrant, why would we need the militia? If there were no army, where would the militia, frustrated by being asked to take on a far-off and hopeless mission to impose slavery on some of their fellow citizens, direct their efforts except toward the tyrants who conceived such a foolish and wicked plan, aiming to crush them in their imagined strongholds of power and make them an example of the rightful anger of a wronged and furious people? Is this how usurpers seize control over a large and informed nation? Do they start by inciting the hatred of the very people they plan to use for their own ends? Do they usually kick off their rise to power with senseless and repulsive displays of power meant only to provoke widespread contempt and outrage? Are such assumptions the serious warnings of insightful patriots to a thoughtful public? Or are they the reckless outbursts of troublemakers or disturbed idealists? Even if we were to imagine that national leaders were driven by uncontainable ambition, it’s hard to believe they would use such ridiculous methods to achieve their goals.

In times of insurrection, or invasion, it would be natural and proper that the militia of a neighboring State should be marched into another, to resist a common enemy, or to guard the republic against the violence of faction or sedition. This was frequently the case, in respect to the first object, in the course of the late war; and this mutual succor is, indeed, a principal end of our political association. If the power of affording it be placed under the direction of the Union, there will be no danger of a supine and listless inattention to the dangers of a neighbor, till its near approach had superadded the incitements of self-preservation to the too feeble impulses of duty and sympathy.

In times of rebellion or invasion, it would be natural and appropriate for the militia of a neighboring state to come into another state to fight a common enemy or protect the republic from the violence of factions or uprisings. This often happened during the recent war; mutual support is, in fact, a key purpose of our political partnership. If the responsibility for providing this support is under the control of the Union, there will be no risk of complacent indifference to the dangers facing a neighboring state until those dangers become imminent, prompting self-preservation to override the weaker impulses of duty and empathy.

PUBLIUS

PUBLIUS





FEDERALIST No. 30. Concerning the General Power of Taxation

From the New York Packet. Friday, December 28, 1787.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IT HAS been already observed that the federal government ought to possess the power of providing for the support of the national forces; in which proposition was intended to be included the expense of raising troops, of building and equipping fleets, and all other expenses in any wise connected with military arrangements and operations. But these are not the only objects to which the jurisdiction of the Union, in respect to revenue, must necessarily be empowered to extend. It must embrace a provision for the support of the national civil list; for the payment of the national debts contracted, or that may be contracted; and, in general, for all those matters which will call for disbursements out of the national treasury. The conclusion is, that there must be interwoven, in the frame of the government, a general power of taxation, in one shape or another.

It has already been noted that the federal government should have the authority to provide for the funding of the national forces. This includes covering the costs of raising troops, building and equipping fleets, and any other expenses related to military operations. However, these are not the only areas where the Union's jurisdiction over revenue needs to apply. It must also include provisions for supporting the national civil service, paying off national debts that have been or will be incurred, and generally addressing all matters that require spending from the national treasury. The conclusion is that there must be an overall power of taxation built into the structure of the government, in one form or another.

Money is, with propriety, considered as the vital principle of the body politic; as that which sustains its life and motion, and enables it to perform its most essential functions. A complete power, therefore, to procure a regular and adequate supply of it, as far as the resources of the community will permit, may be regarded as an indispensable ingredient in every constitution. From a deficiency in this particular, one of two evils must ensue; either the people must be subjected to continual plunder, as a substitute for a more eligible mode of supplying the public wants, or the government must sink into a fatal atrophy, and, in a short course of time, perish.

Money is rightly seen as the essential lifeblood of a society; it sustains its vitality and movement and allows it to carry out its most important functions. Therefore, having the complete ability to obtain a steady and sufficient supply of it, as much as the community's resources allow, is a crucial element in any constitution. Without this, one of two negative outcomes will occur: either the people will be subjected to constant exploitation as a substitute for a better way to meet public needs, or the government will decline into a dangerous stagnation and eventually perish.

In the Ottoman or Turkish empire, the sovereign, though in other respects absolute master of the lives and fortunes of his subjects, has no right to impose a new tax. The consequence is that he permits the bashaws or governors of provinces to pillage the people without mercy; and, in turn, squeezes out of them the sums of which he stands in need, to satisfy his own exigencies and those of the state. In America, from a like cause, the government of the Union has gradually dwindled into a state of decay, approaching nearly to annihilation. Who can doubt, that the happiness of the people in both countries would be promoted by competent authorities in the proper hands, to provide the revenues which the necessities of the public might require?

In the Ottoman or Turkish Empire, the ruler, while having complete control over the lives and fortunes of his subjects, has no authority to impose new taxes. As a result, he allows the provincial governors, or bashaws, to exploit the people without mercy; in return, he takes the money they extract to meet his own needs and those of the state. In America, for a similar reason, the federal government has gradually weakened, nearing a state of collapse. Who can argue that the well-being of the people in both countries would improve with capable leaders in charge to raise the necessary funds for public needs?

The present Confederation, feeble as it is intended to repose in the United States, an unlimited power of providing for the pecuniary wants of the Union. But proceeding upon an erroneous principle, it has been done in such a manner as entirely to have frustrated the intention. Congress, by the articles which compose that compact (as has already been stated), are authorized to ascertain and call for any sums of money necessary, in their judgment, to the service of the United States; and their requisitions, if conformable to the rule of apportionment, are in every constitutional sense obligatory upon the States. These have no right to question the propriety of the demand; no discretion beyond that of devising the ways and means of furnishing the sums demanded. But though this be strictly and truly the case; though the assumption of such a right would be an infringement of the articles of Union; though it may seldom or never have been avowedly claimed, yet in practice it has been constantly exercised, and would continue to be so, as long as the revenues of the Confederacy should remain dependent on the intermediate agency of its members. What the consequences of this system have been, is within the knowledge of every man the least conversant in our public affairs, and has been amply unfolded in different parts of these inquiries. It is this which has chiefly contributed to reduce us to a situation, which affords ample cause both of mortification to ourselves, and of triumph to our enemies.

The current Confederation, weak as it is, aims to rely on the United States for the unlimited ability to meet the financial needs of the Union. However, based on a flawed principle, it has been executed in a way that completely undermines the intention. Congress, through the articles that make up that agreement (as previously stated), is empowered to determine and request any amounts of money they deem necessary for the service of the United States; their requests, if in line with the rule of apportionment, are constitutionally binding on the States. These States have no right to challenge the validity of the demand; their only discretion is to figure out how to provide the requested amounts. But even though this is strictly and truly the case; even though claiming such a right would violate the articles of Union; and even though it may seldom or never have been openly asserted, it has been consistently exercised in practice and will continue to be as long as the Confederacy's revenues are dependent on the intermediary role of its members. The consequences of this system are well-known to anyone with even a basic understanding of our public affairs and have been thoroughly explored in various parts of these inquiries. This is what has primarily contributed to putting us in a position that gives plenty of reason for both our embarrassment and our enemies' triumph.

What remedy can there be for this situation, but in a change of the system which has produced it in a change of the fallacious and delusive system of quotas and requisitions? What substitute can there be imagined for this ignis fatuus in finance, but that of permitting the national government to raise its own revenues by the ordinary methods of taxation authorized in every well-ordered constitution of civil government? Ingenious men may declaim with plausibility on any subject; but no human ingenuity can point out any other expedient to rescue us from the inconveniences and embarrassments naturally resulting from defective supplies of the public treasury.

What remedy can there be for this situation except a change in the system that created it, specifically the flawed and misleading system of quotas and requisitions? What alternative can we imagine for this deceptive financial approach, other than allowing the national government to generate its own revenue through the standard methods of taxation found in every properly structured constitution? Clever individuals might convincingly argue on various topics, but no amount of human creativity can suggest any other solution to free us from the problems and difficulties that inevitably arise from insufficient funding in the public treasury.

The more intelligent adversaries of the new Constitution admit the force of this reasoning; but they qualify their admission by a distinction between what they call INTERNAL and EXTERNAL taxation. The former they would reserve to the State governments; the latter, which they explain into commercial imposts, or rather duties on imported articles, they declare themselves willing to concede to the federal head. This distinction, however, would violate the maxim of good sense and sound policy, which dictates that every POWER ought to be in proportion to its OBJECT; and would still leave the general government in a kind of tutelage to the State governments, inconsistent with every idea of vigor or efficiency. Who can pretend that commercial imposts are, or would be, alone equal to the present and future exigencies of the Union? Taking into the account the existing debt, foreign and domestic, upon any plan of extinguishment which a man moderately impressed with the importance of public justice and public credit could approve, in addition to the establishments which all parties will acknowledge to be necessary, we could not reasonably flatter ourselves, that this resource alone, upon the most improved scale, would even suffice for its present necessities. Its future necessities admit not of calculation or limitation; and upon the principle, more than once adverted to, the power of making provision for them as they arise ought to be equally unconfined. I believe it may be regarded as a position warranted by the history of mankind, that, IN THE USUAL PROGRESS OF THINGS, THE NECESSITIES OF A NATION, IN EVERY STAGE OF ITS EXISTENCE, WILL BE FOUND AT LEAST EQUAL TO ITS RESOURCES.

The more knowledgeable opponents of the new Constitution acknowledge the validity of this argument, but they qualify their acknowledgment by distinguishing between what they call INTERNAL and EXTERNAL taxation. They want to reserve internal taxation for state governments while conceding external taxes, which they interpret as commercial tariffs or duties on imported goods, to the federal government. However, this distinction would contradict the principle of common sense and sound policy, which states that every POWER should match its OBJECT. It would also put the federal government in a subordinate position to the state governments, which goes against the idea of strength or efficiency. Who can claim that commercial tariffs would be enough to meet the current and future needs of the Union? Considering the existing debt, both foreign and domestic, under any reasonable plan for repayment that someone who values public justice and credit could endorse, along with the necessary institutions that everyone agrees are essential, we cannot realistically expect that this single resource, even at its most optimized level, would meet our present needs. Future needs cannot be precisely calculated or limited, and based on the principle mentioned before, the ability to address these needs as they come should also be unrestricted. I believe it can be viewed as a fact supported by human history that, IN THE USUAL PROGRESS OF THINGS, A NATION'S NECESSITIES, AT EVERY STAGE OF ITS EXISTENCE, WILL ALMOST ALWAYS BE AT LEAST EQUAL TO ITS RESOURCES.

To say that deficiencies may be provided for by requisitions upon the States, is on the one hand to acknowledge that this system cannot be depended upon, and on the other hand to depend upon it for every thing beyond a certain limit. Those who have carefully attended to its vices and deformities as they have been exhibited by experience or delineated in the course of these papers, must feel invincible repugnancy to trusting the national interests in any degree to its operation. Its inevitable tendency, whenever it is brought into activity, must be to enfeeble the Union, and sow the seeds of discord and contention between the federal head and its members, and between the members themselves. Can it be expected that the deficiencies would be better supplied in this mode than the total wants of the Union have heretofore been supplied in the same mode? It ought to be recollected that if less will be required from the States, they will have proportionably less means to answer the demand. If the opinions of those who contend for the distinction which has been mentioned were to be received as evidence of truth, one would be led to conclude that there was some known point in the economy of national affairs at which it would be safe to stop and to say: Thus far the ends of public happiness will be promoted by supplying the wants of government, and all beyond this is unworthy of our care or anxiety. How is it possible that a government half supplied and always necessitous, can fulfill the purposes of its institution, can provide for the security, advance the prosperity, or support the reputation of the commonwealth? How can it ever possess either energy or stability, dignity or credit, confidence at home or respectability abroad? How can its administration be any thing else than a succession of expedients temporizing, impotent, disgraceful? How will it be able to avoid a frequent sacrifice of its engagements to immediate necessity? How can it undertake or execute any liberal or enlarged plans of public good?

To say that shortfalls can be addressed by requests to the states acknowledges, on one hand, that this system isn’t reliable, while on the other hand, it relies on it for everything beyond a certain point. Those who have closely examined its flaws and shortcomings, as shown by experience or described in these documents, must feel a strong reluctance to trust the nation's interests to it in any capacity. Its unavoidable outcome, whenever it is activated, will weaken the Union and create discord and conflict between the federal authority and its members, as well as among the members themselves. Can we really expect these shortfalls to be met this way any better than the overall needs of the Union have been handled before? It's important to remember that if less is required from the states, they will have proportionately fewer resources to meet the demand. If the views of those who support the distinction previously mentioned were accepted as truth, one might conclude that there's a known point in the management of national affairs where it would be safe to stop and say: up to this point, meeting government needs promotes public happiness, and everything beyond this is not worthy of our concern. How can a partially funded government that is always in need fulfill its intended purposes, ensure security, enhance prosperity, or uphold the reputation of the commonwealth? How can it ever possess energy or stability, dignity or credibility, trust at home or respect overseas? How can its administration be anything but a series of temporary, impotent, and shameful solutions? How will it avoid frequently sacrificing its commitments to immediate necessity? How can it pursue or implement any broad or ambitious plans for public good?

Let us attend to what would be the effects of this situation in the very first war in which we should happen to be engaged. We will presume, for argument's sake, that the revenue arising from the impost duties answers the purposes of a provision for the public debt and of a peace establishment for the Union. Thus circumstanced, a war breaks out. What would be the probable conduct of the government in such an emergency? Taught by experience that proper dependence could not be placed on the success of requisitions, unable by its own authority to lay hold of fresh resources, and urged by considerations of national danger, would it not be driven to the expedient of diverting the funds already appropriated from their proper objects to the defense of the State? It is not easy to see how a step of this kind could be avoided; and if it should be taken, it is evident that it would prove the destruction of public credit at the very moment that it was becoming essential to the public safety. To imagine that at such a crisis credit might be dispensed with, would be the extreme of infatuation. In the modern system of war, nations the most wealthy are obliged to have recourse to large loans. A country so little opulent as ours must feel this necessity in a much stronger degree. But who would lend to a government that prefaced its overtures for borrowing by an act which demonstrated that no reliance could be placed on the steadiness of its measures for paying? The loans it might be able to procure would be as limited in their extent as burdensome in their conditions. They would be made upon the same principles that usurers commonly lend to bankrupt and fraudulent debtors, with a sparing hand and at enormous premiums.

Let's consider the effects of this situation in the very first war we might be involved in. For the sake of argument, we'll assume that the revenue from duties is sufficient to cover the public debt and maintain a peacetime setup for the Union. In this scenario, a war breaks out. How would the government likely respond during such a crisis? Having learned that it can't rely on the success of requests for funding, unable to secure new resources on its own, and facing national danger, wouldn't it be forced to redirect funds already allocated for other purposes to defend the state? It's hard to see how this could be avoided; if it happens, it would certainly damage public credit right when it becomes crucial for public safety. To think that credit could be overlooked in such a time would be extremely naïve. In today's warfare, even the wealthiest nations need to take out large loans. A country as financially limited as ours would feel this need even more urgently. But who would lend to a government that signals a lack of commitment to consistent repayment before even asking for a loan? Any loans it could manage to get would be scarce and come with harsh terms, similar to how moneylenders treat bankrupt or dishonest borrowers, offering help grudgingly and at high interest rates.

It may perhaps be imagined that, from the scantiness of the resources of the country, the necessity of diverting the established funds in the case supposed would exist, though the national government should possess an unrestrained power of taxation. But two considerations will serve to quiet all apprehension on this head: one is, that we are sure the resources of the community, in their full extent, will be brought into activity for the benefit of the Union; the other is, that whatever deficiences there may be, can without difficulty be supplied by loans.

It might be assumed that, due to the limited resources of the country, there would be a need to redirect the established funds in the given situation, even if the national government had full power to tax. However, two points will alleviate any concerns about this: first, we are confident that the community's resources will be fully utilized for the benefit of the Union; second, any shortfalls can easily be covered by loans.

The power of creating new funds upon new objects of taxation, by its own authority, would enable the national government to borrow as far as its necessities might require. Foreigners, as well as the citizens of America, could then reasonably repose confidence in its engagements; but to depend upon a government that must itself depend upon thirteen other governments for the means of fulfilling its contracts, when once its situation is clearly understood, would require a degree of credulity not often to be met with in the pecuniary transactions of mankind, and little reconcilable with the usual sharp-sightedness of avarice.

The ability to create new taxes at will would allow the national government to borrow as much as it needed. This would inspire confidence in its commitments from both foreign investors and American citizens. However, relying on a government that depends on thirteen other governments to meet its obligations would demand an unusual level of trust that isn’t commonly found in financial dealings, and it would clash with the usual shrewdness associated with greed.

Reflections of this kind may have trifling weight with men who hope to see realized in America the halcyon scenes of the poetic or fabulous age; but to those who believe we are likely to experience a common portion of the vicissitudes and calamities which have fallen to the lot of other nations, they must appear entitled to serious attention. Such men must behold the actual situation of their country with painful solicitude, and deprecate the evils which ambition or revenge might, with too much facility, inflict upon it.

Reflections like these might not matter much to those who dream of bringing to life the idyllic scenes from a poetic or legendary age in America. However, for those who think we are bound to face the same struggles and hardships that other nations have experienced, these thoughts deserve serious consideration. Such people must view the current situation of their country with deep concern and worry about the harms that ambition or revenge could easily inflict upon it.

PUBLIUS

PUBLIUS





FEDERALIST No. 31. The Same Subject Continued (Concerning the General Power of Taxation)

From the New York Packet. Tuesday, January 1, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IN DISQUISITIONS of every kind, there are certain primary truths, or first principles, upon which all subsequent reasonings must depend. These contain an internal evidence which, antecedent to all reflection or combination, commands the assent of the mind. Where it produces not this effect, it must proceed either from some defect or disorder in the organs of perception, or from the influence of some strong interest, or passion, or prejudice. Of this nature are the maxims in geometry, that "the whole is greater than its part; things equal to the same are equal to one another; two straight lines cannot enclose a space; and all right angles are equal to each other." Of the same nature are these other maxims in ethics and politics, that there cannot be an effect without a cause; that the means ought to be proportioned to the end; that every power ought to be commensurate with its object; that there ought to be no limitation of a power destined to effect a purpose which is itself incapable of limitation. And there are other truths in the two latter sciences which, if they cannot pretend to rank in the class of axioms, are yet such direct inferences from them, and so obvious in themselves, and so agreeable to the natural and unsophisticated dictates of common-sense, that they challenge the assent of a sound and unbiased mind, with a degree of force and conviction almost equally irresistible.

In discussions of all kinds, there are certain fundamental truths, or first principles, upon which all subsequent reasoning relies. These truths have an inherent certainty that, before any reflection or analysis, demands agreement from the mind. If they don't evoke this response, it must be due to some flaw or disorder in the perception organs, or from the impact of strong personal interests, emotions, or biases. Examples of such truths in geometry include "the whole is greater than its parts," "things equal to the same thing are equal to each other," "two straight lines can't enclose a space," and "all right angles are equal." Similar maxims exist in ethics and politics, such as there being no effect without a cause, the means should match the end, every power must align with its objective, and there should be no limits on a power meant to achieve an unlimited purpose. There are also other truths in these fields that, while not strictly axioms, follow directly from them, are self-evident, and align with common-sense reasoning. They command the agreement of a rational and open-minded person with a level of strength and conviction that is almost impossible to resist.

The objects of geometrical inquiry are so entirely abstracted from those pursuits which stir up and put in motion the unruly passions of the human heart, that mankind, without difficulty, adopt not only the more simple theorems of the science, but even those abstruse paradoxes which, however they may appear susceptible of demonstration, are at variance with the natural conceptions which the mind, without the aid of philosophy, would be led to entertain upon the subject. The INFINITE DIVISIBILITY of matter, or, in other words, the INFINITE divisibility of a FINITE thing, extending even to the minutest atom, is a point agreed among geometricians, though not less incomprehensible to common-sense than any of those mysteries in religion, against which the batteries of infidelity have been so industriously leveled.

The subjects of geometric study are so completely separated from the activities that trigger and ignite the unruly passions of the human heart that people can easily accept not just the simpler theorems of the field, but even those complex paradoxes which, although they may seem to be provable, contradict the natural ideas that the mind would initially form about the topic without the help of philosophy. The INFINITE DIVISIBILITY of matter, or in other words, the INFINITE divisibility of a FINITE thing, stretching even to the smallest atom, is a point agreed upon by geometers, yet it remains just as incomprehensible to common sense as any of the mysteries in religion that skeptics have so diligently attacked.

But in the sciences of morals and politics, men are found far less tractable. To a certain degree, it is right and useful that this should be the case. Caution and investigation are a necessary armor against error and imposition. But this untractableness may be carried too far, and may degenerate into obstinacy, perverseness, or disingenuity. Though it cannot be pretended that the principles of moral and political knowledge have, in general, the same degree of certainty with those of the mathematics, yet they have much better claims in this respect than, to judge from the conduct of men in particular situations, we should be disposed to allow them. The obscurity is much oftener in the passions and prejudices of the reasoner than in the subject. Men, upon too many occasions, do not give their own understandings fair play; but, yielding to some untoward bias, they entangle themselves in words and confound themselves in subtleties.

But in the fields of ethics and politics, people are often much less open-minded. To some extent, it makes sense and is beneficial for this to be the case. Being cautious and doing thorough research are essential defenses against mistakes and manipulation. However, this stubbornness can be taken too far and can turn into obstinacy, stubbornness, or dishonesty. While it's true that the principles of moral and political understanding don’t generally have the same level of certainty as mathematics, they have far more legitimate claims in this regard than we might assume based on how people behave in specific situations. The confusion often lies more in the emotions and biases of the person reasoning than in the subject itself. Too often, people don’t give their own reasoning a fair chance; instead, they give in to some negative influence, getting caught up in words and confusing themselves with complexities.

How else could it happen (if we admit the objectors to be sincere in their opposition), that positions so clear as those which manifest the necessity of a general power of taxation in the government of the Union, should have to encounter any adversaries among men of discernment? Though these positions have been elsewhere fully stated, they will perhaps not be improperly recapitulated in this place, as introductory to an examination of what may have been offered by way of objection to them. They are in substance as follows:

How else could it happen (if we accept that the critics genuinely oppose it) that such clear arguments showing the need for a general power of taxation in the federal government could face any opposition from discerning individuals? Although these arguments have been thoroughly presented elsewhere, it might be helpful to briefly recap them here as a way to introduce an examination of what objections may have been raised against them. They essentially are as follows:

A government ought to contain in itself every power requisite to the full accomplishment of the objects committed to its care, and to the complete execution of the trusts for which it is responsible, free from every other control but a regard to the public good and to the sense of the people.

A government should have all the necessary powers to fully achieve the goals assigned to it and to completely fulfill the responsibilities it holds, with no other controls except for a focus on the public good and the opinion of the people.

As the duties of superintending the national defense and of securing the public peace against foreign or domestic violence involve a provision for casualties and dangers to which no possible limits can be assigned, the power of making that provision ought to know no other bounds than the exigencies of the nation and the resources of the community.

As the responsibilities of overseeing national defense and maintaining public peace against both foreign and domestic threats involve preparation for unforeseen events and dangers that can't be precisely measured, the authority to make such preparations should only be limited by the needs of the nation and the resources available to the community.

As revenue is the essential engine by which the means of answering the national exigencies must be procured, the power of procuring that article in its full extent must necessarily be comprehended in that of providing for those exigencies.

As revenue is the crucial engine for securing the resources needed to address national emergencies, the ability to generate that revenue in full must be inherently included in the capacity to manage those emergencies.

As theory and practice conspire to prove that the power of procuring revenue is unavailing when exercised over the States in their collective capacities, the federal government must of necessity be invested with an unqualified power of taxation in the ordinary modes.

As theory and practice show that the ability to collect revenue is ineffective when applied to the States as a whole, the federal government must necessarily be granted an absolute power of taxation in the usual ways.

Did not experience evince the contrary, it would be natural to conclude that the propriety of a general power of taxation in the national government might safely be permitted to rest on the evidence of these propositions, unassisted by any additional arguments or illustrations. But we find, in fact, that the antagonists of the proposed Constitution, so far from acquiescing in their justness or truth, seem to make their principal and most zealous effort against this part of the plan. It may therefore be satisfactory to analyze the arguments with which they combat it.

If experience didn't show the opposite, it would make sense to conclude that the appropriateness of a general taxation power in the national government could rest on the evidence of these claims without needing any extra arguments or examples. However, we actually see that the opponents of the proposed Constitution, rather than accepting their validity or truth, appear to be making their main and most passionate effort against this aspect of the plan. It might therefore be helpful to examine the arguments they use to challenge it.

Those of them which have been most labored with that view, seem in substance to amount to this: "It is not true, because the exigencies of the Union may not be susceptible of limitation, that its power of laying taxes ought to be unconfined. Revenue is as requisite to the purposes of the local administrations as to those of the Union; and the former are at least of equal importance with the latter to the happiness of the people. It is, therefore, as necessary that the State governments should be able to command the means of supplying their wants, as that the national government should possess the like faculty in respect to the wants of the Union. But an indefinite power of taxation in the LATTER might, and probably would in time, deprive the FORMER of the means of providing for their own necessities; and would subject them entirely to the mercy of the national legislature. As the laws of the Union are to become the supreme law of the land, as it is to have power to pass all laws that may be NECESSARY for carrying into execution the authorities with which it is proposed to vest it, the national government might at any time abolish the taxes imposed for State objects upon the pretense of an interference with its own. It might allege a necessity of doing this in order to give efficacy to the national revenues. And thus all the resources of taxation might by degrees become the subjects of federal monopoly, to the entire exclusion and destruction of the State governments."

Those who have put in the most effort to understand this seem to agree on this point: "Just because the needs of the Union might not be limited, it doesn’t mean its power to impose taxes should be unlimited. Revenue is just as essential for local governments as it is for the Union, and the needs of local governments are at least as important as those of the Union for the happiness of the people. Therefore, it’s just as necessary for state governments to have the means to meet their needs as it is for the national government to have the same ability for the Union’s needs. However, an unlimited power of taxation in the latter could, and likely would over time, leave the former without the means to address their own necessities, placing them entirely at the mercy of the national legislature. Since the laws of the Union are to be the supreme law of the land, and it has the power to enact all laws necessary to carry out its designated authorities, the national government could at any moment eliminate the taxes instituted for state purposes under the guise of them interfering with its own needs. It could argue that doing this is necessary to enhance national revenues. And thus, little by little, all sources of taxation could become a federal monopoly, completely excluding and undermining state governments."

This mode of reasoning appears sometimes to turn upon the supposition of usurpation in the national government; at other times it seems to be designed only as a deduction from the constitutional operation of its intended powers. It is only in the latter light that it can be admitted to have any pretensions to fairness. The moment we launch into conjectures about the usurpations of the federal government, we get into an unfathomable abyss, and fairly put ourselves out of the reach of all reasoning. Imagination may range at pleasure till it gets bewildered amidst the labyrinths of an enchanted castle, and knows not on which side to turn to extricate itself from the perplexities into which it has so rashly adventured. Whatever may be the limits or modifications of the powers of the Union, it is easy to imagine an endless train of possible dangers; and by indulging an excess of jealousy and timidity, we may bring ourselves to a state of absolute scepticism and irresolution. I repeat here what I have observed in substance in another place, that all observations founded upon the danger of usurpation ought to be referred to the composition and structure of the government, not to the nature or extent of its powers. The State governments, by their original constitutions, are invested with complete sovereignty. In what does our security consist against usurpation from that quarter? Doubtless in the manner of their formation, and in a due dependence of those who are to administer them upon the people. If the proposed construction of the federal government be found, upon an impartial examination of it, to be such as to afford, to a proper extent, the same species of security, all apprehensions on the score of usurpation ought to be discarded.

This way of thinking sometimes relies on the idea of the national government overstepping its bounds; other times it seems to focus only on drawing conclusions from how its powers were intended to function. It's only when viewed in this latter way that it can be considered somewhat fair. Once we start speculating about the overreach of the federal government, we plunge into a confusing void where logical reasoning slips away. Our imaginations can wander freely until they become lost in the complexities of a magical castle and have no idea how to escape the confusion they’ve carelessly entered. Regardless of the limits or adjustments to the powers of the Union, it’s easy to envision an endless stream of potential threats; by being overly cautious and fearful, we can end up in a state of complete doubt and indecision. I restate what I’ve said before: all concerns about the threat of overreach should focus on the makeup and structure of the government, not on the nature or extent of its powers. The state governments, by their original designs, are given full sovereignty. Where does our protection against overreach from that side come from? Certainly from how they are formed and from the accountability of those who run them to the people. If a careful examination shows that the proposed interpretation of the federal government provides, to a reasonable degree, the same type of protection, then all fears regarding overreach should be put aside.

It should not be forgotten that a disposition in the State governments to encroach upon the rights of the Union is quite as probable as a disposition in the Union to encroach upon the rights of the State governments. What side would be likely to prevail in such a conflict, must depend on the means which the contending parties could employ toward insuring success. As in republics strength is always on the side of the people, and as there are weighty reasons to induce a belief that the State governments will commonly possess most influence over them, the natural conclusion is that such contests will be most apt to end to the disadvantage of the Union; and that there is greater probability of encroachments by the members upon the federal head, than by the federal head upon the members. But it is evident that all conjectures of this kind must be extremely vague and fallible: and that it is by far the safest course to lay them altogether aside, and to confine our attention wholly to the nature and extent of the powers as they are delineated in the Constitution. Every thing beyond this must be left to the prudence and firmness of the people; who, as they will hold the scales in their own hands, it is to be hoped, will always take care to preserve the constitutional equilibrium between the general and the State governments. Upon this ground, which is evidently the true one, it will not be difficult to obviate the objections which have been made to an indefinite power of taxation in the United States.

It shouldn't be overlooked that state governments might try to infringe on the rights of the Union just as likely as the Union might infringe on the rights of state governments. Which side would prevail in such a conflict would depend on the resources each side could use to secure their success. In a republic, power usually lies with the people, and there are strong reasons to believe that state governments will often have more influence over them. Therefore, it's reasonable to conclude that these conflicts are more likely to disadvantage the Union, and that state members will encroach more on federal authority than the other way around. However, it's clear that any guesses about this are pretty unclear and unreliable: the best approach is to set those thoughts aside and focus entirely on the powers outlined in the Constitution. Everything beyond that should be left to the judgment and determination of the people, who, as they hold the balance of power, should hopefully ensure that the constitutional balance between the federal and state governments is maintained. Based on this understanding, it shouldn't be hard to address the concerns that have been raised about giving the United States an unlimited power to tax.

PUBLIUS

PUBLIUS





FEDERALIST No. 32. The Same Subject Continued (Concerning the General Power of Taxation)

From The Independent Journal. Wednesday, January 2, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York State:

ALTHOUGH I am of opinion that there would be no real danger of the consequences which seem to be apprehended to the State governments from a power in the Union to control them in the levies of money, because I am persuaded that the sense of the people, the extreme hazard of provoking the resentments of the State governments, and a conviction of the utility and necessity of local administrations for local purposes, would be a complete barrier against the oppressive use of such a power; yet I am willing here to allow, in its full extent, the justness of the reasoning which requires that the individual States should possess an independent and uncontrollable authority to raise their own revenues for the supply of their own wants. And making this concession, I affirm that (with the sole exception of duties on imports and exports) they would, under the plan of the convention, retain that authority in the most absolute and unqualified sense; and that an attempt on the part of the national government to abridge them in the exercise of it, would be a violent assumption of power, unwarranted by any article or clause of its Constitution.

ALTHOUGH I believe there is no real danger to state governments from the federal power to control their money collection, because I am convinced that the people's will, the serious risk of upsetting state governments, and the understanding of the importance of local governance for local needs would act as strong protections against the misuse of such power; I am willing to fully accept that individual states should have an independent and uncontrollable authority to raise their own revenues for their own needs. With this agreement, I assert that, except for duties on imports and exports, they would maintain that authority under the convention's plan in the most complete sense; and that any attempt by the national government to limit that authority would be an unjust claim to power, unsupported by any part of its Constitution.

An entire consolidation of the States into one complete national sovereignty would imply an entire subordination of the parts; and whatever powers might remain in them, would be altogether dependent on the general will. But as the plan of the convention aims only at a partial union or consolidation, the State governments would clearly retain all the rights of sovereignty which they before had, and which were not, by that act, EXCLUSIVELY delegated to the United States. This exclusive delegation, or rather this alienation, of State sovereignty, would only exist in three cases: where the Constitution in express terms granted an exclusive authority to the Union; where it granted in one instance an authority to the Union, and in another prohibited the States from exercising the like authority; and where it granted an authority to the Union, to which a similar authority in the States would be absolutely and totally CONTRADICTORY and REPUGNANT. I use these terms to distinguish this last case from another which might appear to resemble it, but which would, in fact, be essentially different; I mean where the exercise of a concurrent jurisdiction might be productive of occasional interferences in the POLICY of any branch of administration, but would not imply any direct contradiction or repugnancy in point of constitutional authority. These three cases of exclusive jurisdiction in the federal government may be exemplified by the following instances: The last clause but one in the eighth section of the first article provides expressly that Congress shall exercise "EXCLUSIVE LEGISLATION" over the district to be appropriated as the seat of government. This answers to the first case. The first clause of the same section empowers Congress "to lay and collect taxes, duties, imposts and excises"; and the second clause of the tenth section of the same article declares that, "NO STATE SHALL, without the consent of Congress, lay any imposts or duties on imports or exports, except for the purpose of executing its inspection laws." Hence would result an exclusive power in the Union to lay duties on imports and exports, with the particular exception mentioned; but this power is abridged by another clause, which declares that no tax or duty shall be laid on articles exported from any State; in consequence of which qualification, it now only extends to the DUTIES ON IMPORTS. This answers to the second case. The third will be found in that clause which declares that Congress shall have power "to establish an UNIFORM RULE of naturalization throughout the United States." This must necessarily be exclusive; because if each State had power to prescribe a DISTINCT RULE, there could not be a UNIFORM RULE.

A complete unification of the States into one national government would mean total subordination of the individual states; any powers left to them would completely depend on the national will. However, since the convention's plan only seeks a partial union or consolidation, the State governments would clearly keep all the rights of sovereignty they previously held that were not, by that act, EXCLUSIVELY given to the United States. This exclusive delegation, or rather this loss of State sovereignty, would only occur in three scenarios: where the Constitution explicitly grants exclusive authority to the Union; where it grants authority to the Union in one instance while prohibiting the States from exercising similar authority in another; and where it grants authority to the Union that would directly and completely conflict with the authority of the States. I use these terms to differentiate this last case from another that might seem similar, but is actually quite different; I mean where the exercise of shared authority could lead to occasional interference in the policies of any part of the government, but would not indicate any direct contradiction or conflict regarding constitutional authority. These three cases of exclusive jurisdiction in the federal government can be illustrated by the following examples: The second-to-last clause in the eighth section of the first article explicitly states that Congress shall exercise "EXCLUSIVE LEGISLATION" over the area designated as the seat of government. This corresponds to the first case. The first clause of the same section gives Congress the power "to lay and collect taxes, duties, imposts, and excises"; and the second clause of the tenth section of the same article states that "NO STATE SHALL, without the consent of Congress, lay any imposts or duties on imports or exports, except for enforcing its inspection laws." Thus, the Union has exclusive power to impose duties on imports and exports, with the specific exception noted; but this power is limited by another clause, which says that no tax or duty shall be imposed on articles exported from any State, meaning it now only applies to DUTIES ON IMPORTS. This illustrates the second case. The third can be found in the clause stating that Congress shall have the power "to establish a UNIFORM RULE of naturalization throughout the United States." This must be exclusive; if each State had the authority to set a DISTINCT RULE, a UNIFORM RULE would be impossible.

A case which may perhaps be thought to resemble the latter, but which is in fact widely different, affects the question immediately under consideration. I mean the power of imposing taxes on all articles other than exports and imports. This, I contend, is manifestly a concurrent and coequal authority in the United States and in the individual States. There is plainly no expression in the granting clause which makes that power EXCLUSIVE in the Union. There is no independent clause or sentence which prohibits the States from exercising it. So far is this from being the case, that a plain and conclusive argument to the contrary is to be deduced from the restraint laid upon the States in relation to duties on imports and exports. This restriction implies an admission that, if it were not inserted, the States would possess the power it excludes; and it implies a further admission, that as to all other taxes, the authority of the States remains undiminished. In any other view it would be both unnecessary and dangerous; it would be unnecessary, because if the grant to the Union of the power of laying such duties implied the exclusion of the States, or even their subordination in this particular, there could be no need of such a restriction; it would be dangerous, because the introduction of it leads directly to the conclusion which has been mentioned, and which, if the reasoning of the objectors be just, could not have been intended; I mean that the States, in all cases to which the restriction did not apply, would have a concurrent power of taxation with the Union. The restriction in question amounts to what lawyers call a NEGATIVE PREGNANT that is, a NEGATION of one thing, and an AFFIRMANCE of another; a negation of the authority of the States to impose taxes on imports and exports, and an affirmance of their authority to impose them on all other articles. It would be mere sophistry to argue that it was meant to exclude them ABSOLUTELY from the imposition of taxes of the former kind, and to leave them at liberty to lay others SUBJECT TO THE CONTROL of the national legislature. The restraining or prohibitory clause only says, that they shall not, WITHOUT THE CONSENT OF CONGRESS, lay such duties; and if we are to understand this in the sense last mentioned, the Constitution would then be made to introduce a formal provision for the sake of a very absurd conclusion; which is, that the States, WITH THE CONSENT of the national legislature, might tax imports and exports; and that they might tax every other article, UNLESS CONTROLLED by the same body. If this was the intention, why not leave it, in the first instance, to what is alleged to be the natural operation of the original clause, conferring a general power of taxation upon the Union? It is evident that this could not have been the intention, and that it will not bear a construction of the kind.

A case that might seem similar to the one mentioned earlier, yet is actually quite different, pertains to the issue we're discussing right now. I'm referring to the authority to impose taxes on all goods except for exports and imports. I argue that this is clearly a shared and equal power between the United States and the individual States. There is no clear wording in the granting clause that makes this power EXCLUSIVE to the Union. There is no part of the text that prohibits the States from exercising it. In fact, the opposite is implied, as seen in the restrictions placed on the States regarding duties on imports and exports. This limitation suggests that if it weren’t there, the States would have the power that it restricts; and it implies that for all other taxes, the authority of the States remains intact. Viewing it any other way would be both unnecessary and risky; it would be unnecessary because if granting the Union the power to impose such duties meant excluding the States or making them subordinate in this area, then such a restriction wouldn’t be needed; it would be risky because including it leads directly to the conclusion mentioned earlier, which, if the objectors are correct, couldn’t have been intended. This conclusion is that the States would have a concurrent power to tax alongside the Union in all cases not covered by the restriction. The restriction in question is something lawyers call a NEGATIVE PREGNANT, which means a negation of one thing and an affirmation of another; it negates the States' authority to impose taxes on imports and exports while affirming their authority to do so on all other goods. It would be pure sophistry to argue that this was intended to completely exclude them from taxing the former type while allowing them to tax others subject to the national legislature's control. The restraining clause merely states that they shall not impose such duties WITHOUT THE CONSENT OF CONGRESS; and if we interpret this as suggested, the Constitution would be making an absurd provision whereby the States, WITH THE CONSENT of the national legislature, could tax imports and exports, and could tax everything else UNLESS CONTROLLED by the same authority. If that was the aim, why not just allow it from the beginning based on the supposed natural function of the original clause that grants a general power of taxation to the Union? It's clear that this can’t have been the intention, and it doesn’t support that kind of interpretation.

As to a supposition of repugnancy between the power of taxation in the States and in the Union, it cannot be supported in that sense which would be requisite to work an exclusion of the States. It is, indeed, possible that a tax might be laid on a particular article by a State which might render it INEXPEDIENT that thus a further tax should be laid on the same article by the Union; but it would not imply a constitutional inability to impose a further tax. The quantity of the imposition, the expediency or inexpediency of an increase on either side, would be mutually questions of prudence; but there would be involved no direct contradiction of power. The particular policy of the national and of the State systems of finance might now and then not exactly coincide, and might require reciprocal forbearances. It is not, however a mere possibility of inconvenience in the exercise of powers, but an immediate constitutional repugnancy that can by implication alienate and extinguish a pre-existing right of sovereignty.

Regarding the idea of conflict between the power to tax at the state level and at the federal level, it can't be argued in a way that would justify excluding the states. It's true that a state might impose a tax on a specific item that would make it unwise for the federal government to tax that same item further; however, this doesn't mean that there's a constitutional restriction against the federal government imposing an additional tax. The amount of tax, and whether increasing it would be wise or unwise for either side, would be matters of judgment, but they wouldn't create a direct conflict of authority. The financial policies of the national and state systems might not always align perfectly and may require mutual consideration. It's not just a potential inconvenience in exercising powers, but a direct constitutional conflict that could, by implication, alienate and eliminate an existing right of sovereignty.

The necessity of a concurrent jurisdiction in certain cases results from the division of the sovereign power; and the rule that all authorities, of which the States are not explicitly divested in favor of the Union, remain with them in full vigor, is not a theoretical consequence of that division, but is clearly admitted by the whole tenor of the instrument which contains the articles of the proposed Constitution. We there find that, notwithstanding the affirmative grants of general authorities, there has been the most pointed care in those cases where it was deemed improper that the like authorities should reside in the States, to insert negative clauses prohibiting the exercise of them by the States. The tenth section of the first article consists altogether of such provisions. This circumstance is a clear indication of the sense of the convention, and furnishes a rule of interpretation out of the body of the act, which justifies the position I have advanced and refutes every hypothesis to the contrary.

The need for shared authority in certain cases comes from the division of sovereign power. The rule that all powers not explicitly taken away from the States in favor of the Union remain with the States is not just a theoretical result of that division; it’s clearly supported by the entire text of the proposed Constitution. We can see that, even with the specific grants of general powers, there has been careful attention in instances where it was considered inappropriate for the States to have similar powers, to include negative clauses that prevent States from exercising those powers. The tenth section of the first article is made up entirely of such provisions. This fact clearly shows the intention of the convention and provides a guideline for interpreting the act, backing up my argument and disproving any opposing theories.

PUBLIUS

PUBLIUS





FEDERALIST No. 33. The Same Subject Continued (Concerning the General Power of Taxation)

From The Independent Journal. Wednesday, January 2, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE residue of the argument against the provisions of the Constitution in respect to taxation is ingrafted upon the following clause. The last clause of the eighth section of the first article of the plan under consideration authorizes the national legislature "to make all laws which shall be NECESSARY and PROPER for carrying into execution THE POWERS by that Constitution vested in the government of the United States, or in any department or officer thereof"; and the second clause of the sixth article declares, "that the Constitution and the laws of the United States made IN PURSUANCE THEREOF, and the treaties made by their authority shall be the SUPREME LAW of the land, any thing in the constitution or laws of any State to the contrary notwithstanding."

THE remaining argument against the taxation provisions of the Constitution is based on the following clause. The last clause of the eighth section of the first article of the plan being discussed allows the national legislature "to make all laws that are NECESSARY and PROPER for carrying out THE POWERS granted by that Constitution to the government of the United States, or to any department or officer thereof"; and the second clause of the sixth article states, "that the Constitution and the laws of the United States made IN PURSUANCE THEREOF, and the treaties made under their authority shall be the SUPREME LAW of the land, anything in the constitution or laws of any State to the contrary notwithstanding."

These two clauses have been the source of much virulent invective and petulant declamation against the proposed Constitution. They have been held up to the people in all the exaggerated colors of misrepresentation as the pernicious engines by which their local governments were to be destroyed and their liberties exterminated; as the hideous monster whose devouring jaws would spare neither sex nor age, nor high nor low, nor sacred nor profane; and yet, strange as it may appear, after all this clamor, to those who may not have happened to contemplate them in the same light, it may be affirmed with perfect confidence that the constitutional operation of the intended government would be precisely the same, if these clauses were entirely obliterated, as if they were repeated in every article. They are only declaratory of a truth which would have resulted by necessary and unavoidable implication from the very act of constituting a federal government, and vesting it with certain specified powers. This is so clear a proposition, that moderation itself can scarcely listen to the railings which have been so copiously vented against this part of the plan, without emotions that disturb its equanimity.

These two clauses have sparked a lot of intense criticism and angry speeches against the proposed Constitution. They've been portrayed to the public in exaggerated terms as dangerous tools that would destroy their local governments and wipe out their freedoms; as a terrible monster with jaws that would not spare anyone, regardless of age, status, or what is considered sacred or profane. Yet, strangely enough, despite all this uproar, for those who may not view them the same way, it can be confidently stated that the constitutional functioning of the proposed government would be exactly the same if these clauses were completely removed as it would be if they were included in every article. They simply express a truth that would have inevitably arisen from the very act of creating a federal government and granting it specific powers. This is such a clear point that even a moderate person can hardly listen to the numerous complaints directed at this part of the plan without feeling disturbed.

What is a power, but the ability or faculty of doing a thing? What is the ability to do a thing, but the power of employing the MEANS necessary to its execution? What is a LEGISLATIVE power, but a power of making LAWS? What are the MEANS to execute a LEGISLATIVE power but LAWS? What is the power of laying and collecting taxes, but a LEGISLATIVE POWER, or a power of MAKING LAWS, to lay and collect taxes? What are the proper means of executing such a power, but NECESSARY and PROPER laws?

What is power, if not the ability to do something? What is the ability to do something, if not the power to use the means needed to carry it out? What is legislative power, if not the power to make laws? What are the means to exercise legislative power if not laws? What is the power to impose and collect taxes, if not legislative power, or the power to make laws to impose and collect taxes? What are the appropriate means to execute such power, if not necessary and proper laws?

This simple train of inquiry furnishes us at once with a test by which to judge of the true nature of the clause complained of. It conducts us to this palpable truth, that a power to lay and collect taxes must be a power to pass all laws NECESSARY and PROPER for the execution of that power; and what does the unfortunate and calumniated provision in question do more than declare the same truth, to wit, that the national legislature, to whom the power of laying and collecting taxes had been previously given, might, in the execution of that power, pass all laws NECESSARY and PROPER to carry it into effect? I have applied these observations thus particularly to the power of taxation, because it is the immediate subject under consideration, and because it is the most important of the authorities proposed to be conferred upon the Union. But the same process will lead to the same result, in relation to all other powers declared in the Constitution. And it is EXPRESSLY to execute these powers that the sweeping clause, as it has been affectedly called, authorizes the national legislature to pass all NECESSARY and PROPER laws. If there is any thing exceptionable, it must be sought for in the specific powers upon which this general declaration is predicated. The declaration itself, though it may be chargeable with tautology or redundancy, is at least perfectly harmless.

This straightforward line of questioning immediately gives us a way to evaluate the true nature of the clause in question. It leads us to the clear truth that the power to impose and collect taxes must also include the ability to pass all laws that are NECESSARY and PROPER to carry out that power. What does the criticized provision actually do, except affirm this same truth? It states that the national legislature, which was already given the power to impose and collect taxes, can pass all laws that are NECESSARY and PROPER to execute that power. I've focused these comments specifically on taxation because it's the main issue being discussed and is the most crucial of the authorities proposed for the Union. However, the same reasoning applies to all other powers outlined in the Constitution. It is specifically to execute these powers that the so-called sweeping clause allows the national legislature to pass all NECESSARY and PROPER laws. If there's anything problematic, it should be found in the specific powers that this general statement is based on. The statement itself, even if it may seem repetitive or excessive, is at least completely harmless.

But SUSPICION may ask, Why then was it introduced? The answer is, that it could only have been done for greater caution, and to guard against all cavilling refinements in those who might hereafter feel a disposition to curtail and evade the legitimate authorities of the Union. The Convention probably foresaw, what it has been a principal aim of these papers to inculcate, that the danger which most threatens our political welfare is that the State governments will finally sap the foundations of the Union; and might therefore think it necessary, in so cardinal a point, to leave nothing to construction. Whatever may have been the inducement to it, the wisdom of the precaution is evident from the cry which has been raised against it; as that very cry betrays a disposition to question the great and essential truth which it is manifestly the object of that provision to declare.

But SUSPICION might ask, why was it introduced then? The answer is that it was probably done for extra caution, to protect against any nitpicking or objections from those who might later want to limit or evade the legitimate powers of the Union. The Convention likely anticipated, which has been a main focus of these papers, that the greatest threat to our political well-being is that state governments could eventually undermine the foundations of the Union; therefore, they probably felt it was necessary to leave nothing open to interpretation on such an important issue. Whatever the reasons for it, the wisdom of this precaution is clear from the outcry against it; that very outcry shows a tendency to challenge the significant and essential truth that this provision is clearly meant to establish.

But it may be again asked, Who is to judge of the NECESSITY and PROPRIETY of the laws to be passed for executing the powers of the Union? I answer, first, that this question arises as well and as fully upon the simple grant of those powers as upon the declaratory clause; and I answer, in the second place, that the national government, like every other, must judge, in the first instance, of the proper exercise of its powers, and its constituents in the last. If the federal government should overpass the just bounds of its authority and make a tyrannical use of its powers, the people, whose creature it is, must appeal to the standard they have formed, and take such measures to redress the injury done to the Constitution as the exigency may suggest and prudence justify. The propriety of a law, in a constitutional light, must always be determined by the nature of the powers upon which it is founded. Suppose, by some forced constructions of its authority (which, indeed, cannot easily be imagined), the Federal legislature should attempt to vary the law of descent in any State, would it not be evident that, in making such an attempt, it had exceeded its jurisdiction, and infringed upon that of the State? Suppose, again, that upon the pretense of an interference with its revenues, it should undertake to abrogate a landtax imposed by the authority of a State; would it not be equally evident that this was an invasion of that concurrent jurisdiction in respect to this species of tax, which its Constitution plainly supposes to exist in the State governments? If there ever should be a doubt on this head, the credit of it will be entirely due to those reasoners who, in the imprudent zeal of their animosity to the plan of the convention, have labored to envelop it in a cloud calculated to obscure the plainest and simplest truths.

But it may be asked again, who gets to decide the NECESSITY and PROPRIETY of the laws needed to carry out the powers of the Union? I say, first, that this question comes up just as much with the simple grant of those powers as it does with the declaratory clause; and I also say that the national government, like any other, must initially determine the proper use of its powers, while its constituents ultimately have the final say. If the federal government crosses the limits of its authority and abuses its powers, the people, who created it, must refer to the standards they established and take whatever steps necessary to correct the harm done to the Constitution based on the situation and sound judgment. The appropriateness of a law, viewed constitutionally, must always be assessed by the nature of the powers it is based on. For instance, if the Federal legislature were to try to change the law of inheritance in any State through some extreme interpretation of its authority (which is hard to imagine), wouldn't it be clear that in doing so, it would have gone beyond its jurisdiction and infringed upon that of the State? Likewise, if it claimed to be interfering with its revenues and attempted to abolish a land tax imposed by a State's authority, wouldn't it be equally obvious that this was an infringement on the shared jurisdiction regarding this type of tax, which the Constitution clearly assumes exists in State governments? If there were ever any doubt about this, the blame would rest entirely on those thinkers who, in their reckless opposition to the convention's plan, have worked to cloud the simplest and clearest truths.

But it is said that the laws of the Union are to be the SUPREME LAW of the land. But what inference can be drawn from this, or what would they amount to, if they were not to be supreme? It is evident they would amount to nothing. A LAW, by the very meaning of the term, includes supremacy. It is a rule which those to whom it is prescribed are bound to observe. This results from every political association. If individuals enter into a state of society, the laws of that society must be the supreme regulator of their conduct. If a number of political societies enter into a larger political society, the laws which the latter may enact, pursuant to the powers intrusted to it by its constitution, must necessarily be supreme over those societies, and the individuals of whom they are composed. It would otherwise be a mere treaty, dependent on the good faith of the parties, and not a government, which is only another word for POLITICAL POWER AND SUPREMACY. But it will not follow from this doctrine that acts of the large society which are NOT PURSUANT to its constitutional powers, but which are invasions of the residuary authorities of the smaller societies, will become the supreme law of the land. These will be merely acts of usurpation, and will deserve to be treated as such. Hence we perceive that the clause which declares the supremacy of the laws of the Union, like the one we have just before considered, only declares a truth, which flows immediately and necessarily from the institution of a federal government. It will not, I presume, have escaped observation, that it EXPRESSLY confines this supremacy to laws made PURSUANT TO THE CONSTITUTION; which I mention merely as an instance of caution in the convention; since that limitation would have been to be understood, though it had not been expressed.

But it's said that the laws of the Union are the SUPREME LAW of the land. What conclusion can we draw from this, or what would it even mean if they weren't supreme? It's clear that they would mean nothing at all. A LAW, by definition, implies supremacy. It's a rule that those it applies to are obligated to follow. This is inherent in every political association. If individuals form a society, the laws of that society must be the ultimate guide for their behavior. If several political societies come together to form a larger political society, the laws that this larger society creates, based on the powers granted to it by its constitution, must surely be supreme over those societies and their individuals. Otherwise, it would just be a mere treaty, relying on the goodwill of the parties, rather than a government, which is simply another term for POLITICAL POWER AND SUPREMACY. However, this principle doesn't mean that actions by the larger society that are NOT IN LINE with its constitutional powers—actions that infringe upon the remaining authorities of the smaller societies—will become the supreme law of the land. Those would just be acts of usurpation and should be treated as such. Thus, we see that the clause stating the supremacy of the laws of the Union, like the one we just discussed, merely affirms a truth that arises directly and necessarily from the establishment of a federal government. It should be noted that it EXPLICITLY limits this supremacy to laws made IN ACCORDANCE WITH THE CONSTITUTION; I mention this as an example of the caution taken by the convention, since that limitation would have been understood even if it hadn't been stated.

Though a law, therefore, laying a tax for the use of the United States would be supreme in its nature, and could not legally be opposed or controlled, yet a law for abrogating or preventing the collection of a tax laid by the authority of the State, (unless upon imports and exports), would not be the supreme law of the land, but a usurpation of power not granted by the Constitution. As far as an improper accumulation of taxes on the same object might tend to render the collection difficult or precarious, this would be a mutual inconvenience, not arising from a superiority or defect of power on either side, but from an injudicious exercise of power by one or the other, in a manner equally disadvantageous to both. It is to be hoped and presumed, however, that mutual interest would dictate a concert in this respect which would avoid any material inconvenience. The inference from the whole is, that the individual States would, under the proposed Constitution, retain an independent and uncontrollable authority to raise revenue to any extent of which they may stand in need, by every kind of taxation, except duties on imports and exports. It will be shown in the next paper that this CONCURRENT JURISDICTION in the article of taxation was the only admissible substitute for an entire subordination, in respect to this branch of power, of the State authority to that of the Union.

Although a law establishing a tax for the use of the United States would be the highest authority and couldn't be legally challenged or overridden, a law aimed at abolishing or preventing the collection of a tax imposed by state authority (except for imports and exports) wouldn't be considered the supreme law of the land, but rather an overreach of power that the Constitution doesn't permit. If there's an excessive accumulation of taxes on the same item, making collection difficult or unstable, it would be a shared inconvenience that doesn't stem from one side having more power than the other, but from poor use of power by either side, negatively impacting both. However, it’s hoped that mutual interest would lead to cooperation that prevents any significant issues. The overall conclusion is that individual States would, under the proposed Constitution, keep an independent and uncontrollable authority to generate revenue as needed through any form of taxation, except for duties on imports and exports. The next paper will show that this CONCURRENT JURISDICTION concerning taxation was the only acceptable alternative to completely subordinating state authority to that of the Union in this area of power.

PUBLIUS

PUBLIUS





FEDERALIST No. 34. The Same Subject Continued (Concerning the General Power of Taxation)

From The Independent Journal. Saturday, January 5, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

I FLATTER myself it has been clearly shown in my last number that the particular States, under the proposed Constitution, would have COEQUAL authority with the Union in the article of revenue, except as to duties on imports. As this leaves open to the States far the greatest part of the resources of the community, there can be no color for the assertion that they would not possess means as abundant as could be desired for the supply of their own wants, independent of all external control. That the field is sufficiently wide will more fully appear when we come to advert to the inconsiderable share of the public expenses for which it will fall to the lot of the State governments to provide.

I believe I've clearly shown in my last issue that the individual states, under the proposed Constitution, would have equal authority with the Union regarding revenue, except for import duties. Since this allows the states access to most of the community’s resources, there's no basis for claiming they wouldn't have ample means to meet their own needs without outside control. The scope will become even clearer when we look at the relatively small portion of public expenses that will be the responsibility of state governments.

To argue upon abstract principles that this co-ordinate authority cannot exist, is to set up supposition and theory against fact and reality. However proper such reasonings might be to show that a thing OUGHT NOT TO EXIST, they are wholly to be rejected when they are made use of to prove that it does not exist contrary to the evidence of the fact itself. It is well known that in the Roman republic the legislative authority, in the last resort, resided for ages in two different political bodies not as branches of the same legislature, but as distinct and independent legislatures, in each of which an opposite interest prevailed: in one the patrician; in the other, the plebian. Many arguments might have been adduced to prove the unfitness of two such seemingly contradictory authorities, each having power to ANNUL or REPEAL the acts of the other. But a man would have been regarded as frantic who should have attempted at Rome to disprove their existence. It will be readily understood that I allude to the COMITIA CENTURIATA and the COMITIA TRIBUTA. The former, in which the people voted by centuries, was so arranged as to give a superiority to the patrician interest; in the latter, in which numbers prevailed, the plebian interest had an entire predominancy. And yet these two legislatures coexisted for ages, and the Roman republic attained to the utmost height of human greatness.

Arguing about abstract principles to claim that this coordinated authority can't exist pits assumptions and theories against facts and reality. While such reasoning might be appropriate for arguing that something shouldn’t exist, it should be completely disregarded when used to assert that it doesn’t exist, especially when there is clear evidence to the contrary. It's well-known that in the Roman Republic, the legislative authority ultimately resided for centuries in two different political bodies, not as parts of the same legislature but as separate and independent legislatures, each with opposing interests: one represented the patricians, and the other represented the plebeians. Many arguments could have been raised to demonstrate the unfitness of two such seemingly contradictory authorities, each able to annul or repeal the other’s acts. However, anyone who tried to deny their existence in Rome would have been seen as mad. I’m referring to the COMITIA CENTURIATA and the COMITIA TRIBUTA. The former, where people voted by centuries, was designed to favor the patrician interest, while the latter, where numbers prevailed, allowed the plebeian interest to dominate completely. Yet these two legislatures coexisted for centuries, and the Roman Republic reached the peak of human greatness.

In the case particularly under consideration, there is no such contradiction as appears in the example cited; there is no power on either side to annul the acts of the other. And in practice there is little reason to apprehend any inconvenience; because, in a short course of time, the wants of the States will naturally reduce themselves within A VERY NARROW COMPASS; and in the interim, the United States will, in all probability, find it convenient to abstain wholly from those objects to which the particular States would be inclined to resort.

In this particular case, there isn’t the kind of contradiction seen in the example mentioned; neither side has the authority to undo the actions of the other. In reality, there’s little reason to worry about any issues arising because, over time, the needs of the states will likely narrow down significantly. Meanwhile, the United States will probably find it easier to completely avoid the issues that the individual states might want to address.

To form a more precise judgment of the true merits of this question, it will be well to advert to the proportion between the objects that will require a federal provision in respect to revenue, and those which will require a State provision. We shall discover that the former are altogether unlimited, and that the latter are circumscribed within very moderate bounds. In pursuing this inquiry, we must bear in mind that we are not to confine our view to the present period, but to look forward to remote futurity. Constitutions of civil government are not to be framed upon a calculation of existing exigencies, but upon a combination of these with the probable exigencies of ages, according to the natural and tried course of human affairs. Nothing, therefore, can be more fallacious than to infer the extent of any power, proper to be lodged in the national government, from an estimate of its immediate necessities. There ought to be a CAPACITY to provide for future contingencies as they may happen; and as these are illimitable in their nature, it is impossible safely to limit that capacity. It is true, perhaps, that a computation might be made with sufficient accuracy to answer the purpose of the quantity of revenue requisite to discharge the subsisting engagements of the Union, and to maintain those establishments which, for some time to come, would suffice in time of peace. But would it be wise, or would it not rather be the extreme of folly, to stop at this point, and to leave the government intrusted with the care of the national defense in a state of absolute incapacity to provide for the protection of the community against future invasions of the public peace, by foreign war or domestic convulsions? If, on the contrary, we ought to exceed this point, where can we stop, short of an indefinite power of providing for emergencies as they may arise? Though it is easy to assert, in general terms, the possibility of forming a rational judgment of a due provision against probable dangers, yet we may safely challenge those who make the assertion to bring forward their data, and may affirm that they would be found as vague and uncertain as any that could be produced to establish the probable duration of the world. Observations confined to the mere prospects of internal attacks can deserve no weight; though even these will admit of no satisfactory calculation: but if we mean to be a commercial people, it must form a part of our policy to be able one day to defend that commerce. The support of a navy and of naval wars would involve contingencies that must baffle all the efforts of political arithmetic.

To make a clearer judgment about the true value of this issue, it’s important to consider the balance between the things that will need federal funding and those that will need state funding. We’ll find that the first group is practically limitless, while the second is pretty limited. In this analysis, we need to remember that we shouldn't just focus on the present, but also think about the distant future. Constitutions for government shouldn't be designed only to deal with current situations, but should account for these alongside potential future needs, based on the natural and tested patterns of human behavior. Therefore, it would be very misleading to determine the appropriate powers for the national government based solely on its immediate needs. There should be an ability to prepare for future events as they arise; since these possibilities are endless, it’s impossible to safely restrict that ability. It might be feasible to calculate, fairly accurately, how much revenue is needed to meet the current obligations of the Union and to support the establishments that would suffice for a while during peacetime. But would it be wise—or would it actually be incredibly foolish—to stop there, leaving the government responsible for national defense completely unable to protect the community against future disruptions to public peace, whether from foreign conflicts or domestic upheavals? On the other hand, if we need to go beyond that point, where do we draw the line without giving an unlimited power to address emergencies as they come up? While it’s easy to claim that we can form a rational judgment about adequate provisions for likely dangers, those who make such claims should be challenged to present their data, which would likely be as vague and uncertain as any attempts to predict how long the world will last. Observations limited to merely the chance of internal threats carry little weight; even these can’t be accurately calculated. However, if we aim to be a trading nation, our strategy must include the ability to protect that trade in the future. Supporting a navy and engaging in naval conflicts would involve uncertainties that would elude all attempts at political calculation.

Admitting that we ought to try the novel and absurd experiment in politics of tying up the hands of government from offensive war founded upon reasons of state, yet certainly we ought not to disable it from guarding the community against the ambition or enmity of other nations. A cloud has been for some time hanging over the European world. If it should break forth into a storm, who can insure us that in its progress a part of its fury would not be spent upon us? No reasonable man would hastily pronounce that we are entirely out of its reach. Or if the combustible materials that now seem to be collecting should be dissipated without coming to maturity, or if a flame should be kindled without extending to us, what security can we have that our tranquillity will long remain undisturbed from some other cause or from some other quarter? Let us recollect that peace or war will not always be left to our option; that however moderate or unambitious we may be, we cannot count upon the moderation, or hope to extinguish the ambition of others. Who could have imagined at the conclusion of the last war that France and Britain, wearied and exhausted as they both were, would so soon have looked with so hostile an aspect upon each other? To judge from the history of mankind, we shall be compelled to conclude that the fiery and destructive passions of war reign in the human breast with much more powerful sway than the mild and beneficent sentiments of peace; and that to model our political systems upon speculations of lasting tranquillity, is to calculate on the weaker springs of the human character.

Admitting that we should try the new and outrageous idea in politics of preventing the government from starting offensive wars for reasons of state, we definitely shouldn’t stop it from protecting the community against the ambitions or hostility of other nations. A dark cloud has been lingering over Europe for some time. If it were to burst into a storm, who can guarantee that part of its wrath wouldn’t fall on us? No sensible person would quickly claim that we’re completely out of its path. And if the volatile situation that seems to be brewing dissipates without escalating, or if a fire starts without reaching us, what assurance do we have that our peace won’t be disturbed for some other reason or from another direction? Let’s remember that peace or war won’t always be our choice; that no matter how moderate or unambitious we may be, we can’t rely on others being moderate or hope to quench their ambitions. Who would have thought, at the end of the last war, that France and Britain, both exhausted and drained, would so soon start gazing at each other with hostility? Based on human history, we must conclude that the intense and destructive passions of war hold much more power in the human heart than the gentle and positive feelings of peace; and that shaping our political systems on the belief in lasting tranquility is to rely on the weaker aspects of human nature.

What are the chief sources of expense in every government? What has occasioned that enormous accumulation of debts with which several of the European nations are oppressed? The answers plainly is, wars and rebellions; the support of those institutions which are necessary to guard the body politic against these two most mortal diseases of society. The expenses arising from those institutions which are relative to the mere domestic police of a state, to the support of its legislative, executive, and judicial departments, with their different appendages, and to the encouragement of agriculture and manufactures (which will comprehend almost all the objects of state expenditure), are insignificant in comparison with those which relate to the national defense.

What are the main sources of expense for every government? What has caused the huge pile of debt that many European nations are struggling with? The answer is clear: wars and rebellions; the need to maintain the institutions that protect society from these two deadly threats. The costs associated with the institutions that deal with domestic law enforcement, the support of the legislative, executive, and judicial branches, along with their various components, and the promotion of agriculture and manufacturing (which covers almost all government spending) are minor compared to those related to national defense.

In the kingdom of Great Britain, where all the ostentatious apparatus of monarchy is to be provided for, not above a fifteenth part of the annual income of the nation is appropriated to the class of expenses last mentioned; the other fourteen fifteenths are absorbed in the payment of the interest of debts contracted for carrying on the wars in which that country has been engaged, and in the maintenance of fleets and armies. If, on the one hand, it should be observed that the expenses incurred in the prosecution of the ambitious enterprises and vainglorious pursuits of a monarchy are not a proper standard by which to judge of those which might be necessary in a republic, it ought, on the other hand, to be remarked that there should be as great a disproportion between the profusion and extravagance of a wealthy kingdom in its domestic administration, and the frugality and economy which in that particular become the modest simplicity of republican government. If we balance a proper deduction from one side against that which it is supposed ought to be made from the other, the proportion may still be considered as holding good.

In the kingdom of Great Britain, where all the flashy symbols of monarchy need to be funded, only about a fifteenth of the nation's annual income goes to those expenses; the other fourteen fifteenths go towards paying interest on debts incurred from the wars the country has fought and maintaining its fleets and armies. On one hand, it's important to note that the costs associated with the ambitious and showy endeavors of a monarchy shouldn't be the standard for judging what might be necessary in a republic. On the other hand, there should be a significant contrast between the extravagance of a wealthy kingdom in its domestic spending and the frugality and simplicity expected from a republican government. If we balance an appropriate reduction on one side against what is assumed should be deducted from the other, the ratio can still be viewed as valid.

But let us advert to the large debt which we have ourselves contracted in a single war, and let us only calculate on a common share of the events which disturb the peace of nations, and we shall instantly perceive, without the aid of any elaborate illustration, that there must always be an immense disproportion between the objects of federal and state expenditures. It is true that several of the States, separately, are encumbered with considerable debts, which are an excrescence of the late war. But this cannot happen again, if the proposed system be adopted; and when these debts are discharged, the only call for revenue of any consequence, which the State governments will continue to experience, will be for the mere support of their respective civil list; to which, if we add all contingencies, the total amount in every State ought to fall considerably short of two hundred thousand pounds.

But let's focus on the huge debt we've taken on in just one war, and if we only consider the common factors that disrupt peace among nations, we'll quickly see, without needing any complex explanations, that there will always be a huge imbalance between what the federal and state governments spend. It’s true that some states individually carry significant debts as a result of the recent war. However, this won't happen again if the proposed system is adopted; and once these debts are paid off, the only significant revenue that state governments will need will be for basic civil expenses. If we include all possible costs, the total amount in each state should be well below two hundred thousand pounds.

In framing a government for posterity as well as ourselves, we ought, in those provisions which are designed to be permanent, to calculate, not on temporary, but on permanent causes of expense. If this principle be a just one our attention would be directed to a provision in favor of the State governments for an annual sum of about two hundred thousand pounds; while the exigencies of the Union could be susceptible of no limits, even in imagination. In this view of the subject, by what logic can it be maintained that the local governments ought to command, in perpetuity, an EXCLUSIVE source of revenue for any sum beyond the extent of two hundred thousand pounds? To extend its power further, in EXCLUSION of the authority of the Union, would be to take the resources of the community out of those hands which stood in need of them for the public welfare, in order to put them into other hands which could have no just or proper occasion for them.

When creating a government for both ourselves and future generations, we should, in the provisions meant to last, plan for ongoing, not just temporary, expenses. If this principle is valid, we should focus on a provision that allows state governments an annual amount of about two hundred thousand pounds, while the needs of the Union could involve costs that are limitless, even in our imagination. From this perspective, how can it be argued that local governments should have, indefinitely, an EXCLUSIVE source of revenue that exceeds two hundred thousand pounds? Expanding their power beyond this, at the expense of the Union's authority, would mean taking resources away from those who need them for the public good and giving them to others who have no valid need for them.

Suppose, then, the convention had been inclined to proceed upon the principle of a repartition of the objects of revenue, between the Union and its members, in PROPORTION to their comparative necessities; what particular fund could have been selected for the use of the States, that would not either have been too much or too little too little for their present, too much for their future wants? As to the line of separation between external and internal taxes, this would leave to the States, at a rough computation, the command of two thirds of the resources of the community to defray from a tenth to a twentieth part of its expenses; and to the Union, one third of the resources of the community, to defray from nine tenths to nineteen twentieths of its expenses. If we desert this boundary and content ourselves with leaving to the States an exclusive power of taxing houses and lands, there would still be a great disproportion between the MEANS and the END; the possession of one third of the resources of the community to supply, at most, one tenth of its wants. If any fund could have been selected and appropriated, equal to and not greater than the object, it would have been inadequate to the discharge of the existing debts of the particular States, and would have left them dependent on the Union for a provision for this purpose.

Imagine if the convention had decided to split the revenue sources between the Union and its members based on their specific needs; what particular fund could have been chosen for the States that wouldn’t be either too much or too little for their current needs, and too much for their future demands? Regarding the distinction between external and internal taxes, this would roughly give the States control of two-thirds of the community’s resources to cover about one-tenth to one-twentieth of its expenses, while the Union would manage one-third of the resources to cover nine-tenths to nineteen-twentieths of its expenses. If we ignore this division and just allow the States the exclusive power to tax property and land, there would still be a significant imbalance between the RESOURCES and the NEED; having one-third of the community’s resources to meet, at most, one-tenth of its needs. If a fund had been identified and designated that matched the requirements but was not greater, it would still have fallen short in paying off the current debts of the individual States, leaving them reliant on the Union for that support.

The preceding train of observation will justify the position which has been elsewhere laid down, that "A CONCURRENT JURISDICTION in the article of taxation was the only admissible substitute for an entire subordination, in respect to this branch of power, of State authority to that of the Union." Any separation of the objects of revenue that could have been fallen upon, would have amounted to a sacrifice of the great INTERESTS of the Union to the POWER of the individual States. The convention thought the concurrent jurisdiction preferable to that subordination; and it is evident that it has at least the merit of reconciling an indefinite constitutional power of taxation in the Federal government with an adequate and independent power in the States to provide for their own necessities. There remain a few other lights, in which this important subject of taxation will claim a further consideration.

The earlier discussion of observations will support the viewpoint stated elsewhere that "A COOPERATIVE JURISDICTION in taxation is the only acceptable alternative to complete subordination of State authority to the Union regarding this area of power." Any division of revenue sources would sacrifice the significant INTERESTS of the Union to the AUTHORITY of individual States. The convention believed that cooperative jurisdiction was better than subordination; and it clearly has the advantage of balancing a broad constitutional power of taxation in the Federal government with sufficient and independent authority for the States to meet their own needs. A few other perspectives on this important taxation issue still require further examination.

PUBLIUS

PUBLIUS





FEDERALIST No. 35. The Same Subject Continued (Concerning the General Power of Taxation)

For the Independent Journal. Saturday, January 5, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

BEFORE we proceed to examine any other objections to an indefinite power of taxation in the Union, I shall make one general remark; which is, that if the jurisdiction of the national government, in the article of revenue, should be restricted to particular objects, it would naturally occasion an undue proportion of the public burdens to fall upon those objects. Two evils would spring from this source: the oppression of particular branches of industry; and an unequal distribution of the taxes, as well among the several States as among the citizens of the same State.

BEFORE we look at other objections to unlimited taxation power in the Union, I want to make a general point: if the national government's authority over revenue is limited to specific areas, it would likely result in an unfair share of the public taxes falling on those areas. This would lead to two problems: the unfair treatment of certain industries, and an uneven distribution of taxes both among the different States and among the citizens within the same State.

Suppose, as has been contended for, the federal power of taxation were to be confined to duties on imports, it is evident that the government, for want of being able to command other resources, would frequently be tempted to extend these duties to an injurious excess. There are persons who imagine that they can never be carried to too great a length; since the higher they are, the more it is alleged they will tend to discourage an extravagant consumption, to produce a favorable balance of trade, and to promote domestic manufactures. But all extremes are pernicious in various ways. Exorbitant duties on imported articles would beget a general spirit of smuggling; which is always prejudicial to the fair trader, and eventually to the revenue itself: they tend to render other classes of the community tributary, in an improper degree, to the manufacturing classes, to whom they give a premature monopoly of the markets; they sometimes force industry out of its more natural channels into others in which it flows with less advantage; and in the last place, they oppress the merchant, who is often obliged to pay them himself without any retribution from the consumer. When the demand is equal to the quantity of goods at market, the consumer generally pays the duty; but when the markets happen to be overstocked, a great proportion falls upon the merchant, and sometimes not only exhausts his profits, but breaks in upon his capital. I am apt to think that a division of the duty, between the seller and the buyer, more often happens than is commonly imagined. It is not always possible to raise the price of a commodity in exact proportion to every additional imposition laid upon it. The merchant, especially in a country of small commercial capital, is often under a necessity of keeping prices down in order to a more expeditious sale.

If we assume, as some have argued, that the federal power of taxation should only apply to import duties, it’s clear that the government, lacking other resources, would often be tempted to raise these duties excessively. Some people think these duties can never be too high; they believe that higher duties will discourage excessive consumption, create a favorable trade balance, and support domestic manufacturing. However, going to extremes is harmful in many ways. High duties on imports would encourage widespread smuggling, which harms honest traders and ultimately the revenue itself. They would also improperly burden other sectors of the community in favor of manufacturers, giving them an unfair monopoly in the markets too soon. Additionally, they can drive businesses away from more productive industries to less advantageous ones, and finally, they burden merchants, who sometimes have to absorb these costs without any compensation from consumers. When the demand matches the amount of goods available, consumers typically bear the cost of the duty, but when the market is saturated, much of that cost falls on the merchant, which can eat into their profits or even their capital. I tend to believe that the duty is often shared between the seller and buyer more than commonly thought. It’s not always feasible to increase a product’s price by exactly the amount of every new tax. Merchants, especially in countries with limited commercial capital, often need to keep prices low for faster sales.

The maxim that the consumer is the payer, is so much oftener true than the reverse of the proposition, that it is far more equitable that the duties on imports should go into a common stock, than that they should redound to the exclusive benefit of the importing States. But it is not so generally true as to render it equitable, that those duties should form the only national fund. When they are paid by the merchant they operate as an additional tax upon the importing State, whose citizens pay their proportion of them in the character of consumers. In this view they are productive of inequality among the States; which inequality would be increased with the increased extent of the duties. The confinement of the national revenues to this species of imposts would be attended with inequality, from a different cause, between the manufacturing and the non-manufacturing States. The States which can go farthest towards the supply of their own wants, by their own manufactures, will not, according to their numbers or wealth, consume so great a proportion of imported articles as those States which are not in the same favorable situation. They would not, therefore, in this mode alone contribute to the public treasury in a ratio to their abilities. To make them do this it is necessary that recourse be had to excises, the proper objects of which are particular kinds of manufactures. New York is more deeply interested in these considerations than such of her citizens as contend for limiting the power of the Union to external taxation may be aware of. New York is an importing State, and is not likely speedily to be, to any great extent, a manufacturing State. She would, of course, suffer in a double light from restraining the jurisdiction of the Union to commercial imposts.

The idea that the consumer ultimately pays is true much more often than the opposite, so it's fairer for import duties to go into a common fund rather than just benefit the states that import goods. However, it's not accurate to say these duties should be the sole source of national revenue. When merchants pay these duties, it acts like an extra tax on the importing state, whose citizens end up covering their share as consumers. This way, it creates inequality among the states, and this inequality would grow with higher duties. Focusing national revenue solely on these types of taxes would also lead to inequality between manufacturing and non-manufacturing states. States that can meet their needs through their own manufacturing won't consume as much in imported goods compared to states that aren’t in the same position. As a result, they wouldn't contribute to the public treasury in proportion to their capabilities. To ensure this, it's necessary to implement excise taxes, which target specific types of goods. New York has a significant stake in these issues, more than some of its citizens advocating for limiting the federal government to external taxes might realize. New York is primarily an importing state and is unlikely to become a major manufacturing state anytime soon. Therefore, it would be doubly affected by restricting the federal jurisdiction to just commercial taxes.

So far as these observations tend to inculcate a danger of the import duties being extended to an injurious extreme it may be observed, conformably to a remark made in another part of these papers, that the interest of the revenue itself would be a sufficient guard against such an extreme. I readily admit that this would be the case, as long as other resources were open; but if the avenues to them were closed, HOPE, stimulated by necessity, would beget experiments, fortified by rigorous precautions and additional penalties, which, for a time, would have the intended effect, till there had been leisure to contrive expedients to elude these new precautions. The first success would be apt to inspire false opinions, which it might require a long course of subsequent experience to correct. Necessity, especially in politics, often occasions false hopes, false reasonings, and a system of measures correspondingly erroneous. But even if this supposed excess should not be a consequence of the limitation of the federal power of taxation, the inequalities spoken of would still ensue, though not in the same degree, from the other causes that have been noticed. Let us now return to the examination of objections.

As these observations suggest a risk of import duties being pushed to harmful extremes, it’s important to note, as mentioned elsewhere in this document, that the revenue itself would serve as a safeguard against such extremes. I agree that this would hold true as long as other resources were available; however, if access to them were blocked, HOPE, driven by necessity, would lead to experiments backed by strict precautions and additional penalties, which, for a time, would achieve the desired outcomes until there’s a chance to come up with ways to avoid these new measures. Initial success could create misleading beliefs, which might take a long time to correct with further experience. Necessity, especially in politics, often leads to false hopes, flawed reasoning, and corresponding misguided approaches. Yet, even if this supposed excess doesn’t arise from restricting the federal power of taxation, the inequalities mentioned would still occur, albeit to a lesser extent, due to other identified causes. Now, let’s return to examining the objections.

One which, if we may judge from the frequency of its repetition, seems most to be relied on, is, that the House of Representatives is not sufficiently numerous for the reception of all the different classes of citizens, in order to combine the interests and feelings of every part of the community, and to produce a due sympathy between the representative body and its constituents. This argument presents itself under a very specious and seducing form; and is well calculated to lay hold of the prejudices of those to whom it is addressed. But when we come to dissect it with attention, it will appear to be made up of nothing but fair-sounding words. The object it seems to aim at is, in the first place, impracticable, and in the sense in which it is contended for, is unnecessary. I reserve for another place the discussion of the question which relates to the sufficiency of the representative body in respect to numbers, and shall content myself with examining here the particular use which has been made of a contrary supposition, in reference to the immediate subject of our inquiries.

One argument that seems most reliable, judging by how often it comes up, is that the House of Representatives isn't large enough to represent all the different groups of citizens, which would help combine their interests and feelings and create a real connection between the representatives and their constituents. This argument sounds appealing and is good at appealing to the biases of its audience. However, when we take a closer look, it will show itself to be just a bunch of nice-sounding words. The goal it claims to pursue is, firstly, unrealistic, and in the way it's argued, it's unnecessary. I will discuss the question of whether the representative body is sufficiently large in another section, and for now, I'll focus on how a contrary assumption has been used regarding the specific issue we are examining.

The idea of an actual representation of all classes of the people, by persons of each class, is altogether visionary. Unless it were expressly provided in the Constitution, that each different occupation should send one or more members, the thing would never take place in practice. Mechanics and manufacturers will always be inclined, with few exceptions, to give their votes to merchants, in preference to persons of their own professions or trades. Those discerning citizens are well aware that the mechanic and manufacturing arts furnish the materials of mercantile enterprise and industry. Many of them, indeed, are immediately connected with the operations of commerce. They know that the merchant is their natural patron and friend; and they are aware, that however great the confidence they may justly feel in their own good sense, their interests can be more effectually promoted by the merchant than by themselves. They are sensible that their habits in life have not been such as to give them those acquired endowments, without which, in a deliberative assembly, the greatest natural abilities are for the most part useless; and that the influence and weight, and superior acquirements of the merchants render them more equal to a contest with any spirit which might happen to infuse itself into the public councils, unfriendly to the manufacturing and trading interests. These considerations, and many others that might be mentioned prove, and experience confirms it, that artisans and manufacturers will commonly be disposed to bestow their votes upon merchants and those whom they recommend. We must therefore consider merchants as the natural representatives of all these classes of the community.

The idea of actually representing all social classes through people from each class is completely unrealistic. Unless the Constitution specifically stated that each occupation should send one or more representatives, this would never happen in reality. Mechanics and manufacturers will generally prefer to vote for merchants over individuals from their own professions or trades, with few exceptions. These insightful citizens understand that the mechanic and manufacturing sectors provide the resources for commerce and industry. Many of them are directly involved in commercial activities. They recognize that merchants are their natural allies and supporters; they also understand that, despite their confidence in their own judgment, their interests can be better advanced by merchants than by themselves. They realize that their life experiences haven't equipped them with the skills needed for deliberative assemblies, where even the greatest natural talents can often be ineffective without certain acquired abilities. The influence, stature, and advanced knowledge of merchants make them better suited to confront any opposing ideas that might arise in public discussions that could threaten manufacturing and trade interests. These factors, among many others, show, and experience confirms, that artisans and manufacturers are usually inclined to cast their votes for merchants and their recommendations. Thus, we should see merchants as the natural representatives of these groups within the community.

With regard to the learned professions, little need be observed; they truly form no distinct interest in society, and according to their situation and talents, will be indiscriminately the objects of the confidence and choice of each other, and of other parts of the community.

When it comes to professional fields, not much needs to be said; they don’t really create a separate interest in society, and depending on their roles and abilities, they will be equally the focus of trust and choice among themselves and other community members.

Nothing remains but the landed interest; and this, in a political view, and particularly in relation to taxes, I take to be perfectly united, from the wealthiest landlord down to the poorest tenant. No tax can be laid on land which will not affect the proprietor of millions of acres as well as the proprietor of a single acre. Every landholder will therefore have a common interest to keep the taxes on land as low as possible; and common interest may always be reckoned upon as the surest bond of sympathy. But if we even could suppose a distinction of interest between the opulent landholder and the middling farmer, what reason is there to conclude, that the first would stand a better chance of being deputed to the national legislature than the last? If we take fact as our guide, and look into our own senate and assembly, we shall find that moderate proprietors of land prevail in both; nor is this less the case in the senate, which consists of a smaller number, than in the assembly, which is composed of a greater number. Where the qualifications of the electors are the same, whether they have to choose a small or a large number, their votes will fall upon those in whom they have most confidence; whether these happen to be men of large fortunes, or of moderate property, or of no property at all.

All that’s left is the land ownership; and from a political perspective, especially concerning taxes, I see this as completely aligned, from the wealthiest landowner to the poorest tenant. No tax imposed on land will only impact the owner of millions of acres; it will also affect the owner of just one acre. Every landholder will therefore share the common interest of keeping land taxes as low as possible, and shared interests can always be counted on as the strongest connection. However, even if we could imagine a difference in interests between the wealthy landowner and the average farmer, what reason do we have

It is said to be necessary, that all classes of citizens should have some of their own number in the representative body, in order that their feelings and interests may be the better understood and attended to. But we have seen that this will never happen under any arrangement that leaves the votes of the people free. Where this is the case, the representative body, with too few exceptions to have any influence on the spirit of the government, will be composed of landholders, merchants, and men of the learned professions. But where is the danger that the interests and feelings of the different classes of citizens will not be understood or attended to by these three descriptions of men? Will not the landholder know and feel whatever will promote or insure the interest of landed property? And will he not, from his own interest in that species of property, be sufficiently prone to resist every attempt to prejudice or encumber it? Will not the merchant understand and be disposed to cultivate, as far as may be proper, the interests of the mechanic and manufacturing arts, to which his commerce is so nearly allied? Will not the man of the learned profession, who will feel a neutrality to the rivalships between the different branches of industry, be likely to prove an impartial arbiter between them, ready to promote either, so far as it shall appear to him conducive to the general interests of the society?

It's said that it's essential for all groups of citizens to have some representatives in the governing body so that their feelings and interests can be better understood and addressed. However, we have seen that this will never occur under any system that allows people's votes to remain free. In such cases, the representative body, with too few exceptions to impact the government's overall approach, will mainly consist of landowners, merchants, and professionals. But is there really a danger that these three types of people won't understand or consider the needs and feelings of various citizen groups? Will the landowner not be aware of and invested in what benefits or protects land ownership? And wouldn't he be motivated enough by his interest in land to oppose any threat to it? Will the merchant not recognize and support the interests of tradespeople and manufacturers, which are closely tied to his business? As for the professional, who is likely to maintain neutrality in the competition among different industries, wouldn't he act as an unbiased mediator between them, willing to support whichever branch seems to benefit society as a whole?

If we take into the account the momentary humors or dispositions which may happen to prevail in particular parts of the society, and to which a wise administration will never be inattentive, is the man whose situation leads to extensive inquiry and information less likely to be a competent judge of their nature, extent, and foundation than one whose observation does not travel beyond the circle of his neighbors and acquaintances? Is it not natural that a man who is a candidate for the favor of the people, and who is dependent on the suffrages of his fellow-citizens for the continuance of his public honors, should take care to inform himself of their dispositions and inclinations, and should be willing to allow them their proper degree of influence upon his conduct? This dependence, and the necessity of being bound himself, and his posterity, by the laws to which he gives his assent, are the true, and they are the strong chords of sympathy between the representative and the constituent.

If we consider the temporary moods or attitudes that might exist in different parts of society, which a wise government will always pay attention to, is a person whose situation fosters extensive investigation and knowledge really less likely to be a competent judge of their nature, scope, and basis than someone whose observations are limited to their neighbors and acquaintances? Isn’t it reasonable to think that a person seeking the approval of the public, and who relies on the votes of their fellow citizens to maintain their position, would make an effort to understand their attitudes and preferences, and be open to letting these factors influence their actions? This reliance, and the need for him and his descendants to be bound by the laws he agrees to, are the real and powerful connections between the representative and the constituents.

There is no part of the administration of government that requires extensive information and a thorough knowledge of the principles of political economy, so much as the business of taxation. The man who understands those principles best will be least likely to resort to oppressive expedients, or sacrifice any particular class of citizens to the procurement of revenue. It might be demonstrated that the most productive system of finance will always be the least burdensome. There can be no doubt that in order to a judicious exercise of the power of taxation, it is necessary that the person in whose hands it should be acquainted with the general genius, habits, and modes of thinking of the people at large, and with the resources of the country. And this is all that can be reasonably meant by a knowledge of the interests and feelings of the people. In any other sense the proposition has either no meaning, or an absurd one. And in that sense let every considerate citizen judge for himself where the requisite qualification is most likely to be found.

There’s no part of government administration that demands as much detailed knowledge of political economy as taxation does. The person who understands these principles the best is the least likely to use harsh measures or unfairly target any group of citizens just to increase revenue. It can be shown that the most effective financial system will also be the least taxing on the people. There’s no doubt that for a wise use of tax power, the decision-maker needs to understand the overall character, habits, and mindsets of the general population, as well as the country’s resources. That’s all that can be reasonably meant by understanding the interests and feelings of the people. In any other interpretation, the statement is either meaningless or ridiculous. In that respect, let every thoughtful citizen decide for themselves where the necessary qualifications are most likely to be found.

PUBLIUS

PUBLIUS





FEDERALIST No. 36. The Same Subject Continued (Concerning the General Power of Taxation)

From the New York Packet. Tuesday, January 8, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

WE HAVE seen that the result of the observations, to which the foregoing number has been principally devoted, is, that from the natural operation of the different interests and views of the various classes of the community, whether the representation of the people be more or less numerous, it will consist almost entirely of proprietors of land, of merchants, and of members of the learned professions, who will truly represent all those different interests and views. If it should be objected that we have seen other descriptions of men in the local legislatures, I answer that it is admitted there are exceptions to the rule, but not in sufficient number to influence the general complexion or character of the government. There are strong minds in every walk of life that will rise superior to the disadvantages of situation, and will command the tribute due to their merit, not only from the classes to which they particularly belong, but from the society in general. The door ought to be equally open to all; and I trust, for the credit of human nature, that we shall see examples of such vigorous plants flourishing in the soil of federal as well as of State legislation; but occasional instances of this sort will not render the reasoning founded upon the general course of things, less conclusive.

WE HAVE seen that the outcome of the observations in the previous section is that, due to the natural workings of the different interests and perspectives of the various classes in society, whether the representation of the people is large or small, it will mostly consist of landowners, merchants, and professionals in various fields, who will genuinely represent these different interests and perspectives. If someone argues that we have observed other types of individuals in local legislatures, I would respond that while there are indeed exceptions to this trend, they are not numerous enough to change the overall makeup or character of the government. There are capable individuals in every field who will overcome their situation's disadvantages and gain recognition for their talents, not just from their own classes but from society as a whole. The opportunity should be equally available to everyone; and I hope, for the sake of human nature, that we will see examples of such strong individuals thriving in both federal and state legislation; however, occasional cases like this will not weaken the reasoning based on the general pattern of things.

The subject might be placed in several other lights that would all lead to the same result; and in particular it might be asked, What greater affinity or relation of interest can be conceived between the carpenter and blacksmith, and the linen manufacturer or stocking weaver, than between the merchant and either of them? It is notorious that there are often as great rivalships between different branches of the mechanic or manufacturing arts as there are between any of the departments of labor and industry; so that, unless the representative body were to be far more numerous than would be consistent with any idea of regularity or wisdom in its deliberations, it is impossible that what seems to be the spirit of the objection we have been considering should ever be realized in practice. But I forbear to dwell any longer on a matter which has hitherto worn too loose a garb to admit even of an accurate inspection of its real shape or tendency.

The topic could be viewed in several other ways that would all lead to the same conclusion; in particular, one could ask, what stronger connection or shared interest can be imagined between the carpenter and the blacksmith, and the linen maker or stocking weaver, than between the merchant and either of them? It’s well-known that there are often as intense rivalries among different trades or manufacturing fields as there are between any areas of labor and industry; therefore, unless the representative body is much larger than would make sense for orderly and wise discussions, it's impossible for what seems to be the essence of the objection we've been considering to actually happen in practice. But I won't dwell any longer on a topic that has so far been presented too loosely to allow for a clear understanding of its true nature or direction.

There is another objection of a somewhat more precise nature that claims our attention. It has been asserted that a power of internal taxation in the national legislature could never be exercised with advantage, as well from the want of a sufficient knowledge of local circumstances, as from an interference between the revenue laws of the Union and of the particular States. The supposition of a want of proper knowledge seems to be entirely destitute of foundation. If any question is depending in a State legislature respecting one of the counties, which demands a knowledge of local details, how is it acquired? No doubt from the information of the members of the county. Cannot the like knowledge be obtained in the national legislature from the representatives of each State? And is it not to be presumed that the men who will generally be sent there will be possessed of the necessary degree of intelligence to be able to communicate that information? Is the knowledge of local circumstances, as applied to taxation, a minute topographical acquaintance with all the mountains, rivers, streams, highways, and bypaths in each State; or is it a general acquaintance with its situation and resources, with the state of its agriculture, commerce, manufactures, with the nature of its products and consumptions, with the different degrees and kinds of its wealth, property, and industry?

There's another objection that needs more precise attention. Some argue that the national legislature could never effectively exercise the power of internal taxation due to a lack of understanding of local circumstances and potential conflicts between the revenue laws of the Union and those of individual States. The idea that there's a lack of proper knowledge seems completely unfounded. When a question arises in a State legislature concerning one of the counties that requires local knowledge, where does that knowledge come from? Clearly, it comes from the information provided by county representatives. Can't the same knowledge be gained in the national legislature from each State's representatives? And isn’t it reasonable to assume that the individuals sent there will generally have the necessary intelligence to share that information? When it comes to local knowledge as it relates to taxation, is it about having detailed knowledge of every mountain, river, road, and path in each State, or is it more about having a general understanding of its location, resources, agricultural state, commerce, manufacturing, and the nature of its products and consumption, along with the various types and amounts of wealth, property, and industry?

Nations in general, even under governments of the more popular kind, usually commit the administration of their finances to single men or to boards composed of a few individuals, who digest and prepare, in the first instance, the plans of taxation, which are afterwards passed into laws by the authority of the sovereign or legislature.

Nations, even those with more popular governments, typically hand over their financial management to single individuals or small boards. These people create and outline the taxation plans, which are then approved as laws by the authority of the sovereign or the legislature.

Inquisitive and enlightened statesmen are deemed everywhere best qualified to make a judicious selection of the objects proper for revenue; which is a clear indication, as far as the sense of mankind can have weight in the question, of the species of knowledge of local circumstances requisite to the purposes of taxation.

Informed and curious leaders are seen as the most capable of making wise choices about what to tax; this clearly shows, as far as people's opinions matter in the discussion, the type of understanding of local conditions that is necessary for effective taxation.

The taxes intended to be comprised under the general denomination of internal taxes may be subdivided into those of the DIRECT and those of the INDIRECT kind. Though the objection be made to both, yet the reasoning upon it seems to be confined to the former branch. And indeed, as to the latter, by which must be understood duties and excises on articles of consumption, one is at a loss to conceive what can be the nature of the difficulties apprehended. The knowledge relating to them must evidently be of a kind that will either be suggested by the nature of the article itself, or can easily be procured from any well-informed man, especially of the mercantile class. The circumstances that may distinguish its situation in one State from its situation in another must be few, simple, and easy to be comprehended. The principal thing to be attended to, would be to avoid those articles which had been previously appropriated to the use of a particular State; and there could be no difficulty in ascertaining the revenue system of each. This could always be known from the respective codes of laws, as well as from the information of the members from the several States.

The taxes grouped under the general term of internal taxes can be divided into DIRECT and INDIRECT categories. While there are objections to both, the arguments seem to focus mainly on the former. When it comes to the latter, which refers to duties and excises on goods consumed, it’s hard to understand what difficulties are expected. The information related to them is clearly either suggested by the nature of the item itself or can easily be obtained from any knowledgeable person, especially those in business. The differences in how they’re treated in one state compared to another are likely to be few, simple, and straightforward. The main point would be to steer clear of items already designated for a specific state, and determining each state’s revenue system wouldn't be a challenge. This information is always available from the respective legal codes, as well as from representatives of the various states.

The objection, when applied to real property or to houses and lands, appears to have, at first sight, more foundation, but even in this view it will not bear a close examination. Land taxes are commonly laid in one of two modes, either by ACTUAL valuations, permanent or periodical, or by OCCASIONAL assessments, at the discretion, or according to the best judgment, of certain officers whose duty it is to make them. In either case, the EXECUTION of the business, which alone requires the knowledge of local details, must be devolved upon discreet persons in the character of commissioners or assessors, elected by the people or appointed by the government for the purpose. All that the law can do must be to name the persons or to prescribe the manner of their election or appointment, to fix their numbers and qualifications and to draw the general outlines of their powers and duties. And what is there in all this that cannot as well be performed by the national legislature as by a State legislature? The attention of either can only reach to general principles; local details, as already observed, must be referred to those who are to execute the plan.

The objection, when it comes to real estate or properties, seems to have some validity at first glance, but even this perspective doesn't hold up under closer scrutiny. Land taxes are typically imposed in one of two ways: either through ACTUAL valuations, which can be permanent or periodic, or via OCCASIONAL assessments based on the discretion or judgment of specific officials tasked with this responsibility. In both scenarios, the execution of the task—which requires knowledge of local specifics—must be handled by capable individuals acting as commissioners or assessors, chosen by the community or appointed by the government for this purpose. All the law can really do is identify these individuals or outline how they should be elected or appointed, establish their numbers and qualifications, and provide a general framework for their powers and duties. So, what can’t the national legislature do just as well as a State legislature? Both can only focus on broad principles; the local specifics, as mentioned earlier, must be left to those who will carry out the plan.

But there is a simple point of view in which this matter may be placed that must be altogether satisfactory. The national legislature can make use of the SYSTEM OF EACH STATE WITHIN THAT STATE. The method of laying and collecting this species of taxes in each State can, in all its parts, be adopted and employed by the federal government.

But there's a straightforward perspective on this issue that should be completely satisfying. The national legislature can utilize the SYSTEM OF EACH STATE WITHIN THAT STATE. The way to impose and collect this type of tax in each State can, in all its aspects, be adopted and used by the federal government.

Let it be recollected that the proportion of these taxes is not to be left to the discretion of the national legislature, but is to be determined by the numbers of each State, as described in the second section of the first article. An actual census or enumeration of the people must furnish the rule, a circumstance which effectually shuts the door to partiality or oppression. The abuse of this power of taxation seems to have been provided against with guarded circumspection. In addition to the precaution just mentioned, there is a provision that "all duties, imposts, and excises shall be UNIFORM throughout the United States."

Let’s remember that the share of these taxes isn’t left up to the national legislature's judgment; instead, it’s determined by the population of each State, as explained in the second section of the first article. A complete census or count of the people must provide the standard, which effectively prevents favoritism or oppression. Measures have been taken to protect against the misuse of this taxing authority. Besides the precaution already noted, there’s a rule that “all duties, imposts, and excises shall be UNIFORM throughout the United States.”

It has been very properly observed by different speakers and writers on the side of the Constitution, that if the exercise of the power of internal taxation by the Union should be discovered on experiment to be really inconvenient, the federal government may then forbear the use of it, and have recourse to requisitions in its stead. By way of answer to this, it has been triumphantly asked, Why not in the first instance omit that ambiguous power, and rely upon the latter resource? Two solid answers may be given. The first is, that the exercise of that power, if convenient, will be preferable, because it will be more effectual; and it is impossible to prove in theory, or otherwise than by the experiment, that it cannot be advantageously exercised. The contrary, indeed, appears most probable. The second answer is, that the existence of such a power in the Constitution will have a strong influence in giving efficacy to requisitions. When the States know that the Union can apply itself without their agency, it will be a powerful motive for exertion on their part.

Different speakers and writers supporting the Constitution have rightly pointed out that if the federal government finds that using its power to tax internally is truly inconvenient, it can choose not to use that power and instead rely on requisitions. In response to this, it's been confidently asked, why not just leave out that vague power from the start and depend on requisitions instead? There are two solid reasons for keeping that power. First, if using that power is convenient, it will be more effective, and it's impossible to prove in theory, or by any means other than through experience, that it can't be beneficially applied. In fact, it seems more likely that it can. The second reason is that having that power in the Constitution will significantly strengthen the effectiveness of requisitions. When the States are aware that the Union can act independently of their involvement, it will motivate them to put in more effort.

As to the interference of the revenue laws of the Union, and of its members, we have already seen that there can be no clashing or repugnancy of authority. The laws cannot, therefore, in a legal sense, interfere with each other; and it is far from impossible to avoid an interference even in the policy of their different systems. An effectual expedient for this purpose will be, mutually, to abstain from those objects which either side may have first had recourse to. As neither can CONTROL the other, each will have an obvious and sensible interest in this reciprocal forbearance. And where there is an IMMEDIATE common interest, we may safely count upon its operation. When the particular debts of the States are done away, and their expenses come to be limited within their natural compass, the possibility almost of interference will vanish. A small land tax will answer the purpose of the States, and will be their most simple and most fit resource.

Regarding the interference of the federal revenue laws and those of its members, we've already established that there can be no conflict or contradiction in authority. The laws, therefore, cannot legally interfere with one another; and it's definitely possible to prevent interference even in the policies of their different systems. An effective way to achieve this is for both sides to avoid those areas that either side may have initially turned to. Since neither can control the other, each will have a clear and sensible interest in this mutual restraint. And when there’s an immediate common interest, we can reliably count on it working. Once the specific debts of the states are resolved and their expenses are kept within reasonable limits, the likelihood of interference will nearly disappear. A small land tax will meet the needs of the states and will be the simplest and most appropriate solution.

Many spectres have been raised out of this power of internal taxation, to excite the apprehensions of the people: double sets of revenue officers, a duplication of their burdens by double taxations, and the frightful forms of odious and oppressive poll-taxes, have been played off with all the ingenious dexterity of political legerdemain.

Many fears have been stirred up by this power of internal taxation to alarm the public: having two sets of revenue officers, increasing their burdens with double taxation, and the terrible reality of unfair and oppressive poll taxes have all been used with clever political tricks.

As to the first point, there are two cases in which there can be no room for double sets of officers: one, where the right of imposing the tax is exclusively vested in the Union, which applies to the duties on imports; the other, where the object has not fallen under any State regulation or provision, which may be applicable to a variety of objects. In other cases, the probability is that the United States will either wholly abstain from the objects preoccupied for local purposes, or will make use of the State officers and State regulations for collecting the additional imposition. This will best answer the views of revenue, because it will save expense in the collection, and will best avoid any occasion of disgust to the State governments and to the people. At all events, here is a practicable expedient for avoiding such an inconvenience; and nothing more can be required than to show that evils predicted to not necessarily result from the plan.

Regarding the first point, there are two situations where having two sets of officers isn't possible: one, when the authority to impose the tax is solely held by the Union, which pertains to import duties; the other, when the subject hasn't fallen under any State rules or regulations, which can apply to various items. In other situations, it's likely that the United States will either completely avoid the items reserved for local use or will utilize State officers and State regulations to collect the additional tax. This approach would be most beneficial for revenue purposes, as it would minimize collection costs and reduce any potential dissatisfaction among State governments and the public. In any case, this provides a practical solution to prevent such issues, and all that needs to be demonstrated is that the problems anticipated do not necessarily arise from this plan.

As to any argument derived from a supposed system of influence, it is a sufficient answer to say that it ought not to be presumed; but the supposition is susceptible of a more precise answer. If such a spirit should infest the councils of the Union, the most certain road to the accomplishment of its aim would be to employ the State officers as much as possible, and to attach them to the Union by an accumulation of their emoluments. This would serve to turn the tide of State influence into the channels of the national government, instead of making federal influence flow in an opposite and adverse current. But all suppositions of this kind are invidious, and ought to be banished from the consideration of the great question before the people. They can answer no other end than to cast a mist over the truth.

Regarding any argument based on a supposed system of influence, the simplest response is that it shouldn’t be assumed; however, this assumption can be addressed more clearly. If such a spirit were to seep into the government of the Union, the most effective way to achieve its goal would be to utilize State officials as much as possible and to bind them to the Union through increased salaries. This would redirect State influence towards the national government, rather than allowing federal influence to flow in the opposite direction. However, all such assumptions are unfounded and should be removed from the discussion of the significant issue at hand. They serve no purpose other than to obscure the truth.

As to the suggestion of double taxation, the answer is plain. The wants of the Union are to be supplied in one way or another; if to be done by the authority of the federal government, it will not be to be done by that of the State government. The quantity of taxes to be paid by the community must be the same in either case; with this advantage, if the provision is to be made by the Union that the capital resource of commercial imposts, which is the most convenient branch of revenue, can be prudently improved to a much greater extent under federal than under State regulation, and of course will render it less necessary to recur to more inconvenient methods; and with this further advantage, that as far as there may be any real difficulty in the exercise of the power of internal taxation, it will impose a disposition to greater care in the choice and arrangement of the means; and must naturally tend to make it a fixed point of policy in the national administration to go as far as may be practicable in making the luxury of the rich tributary to the public treasury, in order to diminish the necessity of those impositions which might create dissatisfaction in the poorer and most numerous classes of the society. Happy it is when the interest which the government has in the preservation of its own power, coincides with a proper distribution of the public burdens, and tends to guard the least wealthy part of the community from oppression!

Regarding the concern about double taxation, the answer is straightforward. The needs of the Union must be met in one way or another; if the federal government is responsible for this, then the state government will not be. The total amount of taxes the community has to pay will remain the same in either scenario, with the advantage that if the Union manages it, the revenue from customs duties—a more manageable source of income—can be better utilized under federal oversight than under state control. This will make it less necessary to resort to more inconvenient methods. Additionally, if there are any real challenges with internal taxation, it will encourage more careful selection and organization of solutions. It should also lead to a consistent policy by the national administration to maximize the contribution of wealth from the rich to the public treasury, thereby reducing the need for taxes that might cause discontent among the poorer and larger segments of society. It is fortunate when the government's interest in maintaining its own power aligns with a fair distribution of public burdens, helping to protect the less wealthy members of the community from exploitation!

As to poll taxes, I, without scruple, confess my disapprobation of them; and though they have prevailed from an early period in those States(1) which have uniformly been the most tenacious of their rights, I should lament to see them introduced into practice under the national government. But does it follow because there is a power to lay them that they will actually be laid? Every State in the Union has power to impose taxes of this kind; and yet in several of them they are unknown in practice. Are the State governments to be stigmatized as tyrannies, because they possess this power? If they are not, with what propriety can the like power justify such a charge against the national government, or even be urged as an obstacle to its adoption? As little friendly as I am to the species of imposition, I still feel a thorough conviction that the power of having recourse to it ought to exist in the federal government. There are certain emergencies of nations, in which expedients, that in the ordinary state of things ought to be forborne, become essential to the public weal. And the government, from the possibility of such emergencies, ought ever to have the option of making use of them. The real scarcity of objects in this country, which may be considered as productive sources of revenue, is a reason peculiar to itself, for not abridging the discretion of the national councils in this respect. There may exist certain critical and tempestuous conjunctures of the State, in which a poll tax may become an inestimable resource. And as I know nothing to exempt this portion of the globe from the common calamities that have befallen other parts of it, I acknowledge my aversion to every project that is calculated to disarm the government of a single weapon, which in any possible contingency might be usefully employed for the general defense and security.

Regarding poll taxes, I openly admit I oppose them; and although they have been common for a long time in those States(1) that have always been very protective of their rights, I would regret to see them implemented at the national level. But does it mean that just because there is a power to impose them they will actually be imposed? Every State in the Union has the authority to impose taxes like this; yet in several of them, they are not practiced. Should State governments be labeled as tyrannies because they have this power? If not, how can the same power be used to justify such a claim against the national government or be seen as a reason to resist its adoption? While I am not in favor of this type of tax, I firmly believe that the federal government should have the option to use it. There are certain national emergencies where measures that should generally be avoided become necessary for the public good. The government should always have the ability to utilize them given the possibility of such emergencies. The genuine lack of sources of revenue in this country is a valid reason for not limiting the discretion of the national authorities in this area. There may be critical and turbulent moments for the State in which a poll tax could become an invaluable resource. And since I see no reason this part of the world is exempt from the common disasters that have affected other areas, I recognize my reluctance to support any plan that would strip the government of even a single tool that might be beneficial for collective defense and security in any possible situation.

(I have now gone through the examination of such of the powers proposed to be vested in the United States, which may be considered as having an immediate relation to the energy of the government; and have endeavored to answer the principal objections which have been made to them. I have passed over in silence those minor authorities, which are either too inconsiderable to have been thought worthy of the hostilities of the opponents of the Constitution, or of too manifest propriety to admit of controversy. The mass of judiciary power, however, might have claimed an investigation under this head, had it not been for the consideration that its organization and its extent may be more advantageously considered in connection. This has determined me to refer it to the branch of our inquiries upon which we shall next enter.)(E1)

(I have now examined the powers proposed to be granted to the United States that relate directly to the effectiveness of the government, and I've tried to address the main objections raised against them. I have chosen not to address those minor authorities that are either too insignificant to warrant opposition from the opponents of the Constitution or so obviously reasonable that there is no debate. However, the vast judicial powers could have deserved further investigation in this context, but I believe their organization and scope can be better discussed together. This leads me to defer that topic to the next part of our discussion.)(E1)

(I have now gone through the examination of those powers proposed to be conferred upon the federal government which relate more peculiarly to its energy, and to its efficiency for answering the great and primary objects of union. There are others which, though omitted here, will, in order to render the view of the subject more complete, be taken notice of under the next head of our inquiries. I flatter myself the progress already made will have sufficed to satisfy the candid and judicious part of the community that some of the objections which have been most strenuously urged against the Constitution, and which were most formidable in their first appearance, are not only destitute of substance, but if they had operated in the formation of the plan, would have rendered it incompetent to the great ends of public happiness and national prosperity. I equally flatter myself that a further and more critical investigation of the system will serve to recommend it still more to every sincere and disinterested advocate for good government and will leave no doubt with men of this character of the propriety and expediency of adopting it. Happy will it be for ourselves, and more honorable for human nature, if we have wisdom and virtue enough to set so glorious an example to mankind!)(E1)

(I have now examined the powers proposed to be granted to the federal government that relate specifically to its energy and efficiency in achieving the main goals of unity. There are other powers that I haven't discussed here, but to provide a more complete view of the topic, they will be addressed in the next section of our inquiries. I believe that the progress we've made so far will have convinced the fair-minded and sensible members of our community that some of the objections most strongly raised against the Constitution, which seemed most significant at first, are not only baseless, but if they had influenced the creation of the plan, would have made it incapable of achieving the important aims of public happiness and national prosperity. I also believe that a further and more detailed investigation of the system will make it even more appealing to those who genuinely support good government and will leave no doubt in the minds of such people about the appropriateness and necessity of adopting it. It would be beneficial for us and more honorable for humanity if we possess enough wisdom and virtue to set such a remarkable example for mankind!)(E1)

PUBLIUS

PUBLIUS

1. The New England States.

The Northeast U.S.

E1. Two versions of this paragraph appear in different editions.

E1. Two versions of this paragraph are found in different editions.





FEDERALIST No. 37. Concerning the Difficulties of the Convention in Devising a Proper Form of Government.

From the Daily Advertiser. Friday, January 11, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of the State of New York:

IN REVIEWING the defects of the existing Confederation, and showing that they cannot be supplied by a government of less energy than that before the public, several of the most important principles of the latter fell of course under consideration. But as the ultimate object of these papers is to determine clearly and fully the merits of this Constitution, and the expediency of adopting it, our plan cannot be complete without taking a more critical and thorough survey of the work of the convention, without examining it on all its sides, comparing it in all its parts, and calculating its probable effects. That this remaining task may be executed under impressions conducive to a just and fair result, some reflections must in this place be indulged, which candor previously suggests.

IN REVIEWING the shortcomings of the current Confederation, and demonstrating that they can't be resolved by a government lacking the necessary energy, several key principles of the proposed government naturally came under review. However, since the main goal of these papers is to clearly and thoroughly assess the advantages of this Constitution and the reasons for adopting it, we cannot complete our analysis without a more detailed and careful examination of the convention's work, analyzing it from all angles, comparing its various components, and estimating its likely outcomes. To ensure that this final task can be carried out with a mindset favorable to a fair and accurate result, we must take a moment to consider some thoughts that honesty prompts us to express.

It is a misfortune, inseparable from human affairs, that public measures are rarely investigated with that spirit of moderation which is essential to a just estimate of their real tendency to advance or obstruct the public good; and that this spirit is more apt to be diminished than promoted, by those occasions which require an unusual exercise of it. To those who have been led by experience to attend to this consideration, it could not appear surprising, that the act of the convention, which recommends so many important changes and innovations, which may be viewed in so many lights and relations, and which touches the springs of so many passions and interests, should find or excite dispositions unfriendly, both on one side and on the other, to a fair discussion and accurate judgment of its merits. In some, it has been too evident from their own publications, that they have scanned the proposed Constitution, not only with a predisposition to censure, but with a predetermination to condemn; as the language held by others betrays an opposite predetermination or bias, which must render their opinions also of little moment in the question. In placing, however, these different characters on a level, with respect to the weight of their opinions, I wish not to insinuate that there may not be a material difference in the purity of their intentions. It is but just to remark in favor of the latter description, that as our situation is universally admitted to be peculiarly critical, and to require indispensably that something should be done for our relief, the predetermined patron of what has been actually done may have taken his bias from the weight of these considerations, as well as from considerations of a sinister nature. The predetermined adversary, on the other hand, can have been governed by no venial motive whatever. The intentions of the first may be upright, as they may on the contrary be culpable. The views of the last cannot be upright, and must be culpable. But the truth is, that these papers are not addressed to persons falling under either of these characters. They solicit the attention of those only, who add to a sincere zeal for the happiness of their country, a temper favorable to a just estimate of the means of promoting it.

It's unfortunate, and a part of human nature, that public policies are rarely examined with the level of moderation needed for a fair assessment of their actual impact on the public good. This moderation is often harder to find in situations that call for unusual temperance. For those who have learned from experience to consider this, it’s not surprising that the actions of the convention, which suggest many significant changes and innovations—viewed from various angles and affecting numerous passions and interests—would provoke opposition to a fair discussion and accurate judgment of their merits. Some have clearly shown through their publications that they approach the proposed Constitution not just with a tendency to criticize, but with a decision to condemn; while the language used by others reveals an opposite bias that makes their opinions equally insignificant in this debate. By comparing these different perspectives, I don’t mean to imply there isn't a meaningful difference in the sincerity of their intentions. It’s worth noting in favor of the latter group that, since our situation is widely considered especially critical and requires urgent action for our relief, those who support what has been done may be influenced by the seriousness of this situation, along with potentially selfish motives. On the other hand, those who oppose it can’t be driven by any reasonable motives. The intentions of the first group may be genuine, or they might be flawed. The intentions of the second group, however, cannot be genuine and are likely to be flawed. The reality is these writings are not aimed at individuals in either category. They are meant to engage those who, along with a true passion for their country’s happiness, also possess a mindset conducive to a fair evaluation of the means to achieve it.

Persons of this character will proceed to an examination of the plan submitted by the convention, not only without a disposition to find or to magnify faults; but will see the propriety of reflecting, that a faultless plan was not to be expected. Nor will they barely make allowances for the errors which may be chargeable on the fallibility to which the convention, as a body of men, were liable; but will keep in mind, that they themselves also are but men, and ought not to assume an infallibility in rejudging the fallible opinions of others.

People of this character will approach the evaluation of the plan presented by the convention not with an intention to find or exaggerate faults; instead, they will recognize that a perfect plan was unrealistic to expect. They won't just excuse the mistakes that may arise from the fallibility inherent in the convention as a group of people, but they'll also remember that they themselves are human and shouldn't claim to be infallible when reassessing the flawed opinions of others.

With equal readiness will it be perceived, that besides these inducements to candor, many allowances ought to be made for the difficulties inherent in the very nature of the undertaking referred to the convention.

It will be clear that, in addition to these reasons for being open-minded, many considerations should be taken into account regarding the challenges that are part of the undertaking brought up at the convention.

The novelty of the undertaking immediately strikes us. It has been shown in the course of these papers, that the existing Confederation is founded on principles which are fallacious; that we must consequently change this first foundation, and with it the superstructure resting upon it. It has been shown, that the other confederacies which could be consulted as precedents have been vitiated by the same erroneous principles, and can therefore furnish no other light than that of beacons, which give warning of the course to be shunned, without pointing out that which ought to be pursued. The most that the convention could do in such a situation, was to avoid the errors suggested by the past experience of other countries, as well as of our own; and to provide a convenient mode of rectifying their own errors, as future experiences may unfold them.

The newness of the project immediately stands out to us. We've demonstrated in these papers that the current Confederation is based on flawed principles; therefore, we need to change this fundamental base and everything built upon it. We've shown that other confederacies we could look to for examples are also tainted by these same mistaken principles and can't provide any guidance other than that of warning signals, which tell us what to avoid without showing us what to aim for. The best the convention could do in this situation is to steer clear of the mistakes revealed by the past experiences of other nations and our own, and to create a practical way to fix their own mistakes as new experiences arise.

Among the difficulties encountered by the convention, a very important one must have lain in combining the requisite stability and energy in government, with the inviolable attention due to liberty and to the republican form. Without substantially accomplishing this part of their undertaking, they would have very imperfectly fulfilled the object of their appointment, or the expectation of the public; yet that it could not be easily accomplished, will be denied by no one who is unwilling to betray his ignorance of the subject. Energy in government is essential to that security against external and internal danger, and to that prompt and salutary execution of the laws which enter into the very definition of good government. Stability in government is essential to national character and to the advantages annexed to it, as well as to that repose and confidence in the minds of the people, which are among the chief blessings of civil society. An irregular and mutable legislation is not more an evil in itself than it is odious to the people; and it may be pronounced with assurance that the people of this country, enlightened as they are with regard to the nature, and interested, as the great body of them are, in the effects of good government, will never be satisfied till some remedy be applied to the vicissitudes and uncertainties which characterize the State administrations. On comparing, however, these valuable ingredients with the vital principles of liberty, we must perceive at once the difficulty of mingling them together in their due proportions. The genius of republican liberty seems to demand on one side, not only that all power should be derived from the people, but that those intrusted with it should be kept in independence on the people, by a short duration of their appointments; and that even during this short period the trust should be placed not in a few, but a number of hands. Stability, on the contrary, requires that the hands in which power is lodged should continue for a length of time the same. A frequent change of men will result from a frequent return of elections; and a frequent change of measures from a frequent change of men: whilst energy in government requires not only a certain duration of power, but the execution of it by a single hand.

Among the challenges faced by the convention, a very important one was balancing the necessary stability and energy in government with the unwavering commitment to liberty and the republican form. If they didn’t significantly achieve this part of their task, they would have only partially fulfilled the purpose of their appointment, or the public’s expectations; yet no one who is aware of the subject will deny that this was not an easy task. Energy in government is crucial for ensuring security against both external and internal threats, and for the prompt and effective enforcement of laws, which are key elements of good government. Stability in government is vital for national character and its associated benefits, as well as for creating peace and trust in the minds of the people, which are among the primary blessings of civil society. Unstable and unpredictable legislation is not only a problem in itself but also disliked by the people; it can be confidently stated that the people of this country, well-informed about the nature of governance and deeply invested in the outcomes of effective government, will never be content until some solution addresses the fluctuations and uncertainties that mark state administrations. However, when we compare these essential components with the core principles of liberty, we immediately see the difficulty in balancing them properly. The spirit of republican liberty seems to require not only that all power comes from the people but also that those given that power remain accountable to the people through short terms of office; and that even in this short duration, the responsibility should be shared among many, not just a few. Stability, on the other hand, demands that those in power remain the same for a significant amount of time. Frequent elections lead to frequent changes in leadership, and frequent changes in leadership result in frequent changes in policy; while effective government requires not just a certain duration of power but also the execution of that power by a single leader.

How far the convention may have succeeded in this part of their work, will better appear on a more accurate view of it. From the cursory view here taken, it must clearly appear to have been an arduous part.

How successful the convention may have been in this part of their work will be clearer with a closer look. From the brief overview given here, it's evident that it was a challenging aspect.

Not less arduous must have been the task of marking the proper line of partition between the authority of the general and that of the State governments. Every man will be sensible of this difficulty, in proportion as he has been accustomed to contemplate and discriminate objects extensive and complicated in their nature. The faculties of the mind itself have never yet been distinguished and defined, with satisfactory precision, by all the efforts of the most acute and metaphysical philosophers. Sense, perception, judgment, desire, volition, memory, imagination, are found to be separated by such delicate shades and minute gradations that their boundaries have eluded the most subtle investigations, and remain a pregnant source of ingenious disquisition and controversy. The boundaries between the great kingdom of nature, and, still more, between the various provinces, and lesser portions, into which they are subdivided, afford another illustration of the same important truth. The most sagacious and laborious naturalists have never yet succeeded in tracing with certainty the line which separates the district of vegetable life from the neighboring region of unorganized matter, or which marks the termination of the former and the commencement of the animal empire. A still greater obscurity lies in the distinctive characters by which the objects in each of these great departments of nature have been arranged and assorted.

The task of defining the proper line between the authority of the federal government and that of the state governments must have been just as challenging. Anyone aware of the complexity of this issue will recognize this difficulty. The functions of the mind have never been clearly defined, despite the efforts of the most insightful philosophers. Senses, perception, judgment, desire, will, memory, and imagination are separated by such fine distinctions and subtle differences that their boundaries have eluded even the most detailed investigations, making them a rich source of intellectual debate and controversy. The boundaries within the vast realm of nature, and especially among the various categories and smaller sections into which they are divided, provide another example of this truth. Even the most knowledgeable and diligent naturalists have not succeeded in precisely identifying where plant life ends and unorganized matter begins, or where the realm of plants transitions into the world of animals. An even greater confusion exists regarding the distinct characteristics that categorize and classify objects within each of these major areas of nature.

When we pass from the works of nature, in which all the delineations are perfectly accurate, and appear to be otherwise only from the imperfection of the eye which surveys them, to the institutions of man, in which the obscurity arises as well from the object itself as from the organ by which it is contemplated, we must perceive the necessity of moderating still further our expectations and hopes from the efforts of human sagacity. Experience has instructed us that no skill in the science of government has yet been able to discriminate and define, with sufficient certainty, its three great provinces the legislative, executive, and judiciary; or even the privileges and powers of the different legislative branches. Questions daily occur in the course of practice, which prove the obscurity which reins in these subjects, and which puzzle the greatest adepts in political science.

When we move from the works of nature, where everything is perfectly defined but appears blurred only due to the limitations of our vision, to human institutions, where confusion arises both from the subject itself and from the perspective we use to observe it, we must recognize the need to lower our expectations and hopes regarding human understanding. Experience has shown us that no expertise in governance has yet managed to clearly distinguish and outline its three main branches: legislative, executive, and judiciary; or even the rights and powers of the various legislative bodies. Questions regularly arise in practice that highlight the complexities surrounding these issues and stump even the most knowledgeable experts in political science.

The experience of ages, with the continued and combined labors of the most enlightened legislatures and jurists, has been equally unsuccessful in delineating the several objects and limits of different codes of laws and different tribunals of justice. The precise extent of the common law, and the statute law, the maritime law, the ecclesiastical law, the law of corporations, and other local laws and customs, remains still to be clearly and finally established in Great Britain, where accuracy in such subjects has been more industriously pursued than in any other part of the world. The jurisdiction of her several courts, general and local, of law, of equity, of admiralty, etc., is not less a source of frequent and intricate discussions, sufficiently denoting the indeterminate limits by which they are respectively circumscribed. All new laws, though penned with the greatest technical skill, and passed on the fullest and most mature deliberation, are considered as more or less obscure and equivocal, until their meaning be liquidated and ascertained by a series of particular discussions and adjudications. Besides the obscurity arising from the complexity of objects, and the imperfection of the human faculties, the medium through which the conceptions of men are conveyed to each other adds a fresh embarrassment. The use of words is to express ideas. Perspicuity, therefore, requires not only that the ideas should be distinctly formed, but that they should be expressed by words distinctly and exclusively appropriate to them. But no language is so copious as to supply words and phrases for every complex idea, or so correct as not to include many equivocally denoting different ideas. Hence it must happen that however accurately objects may be discriminated in themselves, and however accurately the discrimination may be considered, the definition of them may be rendered inaccurate by the inaccuracy of the terms in which it is delivered. And this unavoidable inaccuracy must be greater or less, according to the complexity and novelty of the objects defined. When the Almighty himself condescends to address mankind in their own language, his meaning, luminous as it must be, is rendered dim and doubtful by the cloudy medium through which it is communicated.

The lessons learned over the years, along with the ongoing collaborative efforts of the most advanced lawmakers and legal experts, have struggled to clearly define the various purposes and boundaries of different legal codes and justice systems. The exact scope of common law, statutory law, maritime law, ecclesiastical law, corporate law, and other local laws and customs still isn’t clearly established in Great Britain, where the pursuit of clarity in these matters has been more diligent than anywhere else in the world. The jurisdiction of its various courts—whether general or local, civil or equitable, or in admiralty—often leads to complex discussions that reveal the unclear limits of their authority. Even new laws, crafted with great technical expertise and after extensive deliberation, are seen as somewhat unclear and ambiguous until their meanings are clarified through a series of specific discussions and rulings. In addition to the confusion due to the complexity of the subjects and the limitations of human understanding, the medium we use to communicate our thoughts adds another layer of difficulty. The purpose of language is to express ideas. For clarity, it’s essential that not only the ideas are formed distinctly but that they are also expressed using words that are specifically and appropriately chosen. However, no language is extensive enough to provide words and phrases for every nuanced idea, nor is any language perfect enough to avoid including terms that could mean multiple things. As a result, even when ideas are accurately differentiated on their own, the definitions can still become warped by the imprecision of the language used to describe them. This unavoidable inaccuracy can vary depending on how complex and new the ideas being defined are. Even when the Almighty chooses to communicate with humanity in our own language, his message, as clear as it may be, is obscured and made uncertain by the imperfect way it is conveyed.

Here, then, are three sources of vague and incorrect definitions: indistinctness of the object, imperfection of the organ of conception, inadequateness of the vehicle of ideas. Any one of these must produce a certain degree of obscurity. The convention, in delineating the boundary between the federal and State jurisdictions, must have experienced the full effect of them all.

Here are three sources of vague and inaccurate definitions: the unclear nature of the object, limitations of the mind's ability to conceive, and inadequacy of the medium for expressing ideas. Any one of these can lead to a certain level of confusion. The convention, when defining the boundary between federal and State jurisdictions, must have felt the impact of all of them.

To the difficulties already mentioned may be added the interfering pretensions of the larger and smaller States. We cannot err in supposing that the former would contend for a participation in the government, fully proportioned to their superior wealth and importance; and that the latter would not be less tenacious of the equality at present enjoyed by them. We may well suppose that neither side would entirely yield to the other, and consequently that the struggle could be terminated only by compromise. It is extremely probable, also, that after the ratio of representation had been adjusted, this very compromise must have produced a fresh struggle between the same parties, to give such a turn to the organization of the government, and to the distribution of its powers, as would increase the importance of the branches, in forming which they had respectively obtained the greatest share of influence. There are features in the Constitution which warrant each of these suppositions; and as far as either of them is well founded, it shows that the convention must have been compelled to sacrifice theoretical propriety to the force of extraneous considerations.

To the difficulties already mentioned, we can also add the competing ambitions of both the larger and smaller states. It’s clear that the larger states would insist on having a say in the government that reflects their greater wealth and importance, while the smaller states would be equally protective of their current equality. We can reasonably assume that neither side would fully give in to the other, meaning that any resolution could only come through compromise. It's highly likely that once the representation ratio was set, this very compromise would spark another struggle between the parties to shape the government's organization and the distribution of its powers in a way that would enhance the significance of the branches where they had the most influence. There are aspects of the Constitution that support each of these assumptions, and to the extent that either is true, it indicates that the convention must have been forced to prioritize practical concerns over theoretical ideals.

Nor could it have been the large and small States only, which would marshal themselves in opposition to each other on various points. Other combinations, resulting from a difference of local position and policy, must have created additional difficulties. As every State may be divided into different districts, and its citizens into different classes, which give birth to contending interests and local jealousies, so the different parts of the United States are distinguished from each other by a variety of circumstances, which produce a like effect on a larger scale. And although this variety of interests, for reasons sufficiently explained in a former paper, may have a salutary influence on the administration of the government when formed, yet every one must be sensible of the contrary influence, which must have been experienced in the task of forming it.

Nor could it have just been the big and small states that would line up against each other on various issues. Other combinations, stemming from differences in local positions and policies, must have created more challenges. Just as every state can be divided into different districts, and its citizens into various classes, leading to conflicting interests and local rivalries, the different parts of the United States are set apart by various circumstances that have a similar effect on a larger scale. And while this variety of interests, for reasons explained in an earlier paper, might positively influence the administration of the government once it's established, everyone must recognize the opposing challenges faced in creating it.

Would it be wonderful if, under the pressure of all these difficulties, the convention should have been forced into some deviations from that artificial structure and regular symmetry which an abstract view of the subject might lead an ingenious theorist to bestow on a Constitution planned in his closet or in his imagination? The real wonder is that so many difficulties should have been surmounted, and surmounted with a unanimity almost as unprecedented as it must have been unexpected. It is impossible for any man of candor to reflect on this circumstance without partaking of the astonishment. It is impossible for the man of pious reflection not to perceive in it a finger of that Almighty hand which has been so frequently and signally extended to our relief in the critical stages of the revolution.

Wouldn't it be amazing if, despite all these challenges, the convention had to make some changes to that rigid structure and neat symmetry that a clever theorist might imagine for a Constitution designed in their own mind? The real surprise is that so many obstacles were overcome, and they were overcome with a level of agreement that was almost as rare as it was unexpected. It's impossible for anyone honest to think about this without feeling a sense of awe. It's also hard for someone with deep reflection not to see it as the hand of a higher power, which has often and clearly reached out to help us during the crucial moments of the revolution.

We had occasion, in a former paper, to take notice of the repeated trials which have been unsuccessfully made in the United Netherlands for reforming the baneful and notorious vices of their constitution. The history of almost all the great councils and consultations held among mankind for reconciling their discordant opinions, assuaging their mutual jealousies, and adjusting their respective interests, is a history of factions, contentions, and disappointments, and may be classed among the most dark and degraded pictures which display the infirmities and depravities of the human character. If, in a few scattered instances, a brighter aspect is presented, they serve only as exceptions to admonish us of the general truth; and by their lustre to darken the gloom of the adverse prospect to which they are contrasted. In revolving the causes from which these exceptions result, and applying them to the particular instances before us, we are necessarily led to two important conclusions. The first is, that the convention must have enjoyed, in a very singular degree, an exemption from the pestilential influence of party animosities the disease most incident to deliberative bodies, and most apt to contaminate their proceedings. The second conclusion is that all the deputations composing the convention were satisfactorily accommodated by the final act, or were induced to accede to it by a deep conviction of the necessity of sacrificing private opinions and partial interests to the public good, and by a despair of seeing this necessity diminished by delays or by new experiments.

We previously mentioned the ongoing attempts that have failed in the United Netherlands to reform the harmful and well-known issues within their constitution. The history of most significant councils and discussions among people aimed at reconciling their differing views, easing their mutual jealousies, and aligning their interests is filled with factions, conflicts, and disappointments, painting a rather bleak and degraded picture of the weaknesses and flaws in human nature. When there are a few rare cases that shine a brighter light, they only serve as exceptions, reminding us of the general truth and highlighting the darkness of the negative outcomes they contrast with. Upon examining the reasons behind these exceptions and applying them to the specific situations we face, we reach two major conclusions. First, the convention must have enjoyed a unique level of protection from the toxic influence of party rivalries, which are the most common affliction for deliberative bodies and most likely to taint their actions. The second conclusion is that all the delegations partaking in the convention were either satisfied with the final agreement or felt compelled to accept it due to a strong belief in the need to put aside personal opinions and special interests for the greater good, along with a hopelessness that this necessity would lessen through delays or new trials.





FEDERALIST No. 38. The Same Subject Continued, and the Incoherence of the Objections to the New Plan Exposed.

From The Independent Journal. Saturday, January 12, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

IT IS not a little remarkable that in every case reported by ancient history, in which government has been established with deliberation and consent, the task of framing it has not been committed to an assembly of men, but has been performed by some individual citizen of preeminent wisdom and approved integrity.

IT IS quite remarkable that in every case noted by ancient history, where a government was established through careful thought and agreement, the responsibility of creating it was not given to a group of men, but rather carried out by a single citizen who stood out for their exceptional wisdom and trusted integrity.

Minos, we learn, was the primitive founder of the government of Crete, as Zaleucus was of that of the Locrians. Theseus first, and after him Draco and Solon, instituted the government of Athens. Lycurgus was the lawgiver of Sparta. The foundation of the original government of Rome was laid by Romulus, and the work completed by two of his elective successors, Numa and Tullius Hostilius. On the abolition of royalty the consular administration was substituted by Brutus, who stepped forward with a project for such a reform, which, he alleged, had been prepared by Tullius Hostilius, and to which his address obtained the assent and ratification of the senate and people. This remark is applicable to confederate governments also. Amphictyon, we are told, was the author of that which bore his name. The Achaean league received its first birth from Achaeus, and its second from Aratus.

Minos was the original founder of the government of Crete, just like Zaleucus was for the Locrians. Theseus was the first to set up the government of Athens, followed by Draco and Solon. Lycurgus created the laws for Sparta. Romulus laid the groundwork for the first government of Rome, and two of his elected successors, Numa and Tullius Hostilius, completed the task. After the monarchy was abolished, Brutus introduced a consular system, claiming that it had been prepared by Tullius Hostilius, and his proposal gained the agreement and approval of the senate and the people. This observation also applies to confederate governments. We learn that Amphictyon was the founder of the league named after him. The Achaean League was first established by Achaeus and later reorganized by Aratus.

What degree of agency these reputed lawgivers might have in their respective establishments, or how far they might be clothed with the legitimate authority of the people, cannot in every instance be ascertained. In some, however, the proceeding was strictly regular. Draco appears to have been intrusted by the people of Athens with indefinite powers to reform its government and laws. And Solon, according to Plutarch, was in a manner compelled, by the universal suffrage of his fellow-citizens, to take upon him the sole and absolute power of new-modeling the constitution. The proceedings under Lycurgus were less regular; but as far as the advocates for a regular reform could prevail, they all turned their eyes towards the single efforts of that celebrated patriot and sage, instead of seeking to bring about a revolution by the intervention of a deliberative body of citizens.

The extent of influence that these well-known lawgivers had in their societies, or how much authority they truly held from the people, isn't clear in every case. However, in some instances, the process was entirely legitimate. Draco seems to have been given broad powers by the people of Athens to reform their government and laws. And Solon, as Plutarch describes, was essentially forced by the unanimous support of his fellow citizens to take on the complete and absolute power to reshape the constitution. The actions taken by Lycurgus were less structured; still, those pushing for systematic reform generally looked to the individual efforts of that renowned patriot and thinker, rather than trying to instigate change through a deliberative assembly of citizens.

Whence could it have proceeded, that a people, jealous as the Greeks were of their liberty, should so far abandon the rules of caution as to place their destiny in the hands of a single citizen? Whence could it have proceeded, that the Athenians, a people who would not suffer an army to be commanded by fewer than ten generals, and who required no other proof of danger to their liberties than the illustrious merit of a fellow-citizen, should consider one illustrious citizen as a more eligible depositary of the fortunes of themselves and their posterity, than a select body of citizens, from whose common deliberations more wisdom, as well as more safety, might have been expected? These questions cannot be fully answered, without supposing that the fears of discord and disunion among a number of counsellors exceeded the apprehension of treachery or incapacity in a single individual. History informs us, likewise, of the difficulties with which these celebrated reformers had to contend, as well as the expedients which they were obliged to employ in order to carry their reforms into effect. Solon, who seems to have indulged a more temporizing policy, confessed that he had not given to his countrymen the government best suited to their happiness, but most tolerable to their prejudices. And Lycurgus, more true to his object, was under the necessity of mixing a portion of violence with the authority of superstition, and of securing his final success by a voluntary renunciation, first of his country, and then of his life. If these lessons teach us, on one hand, to admire the improvement made by America on the ancient mode of preparing and establishing regular plans of government, they serve not less, on the other, to admonish us of the hazards and difficulties incident to such experiments, and of the great imprudence of unnecessarily multiplying them.

How could it happen that a people, as protective of their freedom as the Greeks were, would abandon their caution and put their fate in the hands of one person? How could it be that the Athenians, who wouldn’t let an army be led by fewer than ten generals and only needed the remarkable abilities of one citizen to see danger to their freedoms, considered a single esteemed citizen a better guardian of their future than a selected group of citizens, whose collective judgment might provide more wisdom and safety? These questions can’t be fully answered without assuming that the fear of conflict and division among many advisors outweighed the fear of betrayal or incompetence from a single individual. History also reveals the challenges these famous reformers faced and the tactics they had to use to implement their changes. Solon, who seemed to adopt a more compromise-driven approach, admitted that he hadn’t given his fellow citizens the government best suited to their happiness, but rather the one that was least objectionable to their biases. And Lycurgus, more committed to his goals, had to combine some force with the power of superstition and secure his ultimate success by voluntarily giving up both his country and later his life. If these lessons show us, on one hand, to appreciate how America improved on the ancient way of creating and establishing structured governments, they also remind us of the dangers and challenges that come with such experiments, and the great imprudence of unnecessarily increasing them.

Is it an unreasonable conjecture, that the errors which may be contained in the plan of the convention are such as have resulted rather from the defect of antecedent experience on this complicated and difficult subject, than from a want of accuracy or care in the investigation of it; and, consequently such as will not be ascertained until an actual trial shall have pointed them out? This conjecture is rendered probable, not only by many considerations of a general nature, but by the particular case of the Articles of Confederation. It is observable that among the numerous objections and amendments suggested by the several States, when these articles were submitted for their ratification, not one is found which alludes to the great and radical error which on actual trial has discovered itself. And if we except the observations which New Jersey was led to make, rather by her local situation, than by her peculiar foresight, it may be questioned whether a single suggestion was of sufficient moment to justify a revision of the system. There is abundant reason, nevertheless, to suppose that immaterial as these objections were, they would have been adhered to with a very dangerous inflexibility, in some States, had not a zeal for their opinions and supposed interests been stifled by the more powerful sentiment of self-preservation. One State, we may remember, persisted for several years in refusing her concurrence, although the enemy remained the whole period at our gates, or rather in the very bowels of our country. Nor was her pliancy in the end effected by a less motive, than the fear of being chargeable with protracting the public calamities, and endangering the event of the contest. Every candid reader will make the proper reflections on these important facts.

Is it unreasonable to think that the mistakes in the convention's plan might come more from a lack of prior experience with this complex topic than from any negligence or carelessness in studying it? As a result, these mistakes may only be identified through actual testing. This idea seems likely, not just for various general reasons but also because of the specific case of the Articles of Confederation. Notably, among the many objections and changes proposed by the different States when these articles were submitted for approval, none addressed the major and fundamental error that has become evident through experience. Aside from the remarks made by New Jersey, which were influenced more by its local circumstances than by any special foresight, it can be questioned whether any suggestion was significant enough to warrant a review of the system. However, there is plenty of reason to believe that even though these objections were minor, some States would have stubbornly held onto them if their strong beliefs and supposed interests hadn’t been overshadowed by a more pressing need for self-preservation. One State, for instance, took years to agree, even though the enemy was at our doorstep or deeply within our territory. Ultimately, this State’s eventual flexibility came from a motivation no less than the fear of being seen as prolonging public suffering and risking the outcome of the struggle. Any fair-minded reader will draw the appropriate conclusions from these crucial facts.

A patient who finds his disorder daily growing worse, and that an efficacious remedy can no longer be delayed without extreme danger, after coolly revolving his situation, and the characters of different physicians, selects and calls in such of them as he judges most capable of administering relief, and best entitled to his confidence. The physicians attend; the case of the patient is carefully examined; a consultation is held; they are unanimously agreed that the symptoms are critical, but that the case, with proper and timely relief, is so far from being desperate, that it may be made to issue in an improvement of his constitution. They are equally unanimous in prescribing the remedy, by which this happy effect is to be produced. The prescription is no sooner made known, however, than a number of persons interpose, and, without denying the reality or danger of the disorder, assure the patient that the prescription will be poison to his constitution, and forbid him, under pain of certain death, to make use of it. Might not the patient reasonably demand, before he ventured to follow this advice, that the authors of it should at least agree among themselves on some other remedy to be substituted? And if he found them differing as much from one another as from his first counsellors, would he not act prudently in trying the experiment unanimously recommended by the latter, rather than be hearkening to those who could neither deny the necessity of a speedy remedy, nor agree in proposing one?

A patient who sees his condition getting worse each day realizes he can't wait any longer for an effective treatment without facing severe danger. After calmly considering his situation and the qualifications of different doctors, he decides to call in those he thinks are most capable of helping him and whom he trusts the most. The doctors come, thoroughly examine the patient, and hold a consultation. They all agree that his symptoms are serious, but with the right and timely treatment, his condition is not as hopeless as it seems, and it could actually lead to an improvement in his health. They all agree on a treatment plan that will bring about this positive outcome. However, as soon as the prescription is revealed, several people intervene. Without denying the seriousness of the patient's condition, they claim the prescription will harm him and warn him, under threat of certain death, not to use it. Shouldn't the patient reasonably ask that those advising him at least come to a consensus on another treatment before he takes their advice? And if he finds them just as divided amongst themselves as they are from his original doctors, wouldn't it be wiser for him to try the treatment that was unanimously recommended by the latter rather than listen to those who can't deny the urgent need for a remedy but can't agree on one either?

Such a patient and in such a situation is America at this moment. She has been sensible of her malady. She has obtained a regular and unanimous advice from men of her own deliberate choice. And she is warned by others against following this advice under pain of the most fatal consequences. Do the monitors deny the reality of her danger? No. Do they deny the necessity of some speedy and powerful remedy? No. Are they agreed, are any two of them agreed, in their objections to the remedy proposed, or in the proper one to be substituted? Let them speak for themselves. This one tells us that the proposed Constitution ought to be rejected, because it is not a confederation of the States, but a government over individuals. Another admits that it ought to be a government over individuals to a certain extent, but by no means to the extent proposed. A third does not object to the government over individuals, or to the extent proposed, but to the want of a bill of rights. A fourth concurs in the absolute necessity of a bill of rights, but contends that it ought to be declaratory, not of the personal rights of individuals, but of the rights reserved to the States in their political capacity. A fifth is of opinion that a bill of rights of any sort would be superfluous and misplaced, and that the plan would be unexceptionable but for the fatal power of regulating the times and places of election. An objector in a large State exclaims loudly against the unreasonable equality of representation in the Senate. An objector in a small State is equally loud against the dangerous inequality in the House of Representatives. From this quarter, we are alarmed with the amazing expense, from the number of persons who are to administer the new government. From another quarter, and sometimes from the same quarter, on another occasion, the cry is that the Congress will be but a shadow of a representation, and that the government would be far less objectionable if the number and the expense were doubled. A patriot in a State that does not import or export, discerns insuperable objections against the power of direct taxation. The patriotic adversary in a State of great exports and imports, is not less dissatisfied that the whole burden of taxes may be thrown on consumption. This politician discovers in the Constitution a direct and irresistible tendency to monarchy; that is equally sure it will end in aristocracy. Another is puzzled to say which of these shapes it will ultimately assume, but sees clearly it must be one or other of them; whilst a fourth is not wanting, who with no less confidence affirms that the Constitution is so far from having a bias towards either of these dangers, that the weight on that side will not be sufficient to keep it upright and firm against its opposite propensities. With another class of adversaries to the Constitution the language is that the legislative, executive, and judiciary departments are intermixed in such a manner as to contradict all the ideas of regular government and all the requisite precautions in favor of liberty. Whilst this objection circulates in vague and general expressions, there are but a few who lend their sanction to it. Let each one come forward with his particular explanation, and scarce any two are exactly agreed upon the subject. In the eyes of one the junction of the Senate with the President in the responsible function of appointing to offices, instead of vesting this executive power in the Executive alone, is the vicious part of the organization. To another, the exclusion of the House of Representatives, whose numbers alone could be a due security against corruption and partiality in the exercise of such a power, is equally obnoxious. With another, the admission of the President into any share of a power which ever must be a dangerous engine in the hands of the executive magistrate, is an unpardonable violation of the maxims of republican jealousy. No part of the arrangement, according to some, is more inadmissible than the trial of impeachments by the Senate, which is alternately a member both of the legislative and executive departments, when this power so evidently belonged to the judiciary department. "We concur fully," reply others, "in the objection to this part of the plan, but we can never agree that a reference of impeachments to the judiciary authority would be an amendment of the error. Our principal dislike to the organization arises from the extensive powers already lodged in that department." Even among the zealous patrons of a council of state the most irreconcilable variance is discovered concerning the mode in which it ought to be constituted. The demand of one gentleman is, that the council should consist of a small number to be appointed by the most numerous branch of the legislature. Another would prefer a larger number, and considers it as a fundamental condition that the appointment should be made by the President himself.

America, in her current state, is like a patient facing a serious illness. She recognizes her problems and has sought advice from trusted individuals she chose herself. Yet, she is cautioned by others about the dire consequences of ignoring this guidance. Do these advisors deny the reality of her peril? No. Do they deny the need for a swift and strong solution? No. But are they in agreement, or do any two of them even agree on the proposed remedy or what alternative should be offered? Let them speak for themselves. One claims that the suggested Constitution should be rejected because it isn’t a confederation of states, but rather a government over individuals. Another agrees that it should be a government over individuals to some extent, but definitely not to the extent suggested. A third doesn’t object to the government over individuals or to the proposed extent, but calls for a bill of rights. A fourth agrees on the necessity of a bill of rights but argues it should specify the rights reserved to the states, not the personal rights of individuals. A fifth believes any form of bill of rights would be unnecessary and misplaced, arguing that the plan would be flawless if it weren’t for the dangerous power to regulate election times and locations. An objector from a large state loudly screams against the unfair equality of representation in the Senate. Meanwhile, an objector from a small state just as loudly protests the dangerous inequality in the House of Representatives. From one side, we are alarmed by the high costs associated with the number of people who will run the new government. From another side, and sometimes the same, the claim is made that Congress will only be a shadow of true representation, suggesting that the government would be much less problematic if its numbers and costs were doubled. A patriot in a state with no imports or exports sees insurmountable issues with the power of direct taxation. Conversely, a patriotic opponent in a state with significant imports and exports is equally unhappy that the entire tax burden could fall on consumption. One politician sees a direct and inevitable move toward monarchy in the Constitution; another is just as certain it will lead to aristocracy. A third is unsure which of these forms it will ultimately take but believes it must be one or the other; while a fourth confidently argues that the Constitution is not biased toward either danger, claiming it won’t have enough weight to remain balanced against opposing tendencies. Another group of opponents expresses concern that the legislative, executive, and judicial branches are so mixed that they undermine the principles of proper government and the necessary safeguards for liberty. Although this criticism is vague and generalized, only a few support it fully. Each critic has their own interpretation, and hardly any two agree on the specifics. To one, the combination of the Senate with the President in the responsibility of appointing officials makes the structure flawed. To another, the exclusion of the House of Representatives, whose numbers could provide adequate protection against corruption and bias in wielding such power, is equally problematic. For yet another, allowing the President any role in a power that is inherently risky in the hands of the executive is a serious breach of republican principles. According to some, nothing in the arrangement is more unacceptable than allowing the Senate, which straddles both the legislative and executive branches, to try impeachments when that power clearly belongs to the judiciary. "We completely agree," respond others, "with this criticism of that aspect of the plan, but we can never accept that handing impeachment authority over to the judiciary would correct the error. Our main concern with the organization is the broad powers already granted to that department." Even among the staunch supporters of a council of state, there is deep disagreement about how it should be structured. One gentleman demands that the council consist of a small number appointed by the most populous legislative branch. Another prefers a larger group and insists the President should select the members himself.

As it can give no umbrage to the writers against the plan of the federal Constitution, let us suppose, that as they are the most zealous, so they are also the most sagacious, of those who think the late convention were unequal to the task assigned them, and that a wiser and better plan might and ought to be substituted. Let us further suppose that their country should concur, both in this favorable opinion of their merits, and in their unfavorable opinion of the convention; and should accordingly proceed to form them into a second convention, with full powers, and for the express purpose of revising and remoulding the work of the first. Were the experiment to be seriously made, though it required some effort to view it seriously even in fiction, I leave it to be decided by the sample of opinions just exhibited, whether, with all their enmity to their predecessors, they would, in any one point, depart so widely from their example, as in the discord and ferment that would mark their own deliberations; and whether the Constitution, now before the public, would not stand as fair a chance for immortality, as Lycurgus gave to that of Sparta, by making its change to depend on his own return from exile and death, if it were to be immediately adopted, and were to continue in force, not until a BETTER, but until ANOTHER should be agreed upon by this new assembly of lawgivers.

Since it won't offend the writers against the federal Constitution, let's imagine that they are the most passionate and also the most insightful of those who believe the recent convention was not up to the challenge they faced, and that a smarter and better plan could and should take its place. Let's also assume that their country agrees, both in the positive view of their abilities and in the negative view of the convention; and that they would therefore move to form a second convention, with full powers, specifically to revise and reshape the work of the first. If this experiment were to be genuinely attempted, though it takes some effort to consider it seriously even as a hypothetical situation, I leave it to the opinions already presented to decide whether, despite their animosity toward their predecessors, they would, in any way, diverge from the example given by their predecessors, particularly in the conflict and turmoil that would characterize their own discussions; and whether the Constitution currently before the public wouldn’t have as good a chance for lasting significance as the one Lycurgus offered for Sparta, by making its change reliant on his return from exile and after death, if it were to be adopted right away and would remain in effect, not until a BETTER, but until ANOTHER plan would be agreed upon by this new group of lawmakers.

It is a matter both of wonder and regret, that those who raise so many objections against the new Constitution should never call to mind the defects of that which is to be exchanged for it. It is not necessary that the former should be perfect; it is sufficient that the latter is more imperfect. No man would refuse to give brass for silver or gold, because the latter had some alloy in it. No man would refuse to quit a shattered and tottering habitation for a firm and commodious building, because the latter had not a porch to it, or because some of the rooms might be a little larger or smaller, or the ceilings a little higher or lower than his fancy would have planned them. But waiving illustrations of this sort, is it not manifest that most of the capital objections urged against the new system lie with tenfold weight against the existing Confederation? Is an indefinite power to raise money dangerous in the hands of the federal government? The present Congress can make requisitions to any amount they please, and the States are constitutionally bound to furnish them; they can emit bills of credit as long as they will pay for the paper; they can borrow, both abroad and at home, as long as a shilling will be lent. Is an indefinite power to raise troops dangerous? The Confederation gives to Congress that power also; and they have already begun to make use of it. Is it improper and unsafe to intermix the different powers of government in the same body of men? Congress, a single body of men, are the sole depositary of all the federal powers. Is it particularly dangerous to give the keys of the treasury, and the command of the army, into the same hands? The Confederation places them both in the hands of Congress. Is a bill of rights essential to liberty? The Confederation has no bill of rights. Is it an objection against the new Constitution, that it empowers the Senate, with the concurrence of the Executive, to make treaties which are to be the laws of the land? The existing Congress, without any such control, can make treaties which they themselves have declared, and most of the States have recognized, to be the supreme law of the land. Is the importation of slaves permitted by the new Constitution for twenty years? By the old it is permitted forever.

It’s both surprising and disappointing that those who have so many objections to the new Constitution rarely consider the flaws of the one it’s replacing. The old system doesn’t need to be perfect; it just needs to be more flawed than the new one. No one would turn down a trade of brass for silver or gold just because the latter has a little impurity. No one would refuse to leave behind a crumbling and unstable building for a solid and comfortable one just because the new place doesn’t have a porch or because some rooms are slightly larger or smaller than they like, or the ceilings are a bit higher or lower than they envisioned. But leaving aside examples like that, isn’t it clear that most major objections against the new system weigh even more heavily against the current Confederation? Is it dangerous for the federal government to have unlimited power to raise money? The current Congress can demand any amount they want, and the States are legally required to provide it; they can issue bills of credit as long as they can pay for the paper; they can borrow money, both internationally and domestically, whenever there’s a lender willing to lend. Is it risky to give the government unlimited power to raise troops? The Confederation gives Congress that power too, and they’ve already started exercising it. Is it wrong and unsafe to mix different government powers in the same group of people? Congress, as a single group, holds all federal powers. Is it particularly hazardous to give control of the treasury and the military to the same individuals? The Confederation does exactly that by putting both in Congress’s hands. Is a bill of rights crucial for liberty? The Confederation lacks a bill of rights. Is it a valid concern against the new Constitution that it allows the Senate, with the Executive's agreement, to create treaties that become the law of the land? The current Congress can create treaties without such oversight, which they have declared, and most States have acknowledged, as the supreme law of the land. Is it true that the new Constitution permits the importation of slaves for twenty years? The old one allows it forever.

I shall be told, that however dangerous this mixture of powers may be in theory, it is rendered harmless by the dependence of Congress on the State for the means of carrying them into practice; that however large the mass of powers may be, it is in fact a lifeless mass. Then, say I, in the first place, that the Confederation is chargeable with the still greater folly of declaring certain powers in the federal government to be absolutely necessary, and at the same time rendering them absolutely nugatory; and, in the next place, that if the Union is to continue, and no better government be substituted, effective powers must either be granted to, or assumed by, the existing Congress; in either of which events, the contrast just stated will hold good. But this is not all. Out of this lifeless mass has already grown an excrescent power, which tends to realize all the dangers that can be apprehended from a defective construction of the supreme government of the Union. It is now no longer a point of speculation and hope, that the Western territory is a mine of vast wealth to the United States; and although it is not of such a nature as to extricate them from their present distresses, or for some time to come, to yield any regular supplies for the public expenses, yet must it hereafter be able, under proper management, both to effect a gradual discharge of the domestic debt, and to furnish, for a certain period, liberal tributes to the federal treasury. A very large proportion of this fund has been already surrendered by individual States; and it may with reason be expected that the remaining States will not persist in withholding similar proofs of their equity and generosity. We may calculate, therefore, that a rich and fertile country, of an area equal to the inhabited extent of the United States, will soon become a national stock. Congress have assumed the administration of this stock. They have begun to render it productive. Congress have undertaken to do more: they have proceeded to form new States, to erect temporary governments, to appoint officers for them, and to prescribe the conditions on which such States shall be admitted into the Confederacy. All this has been done; and done without the least color of constitutional authority. Yet no blame has been whispered; no alarm has been sounded. A GREAT and INDEPENDENT fund of revenue is passing into the hands of a SINGLE BODY of men, who can RAISE TROOPS to an INDEFINITE NUMBER, and appropriate money to their support for an INDEFINITE PERIOD OF TIME. And yet there are men, who have not only been silent spectators of this prospect, but who are advocates for the system which exhibits it; and, at the same time, urge against the new system the objections which we have heard. Would they not act with more consistency, in urging the establishment of the latter, as no less necessary to guard the Union against the future powers and resources of a body constructed like the existing Congress, than to save it from the dangers threatened by the present impotency of that Assembly?

I will be told that, no matter how risky this mix of powers might seem in theory, it becomes harmless because Congress relies on the states to implement them; that no matter how extensive the powers may be, they are, in reality, a lifeless mass. Then I say, first of all, that the Confederation is guilty of an even greater mistake in declaring certain powers in the federal government to be absolutely necessary while making them completely useless; and, secondly, that if the Union is to last, and no better government is put in place, effective powers must either be granted to or assumed by the current Congress; in either case, the mentioned contrast will still apply. But that’s not all. From this lifeless mass has already emerged a growing power that threatens to bring about all the dangers fears regarding a flawed structure of the Union's supreme government. It is no longer just a matter of speculation and hope that the Western territory is a treasure trove of wealth for the United States; although it may not immediately resolve their current struggles or provide consistent funding for public expenses, it must eventually be able, with proper management, to gradually help pay off the domestic debt and provide, for a certain time, generous contributions to the federal treasury. A large portion of this fund has already been relinquished by individual states; and it can reasonably be expected that the remaining states will not continue to withhold similar demonstrations of their fairness and generosity. Therefore, we can expect that a rich, fertile area, equivalent in size to the inhabited parts of the United States, will soon become a national asset. Congress has taken charge of this asset. They have started to make it productive. Congress has gone further: they have begun to create new states, set up temporary governments, appoint officers for these states, and lay out the conditions under which these states will be admitted to the Confederacy. All this has been done; and done without any semblance of constitutional authority. Yet no one has whispered a word of blame; no alarm has been raised. A HUGE and INDEPENDENT source of revenue is moving into the hands of a SINGLE GROUP of individuals, who can RAISE TROOPS in UNLIMITED NUMBERS and allocate funds for their support for an UNLIMITED PERIOD. And still, there are people who have not only watched this situation unfold in silence, but who also support the system that creates it; and at the same time, raise objections against the new system that we’ve heard. Wouldn’t they be acting more consistently by advocating for the establishment of the latter, as it is just as necessary to protect the Union from the future powers and resources of a body structured like the current Congress, as it is to save it from the dangers posed by that Assembly's current impotence?

I mean not, by any thing here said, to throw censure on the measures which have been pursued by Congress. I am sensible they could not have done otherwise. The public interest, the necessity of the case, imposed upon them the task of overleaping their constitutional limits. But is not the fact an alarming proof of the danger resulting from a government which does not possess regular powers commensurate to its objects? A dissolution or usurpation is the dreadful dilemma to which it is continually exposed.

I don’t mean to criticize the actions taken by Congress. I understand they had no choice. The public interest and the situation required them to go beyond their constitutional limits. But isn’t it alarming that this shows the risk of a government that doesn’t have proper powers matching its goals? It faces the terrible dilemma of either falling apart or being taken over.

PUBLIUS

PUBLIUS





FEDERALIST No. 39. The Conformity of the Plan to Republican Principles

For the Independent Journal. Wednesday, January 16, 1788

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE last paper having concluded the observations which were meant to introduce a candid survey of the plan of government reported by the convention, we now proceed to the execution of that part of our undertaking.

THE last paper has finished the observations that were meant to introduce a straightforward review of the government plan proposed by the convention, so we now move on to carrying out that part of our task.

The first question that offers itself is, whether the general form and aspect of the government be strictly republican. It is evident that no other form would be reconcilable with the genius of the people of America; with the fundamental principles of the Revolution; or with that honorable determination which animates every votary of freedom, to rest all our political experiments on the capacity of mankind for self-government. If the plan of the convention, therefore, be found to depart from the republican character, its advocates must abandon it as no longer defensible.

The first question that comes to mind is whether the overall structure and appearance of the government is truly republican. It's clear that no other form would align with the spirit of the American people, the core principles of the Revolution, or the noble goal that inspires every supporter of freedom to base all our political efforts on humanity's ability to govern itself. Therefore, if the convention's plan is found to stray from the republican nature, its supporters must let it go as it can no longer be justified.

What, then, are the distinctive characters of the republican form? Were an answer to this question to be sought, not by recurring to principles, but in the application of the term by political writers, to the constitution of different States, no satisfactory one would ever be found. Holland, in which no particle of the supreme authority is derived from the people, has passed almost universally under the denomination of a republic. The same title has been bestowed on Venice, where absolute power over the great body of the people is exercised, in the most absolute manner, by a small body of hereditary nobles. Poland, which is a mixture of aristocracy and of monarchy in their worst forms, has been dignified with the same appellation. The government of England, which has one republican branch only, combined with an hereditary aristocracy and monarchy, has, with equal impropriety, been frequently placed on the list of republics. These examples, which are nearly as dissimilar to each other as to a genuine republic, show the extreme inaccuracy with which the term has been used in political disquisitions.

What, then, are the unique features of a republican form? If we were to search for an answer to this question not by looking at principles but by examining how political writers apply the term to the constitutions of different states, we would never find a satisfactory answer. Holland, where no part of the supreme authority comes from the people, is almost universally referred to as a republic. The same title has been given to Venice, where absolute power is exercised over the majority of the people by a small group of hereditary nobles. Poland, which is a mix of aristocracy and monarchy in their worst forms, has also been called a republic. The government of England, which has only one republican branch alongside an hereditary aristocracy and monarchy, has, equally inappropriately, been frequently categorized as a republic. These examples, which are nearly as different from each other as they are from a true republic, illustrate the extreme inaccuracy with which the term has been used in political discussions.

If we resort for a criterion to the different principles on which different forms of government are established, we may define a republic to be, or at least may bestow that name on, a government which derives all its powers directly or indirectly from the great body of the people, and is administered by persons holding their offices during pleasure, for a limited period, or during good behavior. It is ESSENTIAL to such a government that it be derived from the great body of the society, not from an inconsiderable proportion, or a favored class of it; otherwise a handful of tyrannical nobles, exercising their oppressions by a delegation of their powers, might aspire to the rank of republicans, and claim for their government the honorable title of republic. It is SUFFICIENT for such a government that the persons administering it be appointed, either directly or indirectly, by the people; and that they hold their appointments by either of the tenures just specified; otherwise every government in the United States, as well as every other popular government that has been or can be well organized or well executed, would be degraded from the republican character. According to the constitution of every State in the Union, some or other of the officers of government are appointed indirectly only by the people. According to most of them, the chief magistrate himself is so appointed. And according to one, this mode of appointment is extended to one of the co-ordinate branches of the legislature. According to all the constitutions, also, the tenure of the highest offices is extended to a definite period, and in many instances, both within the legislative and executive departments, to a period of years. According to the provisions of most of the constitutions, again, as well as according to the most respectable and received opinions on the subject, the members of the judiciary department are to retain their offices by the firm tenure of good behavior.

If we look for a standard based on the various principles that different forms of government are built upon, we can define a republic as a government that gets all its power, directly or indirectly, from the majority of the people. It is run by individuals who hold their positions for a limited time, based on their performance or as long as they have the people's approval. It is CRUCIAL for this type of government to come from the larger society, not just a small, privileged group; otherwise, a small group of oppressive nobles, using their powers through delegation, could claim to be republicans and falsely earn the title of a republic. It is ENOUGH for this government that the officials running it are appointed, either directly or indirectly, by the people, and that they hold their positions based on the criteria mentioned. If not, then every government in the United States and any other

On comparing the Constitution planned by the convention with the standard here fixed, we perceive at once that it is, in the most rigid sense, conformable to it. The House of Representatives, like that of one branch at least of all the State legislatures, is elected immediately by the great body of the people. The Senate, like the present Congress, and the Senate of Maryland, derives its appointment indirectly from the people. The President is indirectly derived from the choice of the people, according to the example in most of the States. Even the judges, with all other officers of the Union, will, as in the several States, be the choice, though a remote choice, of the people themselves, the duration of the appointments is equally conformable to the republican standard, and to the model of State constitutions The House of Representatives is periodically elective, as in all the States; and for the period of two years, as in the State of South Carolina. The Senate is elective, for the period of six years; which is but one year more than the period of the Senate of Maryland, and but two more than that of the Senates of New York and Virginia. The President is to continue in office for the period of four years; as in New York and Delaware, the chief magistrate is elected for three years, and in South Carolina for two years. In the other States the election is annual. In several of the States, however, no constitutional provision is made for the impeachment of the chief magistrate. And in Delaware and Virginia he is not impeachable till out of office. The President of the United States is impeachable at any time during his continuance in office. The tenure by which the judges are to hold their places, is, as it unquestionably ought to be, that of good behavior. The tenure of the ministerial offices generally, will be a subject of legal regulation, conformably to the reason of the case and the example of the State constitutions.

When we compare the Constitution proposed by the convention to the standards set here, it’s clear that it aligns perfectly with them. The House of Representatives, similar to at least one branch of all State legislatures, is elected directly by the general public. The Senate, like the current Congress and the Senate of Maryland, is appointed indirectly by the people. The President is also indirectly chosen by the people's vote, following the practice in most States. Even the judges, along with all other federal officials, are ultimately chosen, though indirectly, by the people themselves. The length of their appointments matches the republican standard and aligns with State constitutions. The House of Representatives is elected periodically, like in all States, for a term of two years, similar to South Carolina. The Senate serves a term of six years, which is just one year longer than the term for the Maryland Senate and two years longer than those in New York and Virginia. The President will serve a four-year term, whereas in New York and Delaware, the chief executive is elected for three years, and in South Carolina for two years. In other States, elections happen annually. However, several States do not include constitutional provisions for impeaching the chief executive. In Delaware and Virginia, he cannot be impeached until he is out of office. On the other hand, the President of the United States can be impeached at any time while in office. Judges will hold their positions based on good behavior, which is the appropriate standard. The tenure for ministerial positions will be subject to legal regulation, guided by rationale and the examples set by State constitutions.

Could any further proof be required of the republican complexion of this system, the most decisive one might be found in its absolute prohibition of titles of nobility, both under the federal and the State governments; and in its express guaranty of the republican form to each of the latter.

Could any more proof be needed of the republican nature of this system, the strongest evidence might be found in its total ban on titles of nobility, both at the federal and State levels; and in its clear guarantee of the republican form to each of the latter.

"But it was not sufficient," say the adversaries of the proposed Constitution, "for the convention to adhere to the republican form. They ought, with equal care, to have preserved the FEDERAL form, which regards the Union as a CONFEDERACY of sovereign states; instead of which, they have framed a NATIONAL government, which regards the Union as a CONSOLIDATION of the States." And it is asked by what authority this bold and radical innovation was undertaken? The handle which has been made of this objection requires that it should be examined with some precision.

"But that wasn't enough," say the opponents of the proposed Constitution, "for the convention to stick to the republican style. They should have also carefully preserved the FEDERAL style, which views the Union as a CONFEDERACY of independent states; instead, they've created a NATIONAL government, which sees the Union as a CONSOLIDATION of the States." And they ask, by what authority was this bold and radical change made? The attention given to this objection requires that it be looked at closely.

Without inquiring into the accuracy of the distinction on which the objection is founded, it will be necessary to a just estimate of its force, first, to ascertain the real character of the government in question; secondly, to inquire how far the convention were authorized to propose such a government; and thirdly, how far the duty they owed to their country could supply any defect of regular authority.

Without questioning the accuracy of the distinction on which the objection is based, it's important to properly assess its strength by first determining the true nature of the government in question; second, investigating the extent to which the convention was authorized to propose such a government; and third, considering how the obligation they had to their country might compensate for any lack of formal authority.

First. In order to ascertain the real character of the government, it may be considered in relation to the foundation on which it is to be established; to the sources from which its ordinary powers are to be drawn; to the operation of those powers; to the extent of them; and to the authority by which future changes in the government are to be introduced.

First. To understand the true nature of the government, it can be examined in relation to the foundation on which it will be built; the sources from which its regular powers are derived; the functioning of those powers; their scope; and the authority through which future changes to the government will be implemented.

On examining the first relation, it appears, on one hand, that the Constitution is to be founded on the assent and ratification of the people of America, given by deputies elected for the special purpose; but, on the other, that this assent and ratification is to be given by the people, not as individuals composing one entire nation, but as composing the distinct and independent States to which they respectively belong. It is to be the assent and ratification of the several States, derived from the supreme authority in each State, the authority of the people themselves. The act, therefore, establishing the Constitution, will not be a NATIONAL, but a FEDERAL act.

When we look at the first relationship, it seems that the Constitution is supposed to be based on the agreement and approval of the American people, given through representatives elected for that specific purpose. However, this agreement and approval will come from the people not as one whole nation, but as the separate and independent States they each belong to. It will be the agreement and approval of the various States, coming from the highest authority in each State, which is the authority of the people themselves. Therefore, the act that establishes the Constitution will not be a NATIONAL act, but a FEDERAL act.

That it will be a federal and not a national act, as these terms are understood by the objectors; the act of the people, as forming so many independent States, not as forming one aggregate nation, is obvious from this single consideration, that it is to result neither from the decision of a MAJORITY of the people of the Union, nor from that of a MAJORITY of the States. It must result from the UNANIMOUS assent of the several States that are parties to it, differing no otherwise from their ordinary assent than in its being expressed, not by the legislative authority, but by that of the people themselves. Were the people regarded in this transaction as forming one nation, the will of the majority of the whole people of the United States would bind the minority, in the same manner as the majority in each State must bind the minority; and the will of the majority must be determined either by a comparison of the individual votes, or by considering the will of the majority of the States as evidence of the will of a majority of the people of the United States. Neither of these rules have been adopted. Each State, in ratifying the Constitution, is considered as a sovereign body, independent of all others, and only to be bound by its own voluntary act. In this relation, then, the new Constitution will, if established, be a FEDERAL, and not a NATIONAL constitution.

That it will be a federal and not a national act, as these terms are understood by the objectors; the act of the people, as forming many independent States, not as forming one unified nation, is clear from this single point: it will not come from the decision of a MAJORITY of the people of the Union, nor from a MAJORITY of the States. It must come from the UNANIMOUS agreement of the several States that are involved, differing only from their usual agreement in that it is expressed not by the legislative authority, but by that of the people themselves. If the people were seen in this process as forming one nation, the will of the majority of the entire population of the United States would bind the minority, just like the majority in each State binds the minority; and the will of the majority would need to be determined either by counting individual votes or by looking at the majority of the States as a reflection of the will of a majority of the people of the United States. Neither of these methods has been adopted. Each State, in ratifying the Constitution, is seen as a sovereign body, independent of all others, and only bound by its own voluntary act. In this context, if established, the new Constitution will be a FEDERAL, not a NATIONAL constitution.

The next relation is, to the sources from which the ordinary powers of government are to be derived. The House of Representatives will derive its powers from the people of America; and the people will be represented in the same proportion, and on the same principle, as they are in the legislature of a particular State. So far the government is NATIONAL, not FEDERAL. The Senate, on the other hand, will derive its powers from the States, as political and coequal societies; and these will be represented on the principle of equality in the Senate, as they now are in the existing Congress. So far the government is FEDERAL, not NATIONAL. The executive power will be derived from a very compound source. The immediate election of the President is to be made by the States in their political characters. The votes allotted to them are in a compound ratio, which considers them partly as distinct and coequal societies, partly as unequal members of the same society. The eventual election, again, is to be made by that branch of the legislature which consists of the national representatives; but in this particular act they are to be thrown into the form of individual delegations, from so many distinct and coequal bodies politic. From this aspect of the government it appears to be of a mixed character, presenting at least as many FEDERAL as NATIONAL features.

The next relationship is about where the ordinary powers of government come from. The House of Representatives will get its powers from the people of America, and the people will be represented in the same way and proportion as they are in the legislature of a specific State. At this point, the government is NATIONAL, not FEDERAL. The Senate, however, will get its powers from the States, treated as political and equal societies; these States will be represented equally in the Senate, just like they are in the current Congress. So far, the government is FEDERAL, not NATIONAL. The executive power will come from a complex source. The President will be directly elected by the States in their political roles. The votes given to them are based on a mixed ratio, which views them partly as separate and equal societies and partly as unequal parts of the same society. The final election will again be carried out by that branch of the legislature that includes the national representatives, but in this case, they will act as individual delegations from several distinct and equal political bodies. From this perspective, the government appears to have a mixed character, displaying at least as many FEDERAL features as NATIONAL ones.

The difference between a federal and national government, as it relates to the OPERATION OF THE GOVERNMENT, is supposed to consist in this, that in the former the powers operate on the political bodies composing the Confederacy, in their political capacities; in the latter, on the individual citizens composing the nation, in their individual capacities. On trying the Constitution by this criterion, it falls under the NATIONAL, not the FEDERAL character; though perhaps not so completely as has been understood. In several cases, and particularly in the trial of controversies to which States may be parties, they must be viewed and proceeded against in their collective and political capacities only. So far the national countenance of the government on this side seems to be disfigured by a few federal features. But this blemish is perhaps unavoidable in any plan; and the operation of the government on the people, in their individual capacities, in its ordinary and most essential proceedings, may, on the whole, designate it, in this relation, a NATIONAL government.

The difference between a federal and national government, regarding the OPERATION OF THE GOVERNMENT, is meant to be that in a federal system, the powers operate on the political bodies that make up the Confederacy in their political roles; in a national system, the powers operate on the individual citizens that make up the nation in their personal roles. When we evaluate the Constitution by this standard, it aligns more with the NATIONAL character than the FEDERAL one, although perhaps not completely as it has been interpreted. In certain situations, especially when it comes to disputes involving States, they must be regarded and dealt with in their collective and political roles. Up to this point, the national face of the government seems to be marred by some federal aspects. But this flaw might be unavoidable in any framework; and the government's interaction with the people, in their individual roles, in its regular and most important actions, can overall identify it, in this regard, as a NATIONAL government.

But if the government be national with regard to the OPERATION of its powers, it changes its aspect again when we contemplate it in relation to the EXTENT of its powers. The idea of a national government involves in it, not only an authority over the individual citizens, but an indefinite supremacy over all persons and things, so far as they are objects of lawful government. Among a people consolidated into one nation, this supremacy is completely vested in the national legislature. Among communities united for particular purposes, it is vested partly in the general and partly in the municipal legislatures. In the former case, all local authorities are subordinate to the supreme; and may be controlled, directed, or abolished by it at pleasure. In the latter, the local or municipal authorities form distinct and independent portions of the supremacy, no more subject, within their respective spheres, to the general authority, than the general authority is subject to them, within its own sphere. In this relation, then, the proposed government cannot be deemed a NATIONAL one; since its jurisdiction extends to certain enumerated objects only, and leaves to the several States a residuary and inviolable sovereignty over all other objects. It is true that in controversies relating to the boundary between the two jurisdictions, the tribunal which is ultimately to decide, is to be established under the general government. But this does not change the principle of the case. The decision is to be impartially made, according to the rules of the Constitution; and all the usual and most effectual precautions are taken to secure this impartiality. Some such tribunal is clearly essential to prevent an appeal to the sword and a dissolution of the compact; and that it ought to be established under the general rather than under the local governments, or, to speak more properly, that it could be safely established under the first alone, is a position not likely to be combated.

But while the government is national in terms of how it exercises its powers, its nature shifts when we consider the scope of those powers. A national government not only holds authority over individual citizens but also has extensive control over all people and things that fall under lawful governance. In a unified nation, this authority is fully vested in the national legislature. In cases where communities come together for specific purposes, authority is divided between the general legislature and local legislatures. In the first scenario, all local authorities are subordinate to the supreme authority and can be controlled, directed, or even abolished at will. In the second scenario, local or municipal authorities act as independent entities, equally free from the general authority's control within their own areas, as the general authority is free from theirs. Therefore, in this context, the proposed government cannot be considered a NATIONAL one, as its jurisdiction is limited to specific enumerated areas, leaving the individual States with remaining and unassailable sovereignty over all other matters. It is true that in disputes over the boundaries between the two jurisdictions, a tribunal will ultimately be established under the general government to decide these issues. However, this doesn’t alter the principle at play. Decisions will be made fairly, according to constitutional rules, and all necessary measures are in place to ensure this fairness. Such a tribunal is clearly needed to prevent conflicts and the potential collapse of the agreement, and the notion that it should be established under the general government rather than local ones, or more accurately, that it can be securely established solely under the general government, is a view that is unlikely to face opposition.

If we try the Constitution by its last relation to the authority by which amendments are to be made, we find it neither wholly NATIONAL nor wholly FEDERAL. Were it wholly national, the supreme and ultimate authority would reside in the MAJORITY of the people of the Union; and this authority would be competent at all times, like that of a majority of every national society, to alter or abolish its established government. Were it wholly federal, on the other hand, the concurrence of each State in the Union would be essential to every alteration that would be binding on all. The mode provided by the plan of the convention is not founded on either of these principles. In requiring more than a majority, and principles. In requiring more than a majority, and particularly in computing the proportion by STATES, not by CITIZENS, it departs from the NATIONAL and advances towards the FEDERAL character; in rendering the concurrence of less than the whole number of States sufficient, it loses again the FEDERAL and partakes of the NATIONAL character.

If we evaluate the Constitution based on its connection to the authority that allows for amendments, we see that it is neither entirely NATIONAL nor entirely FEDERAL. If it were completely national, the highest and ultimate authority would lie with the MAJORITY of the people in the Union, and this authority would have the power at all times, just like any majority in a national society, to change or abolish its established government. Conversely, if it were fully federal, the agreement of every State in the Union would be necessary for any change to be effective for all. The approach outlined by the convention isn't based on either of these principles. By requiring more than just a majority and specifically calculating the proportion by STATES rather than by CITIZENS, it shifts away from the NATIONAL and moves toward a more FEDERAL structure; yet, by allowing the agreement of less than all the States to be sufficient, it again loses its FEDERAL aspect and leans towards being more NATIONAL.

The proposed Constitution, therefore, is, in strictness, neither a national nor a federal Constitution, but a composition of both. In its foundation it is federal, not national; in the sources from which the ordinary powers of the government are drawn, it is partly federal and partly national; in the operation of these powers, it is national, not federal; in the extent of them, again, it is federal, not national; and, finally, in the authoritative mode of introducing amendments, it is neither wholly federal nor wholly national.

The proposed Constitution is, strictly speaking, neither a national nor a federal Constitution, but a mix of both. At its core, it is federal, not national; in the sources from which the government’s ordinary powers come, it is partly federal and partly national; in how these powers function, it is national, not federal; in terms of their scope, once again, it is federal, not national; and finally, in the official process for introducing amendments, it is neither completely federal nor completely national.

PUBLIUS

PUBLIUS





FEDERALIST No. 40. On the Powers of the Convention to Form a Mixed Government Examined and Sustained.

For the New York Packet. Friday, January 18, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE SECOND point to be examined is, whether the convention were authorized to frame and propose this mixed Constitution.

THE SECOND point to be examined is whether the convention was authorized to create and propose this mixed Constitution.

The powers of the convention ought, in strictness, to be determined by an inspection of the commissions given to the members by their respective constituents. As all of these, however, had reference, either to the recommendation from the meeting at Annapolis, in September, 1786, or to that from Congress, in February, 1787, it will be sufficient to recur to these particular acts.

The powers of the convention should technically be defined by looking at the commissions given to the members by their individual constituents. However, since all of these referenced either the recommendation from the meeting in Annapolis in September 1786 or the one from Congress in February 1787, it will be enough to refer back to these specific actions.

The act from Annapolis recommends the "appointment of commissioners to take into consideration the situation of the United States; to devise SUCH FURTHER PROVISIONS as shall appear to them necessary to render the Constitution of the federal government ADEQUATE TO THE EXIGENCIES OF THE UNION; and to report such an act for that purpose, to the United States in Congress assembled, as when agreed to by them, and afterwards confirmed by the legislature of every State, will effectually provide for the same."

The act from Annapolis suggests the "appointment of commissioners to consider the situation of the United States; to come up with any additional provisions they think are necessary to make the Constitution of the federal government sufficient for the needs of the Union; and to report an act for that purpose to the United States Congress, which, once approved by them and confirmed by the legislature of each State, will effectively address the issue."

The recommendatory act of Congress is in the words following: "WHEREAS, There is provision in the articles of Confederation and perpetual Union, for making alterations therein, by the assent of a Congress of the United States, and of the legislatures of the several States; and whereas experience hath evinced, that there are defects in the present Confederation; as a mean to remedy which, several of the States, and PARTICULARLY THE STATE OF NEW YORK, by express instructions to their delegates in Congress, have suggested a convention for the purposes expressed in the following resolution; and such convention appearing to be the most probable mean of establishing in these States A FIRM NATIONAL GOVERNMENT:

The recommended action by Congress is stated as follows: "WHEREAS, there is a provision in the Articles of Confederation and Perpetual Union for making changes with the agreement of a Congress of the United States and the legislatures of the various States; and whereas experience has shown that there are flaws in the current Confederation; to address this, several States, especially THE STATE OF NEW YORK, have given clear instructions to their delegates in Congress to propose a convention for the purposes outlined in the following resolution; and it seems that such a convention is the most likely way to establish a STRONG NATIONAL GOVERNMENT in these States:"

"Resolved, That in the opinion of Congress it is expedient, that on the second Monday of May next a convention of delegates, who shall have been appointed by the several States, be held at Philadelphia, for the sole and express purpose OF REVISING THE ARTICLES OF CONFEDERATION, and reporting to Congress and the several legislatures such ALTERATIONS AND PROVISIONS THEREIN, as shall, when agreed to in Congress, and confirmed by the States, render the federal Constitution ADEQUATE TO THE EXIGENCIES OF GOVERNMENT AND THE PRESERVATION OF THE UNION."

"Resolved, That in Congress's opinion, it's necessary that on the second Monday of May next, a convention of delegates appointed by the various States be held in Philadelphia, for the sole purpose of REVISING THE ARTICLES OF CONFEDERATION, and reporting to Congress and the State legislatures any ALTERATIONS AND PROVISIONS that, once agreed upon by Congress and confirmed by the States, will make the federal Constitution ADEQUATE TO THE NEEDS OF GOVERNMENT AND THE PRESERVATION OF THE UNION."

From these two acts, it appears, 1st, that the object of the convention was to establish, in these States, A FIRM NATIONAL GOVERNMENT; 2d, that this government was to be such as would be ADEQUATE TO THE EXIGENCIES OF GOVERNMENT and THE PRESERVATION OF THE UNION; 3d, that these purposes were to be effected by ALTERATIONS AND PROVISIONS IN THE ARTICLES OF CONFEDERATION, as it is expressed in the act of Congress, or by SUCH FURTHER PROVISIONS AS SHOULD APPEAR NECESSARY, as it stands in the recommendatory act from Annapolis; 4th, that the alterations and provisions were to be reported to Congress, and to the States, in order to be agreed to by the former and confirmed by the latter.

From these two actions, it seems clear that, 1st, the goal of the convention was to set up a STRONG NATIONAL GOVERNMENT in these States; 2nd, this government was meant to be SUFFICIENT FOR THE NEEDS OF GOVERNANCE and THE MAINTENANCE OF THE UNION; 3rd, these goals were to be achieved through CHANGES AND ADDITIONS TO THE ARTICLES OF CONFEDERATION, as stated in the act of Congress, or through ANY OTHER PROVISIONS THAT SEEMED NECESSARY, as mentioned in the recommendatory act from Annapolis; 4th, the changes and provisions were to be presented to Congress and the States so that they could be agreed upon by the former and confirmed by the latter.

From a comparison and fair construction of these several modes of expression, is to be deduced the authority under which the convention acted. They were to frame a NATIONAL GOVERNMENT, adequate to the EXIGENCIES OF GOVERNMENT, and OF THE UNION; and to reduce the articles of Confederation into such form as to accomplish these purposes.

From a comparison and fair understanding of these various ways of expressing ideas, we can determine the authority under which the convention operated. They were tasked with creating a NATIONAL GOVERNMENT that was suitable for the NEEDS OF GOVERNMENT and THE UNION; and to reshape the articles of Confederation in a way that would achieve these goals.

There are two rules of construction, dictated by plain reason, as well as founded on legal axioms. The one is, that every part of the expression ought, if possible, to be allowed some meaning, and be made to conspire to some common end. The other is, that where the several parts cannot be made to coincide, the less important should give way to the more important part; the means should be sacrificed to the end, rather than the end to the means.

There are two rules of interpretation that are based on common sense and established legal principles. The first is that every part of a statement should, if possible, have some meaning and work together toward a common goal. The second is that if the different parts cannot align, the less important ones should yield to the more important part; the methods should be sacrificed for the goal, rather than the goal being sacrificed for the methods.

Suppose, then, that the expressions defining the authority of the convention were irreconcilably at variance with each other; that a NATIONAL and ADEQUATE GOVERNMENT could not possibly, in the judgment of the convention, be affected by ALTERATIONS and PROVISIONS in the ARTICLES OF CONFEDERATION; which part of the definition ought to have been embraced, and which rejected? Which was the more important, which the less important part? Which the end; which the means? Let the most scrupulous expositors of delegated powers; let the most inveterate objectors against those exercised by the convention, answer these questions. Let them declare, whether it was of most importance to the happiness of the people of America, that the articles of Confederation should be disregarded, and an adequate government be provided, and the Union preserved; or that an adequate government should be omitted, and the articles of Confederation preserved. Let them declare, whether the preservation of these articles was the end, for securing which a reform of the government was to be introduced as the means; or whether the establishment of a government, adequate to the national happiness, was the end at which these articles themselves originally aimed, and to which they ought, as insufficient means, to have been sacrificed.

Suppose the definitions of the authority of the convention were completely conflicting; that a NATIONAL and ADEQUATE GOVERNMENT could not, in the eyes of the convention, be influenced by changes and provisions in the ARTICLES OF CONFEDERATION. Which part of the definition should have been accepted, and which should have been rejected? Which was more important, and which was less important? Which was the goal, and which was the method? Let the most careful interpreters of delegated powers and the fiercest critics of those used by the convention answer these questions. Let them state whether it mattered more for the happiness of the American people that the Articles of Confederation be ignored, an adequate government be created, and the Union be preserved; or whether an adequate government should be skipped, while the Articles of Confederation were maintained. Let them declare whether preserving these articles was the goal for which a government reform was introduced as the method; or whether establishing a government sufficient for national happiness was the actual goal these articles originally sought, and to which they should have been sacrificed as inadequate means.

But is it necessary to suppose that these expressions are absolutely irreconcilable to each other; that no ALTERATIONS or PROVISIONS in the articles of the confederation could possibly mould them into a national and adequate government; into such a government as has been proposed by the convention?

But is it really necessary to believe that these expressions are completely incompatible with each other; that no changes or adjustments in the articles of the confederation could potentially shape them into a national and effective government; into the type of government that has been suggested by the convention?

No stress, it is presumed, will, in this case, be laid on the TITLE; a change of that could never be deemed an exercise of ungranted power. ALTERATIONS in the body of the instrument are expressly authorized. NEW PROVISIONS therein are also expressly authorized. Here then is a power to change the title; to insert new articles; to alter old ones. Must it of necessity be admitted that this power is infringed, so long as a part of the old articles remain? Those who maintain the affirmative ought at least to mark the boundary between authorized and usurped innovations; between that degree of change which lies within the compass of ALTERATIONS AND FURTHER PROVISIONS, and that which amounts to a TRANSMUTATION of the government. Will it be said that the alterations ought not to have touched the substance of the Confederation? The States would never have appointed a convention with so much solemnity, nor described its objects with so much latitude, if some SUBSTANTIAL reform had not been in contemplation. Will it be said that the FUNDAMENTAL PRINCIPLES of the Confederation were not within the purview of the convention, and ought not to have been varied? I ask, What are these principles? Do they require that, in the establishment of the Constitution, the States should be regarded as distinct and independent sovereigns? They are so regarded by the Constitution proposed. Do they require that the members of the government should derive their appointment from the legislatures, not from the people of the States? One branch of the new government is to be appointed by these legislatures; and under the Confederation, the delegates to Congress MAY ALL be appointed immediately by the people, and in two States(1) are actually so appointed. Do they require that the powers of the government should act on the States, and not immediately on individuals? In some instances, as has been shown, the powers of the new government will act on the States in their collective characters. In some instances, also, those of the existing government act immediately on individuals. In cases of capture; of piracy; of the post office; of coins, weights, and measures; of trade with the Indians; of claims under grants of land by different States; and, above all, in the case of trials by courts-marshal in the army and navy, by which death may be inflicted without the intervention of a jury, or even of a civil magistrate; in all these cases the powers of the Confederation operate immediately on the persons and interests of individual citizens. Do these fundamental principles require, particularly, that no tax should be levied without the intermediate agency of the States? The Confederation itself authorizes a direct tax, to a certain extent, on the post office. The power of coinage has been so construed by Congress as to levy a tribute immediately from that source also. But pretermitting these instances, was it not an acknowledged object of the convention and the universal expectation of the people, that the regulation of trade should be submitted to the general government in such a form as would render it an immediate source of general revenue? Had not Congress repeatedly recommended this measure as not inconsistent with the fundamental principles of the Confederation? Had not every State but one; had not New York herself, so far complied with the plan of Congress as to recognize the PRINCIPLE of the innovation? Do these principles, in fine, require that the powers of the general government should be limited, and that, beyond this limit, the States should be left in possession of their sovereignty and independence? We have seen that in the new government, as in the old, the general powers are limited; and that the States, in all unenumerated cases, are left in the enjoyment of their sovereign and independent jurisdiction.

No stress, it is assumed, will be put on the TITLE in this case; changing that could never be seen as an overreach of power. CHANGES in the main part of the document are explicitly allowed. NEW PROVISIONS in it are also explicitly allowed. This gives a power to change the title, to add new articles, and to modify old ones. Must it then be assumed that this power is violated as long as part of the old articles still exist? Those who argue otherwise should at least define the line between allowed and unauthorized changes; between the amount of change that falls under ALTERATIONS AND FURTHER PROVISIONS and that which leads to a complete TRANSFORMATION of the government. Is it to be argued that the changes should not have impacted the essence of the Confederation? The States would never have called a convention so solemnly, nor outlined its purpose so broadly, if some SIGNIFICANT reform was not intended. Is it to be said that the FUNDAMENTAL PRINCIPLES of the Confederation were not within the scope of the convention and should not have been altered? I ask, what are these principles? Do they require that, in establishing the Constitution, the States should be seen as separate and independent sovereigns? They are treated that way by the proposed Constitution. Do they require that members of the government should be appointed by the legislatures instead of the people of the States? One branch of the new government will be appointed by these legislatures; and under the Confederation, delegates to Congress MAY ALL be appointed directly by the people, and in two States(1) they actually are appointed that way. Do these principles require that government powers should operate on the States rather than directly on individuals? In some cases, as has been shown, the powers of the new government will act on the States collectively. In some cases, the existing government also acts directly on individuals. In matters of capture, piracy, the post office, coins, weights and measures, trade with Native Americans, claims under land grants by various States, and especially in trials by courts-martial in the army and navy, where death can be imposed without a jury or even a civil official’s involvement; in all these instances, the powers of the Confederation directly affect the personal and economic interests of individual citizens. Do these fundamental principles specifically require that no tax should be collected without the States being involved? The Confederation itself allows a direct tax, to some extent, on the post office. Congress has also interpreted the power of coinage to impose a tax directly from that source. But aside from these examples, wasn’t it a recognized aim of the convention and a common expectation of the people that trade regulation should be handed over to the general government in such a way that it would become a direct source of general revenue? Hadn’t Congress repeatedly suggested this as being consistent with the basic principles of the Confederation? Hadn’t every State but one; hadn’t New York itself, complied with Congress’s plan enough to acknowledge the PRINCIPLE of the change? Do these principles ultimately require that the powers of the general government be limited, leaving the States sovereign and independent beyond that limit? We have seen that the new government, like the old one, has limited general powers; and that the States retain their sovereign and independent jurisdiction in all unenumerated cases.

The truth is, that the great principles of the Constitution proposed by the convention may be considered less as absolutely new, than as the expansion of principles which are found in the articles of Confederation. The misfortune under the latter system has been, that these principles are so feeble and confined as to justify all the charges of inefficiency which have been urged against it, and to require a degree of enlargement which gives to the new system the aspect of an entire transformation of the old.

The truth is, the key principles of the Constitution proposed by the convention can be seen less as completely new ideas and more as an expansion of principles found in the Articles of Confederation. The issue with the latter system has been that these principles are so weak and limited that they support all the claims of inefficiency made against it, necessitating a level of broadening that makes the new system seem like a total overhaul of the old one.

In one particular it is admitted that the convention have departed from the tenor of their commission. Instead of reporting a plan requiring the confirmation OF THE LEGISLATURES OF ALL THE STATES, they have reported a plan which is to be confirmed by the PEOPLE, and may be carried into effect by NINE STATES ONLY. It is worthy of remark that this objection, though the most plausible, has been the least urged in the publications which have swarmed against the convention. The forbearance can only have proceeded from an irresistible conviction of the absurdity of subjecting the fate of twelve States to the perverseness or corruption of a thirteenth; from the example of inflexible opposition given by a MAJORITY of one sixtieth of the people of America to a measure approved and called for by the voice of twelve States, comprising fifty-nine sixtieths of the people an example still fresh in the memory and indignation of every citizen who has felt for the wounded honor and prosperity of his country. As this objection, therefore, has been in a manner waived by those who have criticised the powers of the convention, I dismiss it without further observation.

In one specific way, it's acknowledged that the convention strayed from the terms of their mandate. Instead of putting forward a plan that needed the approval of all the state legislatures, they've proposed a plan that requires approval from the PEOPLE and can be implemented by ONLY NINE STATES. It's worth noting that this objection, although the most reasonable, has been the least emphasized in the critiques against the convention. This restraint likely stems from an undeniable belief in the absurdity of leaving the fate of twelve states to the whims or corruption of a thirteenth; from the example of stubborn opposition shown by a MAJORITY of one sixtieth of the population of America to a measure supported and demanded by the voices of twelve states, representing fifty-nine sixtieths of the people—an example that is still fresh in the minds and anger of every citizen who cares about the injured honor and prosperity of their country. Therefore, since this objection has essentially been overlooked by those who have critiqued the powers of the convention, I will set it aside without further comment.

The THIRD point to be inquired into is, how far considerations of duty arising out of the case itself could have supplied any defect of regular authority.

The third point to investigate is how much the considerations of duty related to the case itself could have made up for any lack of proper authority.

In the preceding inquiries the powers of the convention have been analyzed and tried with the same rigor, and by the same rules, as if they had been real and final powers for the establishment of a Constitution for the United States. We have seen in what manner they have borne the trial even on that supposition. It is time now to recollect that the powers were merely advisory and recommendatory; that they were so meant by the States, and so understood by the convention; and that the latter have accordingly planned and proposed a Constitution which is to be of no more consequence than the paper on which it is written, unless it be stamped with the approbation of those to whom it is addressed. This reflection places the subject in a point of view altogether different, and will enable us to judge with propriety of the course taken by the convention.

In the earlier discussions, the powers of the convention were examined and tested with the same seriousness and by the same standards as if they were actual and final powers for creating a Constitution for the United States. We've seen how they held up even under that assumption. Now it's important to remember that these powers were just advisory and recommendatory; that was their intended purpose by the States, and the convention understood it that way. Consequently, they outlined a Constitution that will mean no more than the paper it's written on unless it gets approval from those it's meant for. This realization puts the matter in a completely different light and will help us evaluate the convention's actions properly.

Let us view the ground on which the convention stood. It may be collected from their proceedings, that they were deeply and unanimously impressed with the crisis, which had led their country almost with one voice to make so singular and solemn an experiment for correcting the errors of a system by which this crisis had been produced; that they were no less deeply and unanimously convinced that such a reform as they have proposed was absolutely necessary to effect the purposes of their appointment. It could not be unknown to them that the hopes and expectations of the great body of citizens, throughout this great empire, were turned with the keenest anxiety to the event of their deliberations. They had every reason to believe that the contrary sentiments agitated the minds and bosoms of every external and internal foe to the liberty and prosperity of the United States. They had seen in the origin and progress of the experiment, the alacrity with which the PROPOSITION, made by a single State (Virginia), towards a partial amendment of the Confederation, had been attended to and promoted. They had seen the LIBERTY ASSUMED by a VERY FEW deputies from a VERY FEW States, convened at Annapolis, of recommending a great and critical object, wholly foreign to their commission, not only justified by the public opinion, but actually carried into effect by twelve out of the thirteen States. They had seen, in a variety of instances, assumptions by Congress, not only of recommendatory, but of operative, powers, warranted, in the public estimation, by occasions and objects infinitely less urgent than those by which their conduct was to be governed. They must have reflected, that in all great changes of established governments, forms ought to give way to substance; that a rigid adherence in such cases to the former, would render nominal and nugatory the transcendent and precious right of the people to "abolish or alter their governments as to them shall seem most likely to effect their safety and happiness,"(2) since it is impossible for the people spontaneously and universally to move in concert towards their object; and it is therefore essential that such changes be instituted by some INFORMAL AND UNAUTHORIZED PROPOSITIONS, made by some patriotic and respectable citizen or number of citizens. They must have recollected that it was by this irregular and assumed privilege of proposing to the people plans for their safety and happiness, that the States were first united against the danger with which they were threatened by their ancient government; that committees and congresses were formed for concentrating their efforts and defending their rights; and that CONVENTIONS were ELECTED in THE SEVERAL STATES for establishing the constitutions under which they are now governed; nor could it have been forgotten that no little ill-timed scruples, no zeal for adhering to ordinary forms, were anywhere seen, except in those who wished to indulge, under these masks, their secret enmity to the substance contended for. They must have borne in mind, that as the plan to be framed and proposed was to be submitted TO THE PEOPLE THEMSELVES, the disapprobation of this supreme authority would destroy it forever; its approbation blot out antecedent errors and irregularities. It might even have occurred to them, that where a disposition to cavil prevailed, their neglect to execute the degree of power vested in them, and still more their recommendation of any measure whatever, not warranted by their commission, would not less excite animadversion, than a recommendation at once of a measure fully commensurate to the national exigencies.

Let’s look at the foundation on which the convention was built. From their discussions, it’s clear they were profoundly and unanimously aware of the crisis that had almost universally compelled their country to undertake such a unique and serious experiment to correct the mistakes of a system that caused this crisis. They were equally convinced that the reform they proposed was absolutely necessary to fulfill their purpose. They must have known that the hopes and expectations of a significant portion of citizens across this vast nation were anxiously focused on the outcome of their deliberations. They had every reason to believe that opposing sentiments troubled the minds and hearts of every internal and external enemy of the liberty and prosperity of the United States. They had witnessed the eagerness with which the PROPOSITION made by a single state (Virginia) for a partial amendment of the Confederation was heard and supported. They had noted the LIBERTY ASSUMED by a SMALL NUMBER of deputies from a SMALL NUMBER of states meeting in Annapolis to recommend a major and critical objective, completely outside their official commission, which was not only justified by public opinion but successfully implemented by twelve out of the thirteen states. They had seen various instances where Congress assumed not just recommendatory but also operative powers, justified in public opinion by situations and goals far less pressing than those guiding their actions. They must have considered that in significant changes to established governments, form should yield to substance; strict adherence to traditional forms in such cases would render the supreme and invaluable right of the people to "abolish or alter their governments as they see fit for their safety and happiness" ineffective, since it’s impossible for people to move in unison towards their goals without some informal and unauthorized proposals made by a patriotic and respected citizen or group of citizens. They likely recalled that it was through this irregular and assumed right to present plans for their safety and happiness that the states first united against the threats posed by their former government; that committees and congresses were formed to coordinate their efforts and defend their rights; and that conventions were ELECTED in THE SEVERAL STATES to establish the constitutions under which they are now governed. They also couldn’t have overlooked that no insignificant misgivings or excess zeal for following standard procedures were evident, except among those who wanted to disguise their true opposition to the substance in question. They must have kept in mind that since the plan to be drafted and proposed would be presented to THE PEOPLE THEMSELVES, any rejection from this ultimate authority would permanently doom it; their approval would erase prior mistakes and irregularities. They might have even realized that if there was a tendency to dispute, neglecting to exercise the authority granted to them, and particularly any recommendation of measures not supported by their commission, would attract criticism just as much as recommending a fully appropriate measure for the national needs.

Had the convention, under all these impressions, and in the midst of all these considerations, instead of exercising a manly confidence in their country, by whose confidence they had been so peculiarly distinguished, and of pointing out a system capable, in their judgment, of securing its happiness, taken the cold and sullen resolution of disappointing its ardent hopes, of sacrificing substance to forms, of committing the dearest interests of their country to the uncertainties of delay and the hazard of events, let me ask the man who can raise his mind to one elevated conception, who can awaken in his bosom one patriotic emotion, what judgment ought to have been pronounced by the impartial world, by the friends of mankind, by every virtuous citizen, on the conduct and character of this assembly? Or if there be a man whose propensity to condemn is susceptible of no control, let me then ask what sentence he has in reserve for the twelve States who USURPED THE POWER of sending deputies to the convention, a body utterly unknown to their constitutions; for Congress, who recommended the appointment of this body, equally unknown to the Confederation; and for the State of New York, in particular, which first urged and then complied with this unauthorized interposition?

Had the convention, influenced by all these thoughts and surrounded by these considerations, chosen instead to show a strong confidence in their country—whose trust had distinguished them so uniquely—and suggested a system that they believed could ensure its happiness, rather than taking the cold and gloomy decision to crush its passionate hopes, sacrificing substance for form, and leaving the most important interests of their country to the risks of delay and uncertain events, I ask anyone who can elevate their mind to a grand idea or stir a patriotic feeling within themselves, what judgment should have been made by the impartial world, by friends of humanity, and by every virtuous citizen regarding the actions and character of this assembly? Or for someone whose inclination to judge knows no bounds, what would he then say about the twelve States that USURPED THE POWER to send delegates to the convention—a group completely unknown to their constitutions; about Congress, which suggested the formation of this body, also unknown to the Confederation; and specifically about the State of New York, which first pushed for and then went along with this unauthorized intervention?

But that the objectors may be disarmed of every pretext, it shall be granted for a moment that the convention were neither authorized by their commission, nor justified by circumstances in proposing a Constitution for their country: does it follow that the Constitution ought, for that reason alone, to be rejected? If, according to the noble precept, it be lawful to accept good advice even from an enemy, shall we set the ignoble example of refusing such advice even when it is offered by our friends? The prudent inquiry, in all cases, ought surely to be, not so much FROM WHOM the advice comes, as whether the advice be GOOD.

But to remove every excuse for the objectors, let’s assume for a moment that the convention wasn't authorized by their commission and that the circumstances didn't justify proposing a Constitution for their country: does that mean the Constitution should simply be rejected? If, according to the wise saying, it's acceptable to take good advice even from an enemy, should we really set the poor example of refusing advice when it comes from our friends? In all situations, the important question should surely be not so much WHO is giving the advice, but whether the advice is actually GOOD.

The sum of what has been here advanced and proved is, that the charge against the convention of exceeding their powers, except in one instance little urged by the objectors, has no foundation to support it; that if they had exceeded their powers, they were not only warranted, but required, as the confidential servants of their country, by the circumstances in which they were placed, to exercise the liberty which they assume; and that finally, if they had violated both their powers and their obligations, in proposing a Constitution, this ought nevertheless to be embraced, if it be calculated to accomplish the views and happiness of the people of America. How far this character is due to the Constitution, is the subject under investigation.

The main point of what has been discussed and proven is that the accusation against the convention for overstepping their authority, except in one instance that hasn't been heavily emphasized by the critics, has no real basis; that even if they did overstep their powers, they were not only justified but obligated, as trusted representatives of their country, by the circumstances they faced, to take the actions they did; and that ultimately, if they did violate both their powers and responsibilities in proposing a Constitution, it should still be accepted if it is intended to serve the interests and well-being of the people of America. How much credit for this goes to the Constitution is what we are examining.

PUBLIUS

PUBLIUS

1. Connecticut and Rhode Island.

Connecticut & Rhode Island.

2. Declaration of Independence.

2. Declaration of Independence.





FEDERALIST No. 41. General View of the Powers Conferred by The Constitution

For the Independent Journal. Saturday, January 19, 1788

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE Constitution proposed by the convention may be considered under two general points of view. The FIRST relates to the sum or quantity of power which it vests in the government, including the restraints imposed on the States. The SECOND, to the particular structure of the government, and the distribution of this power among its several branches.

THE Constitution proposed by the convention can be looked at from two main perspectives. The FIRST involves the total amount of power it grants to the government, along with the limitations placed on the States. The SECOND focuses on the specific structure of the government and how this power is divided among its various branches.

Under the FIRST view of the subject, two important questions arise: 1. Whether any part of the powers transferred to the general government be unnecessary or improper? 2. Whether the entire mass of them be dangerous to the portion of jurisdiction left in the several States?

Under the FIRST view of the subject, two important questions come up: 1. Is any part of the powers given to the federal government unnecessary or inappropriate? 2. Is the overall amount of these powers dangerous to the jurisdiction that remains with the individual States?

Is the aggregate power of the general government greater than ought to have been vested in it? This is the FIRST question.

Is the total power of the federal government greater than it should have been given? This is the FIRST question.

It cannot have escaped those who have attended with candor to the arguments employed against the extensive powers of the government, that the authors of them have very little considered how far these powers were necessary means of attaining a necessary end. They have chosen rather to dwell on the inconveniences which must be unavoidably blended with all political advantages; and on the possible abuses which must be incident to every power or trust, of which a beneficial use can be made. This method of handling the subject cannot impose on the good sense of the people of America. It may display the subtlety of the writer; it may open a boundless field for rhetoric and declamation; it may inflame the passions of the unthinking, and may confirm the prejudices of the misthinking: but cool and candid people will at once reflect, that the purest of human blessings must have a portion of alloy in them; that the choice must always be made, if not of the lesser evil, at least of the GREATER, not the PERFECT, good; and that in every political institution, a power to advance the public happiness involves a discretion which may be misapplied and abused. They will see, therefore, that in all cases where power is to be conferred, the point first to be decided is, whether such a power be necessary to the public good; as the next will be, in case of an affirmative decision, to guard as effectually as possible against a perversion of the power to the public detriment.

It won't have escaped those who have honestly engaged with the arguments against the government's broad powers that the people making these arguments haven't seriously considered how necessary these powers are for achieving important goals. Instead, they've chosen to focus on the drawbacks that inevitably come with any political benefits and on the potential abuses that can arise with any power or responsibility that can be used for good. This way of discussing the issue won't fool the good sense of the people of America. It might showcase the writer's cleverness, create endless opportunities for rhetoric and speeches, stir up emotions in those who don't think critically, and reinforce the biases of those with flawed reasoning. However, rational and fair-minded people will quickly realize that even the best human blessings come with some flaws; that decisions must always be made, if not for the lesser evil, then at least for the greater, not the perfect, good; and that in any political system, the power to promote public happiness includes the risk of misuse and abuse. Therefore, they will understand that in any situation where power is about to be granted, the first question to answer is whether that power is necessary for the public good, and if the answer is yes, the next step is to put in place the strongest safeguards possible against the misuse of that power to the public's detriment.

That we may form a correct judgment on this subject, it will be proper to review the several powers conferred on the government of the Union; and that this may be the more conveniently done they may be reduced into different classes as they relate to the following different objects: 1. Security against foreign danger; 2. Regulation of the intercourse with foreign nations; 3. Maintenance of harmony and proper intercourse among the States; 4. Certain miscellaneous objects of general utility; 5. Restraint of the States from certain injurious acts; 6. Provisions for giving due efficacy to all these powers.

To make a well-informed judgment on this topic, it's important to review the various powers granted to the federal government. For convenience, we can categorize these powers into different classes based on the following objectives: 1. Protection against foreign threats; 2. Regulation of relations with foreign nations; 3. Maintaining harmony and proper interactions among the states; 4. Various miscellaneous matters of general benefit; 5. Preventing states from certain harmful actions; 6. Implementing provisions to ensure all these powers are effective.

The powers falling within the FIRST class are those of declaring war and granting letters of marque; of providing armies and fleets; of regulating and calling forth the militia; of levying and borrowing money.

The powers in the FIRST class include declaring war and issuing letters of marque; providing armies and fleets; regulating and mobilizing the militia; and raising and borrowing money.

Security against foreign danger is one of the primitive objects of civil society. It is an avowed and essential object of the American Union. The powers requisite for attaining it must be effectually confided to the federal councils.

Security against foreign threats is one of the basic purposes of civil society. It is a clear and crucial objective of the American Union. The powers needed to achieve this must be effectively entrusted to the federal government.

Is the power of declaring war necessary? No man will answer this question in the negative. It would be superfluous, therefore, to enter into a proof of the affirmative. The existing Confederation establishes this power in the most ample form.

Is the power to declare war necessary? No one would say no to this question. So, it’s unnecessary to prove the yes answer. The current Confederation grants this power in the fullest way possible.

Is the power of raising armies and equipping fleets necessary? This is involved in the foregoing power. It is involved in the power of self-defense.

Is the ability to raise armies and equip fleets necessary? This is included in the earlier mentioned power. It is part of the power of self-defense.

But was it necessary to give an INDEFINITE POWER of raising TROOPS, as well as providing fleets; and of maintaining both in PEACE, as well as in WAR?

But was it really necessary to give an UNLIMITED POWER to raise TROOPS, as well as provide fleets; and to maintain both in PEACE and in WAR?

The answer to these questions has been too far anticipated in another place to admit an extensive discussion of them in this place. The answer indeed seems to be so obvious and conclusive as scarcely to justify such a discussion in any place. With what color of propriety could the force necessary for defense be limited by those who cannot limit the force of offense? If a federal Constitution could chain the ambition or set bounds to the exertions of all other nations, then indeed might it prudently chain the discretion of its own government, and set bounds to the exertions for its own safety.

The answers to these questions have already been covered in detail elsewhere, so there's no need for an extensive discussion here. The answers seem so clear and definitive that it hardly warrants further debate anywhere. How could it make sense to limit the force needed for defense by those who can't limit the force of an attack? If a federal Constitution could restrain the ambitions or efforts of all other nations, then it might rightfully restrain the judgment of its own government and set limits on its efforts to ensure its own safety.

How could a readiness for war in time of peace be safely prohibited, unless we could prohibit, in like manner, the preparations and establishments of every hostile nation? The means of security can only be regulated by the means and the danger of attack. They will, in fact, be ever determined by these rules, and by no others. It is in vain to oppose constitutional barriers to the impulse of self-preservation. It is worse than in vain; because it plants in the Constitution itself necessary usurpations of power, every precedent of which is a germ of unnecessary and multiplied repetitions. If one nation maintains constantly a disciplined army, ready for the service of ambition or revenge, it obliges the most pacific nations who may be within the reach of its enterprises to take corresponding precautions. The fifteenth century was the unhappy epoch of military establishments in the time of peace. They were introduced by Charles VII. of France. All Europe has followed, or been forced into, the example. Had the example not been followed by other nations, all Europe must long ago have worn the chains of a universal monarch. Were every nation except France now to disband its peace establishments, the same event might follow. The veteran legions of Rome were an overmatch for the undisciplined valor of all other nations and rendered her the mistress of the world.

How can we safely stop a readiness for war during peacetime unless we can also stop every hostile nation from preparing and establishing their forces? The means of security can only be dictated by the methods and the threat of attack. In reality, these rules will always determine security, and nothing else will. It’s pointless to put constitutional limits on the instinct for self-preservation. It’s worse than pointless, because it creates necessary abuses of power within the Constitution itself, with every instance serving as a seed for more unnecessary and repeated abuses. If one nation constantly maintains a disciplined army ready for ambition or revenge, it forces the most peace-loving nations within its reach to take similar precautions. The fifteenth century was a dark time for military forces during peacetime, which began with Charles VII of France. All of Europe followed that example or was compelled to do so. If other nations hadn’t followed France’s lead, Europe would likely have long ago been under the tyranny of a universal monarch. If every nation except France were to disband its peacetime forces now, the same outcome could happen. The veteran legions of Rome were far more powerful than the untrained bravery of all other nations, making Rome the ruler of the world.

Not the less true is it, that the liberties of Rome proved the final victim to her military triumphs; and that the liberties of Europe, as far as they ever existed, have, with few exceptions, been the price of her military establishments. A standing force, therefore, is a dangerous, at the same time that it may be a necessary, provision. On the smallest scale it has its inconveniences. On an extensive scale its consequences may be fatal. On any scale it is an object of laudable circumspection and precaution. A wise nation will combine all these considerations; and, whilst it does not rashly preclude itself from any resource which may become essential to its safety, will exert all its prudence in diminishing both the necessity and the danger of resorting to one which may be inauspicious to its liberties.

It's still true that the freedoms of Rome eventually fell victim to her military victories, and that the freedoms in Europe, to the extent they ever existed, have mostly been the cost of her military forces. Therefore, a standing army is a risky thing, even if it might be necessary. Even on a small scale, it has its drawbacks. On a large scale, its effects can be disastrous. Regardless of the size, it should be approached with careful thought and caution. A wise nation will take all these factors into account and, while not foolishly shutting itself off from any resources that might be vital for its safety, will use all its wisdom to minimize both the need for and the dangers associated with relying on something that could threaten its freedoms.

The clearest marks of this prudence are stamped on the proposed Constitution. The Union itself, which it cements and secures, destroys every pretext for a military establishment which could be dangerous. America united, with a handful of troops, or without a single soldier, exhibits a more forbidding posture to foreign ambition than America disunited, with a hundred thousand veterans ready for combat. It was remarked, on a former occasion, that the want of this pretext had saved the liberties of one nation in Europe. Being rendered by her insular situation and her maritime resources impregnable to the armies of her neighbors, the rulers of Great Britain have never been able, by real or artificial dangers, to cheat the public into an extensive peace establishment. The distance of the United States from the powerful nations of the world gives them the same happy security. A dangerous establishment can never be necessary or plausible, so long as they continue a united people. But let it never, for a moment, be forgotten that they are indebted for this advantage to the Union alone. The moment of its dissolution will be the date of a new order of things. The fears of the weaker, or the ambition of the stronger States, or Confederacies, will set the same example in the New, as Charles VII. did in the Old World. The example will be followed here from the same motives which produced universal imitation there. Instead of deriving from our situation the precious advantage which Great Britain has derived from hers, the face of America will be but a copy of that of the continent of Europe. It will present liberty everywhere crushed between standing armies and perpetual taxes. The fortunes of disunited America will be even more disastrous than those of Europe. The sources of evil in the latter are confined to her own limits. No superior powers of another quarter of the globe intrigue among her rival nations, inflame their mutual animosities, and render them the instruments of foreign ambition, jealousy, and revenge. In America the miseries springing from her internal jealousies, contentions, and wars, would form a part only of her lot. A plentiful addition of evils would have their source in that relation in which Europe stands to this quarter of the earth, and which no other quarter of the earth bears to Europe.

The clearest signs of this caution are evident in the proposed Constitution. The Union it strengthens and protects eliminates any reason for a military force that could be dangerous. A united America, with a small number of troops or even none at all, poses a greater deterrent to foreign ambitions than a divided America with a hundred thousand seasoned soldiers prepared for battle. It was previously noted that the lack of such a reason preserved the freedoms of one nation in Europe. Due to its insular position and maritime resources, Great Britain has never been able to deceive the public into supporting a large peacetime military, despite real or inflated threats. The distance between the United States and the major world powers provides similar security. A threatening military presence will never be necessary or believable as long as the country remains united. But we must never forget that this advantage is solely due to the Union. The moment it falls apart will mark the beginning of a new era. The fears of weaker states or the ambitions of stronger ones will set the same precedent here as Charles VII did in the Old World. The same motivations that led to widespread imitation there will be mirrored here. Instead of gaining the significant benefit from our situation that Great Britain has from hers, America will look just like Europe. It will show liberty crushed everywhere between standing armies and constant taxation. The troubles of a divided America will be even worse than those in Europe. The sources of conflict in Europe are contained within its own borders, whereas no external powers from other parts of the globe stir up rivalries among its nations, inflaming their mutual animosities and making them pawns of foreign ambition, jealousy, and revenge. In America, the suffering caused by internal rivalries, conflicts, and wars would only be part of its fate. An even greater host of problems would arise from the way Europe interacts with this part of the world, a situation unique to Europe.

This picture of the consequences of disunion cannot be too highly colored, or too often exhibited. Every man who loves peace, every man who loves his country, every man who loves liberty, ought to have it ever before his eyes, that he may cherish in his heart a due attachment to the Union of America, and be able to set a due value on the means of preserving it.

This depiction of the results of division cannot be emphasized enough or shown too frequently. Every person who values peace, every person who cares for their country, every person who values freedom, should always keep it in mind so they can foster a true commitment to the Union of America and understand the importance of preserving it.

Next to the effectual establishment of the Union, the best possible precaution against danger from standing armies is a limitation of the term for which revenue may be appropriated to their support. This precaution the Constitution has prudently added. I will not repeat here the observations which I flatter myself have placed this subject in a just and satisfactory light. But it may not be improper to take notice of an argument against this part of the Constitution, which has been drawn from the policy and practice of Great Britain. It is said that the continuance of an army in that kingdom requires an annual vote of the legislature; whereas the American Constitution has lengthened this critical period to two years. This is the form in which the comparison is usually stated to the public: but is it a just form? Is it a fair comparison? Does the British Constitution restrain the parliamentary discretion to one year? Does the American impose on the Congress appropriations for two years? On the contrary, it cannot be unknown to the authors of the fallacy themselves, that the British Constitution fixes no limit whatever to the discretion of the legislature, and that the American ties down the legislature to two years, as the longest admissible term.

Next to the effective establishment of the Union, the best precaution against the dangers of standing armies is to limit the time for which funds can be allocated to support them. This precaution has been wisely included in the Constitution. I won’t repeat what I believe clearly explains this topic, but it’s worth mentioning an argument against this part of the Constitution that comes from the policies and practices of Great Britain. It's argued that maintaining an army in that country requires an annual vote by the legislature, whereas the American Constitution extends this critical period to two years. This is how the comparison is often presented to the public, but is it accurate? Is it a fair comparison? Does the British Constitution restrict the parliamentary discretion to one year? Does the American Constitution require Congress to appropriate funds for two years? On the contrary, those who promote this fallacy surely know that the British Constitution places no limit on the legislature’s discretion, while the American Constitution restricts the legislature to two years as the longest acceptable term.

Had the argument from the British example been truly stated, it would have stood thus: The term for which supplies may be appropriated to the army establishment, though unlimited by the British Constitution, has nevertheless, in practice, been limited by parliamentary discretion to a single year. Now, if in Great Britain, where the House of Commons is elected for seven years; where so great a proportion of the members are elected by so small a proportion of the people; where the electors are so corrupted by the representatives, and the representatives so corrupted by the Crown, the representative body can possess a power to make appropriations to the army for an indefinite term, without desiring, or without daring, to extend the term beyond a single year, ought not suspicion herself to blush, in pretending that the representatives of the United States, elected FREELY by the WHOLE BODY of the people, every SECOND YEAR, cannot be safely intrusted with the discretion over such appropriations, expressly limited to the short period of TWO YEARS?

If the argument from the British example had been accurately presented, it would be stated like this: While the term for which supplies can be allocated to the army is not limited by the British Constitution, in practice, it has been restricted by parliamentary discretion to just one year. Now, in Great Britain, where the House of Commons is elected for seven years, and where a large number of members are chosen by a very small segment of the population; where the voters are heavily influenced by their representatives, and the representatives are compromised by the Crown, the representative body can hold the power to allocate funds to the army for an indefinite period, yet they do not want, or even dare, to extend that term beyond a single year. Shouldn't suspicion be embarrassed for claiming that the representatives of the United States, elected FREELY by the ENTIRE population every TWO YEARS, cannot be reliably trusted with the discretion over such appropriations, specifically limited to the short duration of TWO YEARS?

A bad cause seldom fails to betray itself. Of this truth, the management of the opposition to the federal government is an unvaried exemplification. But among all the blunders which have been committed, none is more striking than the attempt to enlist on that side the prudent jealousy entertained by the people, of standing armies. The attempt has awakened fully the public attention to that important subject; and has led to investigations which must terminate in a thorough and universal conviction, not only that the constitution has provided the most effectual guards against danger from that quarter, but that nothing short of a Constitution fully adequate to the national defense and the preservation of the Union, can save America from as many standing armies as it may be split into States or Confederacies, and from such a progressive augmentation, of these establishments in each, as will render them as burdensome to the properties and ominous to the liberties of the people, as any establishment that can become necessary, under a united and efficient government, must be tolerable to the former and safe to the latter.

A bad cause rarely hides its true intentions. The way the opposition to the federal government is managed clearly illustrates this. However, among all the mistakes made, none stand out more than the effort to exploit the people's legitimate concerns about standing armies. This attempt has fully captured public attention on that crucial issue and has led to inquiries that will ultimately result in a strong and widespread belief that the Constitution provides the best protections against dangers from that direction. Furthermore, it will show that only a Constitution that is fully capable of ensuring national defense and preserving the Union can protect America from as many standing armies as there are States or Confederacies. It will also prevent a constant increase in these forces within each, which could become as burdensome to property and threatening to people's freedoms as any force established under a united and efficient government must be acceptable to the former and secure for the latter.

The palpable necessity of the power to provide and maintain a navy has protected that part of the Constitution against a spirit of censure, which has spared few other parts. It must, indeed, be numbered among the greatest blessings of America, that as her Union will be the only source of her maritime strength, so this will be a principal source of her security against danger from abroad. In this respect our situation bears another likeness to the insular advantage of Great Britain. The batteries most capable of repelling foreign enterprises on our safety, are happily such as can never be turned by a perfidious government against our liberties.

The clear need for the ability to create and maintain a navy has shielded that aspect of the Constitution from criticism, which hasn't spared many other parts. It truly should be considered one of America's greatest advantages that her Union will be the main source of her maritime strength, and this will be a key factor in her security against threats from outside. In this way, our situation is somewhat similar to the geographical benefits of Great Britain. The defenses that are most effective at protecting us from foreign threats are fortunately the ones that can never be used by a deceitful government against our freedoms.

The inhabitants of the Atlantic frontier are all of them deeply interested in this provision for naval protection, and if they have hitherto been suffered to sleep quietly in their beds; if their property has remained safe against the predatory spirit of licentious adventurers; if their maritime towns have not yet been compelled to ransom themselves from the terrors of a conflagration, by yielding to the exactions of daring and sudden invaders, these instances of good fortune are not to be ascribed to the capacity of the existing government for the protection of those from whom it claims allegiance, but to causes that are fugitive and fallacious. If we except perhaps Virginia and Maryland, which are peculiarly vulnerable on their eastern frontiers, no part of the Union ought to feel more anxiety on this subject than New York. Her seacoast is extensive. A very important district of the State is an island. The State itself is penetrated by a large navigable river for more than fifty leagues. The great emporium of its commerce, the great reservoir of its wealth, lies every moment at the mercy of events, and may almost be regarded as a hostage for ignominious compliances with the dictates of a foreign enemy, or even with the rapacious demands of pirates and barbarians. Should a war be the result of the precarious situation of European affairs, and all the unruly passions attending it be let loose on the ocean, our escape from insults and depredations, not only on that element, but every part of the other bordering on it, will be truly miraculous. In the present condition of America, the States more immediately exposed to these calamities have nothing to hope from the phantom of a general government which now exists; and if their single resources were equal to the task of fortifying themselves against the danger, the object to be protected would be almost consumed by the means of protecting them.

The people living along the Atlantic frontier care deeply about having naval protection. If they have been able to sleep peacefully at night, if their property has stayed safe from the greedy attacks of reckless adventurers, and if their coastal towns haven’t had to pay ransoms to avoid the devastation of fires by sudden invaders, these fortunate circumstances can't be credited to the current government’s ability to protect those it claims to serve. Instead, they are due to unpredictable and unreliable factors. Except perhaps for Virginia and Maryland, which are especially vulnerable on their eastern borders, no part of the Union should feel more worried about this than New York. It has an extensive coastline, an important district that’s an island, and a large navigable river that cuts through the state for over fifty miles. The state’s main hub for commerce and wealth is constantly at risk and can almost be seen as a hostage to avoid humiliating concessions to a foreign enemy or even to the greedy demands of pirates and marauders. If European tensions lead to war and unleash unruly passions on the ocean, it will truly be miraculous if we can avoid insults and attacks not just on the water but in every area along it. Given America's current situation, the states most at risk from these dangers have little hope from the illusion of the general government that exists today. Even if their individual resources were enough to protect themselves, the effort to do so would almost consume what they need to safeguard.

The power of regulating and calling forth the militia has been already sufficiently vindicated and explained.

The authority to organize and summon the militia has already been clearly justified and explained.

The power of levying and borrowing money, being the sinew of that which is to be exerted in the national defense, is properly thrown into the same class with it. This power, also, has been examined already with much attention, and has, I trust, been clearly shown to be necessary, both in the extent and form given to it by the Constitution. I will address one additional reflection only to those who contend that the power ought to have been restrained to external—taxation by which they mean, taxes on articles imported from other countries. It cannot be doubted that this will always be a valuable source of revenue; that for a considerable time it must be a principal source; that at this moment it is an essential one. But we may form very mistaken ideas on this subject, if we do not call to mind in our calculations, that the extent of revenue drawn from foreign commerce must vary with the variations, both in the extent and the kind of imports; and that these variations do not correspond with the progress of population, which must be the general measure of the public wants. As long as agriculture continues the sole field of labor, the importation of manufactures must increase as the consumers multiply. As soon as domestic manufactures are begun by the hands not called for by agriculture, the imported manufactures will decrease as the numbers of people increase. In a more remote stage, the imports may consist in a considerable part of raw materials, which will be wrought into articles for exportation, and will, therefore, require rather the encouragement of bounties, than to be loaded with discouraging duties. A system of government, meant for duration, ought to contemplate these revolutions, and be able to accommodate itself to them.

The ability to raise and borrow money, which is crucial for national defense, should be seen as part of that same effort. This power has already been examined in detail and has, I hope, been clearly established as necessary, both in its scope and the way it is outlined in the Constitution. I want to add one more thought for those who argue that this power should be limited only to external taxation, meaning taxes on goods imported from other countries. There's no doubt that this will always be a valuable source of revenue; for a long time, it will likely be a major source, and right now, it is essential. However, we might have a distorted view of this issue if we don't remember in our assessments that the revenue from foreign trade will fluctuate based on the volume and type of imports. These fluctuations won't necessarily align with population growth, which should be the overall measure of public needs. As long as agriculture remains the primary field of work, the import of manufactured goods will increase as more consumers emerge. Once domestic manufacturing starts with workers not needed in agriculture, the import of manufactured goods will decline as the population grows. Eventually, imports may consist largely of raw materials, which will be processed into goods for export, and therefore, should be encouraged with incentives rather than burdened with heavy taxes. A government designed to endure should anticipate these changes and adapt accordingly.

Some, who have not denied the necessity of the power of taxation, have grounded a very fierce attack against the Constitution, on the language in which it is defined. It has been urged and echoed, that the power "to lay and collect taxes, duties, imposts, and excises, to pay the debts, and provide for the common defense and general welfare of the United States," amounts to an unlimited commission to exercise every power which may be alleged to be necessary for the common defense or general welfare. No stronger proof could be given of the distress under which these writers labor for objections, than their stooping to such a misconstruction.

Some people, who acknowledge the need for taxation power, have launched a strong attack against the Constitution based on how it’s written. It has been argued and repeated that the power "to lay and collect taxes, duties, imposts, and excises, to pay the debts, and provide for the common defense and general welfare of the United States," gives an unlimited authority to exercise any power that can be claimed as necessary for the common defense or general welfare. There could be no clearer indication of the difficulty these critics face in finding valid objections than their resorting to such a misinterpretation.

Had no other enumeration or definition of the powers of the Congress been found in the Constitution, than the general expressions just cited, the authors of the objection might have had some color for it; though it would have been difficult to find a reason for so awkward a form of describing an authority to legislate in all possible cases. A power to destroy the freedom of the press, the trial by jury, or even to regulate the course of descents, or the forms of conveyances, must be very singularly expressed by the terms "to raise money for the general welfare."

If there had been no other list or definition of Congress's powers in the Constitution except for the general statements just mentioned, the authors of the objection might have had some justification for their concerns; although it would still be hard to understand why such a clumsy way of describing the authority to legislate in any situation would be used. A power that could eliminate freedom of the press, trial by jury, or even regulate inheritance laws or property transfers must be very strangely articulated by the phrase "to raise money for the general welfare."

But what color can the objection have, when a specification of the objects alluded to by these general terms immediately follows, and is not even separated by a longer pause than a semicolon? If the different parts of the same instrument ought to be so expounded, as to give meaning to every part which will bear it, shall one part of the same sentence be excluded altogether from a share in the meaning; and shall the more doubtful and indefinite terms be retained in their full extent, and the clear and precise expressions be denied any signification whatsoever? For what purpose could the enumeration of particular powers be inserted, if these and all others were meant to be included in the preceding general power? Nothing is more natural nor common than first to use a general phrase, and then to explain and qualify it by a recital of particulars. But the idea of an enumeration of particulars which neither explain nor qualify the general meaning, and can have no other effect than to confound and mislead, is an absurdity, which, as we are reduced to the dilemma of charging either on the authors of the objection or on the authors of the Constitution, we must take the liberty of supposing, had not its origin with the latter.

But what could the objection possibly mean when a specification of the objects referred to by these general terms immediately follows, and it’s not even separated by a longer pause than a semicolon? If the different parts of the same document should be interpreted in a way that gives meaning to every part that can bear it, how can one part of the same sentence be completely excluded from any meaning? And how can the more vague and indefinite terms be kept in their full scope while the clear and precise phrases are given no meaning at all? What would be the point of including a list of specific powers if these and all others were meant to be included in the earlier general power? It’s completely natural and common to first use a general term and then clarify and specify it with a list of details. But the notion of a list of details that neither explains nor qualifies the general meaning, and only serves to confuse and mislead, is absurd. We are left with the dilemma of attributing this absurdity either to those who raised the objection or to the authors of the Constitution, and we must take the liberty of assuming it did not originate with the latter.

The objection here is the more extraordinary, as it appears that the language used by the convention is a copy from the articles of Confederation. The objects of the Union among the States, as described in article third, are "their common defense, security of their liberties, and mutual and general welfare." The terms of article eighth are still more identical: "All charges of war and all other expenses that shall be incurred for the common defense or general welfare, and allowed by the United States in Congress, shall be defrayed out of a common treasury," etc. A similar language again occurs in article ninth. Construe either of these articles by the rules which would justify the construction put on the new Constitution, and they vest in the existing Congress a power to legislate in all cases whatsoever. But what would have been thought of that assembly, if, attaching themselves to these general expressions, and disregarding the specifications which ascertain and limit their import, they had exercised an unlimited power of providing for the common defense and general welfare? I appeal to the objectors themselves, whether they would in that case have employed the same reasoning in justification of Congress as they now make use of against the convention. How difficult it is for error to escape its own condemnation!

The objection here is even more surprising, as it seems that the language used by the convention mirrors that of the Articles of Confederation. The goals of the Union among the States, as stated in article three, are "their common defense, the security of their liberties, and mutual and general welfare." The wording in article eight is even more similar: "All costs of war and any other expenses incurred for the common defense or general welfare, and approved by the United States in Congress, shall be covered from a common treasury," etc. Similar language appears again in article nine. Interpret either of these articles using the same reasoning applied to the new Constitution, and they grant the existing Congress the power to legislate in all matters whatsoever. But what would people have thought about that assembly if, by seizing on these general terms and ignoring the details that define and limit their meaning, they had acted with unlimited power to provide for the common defense and general welfare? I ask the objectors themselves whether they would have used the same arguments to justify Congress as they are now using against the convention. How hard it is for error to escape its own condemnation!

PUBLIUS

PUBLIUS





FEDERALIST No. 42. The Powers Conferred by the Constitution Further Considered

From the New York Packet. Tuesday, January 22, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York State:

THE SECOND class of powers, lodged in the general government, consists of those which regulate the intercourse with foreign nations, to wit: to make treaties; to send and receive ambassadors, other public ministers, and consuls; to define and punish piracies and felonies committed on the high seas, and offenses against the law of nations; to regulate foreign commerce, including a power to prohibit, after the year 1808, the importation of slaves, and to lay an intermediate duty of ten dollars per head, as a discouragement to such importations.

THE SECOND class of powers, held by the federal government, includes those that govern interactions with foreign nations, such as: making treaties; sending and receiving ambassadors, other public officials, and consuls; defining and punishing piracy and crimes committed on the high seas, as well as offenses against international law; regulating foreign trade, which includes the authority to ban, after the year 1808, the importation of slaves, and to impose a fee of ten dollars per person as a deterrent to such imports.

This class of powers forms an obvious and essential branch of the federal administration. If we are to be one nation in any respect, it clearly ought to be in respect to other nations.

This group of powers is a clear and essential part of the federal government. If we are going to be one nation in any way, it should definitely be in how we interact with other nations.

The powers to make treaties and to send and receive ambassadors, speak their own propriety. Both of them are comprised in the articles of Confederation, with this difference only, that the former is disembarrassed, by the plan of the convention, of an exception, under which treaties might be substantially frustrated by regulations of the States; and that a power of appointing and receiving "other public ministers and consuls," is expressly and very properly added to the former provision concerning ambassadors. The term ambassador, if taken strictly, as seems to be required by the second of the articles of Confederation, comprehends the highest grade only of public ministers, and excludes the grades which the United States will be most likely to prefer, where foreign embassies may be necessary. And under no latitude of construction will the term comprehend consuls. Yet it has been found expedient, and has been the practice of Congress, to employ the inferior grades of public ministers, and to send and receive consuls.

The authority to make treaties and to send and receive ambassadors speaks for itself. Both are included in the Articles of Confederation, with the only difference being that the former is freed from an exception, as outlined by the convention's plan, that could have hindered treaties due to state regulations. Additionally, the authority to appoint and receive "other public ministers and consuls" has been explicitly and appropriately added to the provision regarding ambassadors. The term ambassador, when taken literally, as required by the second article of the Articles of Confederation, only includes the highest rank of public ministers, excluding the lower ranks that the United States would likely favor when foreign embassies are needed. Moreover, under no interpretation would the term include consuls. Nevertheless, it has proven practical, and Congress has routinely followed the practice of employing lower-ranking public ministers and sending and receiving consuls.

It is true, that where treaties of commerce stipulate for the mutual appointment of consuls, whose functions are connected with commerce, the admission of foreign consuls may fall within the power of making commercial treaties; and that where no such treaties exist, the mission of American consuls into foreign countries may PERHAPS be covered under the authority, given by the ninth article of the Confederation, to appoint all such civil officers as may be necessary for managing the general affairs of the United States. But the admission of consuls into the United States, where no previous treaty has stipulated it, seems to have been nowhere provided for. A supply of the omission is one of the lesser instances in which the convention have improved on the model before them. But the most minute provisions become important when they tend to obviate the necessity or the pretext for gradual and unobserved usurpations of power. A list of the cases in which Congress have been betrayed, or forced by the defects of the Confederation, into violations of their chartered authorities, would not a little surprise those who have paid no attention to the subject; and would be no inconsiderable argument in favor of the new Constitution, which seems to have provided no less studiously for the lesser, than the more obvious and striking defects of the old.

It is true that when trade treaties specify the mutual appointment of consuls, whose roles are linked to commerce, the acceptance of foreign consuls may fall under the authority to create trade treaties. Additionally, when no such treaties are in place, the role of American consuls in foreign countries might be covered by the power given in the ninth article of the Confederation to appoint any civil officials necessary for managing the general affairs of the United States. However, allowing consuls into the United States without a prior treaty seems to have never been addressed. Filling this gap is one of the minor ways the convention has improved upon the previous model. Yet, even the smallest provisions become significant when they help prevent the need or excuse for slow and unnoticed power grabs. A list of instances where Congress has been misled or forced by the flaws of the Confederation into violating their authorized powers would likely surprise those who haven’t paid attention to the topic. It would also be a strong argument in favor of the new Constitution, which appears to have carefully addressed not just the major but also the more subtle defects of the old system.

The power to define and punish piracies and felonies committed on the high seas, and offenses against the law of nations, belongs with equal propriety to the general government, and is a still greater improvement on the articles of Confederation. These articles contain no provision for the case of offenses against the law of nations; and consequently leave it in the power of any indiscreet member to embroil the Confederacy with foreign nations. The provision of the federal articles on the subject of piracies and felonies extends no further than to the establishment of courts for the trial of these offenses. The definition of piracies might, perhaps, without inconveniency, be left to the law of nations; though a legislative definition of them is found in most municipal codes. A definition of felonies on the high seas is evidently requisite. Felony is a term of loose signification, even in the common law of England; and of various import in the statute law of that kingdom. But neither the common nor the statute law of that, or of any other nation, ought to be a standard for the proceedings of this, unless previously made its own by legislative adoption. The meaning of the term, as defined in the codes of the several States, would be as impracticable as the former would be a dishonorable and illegitimate guide. It is not precisely the same in any two of the States; and varies in each with every revision of its criminal laws. For the sake of certainty and uniformity, therefore, the power of defining felonies in this case was in every respect necessary and proper.

The authority to define and punish piracy and crimes committed on the open seas, as well as violations of international law, rightfully belongs to the federal government, which is a significant improvement over the Articles of Confederation. Those articles make no provision for dealing with offenses against international law, leaving the possibility for any careless member to drag the Confederacy into conflict with foreign nations. The federal provisions regarding piracy and crimes only go as far as setting up courts to try these offenses. While it might be reasonable to let international law define piracies, most municipal codes have their own definitions. However, a clear definition of crimes on the high seas is clearly necessary. "Felony" is a vague term, even under English common law, and it has different meanings in that country's statutory law. Neither the common law nor the statutory law of any nation should dictate the actions of this one unless it has been officially adopted through legislation. The definitions used in the various states would be impractical, and relying on them would create a dishonorable and illegitimate standard. Each state has a different definition that changes with each update to its criminal laws. Therefore, for the sake of clarity and consistency, the federal government needs the power to define felonies in this context.

The regulation of foreign commerce, having fallen within several views which have been taken of this subject, has been too fully discussed to need additional proofs here of its being properly submitted to the federal administration.

The regulation of foreign trade has been talked about from many different perspectives, and it’s been discussed enough that there’s no need for more evidence here to show it should be handled by the federal government.

It were doubtless to be wished, that the power of prohibiting the importation of slaves had not been postponed until the year 1808, or rather that it had been suffered to have immediate operation. But it is not difficult to account, either for this restriction on the general government, or for the manner in which the whole clause is expressed. It ought to be considered as a great point gained in favor of humanity, that a period of twenty years may terminate forever, within these States, a traffic which has so long and so loudly upbraided the barbarism of modern policy; that within that period, it will receive a considerable discouragement from the federal government, and may be totally abolished, by a concurrence of the few States which continue the unnatural traffic, in the prohibitory example which has been given by so great a majority of the Union. Happy would it be for the unfortunate Africans, if an equal prospect lay before them of being redeemed from the oppressions of their European brethren!

It is definitely worth wishing that the power to ban the importation of slaves hadn't been delayed until the year 1808, or better yet, that it had been allowed to take effect immediately. However, it's not hard to understand why there was this limitation on the federal government and the way the entire clause is worded. It should be seen as a significant victory for humanity that, in twenty years, this trade—so long and loudly criticized for its barbarism in modern policy—can end forever within these States. During that time, it will receive considerable discouragement from the federal government and could be completely abolished if the few States still involved in this unnatural trade follow the example set by the vast majority of the Union. It would be a blessing for the unfortunate Africans if they had a similar chance of being freed from the oppression of their European counterparts!

Attempts have been made to pervert this clause into an objection against the Constitution, by representing it on one side as a criminal toleration of an illicit practice, and on another as calculated to prevent voluntary and beneficial emigrations from Europe to America. I mention these misconstructions, not with a view to give them an answer, for they deserve none, but as specimens of the manner and spirit in which some have thought fit to conduct their opposition to the proposed government.

Attempts have been made to twist this clause into an argument against the Constitution, portraying it as a criminal acceptance of an illegal practice on one hand, and as something that would hinder voluntary and beneficial migrations from Europe to America on the other. I bring up these misunderstandings not to provide a response, as they don’t deserve one, but to illustrate the way some have chosen to conduct their opposition to the proposed government.

The powers included in the THIRD class are those which provide for the harmony and proper intercourse among the States.

The powers in the THIRD class are those that ensure harmony and proper interaction among the States.

Under this head might be included the particular restraints imposed on the authority of the States, and certain powers of the judicial department; but the former are reserved for a distinct class, and the latter will be particularly examined when we arrive at the structure and organization of the government. I shall confine myself to a cursory review of the remaining powers comprehended under this third description, to wit: to regulate commerce among the several States and the Indian tribes; to coin money, regulate the value thereof, and of foreign coin; to provide for the punishment of counterfeiting the current coin and securities of the United States; to fix the standard of weights and measures; to establish a uniform rule of naturalization, and uniform laws of bankruptcy, to prescribe the manner in which the public acts, records, and judicial proceedings of each State shall be proved, and the effect they shall have in other States; and to establish post offices and post roads.

Under this category, we might include the specific limitations placed on the authority of the States and certain powers of the judicial branch. However, the former will be saved for a separate section, and the latter will be examined closely when we discuss the structure and organization of the government. I will focus on a brief overview of the remaining powers included in this third category, which are: to regulate commerce between the different States and the Indian tribes; to mint money, regulate its value, and that of foreign currency; to set penalties for counterfeiting U.S. currency and securities; to establish standards for weights and measures; to create a uniform process for naturalization and bankruptcy laws; to determine how the public acts, records, and judicial proceedings of each State are to be verified and the effects they will have in other States; and to set up post offices and post roads.

The defect of power in the existing Confederacy to regulate the commerce between its several members, is in the number of those which have been clearly pointed out by experience. To the proofs and remarks which former papers have brought into view on this subject, it may be added that without this supplemental provision, the great and essential power of regulating foreign commerce would have been incomplete and ineffectual. A very material object of this power was the relief of the States which import and export through other States, from the improper contributions levied on them by the latter. Were these at liberty to regulate the trade between State and State, it must be foreseen that ways would be found out to load the articles of import and export, during the passage through their jurisdiction, with duties which would fall on the makers of the latter and the consumers of the former. We may be assured by past experience, that such a practice would be introduced by future contrivances; and both by that and a common knowledge of human affairs, that it would nourish unceasing animosities, and not improbably terminate in serious interruptions of the public tranquillity. To those who do not view the question through the medium of passion or of interest, the desire of the commercial States to collect, in any form, an indirect revenue from their uncommercial neighbors, must appear not less impolitic than it is unfair; since it would stimulate the injured party, by resentment as well as interest, to resort to less convenient channels for their foreign trade. But the mild voice of reason, pleading the cause of an enlarged and permanent interest, is but too often drowned, before public bodies as well as individuals, by the clamors of an impatient avidity for immediate and immoderate gain.

The weakness of power in the current Confederacy to control trade among its members has been clearly shown by experience. In addition to the evidence and comments presented in earlier documents on this topic, it's important to note that without this additional measure, the crucial authority to manage foreign trade would have been incomplete and ineffective. A significant goal of this power was to protect the States that import and export through others from unfair fees imposed on them by those States. If they were allowed to regulate trade between each other, it would be expected that ways would be found to impose taxes on goods during their transit through their jurisdiction, which would burden both the producers of exports and the consumers of imports. Past experiences assure us that such practices would emerge through future schemes, and both that and a common understanding of human behavior would lead to ongoing conflicts and potentially serious disruptions of public peace. For those who view the issue without bias or self-interest, the wish of the trading States to extract, in any way, an indirect tax from their non-trading neighbors seems not only unwise but also unfair; it would provoke the affected parties, driven by both resentment and self-interest, to seek alternative, less favorable routes for their foreign trade. However, the gentle call of reason, advocating for broader and lasting interests, is often drowned out—both among public entities and individuals—by the cries of an impatient desire for immediate and excessive profit.

The necessity of a superintending authority over the reciprocal trade of confederated States, has been illustrated by other examples as well as our own. In Switzerland, where the Union is so very slight, each canton is obliged to allow to merchandises a passage through its jurisdiction into other cantons, without an augmentation of the tolls. In Germany it is a law of the empire, that the princes and states shall not lay tolls or customs on bridges, rivers, or passages, without the consent of the emperor and the diet; though it appears from a quotation in an antecedent paper, that the practice in this, as in many other instances in that confederacy, has not followed the law, and has produced there the mischiefs which have been foreseen here. Among the restraints imposed by the Union of the Netherlands on its members, one is, that they shall not establish imposts disadvantageous to their neighbors, without the general permission.

The need for a governing authority over the shared trade of united states has been shown in other examples as well as our own. In Switzerland, where the union is very limited, each canton must allow goods to pass through its territory into other cantons without increasing tolls. In Germany, there is a law that states the princes and territories cannot impose tolls or customs on bridges, rivers, or routes without the emperor's and the diet's approval; however, it seems from a previous quote that this law has often been ignored in practice, leading to problems that we have anticipated here. Among the restrictions placed by the Union of the Netherlands on its members, one is that they cannot impose taxes that are harmful to their neighbors without general consent.

The regulation of commerce with the Indian tribes is very properly unfettered from two limitations in the articles of Confederation, which render the provision obscure and contradictory. The power is there restrained to Indians, not members of any of the States, and is not to violate or infringe the legislative right of any State within its own limits. What description of Indians are to be deemed members of a State, is not yet settled, and has been a question of frequent perplexity and contention in the federal councils. And how the trade with Indians, though not members of a State, yet residing within its legislative jurisdiction, can be regulated by an external authority, without so far intruding on the internal rights of legislation, is absolutely incomprehensible. This is not the only case in which the articles of Confederation have inconsiderately endeavored to accomplish impossibilities; to reconcile a partial sovereignty in the Union, with complete sovereignty in the States; to subvert a mathematical axiom, by taking away a part, and letting the whole remain.

The regulation of trade with Indian tribes is rightly free from two restrictions in the articles of Confederation, which make the provision unclear and contradictory. The power is limited to Indians who are not members of any State and does not allow violating or infringing on the legislative rights of any State within its own borders. The question of which Indians are considered members of a State has not been resolved and has frequently caused confusion and conflict in federal discussions. Additionally, it’s totally unclear how trade with Indians, who are not members of a State but live within its legislative authority, can be regulated by an outside authority without violating the State's internal legislative rights. This isn't the only instance where the articles of Confederation have mindlessly tried to achieve the impossible; they attempt to balance partial sovereignty in the Union with complete sovereignty in the States, which contradicts a basic mathematical principle by taking away a part and leaving the whole intact.

All that need be remarked on the power to coin money, regulate the value thereof, and of foreign coin, is, that by providing for this last case, the Constitution has supplied a material omission in the articles of Confederation. The authority of the existing Congress is restrained to the regulation of coin STRUCK by their own authority, or that of the respective States. It must be seen at once that the proposed uniformity in the VALUE of the current coin might be destroyed by subjecting that of foreign coin to the different regulations of the different States.

All that needs to be noted about the power to mint money, set its value, and manage foreign currency is that by addressing this last point, the Constitution has fixed a significant gap in the Articles of Confederation. The current Congress's authority is limited to regulating coins minted by its own power or that of the individual states. It's immediately clear that the proposed uniformity in the value of current coins could be compromised if the value of foreign coins is subjected to the varying regulations of different states.

The punishment of counterfeiting the public securities, as well as the current coin, is submitted of course to that authority which is to secure the value of both.

The punishment for counterfeiting public securities and current currency is naturally handled by the authority responsible for maintaining the value of both.

The regulation of weights and measures is transferred from the articles of Confederation, and is founded on like considerations with the preceding power of regulating coin.

The regulation of weights and measures is taken from the Articles of Confederation and is based on similar reasons as the previous power to regulate coin.

The dissimilarity in the rules of naturalization has long been remarked as a fault in our system, and as laying a foundation for intricate and delicate questions. In the fourth article of the Confederation, it is declared "that the FREE INHABITANTS of each of these States, paupers, vagabonds, and fugitives from justice, excepted, shall be entitled to all privileges and immunities of FREE CITIZENS in the several States; and THE PEOPLE of each State shall, in every other, enjoy all the privileges of trade and commerce," etc. There is a confusion of language here, which is remarkable. Why the terms FREE INHABITANTS are used in one part of the article, FREE CITIZENS in another, and PEOPLE in another; or what was meant by superadding to "all privileges and immunities of free citizens," "all the privileges of trade and commerce," cannot easily be determined. It seems to be a construction scarcely avoidable, however, that those who come under the denomination of FREE INHABITANTS of a State, although not citizens of such State, are entitled, in every other State, to all the privileges of FREE CITIZENS of the latter; that is, to greater privileges than they may be entitled to in their own State: so that it may be in the power of a particular State, or rather every State is laid under a necessity, not only to confer the rights of citizenship in other States upon any whom it may admit to such rights within itself, but upon any whom it may allow to become inhabitants within its jurisdiction. But were an exposition of the term "inhabitants" to be admitted which would confine the stipulated privileges to citizens alone, the difficulty is diminished only, not removed. The very improper power would still be retained by each State, of naturalizing aliens in every other State. In one State, residence for a short term confirms all the rights of citizenship: in another, qualifications of greater importance are required. An alien, therefore, legally incapacitated for certain rights in the latter, may, by previous residence only in the former, elude his incapacity; and thus the law of one State be preposterously rendered paramount to the law of another, within the jurisdiction of the other. We owe it to mere casualty, that very serious embarrassments on this subject have been hitherto escaped. By the laws of several States, certain descriptions of aliens, who had rendered themselves obnoxious, were laid under interdicts inconsistent not only with the rights of citizenship but with the privilege of residence. What would have been the consequence, if such persons, by residence or otherwise, had acquired the character of citizens under the laws of another State, and then asserted their rights as such, both to residence and citizenship, within the State proscribing them? Whatever the legal consequences might have been, other consequences would probably have resulted, of too serious a nature not to be provided against. The new Constitution has accordingly, with great propriety, made provision against them, and all others proceeding from the defect of the Confederation on this head, by authorizing the general government to establish a uniform rule of naturalization throughout the United States.

The differences in naturalization rules have long been seen as a flaw in our system, leading to complex and sensitive issues. In the fourth article of the Confederation, it states, "that the FREE INHABITANTS of each of these States, with the exceptions of paupers, vagabonds, and fugitives from justice, shall be entitled to all privileges and immunities of FREE CITIZENS in the several States; and THE PEOPLE of each State shall, in every other, enjoy all the privileges of trade and commerce." There’s a confusing use of language here that stands out. It’s unclear why "FREE INHABITANTS" is used in one part of the article, "FREE CITIZENS" in another, and "PEOPLE" in yet another; or what was meant by adding "all the privileges of trade and commerce" to "all privileges and immunities of free citizens." It appears that those categorized as FREE INHABITANTS of a State, even if they are not citizens of that State, are entitled in every other State to the privileges of FREE CITIZENS of that State—meaning they might have more rights elsewhere than they do in their own State. This implies that each State has the obligation to grant citizenship rights not only to those it admits but also to anyone it allows to reside within its borders. However, if we were to limit the privileges to citizens only, this would only reduce the issue rather than fix it. Each State would still hold the troubling power to naturalize foreigners in other States. In one State, a short residency might grant full citizenship rights, while another State might require more stringent qualifications. Therefore, an alien who cannot claim certain rights in one State could potentially avoid that restriction simply by living in another State. This situation could absurdly elevate the law of one State over that of another within the latter's jurisdiction. It's largely by chance that we have avoided serious complications regarding this issue until now. According to the laws of various States, certain categories of aliens considered undesirable were prohibited from not only citizenship rights but also from residing there. What would have happened if these individuals had gained citizenship status in another State through residency or other means and then tried to claim both residence and citizenship rights in the State that had banned them? Regardless of the legal ramifications, other serious consequences could have arisen that would need to be addressed. The new Constitution, therefore, has wisely established provisions to prevent such issues, along with others resulting from the shortcomings of the Confederation in this regard, by empowering the federal government to create a uniform naturalization process across the United States.

The power of establishing uniform laws of bankruptcy is so intimately connected with the regulation of commerce, and will prevent so many frauds where the parties or their property may lie or be removed into different States, that the expediency of it seems not likely to be drawn into question.

The need for consistent bankruptcy laws is closely linked to how we manage trade and will help prevent numerous frauds when the people involved or their assets move between different states, so it seems unlikely that anyone will challenge its usefulness.

The power of prescribing by general laws, the manner in which the public acts, records and judicial proceedings of each State shall be proved, and the effect they shall have in other States, is an evident and valuable improvement on the clause relating to this subject in the articles of Confederation. The meaning of the latter is extremely indeterminate, and can be of little importance under any interpretation which it will bear. The power here established may be rendered a very convenient instrument of justice, and be particularly beneficial on the borders of contiguous States, where the effects liable to justice may be suddenly and secretly translated, in any stage of the process, within a foreign jurisdiction.

The authority to set rules through general laws about how the public acts, how records and judicial proceedings from each State are proven, and what impact they have in other States is a clear and significant improvement over the related clause in the Articles of Confederation. The meaning of that clause is very vague and holds little importance under any interpretation. The power established here can be a useful tool for justice, especially along the borders of neighboring States, where issues that require justice can quickly and discreetly shift into a different jurisdiction at any stage of the process.

The power of establishing post roads must, in every view, be a harmless power, and may, perhaps, by judicious management, become productive of great public conveniency. Nothing which tends to facilitate the intercourse between the States can be deemed unworthy of the public care.

The authority to establish post roads should definitely be seen as a harmless power, and with good management, it could result in significant public benefits. Anything that helps improve communication between the States deserves public attention.

PUBLIUS

PUBLIUS





FEDERALIST No. 43. The Same Subject Continued (The Powers Conferred by the Constitution Further Considered)

For the Independent Journal. Wednesday, January 23, 1788

MADISON

MADISON

To the People of the State of New York:

To the People of New York State:

THE FOURTH class comprises the following miscellaneous powers:

THE FOURTH class includes the following various powers:

1. A power "to promote the progress of science and useful arts, by securing, for a limited time, to authors and inventors, the exclusive right to their respective writings and discoveries."

1. A power "to encourage the advancement of science and useful arts, by granting, for a specific period, to authors and inventors, the sole right to their own writings and inventions."

The utility of this power will scarcely be questioned. The copyright of authors has been solemnly adjudged, in Great Britain, to be a right of common law. The right to useful inventions seems with equal reason to belong to the inventors. The public good fully coincides in both cases with the claims of individuals. The States cannot separately make effectual provisions for either of the cases, and most of them have anticipated the decision of this point, by laws passed at the instance of Congress.

The usefulness of this power is hardly up for debate. The copyright of authors has been officially recognized in Great Britain as a common law right. It makes just as much sense that the right to useful inventions belongs to the inventors. In both cases, the public interest aligns perfectly with individual claims. The states can't individually create effective regulations for either situation, and most of them have already anticipated this decision by passing laws at Congress's request.

2. "To exercise exclusive legislation, in all cases whatsoever, over such district (not exceeding ten miles square) as may, by cession of particular States and the acceptance of Congress, become the seat of the government of the United States; and to exercise like authority over all places purchased by the consent of the legislatures of the States in which the same shall be, for the erection of forts, magazines, arsenals, dockyards, and other needful buildings."

2. "To have exclusive authority to make laws over any area (not more than ten square miles) that may, with the approval of specific states and Congress, become the location of the U.S. government; and to have the same authority over any places bought with the agreement of the state legislatures where they are located, for building forts, storage facilities, armories, shipyards, and other necessary buildings."

The indispensable necessity of complete authority at the seat of government, carries its own evidence with it. It is a power exercised by every legislature of the Union, I might say of the world, by virtue of its general supremacy. Without it, not only the public authority might be insulted and its proceedings interrupted with impunity; but a dependence of the members of the general government on the State comprehending the seat of the government, for protection in the exercise of their duty, might bring on the national councils an imputation of awe or influence, equally dishonorable to the government and dissatisfactory to the other members of the Confederacy. This consideration has the more weight, as the gradual accumulation of public improvements at the stationary residence of the government would be both too great a public pledge to be left in the hands of a single State, and would create so many obstacles to a removal of the government, as still further to abridge its necessary independence. The extent of this federal district is sufficiently circumscribed to satisfy every jealousy of an opposite nature. And as it is to be appropriated to this use with the consent of the State ceding it; as the State will no doubt provide in the compact for the rights and the consent of the citizens inhabiting it; as the inhabitants will find sufficient inducements of interest to become willing parties to the cession; as they will have had their voice in the election of the government which is to exercise authority over them; as a municipal legislature for local purposes, derived from their own suffrages, will of course be allowed them; and as the authority of the legislature of the State, and of the inhabitants of the ceded part of it, to concur in the cession, will be derived from the whole people of the State in their adoption of the Constitution, every imaginable objection seems to be obviated.

The essential need for complete authority at the center of government is clear. It's a power that every legislature in the Union, and I could argue every legislature in the world, exercises because of its overall dominance. Without this authority, public officials could be disrespected and their actions disrupted without consequences. Furthermore, if members of the federal government were reliant on the state housing the government for protection while doing their jobs, it could lead to a perception of fear or influence over national decision-making, which would be embarrassing for the government and frustrating for other states in the Confederacy. This point is even more compelling considering that the gradual growth of public improvements at the government’s fixed location would be too significant a public commitment to be left in the hands of just one state and would create numerous barriers to moving the government, further limiting its necessary independence. The size of this federal district is small enough to ease any concerns from opposing viewpoints. Additionally, since it will be designated for this use with the agreement of the state giving it up, and since the state will certainly ensure that citizens living there have rights and input, the residents will see enough benefits to agree to the transfer. They will have had a say in choosing the government that will oversee them, a local legislature elected by their votes will be provided, and the authority for both the state legislature and the residents of that area to agree to the transfer will stem from the entire populace of the state through their acceptance of the Constitution. Thus, every conceivable objection seems to be addressed.

The necessity of a like authority over forts, magazines, etc., established by the general government, is not less evident. The public money expended on such places, and the public property deposited in them, requires that they should be exempt from the authority of the particular State. Nor would it be proper for the places on which the security of the entire Union may depend, to be in any degree dependent on a particular member of it. All objections and scruples are here also obviated, by requiring the concurrence of the States concerned, in every such establishment.

The need for a similar authority over forts, armories, and other facilities set up by the federal government is just as clear. The public funds spent on these locations and the public property stored there necessitate that they be free from the control of any individual state. It wouldn't be appropriate for places that are crucial to the security of the entire country to rely, even partially, on any one state. Any concerns or hesitations are also addressed by requiring agreement from the states involved for every such establishment.

3. "To declare the punishment of treason, but no attainder of treason shall work corruption of blood, or forfeiture, except during the life of the person attained."

3. "To announce the punishment for treason, but no conviction of treason shall result in a loss of lineage or confiscation, except for the lifetime of the person convicted."

As treason may be committed against the United States, the authority of the United States ought to be enabled to punish it. But as new-fangled and artificial treasons have been the great engines by which violent factions, the natural offspring of free government, have usually wreaked their alternate malignity on each other, the convention have, with great judgment, opposed a barrier to this peculiar danger, by inserting a constitutional definition of the crime, fixing the proof necessary for conviction of it, and restraining the Congress, even in punishing it, from extending the consequences of guilt beyond the person of its author.

As treason can be committed against the United States, the authority of the United States should have the ability to punish it. However, since new and artificial forms of treason have often been used by violent factions—natural products of a free government—to harm each other, the convention wisely put up a safeguard against this specific danger. They did this by including a constitutional definition of the crime, establishing the evidence needed for a conviction, and limiting Congress so that even in punishing it, they can't extend the consequences of guilt beyond the individual responsible.

4. "To admit new States into the Union; but no new State shall be formed or erected within the jurisdiction of any other State; nor any State be formed by the junction of two or more States, or parts of States, without the consent of the legislatures of the States concerned, as well as of the Congress."

4. "To allow new States to join the Union; however, no new State can be created or established within the boundaries of any other State; nor can any State be formed by merging two or more States or parts of States, without the approval of the legislatures of the States involved, as well as Congress."

In the articles of Confederation, no provision is found on this important subject. Canada was to be admitted of right, on her joining in the measures of the United States; and the other COLONIES, by which were evidently meant the other British colonies, at the discretion of nine States. The eventual establishment of NEW STATES seems to have been overlooked by the compilers of that instrument. We have seen the inconvenience of this omission, and the assumption of power into which Congress have been led by it. With great propriety, therefore, has the new system supplied the defect. The general precaution, that no new States shall be formed, without the concurrence of the federal authority, and that of the States concerned, is consonant to the principles which ought to govern such transactions. The particular precaution against the erection of new States, by the partition of a State without its consent, quiets the jealousy of the larger States; as that of the smaller is quieted by a like precaution, against a junction of States without their consent.

In the Articles of Confederation, there’s no provision covering this important topic. Canada was to be automatically accepted if it participated in the actions of the United States, and the other COLONIES—clearly referring to the other British colonies—would be admitted at the discretion of nine States. The eventual creation of NEW STATES seems to have been ignored by the authors of that document. We have witnessed the issues caused by this oversight and the assumptions of power that Congress has been led into because of it. Therefore, it makes sense that the new system has addressed this gap. The general rule that no new States can be formed without the agreement of the federal authority and the States involved aligns with the principles that should guide such processes. The specific rule against creating new States by dividing an existing State without its consent eases the concerns of the larger States, while the smaller States’ concerns are also alleviated by a similar rule against merging States without their agreement.

5. "To dispose of and make all needful rules and regulations respecting the territory or other property belonging to the United States," with a proviso, that "nothing in the Constitution shall be so construed as to prejudice any claims of the United States, or of any particular State."

5. "To manage and create all necessary rules and regulations regarding the territory or other property belonging to the United States," with a condition that "nothing in the Constitution shall be interpreted to harm any claims of the United States, or of any specific State."

This is a power of very great importance, and required by considerations similar to those which show the propriety of the former. The proviso annexed is proper in itself, and was probably rendered absolutely necessary by jealousies and questions concerning the Western territory sufficiently known to the public.

This is a power of significant importance, and it's needed for reasons similar to those that justify the earlier points. The attached condition is appropriate in itself and was likely made absolutely necessary due to the concerns and uncertainties surrounding the Western territory that are well-known to the public.

6. "To guarantee to every State in the Union a republican form of government; to protect each of them against invasion; and on application of the legislature, or of the executive (when the legislature cannot be convened), against domestic violence."

6. "To ensure that every state in the Union has a republican form of government; to protect each one from invasion; and, upon request from the legislature or the executive (when the legislature can't meet), against domestic violence."

In a confederacy founded on republican principles, and composed of republican members, the superintending government ought clearly to possess authority to defend the system against aristocratic or monarchial innovations. The more intimate the nature of such a union may be, the greater interest have the members in the political institutions of each other; and the greater right to insist that the forms of government under which the compact was entered into should be SUBSTANTIALLY maintained. But a right implies a remedy; and where else could the remedy be deposited, than where it is deposited by the Constitution? Governments of dissimilar principles and forms have been found less adapted to a federal coalition of any sort, than those of a kindred nature. "As the confederate republic of Germany," says Montesquieu, "consists of free cities and petty states, subject to different princes, experience shows us that it is more imperfect than that of Holland and Switzerland." "Greece was undone," he adds, "as soon as the king of Macedon obtained a seat among the Amphictyons." In the latter case, no doubt, the disproportionate force, as well as the monarchical form, of the new confederate, had its share of influence on the events. It may possibly be asked, what need there could be of such a precaution, and whether it may not become a pretext for alterations in the State governments, without the concurrence of the States themselves. These questions admit of ready answers. If the interposition of the general government should not be needed, the provision for such an event will be a harmless superfluity only in the Constitution. But who can say what experiments may be produced by the caprice of particular States, by the ambition of enterprising leaders, or by the intrigues and influence of foreign powers? To the second question it may be answered, that if the general government should interpose by virtue of this constitutional authority, it will be, of course, bound to pursue the authority. But the authority extends no further than to a GUARANTY of a republican form of government, which supposes a pre-existing government of the form which is to be guaranteed. As long, therefore, as the existing republican forms are continued by the States, they are guaranteed by the federal Constitution. Whenever the States may choose to substitute other republican forms, they have a right to do so, and to claim the federal guaranty for the latter. The only restriction imposed on them is, that they shall not exchange republican for antirepublican Constitutions; a restriction which, it is presumed, will hardly be considered as a grievance.

In a union based on republican values, made up of republican members, the overseeing government should clearly have the power to protect the system from aristocratic or monarchical changes. The closer the members are in this union, the more invested they are in each other's political institutions; and the more right they have to insist that the forms of government agreed upon remain substantially intact. But having a right means there must be a remedy; and where else could this remedy be found if not where the Constitution provides it? Governments with different principles and structures are less suited for a federal relationship than those with similar characteristics. "As the confederate republic of Germany," Montesquieu states, "is made up of free cities and small states, each under different princes, experience shows that it is less effective than that of Holland and Switzerland." He adds, "Greece fell apart" when the king of Macedon joined the Amphictyons. In that case, it’s clear that the excessive power and the monarchical nature of the new confederate played a significant role in the outcomes. One might wonder why such a precaution is necessary and whether it could lead to changes in State governments without the States' consent. These questions have straightforward answers. If the general government's intervention isn't needed, this provision will simply be an unnecessary addition to the Constitution. But who can predict what disruptions might arise from the whims of individual States, the ambitions of ambitious leaders, or the manipulations of foreign powers? In response to the second question, it can be said that if the general government does intervene based on this constitutional authority, it will have to act according to that authority. However, this authority is limited to guaranteeing a republican form of government, which assumes that there is already a government in place that matches the form being guaranteed. Thus, as long as the current republican structures are upheld by the States, they are protected by the federal Constitution. Whenever the States decide to replace them with other republican forms, they have the right to do so and to seek federal protection for those as well. The only requirement is that they cannot replace republican structures with anti-republican Constitutions; a requirement that is expected not to be viewed as a burden.

A protection against invasion is due from every society to the parts composing it. The latitude of the expression here used seems to secure each State, not only against foreign hostility, but against ambitious or vindictive enterprises of its more powerful neighbors. The history, both of ancient and modern confederacies, proves that the weaker members of the union ought not to be insensible to the policy of this article.

A society owes protection against invasion to all its members. The broadness of this statement appears to ensure that each state is safeguarded not just from foreign threats, but also from the aggressive or vengeful actions of its stronger neighbors. The history of both ancient and modern alliances shows that the weaker members of the union should be aware of the importance of this article.

Protection against domestic violence is added with equal propriety. It has been remarked, that even among the Swiss cantons, which, properly speaking, are not under one government, provision is made for this object; and the history of that league informs us that mutual aid is frequently claimed and afforded; and as well by the most democratic, as the other cantons. A recent and well-known event among ourselves has warned us to be prepared for emergencies of a like nature.

Protection against domestic violence is also appropriately included. It's been noted that even among the Swiss cantons, which are technically not under a single government, measures are in place for this purpose. The history of that alliance shows that mutual support is often both requested and provided, by both the most democratic and other cantons. A recent and well-known event here has alerted us to be ready for similar emergencies.

At first view, it might seem not to square with the republican theory, to suppose, either that a majority have not the right, or that a minority will have the force, to subvert a government; and consequently, that the federal interposition can never be required, but when it would be improper. But theoretic reasoning, in this as in most other cases, must be qualified by the lessons of practice. Why may not illicit combinations, for purposes of violence, be formed as well by a majority of a State, especially a small State as by a majority of a county, or a district of the same State; and if the authority of the State ought, in the latter case, to protect the local magistracy, ought not the federal authority, in the former, to support the State authority? Besides, there are certain parts of the State constitutions which are so interwoven with the federal Constitution, that a violent blow cannot be given to the one without communicating the wound to the other. Insurrections in a State will rarely induce a federal interposition, unless the number concerned in them bear some proportion to the friends of government. It will be much better that the violence in such cases should be repressed by the superintending power, than that the majority should be left to maintain their cause by a bloody and obstinate contest. The existence of a right to interpose, will generally prevent the necessity of exerting it.

At first glance, it might seem inconsistent with republican theory to assume that a majority doesn't have the right, or that a minority would have the power, to overthrow a government; therefore, federal intervention should only be necessary when it's inappropriate. However, theoretical reasoning, like in most situations, must be tempered by real-world experience. Why can't illegal groups, aiming for violence, form just as easily with a majority in a small State as with a majority in a county or a district within the same State? If the State's authority should protect local officials in the latter scenario, shouldn't federal authority support State authority in the former? Additionally, there are certain parts of State constitutions that are so intertwined with the federal Constitution that a serious attack on one inevitably harms the other. Insurrections within a State will rarely prompt federal intervention unless the number involved is somewhat comparable to the supporters of the government. It would be much better for an overseeing power to handle the violence in such situations rather than allowing the majority to fight for their cause through a bloody and stubborn conflict. The existence of the right to intervene will generally reduce the need to exercise it.

Is it true that force and right are necessarily on the same side in republican governments? May not the minor party possess such a superiority of pecuniary resources, of military talents and experience, or of secret succors from foreign powers, as will render it superior also in an appeal to the sword? May not a more compact and advantageous position turn the scale on the same side, against a superior number so situated as to be less capable of a prompt and collected exertion of its strength? Nothing can be more chimerical than to imagine that in a trial of actual force, victory may be calculated by the rules which prevail in a census of the inhabitants, or which determine the event of an election! May it not happen, in fine, that the minority of CITIZENS may become a majority of PERSONS, by the accession of alien residents, of a casual concourse of adventurers, or of those whom the constitution of the State has not admitted to the rights of suffrage? I take no notice of an unhappy species of population abounding in some of the States, who, during the calm of regular government, are sunk below the level of men; but who, in the tempestuous scenes of civil violence, may emerge into the human character, and give a superiority of strength to any party with which they may associate themselves.

Is it true that power and justice always align in republican governments? Could the smaller party have such an advantage in financial resources, military skills and experience, or secret support from foreign nations, that it becomes stronger in times of conflict? Could a more favorable and strategic position give the smaller party an edge over a larger group that might be less able to act effectively? It’s completely unrealistic to think that in a real conflict, victory can be predicted based on population counts or election outcomes! Could it not be possible that a minority of CITIZENS could become a majority of PERSONS by including foreign residents, a random group of outsiders, or those who the State's constitution does not allow to vote? I won’t even mention a certain unhappy segment of the population that exists in some States, who, during the stability of regular government, are treated as less than human; but in times of civil chaos, they might rise to a position of strength and support whichever party they align with.

In cases where it may be doubtful on which side justice lies, what better umpires could be desired by two violent factions, flying to arms, and tearing a State to pieces, than the representatives of confederate States, not heated by the local flame? To the impartiality of judges, they would unite the affection of friends. Happy would it be if such a remedy for its infirmities could be enjoyed by all free governments; if a project equally effectual could be established for the universal peace of mankind!

In situations where it might be unclear where justice truly stands, what better referees could two warring groups, ready to fight and ripping a State apart, ask for than the representatives of confederate States, not influenced by local conflicts? They would combine the fairness of judges with the loyalty of friends. It would be wonderful if all free governments could have such a solution for their weaknesses; if an equally effective plan could be developed for the global peace of humanity!

Should it be asked, what is to be the redress for an insurrection pervading all the States, and comprising a superiority of the entire force, though not a constitutional right? the answer must be, that such a case, as it would be without the compass of human remedies, so it is fortunately not within the compass of human probability; and that it is a sufficient recommendation of the federal Constitution, that it diminishes the risk of a calamity for which no possible constitution can provide a cure.

If someone were to ask what the solution would be for a rebellion affecting all the states, involving a dominance of all forces, even though it’s not a constitutional right, the answer would be that such a situation, while it would be beyond human remedies, fortunately isn’t likely to occur; and that a significant advantage of the federal Constitution is that it reduces the risk of a disaster for which no constitution could offer a remedy.

Among the advantages of a confederate republic enumerated by Montesquieu, an important one is, "that should a popular insurrection happen in one of the States, the others are able to quell it. Should abuses creep into one part, they are reformed by those that remain sound."

Among the advantages of a confederate republic listed by Montesquieu, an important one is that if there’s a popular uprising in one of the States, the others can put it down. If problems arise in one part, they can be fixed by the parts that are still working well.

7. "To consider all debts contracted, and engagements entered into, before the adoption of this Constitution, as being no less valid against the United States, under this Constitution, than under the Confederation."

7. "All debts incurred and agreements made before the adoption of this Constitution are considered just as valid against the United States under this Constitution as they were under the Confederation."

This can only be considered as a declaratory proposition; and may have been inserted, among other reasons, for the satisfaction of the foreign creditors of the United States, who cannot be strangers to the pretended doctrine, that a change in the political form of civil society has the magical effect of dissolving its moral obligations.

This can only be viewed as a statement of fact; and it may have been included, among other reasons, to satisfy the foreign creditors of the United States, who are likely aware of the claimed belief that a change in the political structure of society magically frees it from its moral responsibilities.

Among the lesser criticisms which have been exercised on the Constitution, it has been remarked that the validity of engagements ought to have been asserted in favor of the United States, as well as against them; and in the spirit which usually characterizes little critics, the omission has been transformed and magnified into a plot against the national rights. The authors of this discovery may be told, what few others need to be informed of, that as engagements are in their nature reciprocal, an assertion of their validity on one side, necessarily involves a validity on the other side; and that as the article is merely declaratory, the establishment of the principle in one case is sufficient for every case. They may be further told, that every constitution must limit its precautions to dangers that are not altogether imaginary; and that no real danger can exist that the government would DARE, with, or even without, this constitutional declaration before it, to remit the debts justly due to the public, on the pretext here condemned.

Among the minor criticisms of the Constitution, some have pointed out that the validity of agreements should have been acknowledged in favor of the United States, not just against them. In typical fashion for small critics, this omission has been exaggerated into a conspiracy against national rights. Those behind this claim should be reminded, along with most others who already know, that since agreements are inherently mutual, asserting their validity on one side automatically implies validity on the other. Furthermore, since the article is simply declarative, establishing the principle in one instance is enough for all cases. Additionally, it should be noted that every constitution must focus its safeguards on real dangers, not just imaginary ones; and no genuine threat exists that the government would dare, with or without this constitutional declaration, to disregard debts justly owed to the public for the reasons mentioned.

8. "To provide for amendments to be ratified by three fourths of the States under two exceptions only."

8. "To allow amendments to be approved by three-fourths of the States with only two exceptions."

That useful alterations will be suggested by experience, could not but be foreseen. It was requisite, therefore, that a mode for introducing them should be provided. The mode preferred by the convention seems to be stamped with every mark of propriety. It guards equally against that extreme facility, which would render the Constitution too mutable; and that extreme difficulty, which might perpetuate its discovered faults. It, moreover, equally enables the general and the State governments to originate the amendment of errors, as they may be pointed out by the experience on one side, or on the other. The exception in favor of the equality of suffrage in the Senate, was probably meant as a palladium to the residuary sovereignty of the States, implied and secured by that principle of representation in one branch of the legislature; and was probably insisted on by the States particularly attached to that equality. The other exception must have been admitted on the same considerations which produced the privilege defended by it.

That useful changes will be suggested by experience was obvious. Therefore, it was necessary to create a way to introduce them. The method chosen by the convention appears to be marked by every sign of appropriateness. It protects against both the extreme ease that would make the Constitution too changeable and the extreme difficulty that could keep its flaws uncorrected. Additionally, it allows both the federal and state governments to propose amendments to errors as they are identified on either side. The exception for equal representation in the Senate was likely intended as a safeguard for the remaining sovereignty of the States, which is implied and secured by that principle of representation in one branch of the legislature, and was probably insisted upon by the States particularly committed to that equality. The other exception must have been accepted for the same reasons that warranted its privilege.

9. "The ratification of the conventions of nine States shall be sufficient for the establishment of this Constitution between the States, ratifying the same."

9. "The approval of the conventions from nine States is enough to establish this Constitution among the States that ratify it."

This article speaks for itself. The express authority of the people alone could give due validity to the Constitution. To have required the unanimous ratification of the thirteen States, would have subjected the essential interests of the whole to the caprice or corruption of a single member. It would have marked a want of foresight in the convention, which our own experience would have rendered inexcusable.

This article clearly states its point. Only the direct approval of the people can truly validate the Constitution. If we had needed unanimous ratification from all thirteen states, it would have exposed the vital interests of everyone to the whims or corruption of just one member. That would have shown a lack of foresight in the convention, which our own experience would have made unacceptable.

Two questions of a very delicate nature present themselves on this occasion: 1. On what principle the Confederation, which stands in the solemn form of a compact among the States, can be superseded without the unanimous consent of the parties to it? 2. What relation is to subsist between the nine or more States ratifying the Constitution, and the remaining few who do not become parties to it?

Two very sensitive questions come up in this situation: 1. How can the Confederation, which is formally a compact between the States, be overridden without everyone's agreement? 2. What will the relationship be between the nine or more States that ratify the Constitution and the few that choose not to join?

The first question is answered at once by recurring to the absolute necessity of the case; to the great principle of self-preservation; to the transcendent law of nature and of nature's God, which declares that the safety and happiness of society are the objects at which all political institutions aim, and to which all such institutions must be sacrificed. PERHAPS, also, an answer may be found without searching beyond the principles of the compact itself. It has been heretofore noted among the defects of the Confederation, that in many of the States it had received no higher sanction than a mere legislative ratification. The principle of reciprocality seems to require that its obligation on the other States should be reduced to the same standard. A compact between independent sovereigns, founded on ordinary acts of legislative authority, can pretend to no higher validity than a league or treaty between the parties. It is an established doctrine on the subject of treaties, that all the articles are mutually conditions of each other; that a breach of any one article is a breach of the whole treaty; and that a breach, committed by either of the parties, absolves the others, and authorizes them, if they please, to pronounce the compact violated and void. Should it unhappily be necessary to appeal to these delicate truths for a justification for dispensing with the consent of particular States to a dissolution of the federal pact, will not the complaining parties find it a difficult task to answer the MULTIPLIED and IMPORTANT infractions with which they may be confronted? The time has been when it was incumbent on us all to veil the ideas which this paragraph exhibits. The scene is now changed, and with it the part which the same motives dictate.

The first question is answered right away by looking at the absolute need of the situation; the fundamental principle of self-preservation; the fundamental law of nature and of nature's God, which asserts that the safety and happiness of society are the goals of all political institutions, and that all such institutions must be sacrificed for these goals. PERHAPS, an answer can also be found without going beyond the principles of the agreement itself. It has been previously noted among the shortcomings of the Confederation that in many States it had received no greater endorsement than a simple legislative ratification. The principle of reciprocity seems to suggest that its obligation on the other States should be held to the same standard. An agreement between independent sovereigns, based on ordinary acts of legislative authority, cannot claim any higher validity than a league or treaty between the parties. It is an established principle regarding treaties that all the articles are mutually dependent on each other; that violating any one article is a violation of the entire treaty; and that a breach by either party releases the others and allows them, if they choose, to declare the agreement violated and void. If it unfortunately becomes necessary to refer to these sensitive truths to justify doing away with the consent of certain States for a dissolution of the federal pact, will the complaining parties find it challenging to respond to the MULTIPLIED and IMPORTANT violations they may encounter? There was a time when it was necessary for all of us to conceal the ideas presented in this paragraph. The situation has now changed, along with the role that the same motives dictate.

The second question is not less delicate; and the flattering prospect of its being merely hypothetical forbids an overcurious discussion of it. It is one of those cases which must be left to provide for itself. In general, it may be observed, that although no political relation can subsist between the assenting and dissenting States, yet the moral relations will remain uncancelled. The claims of justice, both on one side and on the other, will be in force, and must be fulfilled; the rights of humanity must in all cases be duly and mutually respected; whilst considerations of a common interest, and, above all, the remembrance of the endearing scenes which are past, and the anticipation of a speedy triumph over the obstacles to reunion, will, it is hoped, not urge in vain MODERATION on one side, and PRUDENCE on the other.

The second question is just as sensitive, and the appealing idea that it might be purely hypothetical prevents an overly curious discussion about it. It's one of those situations that must be allowed to resolve itself. In general, it's worth noting that while no political relationship can exist between the agreeing and disagreeing States, the moral connections will remain intact. The demands of justice, from both sides, will still apply and need to be met; the rights of humanity must always be properly and mutually respected. Additionally, the shared interests and, most importantly, the fond memories from the past and the hope for a quick victory over the obstacles to reunion should inspire MODERATION on one side and PRUDENCE on the other.

PUBLIUS

PUBLIUS __A_TAG_PLACEHOLDER_0__





FEDERALIST No. 44. Restrictions on the Authority of the Several States

From the New York Packet. Friday, January 25, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

A FIFTH class of provisions in favor of the federal authority consists of the following restrictions on the authority of the several States:

A fifth category of provisions that support federal authority includes the following limitations on the powers of the individual States:

1. "No State shall enter into any treaty, alliance, or confederation; grant letters of marque and reprisal; coin money; emit bills of credit; make any thing but gold and silver a legal tender in payment of debts; pass any bill of attainder, ex post facto law, or law impairing the obligation of contracts; or grant any title of nobility."

1. "No state can make any treaties, alliances, or confederations; issue letters of marque and reprisal; create money; print bills of credit; establish anything other than gold and silver as legal tender for paying debts; pass any bill of attainder, ex post facto law, or laws that weaken the obligation of contracts; or grant any titles of nobility."

The prohibition against treaties, alliances, and confederations makes a part of the existing articles of Union; and for reasons which need no explanation, is copied into the new Constitution. The prohibition of letters of marque is another part of the old system, but is somewhat extended in the new. According to the former, letters of marque could be granted by the States after a declaration of war; according to the latter, these licenses must be obtained, as well during war as previous to its declaration, from the government of the United States. This alteration is fully justified by the advantage of uniformity in all points which relate to foreign powers; and of immediate responsibility to the nation in all those for whose conduct the nation itself is to be responsible.

The ban on treaties, alliances, and confederations is part of the current articles of Union and is included in the new Constitution for obvious reasons. The ban on letters of marque is another aspect of the old system, but it's been slightly expanded in the new one. In the past, states could grant letters of marque only after declaring war; now, these licenses must be obtained from the federal government both during and before a declaration of war. This change is justified by the need for consistency in all matters involving foreign powers and by the requirement for immediate accountability to the nation for the actions of those for whom the nation is responsible.

The right of coining money, which is here taken from the States, was left in their hands by the Confederation, as a concurrent right with that of Congress, under an exception in favor of the exclusive right of Congress to regulate the alloy and value. In this instance, also, the new provision is an improvement on the old. Whilst the alloy and value depended on the general authority, a right of coinage in the particular States could have no other effect than to multiply expensive mints and diversify the forms and weights of the circulating pieces. The latter inconveniency defeats one purpose for which the power was originally submitted to the federal head; and as far as the former might prevent an inconvenient remittance of gold and silver to the central mint for recoinage, the end can be as well attained by local mints established under the general authority.

The right to mint money, which is taken away from the States here, was previously allowed by the Confederation as a shared right alongside Congress, with an exception for Congress's exclusive right to regulate the composition and value. In this case, the new rule is an improvement over the old one. While the composition and value relied on the overall authority, allowing individual States to mint coins would only lead to the creation of costly mints and differing shapes and weights of the coins in circulation. This latter issue undermines one of the main reasons the power was originally given to the federal government, and while the former might avoid the hassle of sending gold and silver to a central mint for recoinage, that same goal can be achieved through local mints operating under the general authority.

The extension of the prohibition to bills of credit must give pleasure to every citizen, in proportion to his love of justice and his knowledge of the true springs of public prosperity. The loss which America has sustained since the peace, from the pestilent effects of paper money on the necessary confidence between man and man, on the necessary confidence in the public councils, on the industry and morals of the people, and on the character of republican government, constitutes an enormous debt against the States chargeable with this unadvised measure, which must long remain unsatisfied; or rather an accumulation of guilt, which can be expiated no otherwise than by a voluntary sacrifice on the altar of justice, of the power which has been the instrument of it. In addition to these persuasive considerations, it may be observed, that the same reasons which show the necessity of denying to the States the power of regulating coin, prove with equal force that they ought not to be at liberty to substitute a paper medium in the place of coin. Had every State a right to regulate the value of its coin, there might be as many different currencies as States, and thus the intercourse among them would be impeded; retrospective alterations in its value might be made, and thus the citizens of other States be injured, and animosities be kindled among the States themselves. The subjects of foreign powers might suffer from the same cause, and hence the Union be discredited and embroiled by the indiscretion of a single member. No one of these mischiefs is less incident to a power in the States to emit paper money, than to coin gold or silver. The power to make any thing but gold and silver a tender in payment of debts, is withdrawn from the States, on the same principle with that of issuing a paper currency.

The extension of the ban on bills of credit should please every citizen, based on their love for justice and understanding of what truly drives public prosperity. The damage America has suffered since the peace due to the harmful effects of paper money on essential trust between individuals, confidence in public leadership, the work ethic and morals of the people, and the integrity of republican government represents a significant debt owed by the States responsible for this reckless action, which will remain unaddressed for a long time; or rather, it signifies a buildup of guilt that can only be remedied through a voluntary sacrifice at the altar of justice by the power that facilitated it. Along with these compelling reasons, it should be noted that the same rationale that demonstrates the need to prevent States from having the authority to regulate currency effectively argues that they should also not have the freedom to replace coins with a paper medium. If each State had the right to determine the value of its currency, there could be as many different currencies as there are States, hindering communication and trade among them; changes in value could occur retroactively, harming citizens of other States and fostering tensions among the States themselves. Individuals from foreign nations could also be adversely affected by the same issues, potentially discrediting the Union and creating conflicts due to the recklessness of a single member State. None of these problems are less likely to occur if States were allowed to issue paper money than if they were to mint gold or silver. The authority to make anything other than gold and silver a legal tender for debt payments is restricted from the States based on the same principle that applies to the issuance of paper currency.

Bills of attainder, ex post facto laws, and laws impairing the obligation of contracts, are contrary to the first principles of the social compact, and to every principle of sound legislation. The two former are expressly prohibited by the declarations prefixed to some of the State constitutions, and all of them are prohibited by the spirit and scope of these fundamental charters. Our own experience has taught us, nevertheless, that additional fences against these dangers ought not to be omitted. Very properly, therefore, have the convention added this constitutional bulwark in favor of personal security and private rights; and I am much deceived if they have not, in so doing, as faithfully consulted the genuine sentiments as the undoubted interests of their constituents. The sober people of America are weary of the fluctuating policy which has directed the public councils. They have seen with regret and indignation that sudden changes and legislative interferences, in cases affecting personal rights, become jobs in the hands of enterprising and influential speculators, and snares to the more-industrious and less-informed part of the community. They have seen, too, that one legislative interference is but the first link of a long chain of repetitions, every subsequent interference being naturally produced by the effects of the preceding. They very rightly infer, therefore, that some thorough reform is wanting, which will banish speculations on public measures, inspire a general prudence and industry, and give a regular course to the business of society. The prohibition with respect to titles of nobility is copied from the articles of Confederation and needs no comment.

Bills of attainder, ex post facto laws, and laws that weaken the obligation of contracts go against the basic principles of our social contract and any good legislation. The first two are explicitly banned by the declarations that precede some state constitutions, and all of them are forbidden by the spirit and intent of these foundational charters. However, our own experiences have shown us that we need further protections against these threats. Therefore, it's very appropriate for the convention to have added this constitutional safeguard for personal security and private rights; I would be very surprised if they didn’t genuinely reflect the true feelings and clear interests of their constituents in doing so. The thoughtful people of America are tired of the inconsistent policies that have guided public decisions. They have watched with regret and anger as sudden changes and legislative interference in matters that affect personal rights have become opportunities for ambitious and powerful speculators, trapping the hardworking and less-informed members of the community. They have also noticed that one instance of legislative interference is just the beginning of a long chain of repeated actions, with each new interference naturally arising from the effects of the previous one. They rightly conclude that a significant reform is necessary to eliminate speculation on public policy, encourage overall prudence and hard work, and establish a steady course for societal matters. The ban on titles of nobility is taken from the Articles of Confederation and does not require further explanation.

2. "No State shall, without the consent of the Congress, lay any imposts or duties on imports or exports, except what may be absolutely necessary for executing its inspection laws, and the net produce of all duties and imposts laid by any State on imports or exports, shall be for the use of the treasury of the United States; and all such laws shall be subject to the revision and control of the Congress. No State shall, without the consent of Congress, lay any duty on tonnage, keep troops or ships of war in time of peace, enter into any agreement or compact with another State, or with a foreign power, or engage in war unless actually invaded, or in such imminent danger as will not admit of delay."

2. "No state can, without Congress's approval, impose any taxes or duties on imports or exports, except as absolutely necessary to enforce its inspection laws. The net revenue from any duties and taxes collected by a state on imports or exports will go to the treasury of the United States, and all such laws are subject to review and control by Congress. No state can, without Congress's consent, impose a duty on tonnage, maintain troops or warships during peacetime, enter into any agreements or compacts with another state or a foreign power, or engage in war unless it has been actually invaded or is in imminent danger that doesn’t allow for delay."

The restraint on the power of the States over imports and exports is enforced by all the arguments which prove the necessity of submitting the regulation of trade to the federal councils. It is needless, therefore, to remark further on this head, than that the manner in which the restraint is qualified seems well calculated at once to secure to the States a reasonable discretion in providing for the conveniency of their imports and exports, and to the United States a reasonable check against the abuse of this discretion. The remaining particulars of this clause fall within reasonings which are either so obvious, or have been so fully developed, that they may be passed over without remark.

The limit on the states' power over imports and exports is backed by all the arguments that show why we need to hand over trade regulation to the federal government. Therefore, there's no need to elaborate further on this point, except to say that the way this limit is structured effectively gives the states some reasonable flexibility in managing their imports and exports, while also providing the United States a reasonable way to prevent the misuse of that flexibility. The other details of this clause are either quite clear or have been thoroughly discussed already, so they can be skipped without further comment.

The SIXTH and last class consists of the several powers and provisions by which efficacy is given to all the rest.

The sixth and final class includes the various powers and provisions that make all the others effective.

1. Of these the first is, the "power to make all laws which shall be necessary and proper for carrying into execution the foregoing powers, and all other powers vested by this Constitution in the government of the United States, or in any department or officer thereof."

1. The first is the "authority to create all laws that are necessary and appropriate for executing the powers mentioned above and all other powers granted by this Constitution to the government of the United States or any department or officer within it."

Few parts of the Constitution have been assailed with more intemperance than this; yet on a fair investigation of it, no part can appear more completely invulnerable. Without the SUBSTANCE of this power, the whole Constitution would be a dead letter. Those who object to the article, therefore, as a part of the Constitution, can only mean that the FORM of the provision is improper. But have they considered whether a better form could have been substituted?

Few parts of the Constitution have faced as much criticism as this one; however, upon careful examination, none can seem more fully protected. Without the ESSENCE of this power, the entire Constitution would essentially be meaningless. Those who oppose the article as a part of the Constitution must mean that the STRUCTURE of the provision is flawed. But have they thought about whether a better structure could have been provided?

There are four other possible methods which the Constitution might have taken on this subject. They might have copied the second article of the existing Confederation, which would have prohibited the exercise of any power not EXPRESSLY delegated; they might have attempted a positive enumeration of the powers comprehended under the general terms "necessary and proper"; they might have attempted a negative enumeration of them, by specifying the powers excepted from the general definition; they might have been altogether silent on the subject, leaving these necessary and proper powers to construction and inference.

There are four other possible approaches the Constitution could have taken on this topic. They could have copied the second article of the existing Confederation, which would have forbidden the exercise of any power not expressly granted; they could have tried to list the powers included under the general terms "necessary and proper"; they could have attempted to create a negative list by specifying the powers excluded from the general definition; or they could have remained completely silent on the matter, leaving these necessary and proper powers open to interpretation and inference.

Had the convention taken the first method of adopting the second article of Confederation, it is evident that the new Congress would be continually exposed, as their predecessors have been, to the alternative of construing the term "EXPRESSLY" with so much rigor, as to disarm the government of all real authority whatever, or with so much latitude as to destroy altogether the force of the restriction. It would be easy to show, if it were necessary, that no important power, delegated by the articles of Confederation, has been or can be executed by Congress, without recurring more or less to the doctrine of CONSTRUCTION or IMPLICATION. As the powers delegated under the new system are more extensive, the government which is to administer it would find itself still more distressed with the alternative of betraying the public interests by doing nothing, or of violating the Constitution by exercising powers indispensably necessary and proper, but, at the same time, not EXPRESSLY granted.

If the convention had chosen the first method for adopting the second article of Confederation, it’s clear that the new Congress would continuously face the same dilemmas as their predecessors: either interpreting the term "EXPRESSLY" so strictly that the government loses all real authority, or interpreting it so loosely that the restriction becomes meaningless. It wouldn't be hard to demonstrate, if necessary, that no significant power granted by the articles of Confederation has been or can be executed by Congress without referring to the principles of CONSTRUCTION or IMPLICATION. Since the powers delegated under the new system are broader, the government that administers it would find itself even more troubled by the choice between neglecting public interests by doing nothing or violating the Constitution by using powers that are absolutely necessary and appropriate, yet not EXPRESSLY granted.

Had the convention attempted a positive enumeration of the powers necessary and proper for carrying their other powers into effect, the attempt would have involved a complete digest of laws on every subject to which the Constitution relates; accommodated too, not only to the existing state of things, but to all the possible changes which futurity may produce; for in every new application of a general power, the PARTICULAR POWERS, which are the means of attaining the OBJECT of the general power, must always necessarily vary with that object, and be often properly varied whilst the object remains the same.

If the convention had tried to list all the necessary and appropriate powers to effectively implement their other powers, it would have required a thorough compilation of laws on every topic related to the Constitution. This would need to be tailored not only to the current situation but also to all potential changes that the future might bring. In every new application of a general power, the specific powers used to achieve the goal of that general power must inevitably change with that goal, and often these specific powers need to be adjusted even while the goal itself remains the same.

Had they attempted to enumerate the particular powers or means not necessary or proper for carrying the general powers into execution, the task would have been no less chimerical; and would have been liable to this further objection, that every defect in the enumeration would have been equivalent to a positive grant of authority. If, to avoid this consequence, they had attempted a partial enumeration of the exceptions, and described the residue by the general terms, NOT NECESSARY OR PROPER, it must have happened that the enumeration would comprehend a few of the excepted powers only; that these would be such as would be least likely to be assumed or tolerated, because the enumeration would of course select such as would be least necessary or proper; and that the unnecessary and improper powers included in the residuum, would be less forcibly excepted, than if no partial enumeration had been made.

If they had tried to list the specific powers or methods that are not necessary or appropriate for executing the general powers, that task would have been just as impossible. It would have also faced the problem that any omissions in the list would effectively grant authority by default. If, to avoid this issue, they had attempted to partially list the exceptions and described the rest in general terms, NOT NECESSARY OR PROPER, it would likely result in the list including only a few of the excluded powers. These would be the ones least likely to be claimed or accepted because the list would naturally focus on those that are least necessary or suitable. Consequently, the unnecessary and inappropriate powers left unlisted would be less effectively excluded than if no partial list had been attempted.

Had the Constitution been silent on this head, there can be no doubt that all the particular powers requisite as means of executing the general powers would have resulted to the government, by unavoidable implication. No axiom is more clearly established in law, or in reason, than that wherever the end is required, the means are authorized; wherever a general power to do a thing is given, every particular power necessary for doing it is included. Had this last method, therefore, been pursued by the convention, every objection now urged against their plan would remain in all its plausibility; and the real inconveniency would be incurred of not removing a pretext which may be seized on critical occasions for drawing into question the essential powers of the Union.

If the Constitution hadn’t addressed this issue, it’s clear that all the specific powers needed to carry out the general powers would automatically belong to the government by necessity. No principle is more firmly established in law or reason than the idea that when an end is necessary, the means to achieve it are also allowed; whenever a general power is granted, all the specific powers needed to carry it out are included. If the convention had taken this approach, every objection raised against their plan would still seem valid, and the real problem would be that it wouldn’t eliminate a justification that could be used in critical times to challenge the essential powers of the Union.

If it be asked what is to be the consequence, in case the Congress shall misconstrue this part of the Constitution, and exercise powers not warranted by its true meaning, I answer, the same as if they should misconstrue or enlarge any other power vested in them; as if the general power had been reduced to particulars, and any one of these were to be violated; the same, in short, as if the State legislatures should violate the irrespective constitutional authorities. In the first instance, the success of the usurpation will depend on the executive and judiciary departments, which are to expound and give effect to the legislative acts; and in the last resort a remedy must be obtained from the people who can, by the election of more faithful representatives, annul the acts of the usurpers. The truth is, that this ultimate redress may be more confided in against unconstitutional acts of the federal than of the State legislatures, for this plain reason, that as every such act of the former will be an invasion of the rights of the latter, these will be ever ready to mark the innovation, to sound the alarm to the people, and to exert their local influence in effecting a change of federal representatives. There being no such intermediate body between the State legislatures and the people interested in watching the conduct of the former, violations of the State constitutions are more likely to remain unnoticed and unredressed.

If you ask what will happen if Congress misinterprets this part of the Constitution and exercises powers not supported by its true meaning, I would say it's the same as if they were to misinterpret or overextend any other power given to them; as if the general power had been broken down into specifics, and if any one of those specifics were violated; essentially, it's the same as if the state legislatures were to violate their own constitutional powers. Initially, the success of the misuse will rely on the executive and judicial branches, which are responsible for interpreting and enforcing legislative acts; ultimately, a remedy must come from the people, who can elect more trustworthy representatives to nullify the acts of the usurpers. The reality is that this last resort may be more reliable against unconstitutional actions of the federal government than those of the state legislatures, for the simple reason that any such act by the federal government would infringe upon the rights of the states, and the states will always be prepared to highlight the infringement, alert the public, and use their local influence to bring about a change in federal representatives. Since there is no intermediary body between the state legislatures and the people focused on overseeing their actions, violations of state constitutions are more likely to go unnoticed and unresolved.

2. "This Constitution and the laws of the United States which shall be made in pursuance thereof, and all treaties made, or which shall be made, under the authority of the United States, shall be the supreme law of the land, and the judges in every State shall be bound thereby, any thing in the constitution or laws of any State to the contrary notwithstanding."

2. "This Constitution and the laws of the United States created in alignment with it, along with all treaties made or to be made under the authority of the United States, will be the highest law of the land. Judges in every State must be bound by it, regardless of anything in the constitution or laws of any State that says otherwise."

The indiscreet zeal of the adversaries to the Constitution has betrayed them into an attack on this part of it also, without which it would have been evidently and radically defective. To be fully sensible of this, we need only suppose for a moment that the supremacy of the State constitutions had been left complete by a saving clause in their favor.

The reckless enthusiasm of the opponents of the Constitution has led them to attack this part of it as well, without which it would clearly be flawed and lacking. To truly understand this, we just need to imagine for a moment that the supremacy of the State constitutions had been fully preserved with a saving clause in their favor.

In the first place, as these constitutions invest the State legislatures with absolute sovereignty, in all cases not excepted by the existing articles of Confederation, all the authorities contained in the proposed Constitution, so far as they exceed those enumerated in the Confederation, would have been annulled, and the new Congress would have been reduced to the same impotent condition with their predecessors.

In the first place, since these constitutions give the state legislatures complete power in all cases not excluded by the current articles of Confederation, all the powers in the proposed Constitution that go beyond those listed in the Confederation would be canceled, and the new Congress would end up in the same helpless situation as their predecessors.

In the next place, as the constitutions of some of the States do not even expressly and fully recognize the existing powers of the Confederacy, an express saving of the supremacy of the former would, in such States, have brought into question every power contained in the proposed Constitution.

In addition, since the constitutions of some States don’t clearly or completely acknowledge the current powers of the Confederacy, explicitly maintaining the supremacy of those States would have raised doubts about every power included in the proposed Constitution.

In the third place, as the constitutions of the States differ much from each other, it might happen that a treaty or national law, of great and equal importance to the States, would interfere with some and not with other constitutions, and would consequently be valid in some of the States, at the same time that it would have no effect in others.

In the third place, since the constitutions of the States vary widely from one another, it's possible that a treaty or national law, which is very important to all States, could affect some but not others. As a result, it might be valid in some States while having no impact in others.

In fine, the world would have seen, for the first time, a system of government founded on an inversion of the fundamental principles of all government; it would have seen the authority of the whole society every where subordinate to the authority of the parts; it would have seen a monster, in which the head was under the direction of the members.

In short, the world would have witnessed, for the first time, a system of government based on a complete reversal of the basic principles of all governance; it would have seen the authority of society as a whole everywhere under the control of its individual parts; it would have seen a strange entity where the head was controlled by its members.

3. "The Senators and Representatives, and the members of the several State legislatures, and all executive and judicial officers, both of the United States and the several States, shall be bound by oath or affirmation to support this Constitution."

3. "The Senators and Representatives, the members of the various State legislatures, and all executive and judicial officers, both of the United States and the different States, must take an oath or affirmation to support this Constitution."

It has been asked why it was thought necessary, that the State magistracy should be bound to support the federal Constitution, and unnecessary that a like oath should be imposed on the officers of the United States, in favor of the State constitutions.

It has been questioned why it was considered essential for state officials to support the federal Constitution, while it was deemed unnecessary for U.S. officers to take a similar oath in support of state constitutions.

Several reasons might be assigned for the distinction. I content myself with one, which is obvious and conclusive. The members of the federal government will have no agency in carrying the State constitutions into effect. The members and officers of the State governments, on the contrary, will have an essential agency in giving effect to the federal Constitution. The election of the President and Senate will depend, in all cases, on the legislatures of the several States. And the election of the House of Representatives will equally depend on the same authority in the first instance; and will, probably, forever be conducted by the officers, and according to the laws, of the States.

There are several reasons for this distinction, but I'll focus on one that is clear and decisive. The federal government won’t play a role in implementing the State constitutions. In contrast, the members and officials of the State governments will play a crucial role in enforcing the federal Constitution. The election of the President and Senate will rely entirely on the legislatures of the individual States. Similarly, the election of the House of Representatives will also depend on the same authority at first and will likely continue to be managed by the officers and according to the laws of the States.

4. Among the provisions for giving efficacy to the federal powers might be added those which belong to the executive and judiciary departments: but as these are reserved for particular examination in another place, I pass them over in this.

4. Along with the measures to enhance federal powers, we could also include those related to the executive and judicial branches. However, since those will be discussed in detail elsewhere, I’ll skip over them here.

We have now reviewed, in detail, all the articles composing the sum or quantity of power delegated by the proposed Constitution to the federal government, and are brought to this undeniable conclusion, that no part of the power is unnecessary or improper for accomplishing the necessary objects of the Union. The question, therefore, whether this amount of power shall be granted or not, resolves itself into another question, whether or not a government commensurate to the exigencies of the Union shall be established; or, in other words, whether the Union itself shall be preserved.

We have now thoroughly reviewed all the articles that make up the total power given to the federal government by the proposed Constitution, and we come to the clear conclusion that every part of this power is essential and appropriate for achieving the necessary goals of the Union. Therefore, the question of whether this amount of power should be granted comes down to whether or not we should establish a government that meets the needs of the Union; in other words, whether we should preserve the Union itself.

PUBLIUS

PUBLIUS





FEDERALIST No. 45. The Alleged Danger From the Powers of the Union to the State Governments.

Considered For the Independent Journal. Saturday, January 26, 1788

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

HAVING shown that no one of the powers transferred to the federal government is unnecessary or improper, the next question to be considered is, whether the whole mass of them will be dangerous to the portion of authority left in the several States.

HAVING shown that none of the powers given to the federal government is unnecessary or inappropriate, the next question to consider is whether the entire collection of these powers will be a threat to the authority remaining in the individual States.

The adversaries to the plan of the convention, instead of considering in the first place what degree of power was absolutely necessary for the purposes of the federal government, have exhausted themselves in a secondary inquiry into the possible consequences of the proposed degree of power to the governments of the particular States. But if the Union, as has been shown, be essential to the security of the people of America against foreign danger; if it be essential to their security against contentions and wars among the different States; if it be essential to guard them against those violent and oppressive factions which embitter the blessings of liberty, and against those military establishments which must gradually poison its very fountain; if, in a word, the Union be essential to the happiness of the people of America, is it not preposterous, to urge as an objection to a government, without which the objects of the Union cannot be attained, that such a government may derogate from the importance of the governments of the individual States? Was, then, the American Revolution effected, was the American Confederacy formed, was the precious blood of thousands spilt, and the hard-earned substance of millions lavished, not that the people of America should enjoy peace, liberty, and safety, but that the government of the individual States, that particular municipal establishments, might enjoy a certain extent of power, and be arrayed with certain dignities and attributes of sovereignty? We have heard of the impious doctrine in the Old World, that the people were made for kings, not kings for the people. Is the same doctrine to be revived in the New, in another shape that the solid happiness of the people is to be sacrificed to the views of political institutions of a different form? It is too early for politicians to presume on our forgetting that the public good, the real welfare of the great body of the people, is the supreme object to be pursued; and that no form of government whatever has any other value than as it may be fitted for the attainment of this object. Were the plan of the convention adverse to the public happiness, my voice would be, Reject the plan. Were the Union itself inconsistent with the public happiness, it would be, Abolish the Union. In like manner, as far as the sovereignty of the States cannot be reconciled to the happiness of the people, the voice of every good citizen must be, Let the former be sacrificed to the latter. How far the sacrifice is necessary, has been shown. How far the unsacrificed residue will be endangered, is the question before us.

The opponents of the convention’s plan, instead of first figuring out how much power the federal government really needs, have gotten caught up in debating the potential effects of that power on the individual State governments. But if the Union is, as we have established, crucial for keeping the people of America safe from foreign threats; if it is vital for ensuring safety from conflicts and wars between the States; if it is important for protecting against those violent and oppressive factions that undermine the blessings of liberty, as well as against military forces that can gradually corrupt its very essence; if, in short, the Union is essential to the happiness of the American people, isn’t it ridiculous to argue against a government that is necessary to achieve the goals of the Union just because it might diminish the importance of individual State governments? Did the American Revolution happen, did the American Confederacy come into being, did the precious blood of thousands spill, and did the hard-earned resources of millions get spent, just so that the people of America could have peace, liberty, and safety? Or was it merely so that the governments of the individual States could hold onto a certain power and enjoy certain dignities and marks of sovereignty? We have heard of the wicked idea that in the Old World, people were created for kings, not the other way around. Is this same idea to be revived in the New World, disguised differently, where the real happiness of the people is sacrificed for the sake of different political institutions? It’s too soon for politicians to think we’ll forget that the public good, the true welfare of the majority, is the ultimate goal to strive for, and that no form of government has any value other than its capability to achieve this goal. If the convention's plan were against public happiness, I would say, Reject the plan. If the Union itself were not in line with public happiness, my stance would be, Abolish the Union. Similarly, as long as the sovereignty of the States contradicts the happiness of the people, every good citizen must say, Let the former be sacrificed for the latter. How much sacrifice is necessary has been demonstrated. The key issue now is how much of what remains unscathed will be at risk.

Several important considerations have been touched in the course of these papers, which discountenance the supposition that the operation of the federal government will by degrees prove fatal to the State governments. The more I revolve the subject, the more fully I am persuaded that the balance is much more likely to be disturbed by the preponderancy of the last than of the first scale.

Several important points have been addressed in these papers that reject the idea that the federal government will gradually undermine state governments. The more I think about it, the more I believe that the balance is much more likely to be upset by the dominance of the latter than the former.

We have seen, in all the examples of ancient and modern confederacies, the strongest tendency continually betraying itself in the members, to despoil the general government of its authorities, with a very ineffectual capacity in the latter to defend itself against the encroachments. Although, in most of these examples, the system has been so dissimilar from that under consideration as greatly to weaken any inference concerning the latter from the fate of the former, yet, as the States will retain, under the proposed Constitution, a very extensive portion of active sovereignty, the inference ought not to be wholly disregarded. In the Achaean league it is probable that the federal head had a degree and species of power, which gave it a considerable likeness to the government framed by the convention. The Lycian Confederacy, as far as its principles and form are transmitted, must have borne a still greater analogy to it. Yet history does not inform us that either of them ever degenerated, or tended to degenerate, into one consolidated government. On the contrary, we know that the ruin of one of them proceeded from the incapacity of the federal authority to prevent the dissensions, and finally the disunion, of the subordinate authorities. These cases are the more worthy of our attention, as the external causes by which the component parts were pressed together were much more numerous and powerful than in our case; and consequently less powerful ligaments within would be sufficient to bind the members to the head, and to each other.

We have seen, in all the examples of ancient and modern alliances, a strong tendency among the members to undermine the central government’s authority, while the latter has been quite ineffective at defending itself against these encroachments. Although most of these examples differ greatly from the system we are considering, which makes it hard to draw conclusions about the latter based on the former, the fact that the states will maintain a significant share of active sovereignty under the proposed Constitution should not be ignored. In the Achaean League, it's likely that the central authority had a type of power that was quite similar to the government established by the convention. The Lycian Confederacy, based on what we know of its principles and structure, likely had an even greater similarity to it. However, history does not tell us that either of them ever turned into a single consolidated government. On the contrary, we know that the downfall of one of them came from the federal authority’s inability to prevent conflicts and, ultimately, the disunity among the smaller authorities. These examples deserve our attention, especially since the external pressures on the components were much more significant and strong than in our situation; thus, the internal connections should be adequate to keep the members united with the central authority and with each other.

In the feudal system, we have seen a similar propensity exemplified. Notwithstanding the want of proper sympathy in every instance between the local sovereigns and the people, and the sympathy in some instances between the general sovereign and the latter, it usually happened that the local sovereigns prevailed in the rivalship for encroachments. Had no external dangers enforced internal harmony and subordination, and particularly, had the local sovereigns possessed the affections of the people, the great kingdoms in Europe would at this time consist of as many independent princes as there were formerly feudatory barons.

In the feudal system, we’ve seen a similar tendency demonstrated. Despite the lack of genuine understanding in every case between the local rulers and the people, and some cases of understanding between the overall ruler and the people, it generally happened that the local rulers won in the competition for power. If there hadn’t been outside threats forcing internal unity and order, and especially if the local rulers had won the loyalty of the people, Europe today would have as many independent princes as there used to be feudal barons.

The State governments will have the advantage of the Federal government, whether we compare them in respect to the immediate dependence of the one on the other; to the weight of personal influence which each side will possess; to the powers respectively vested in them; to the predilection and probable support of the people; to the disposition and faculty of resisting and frustrating the measures of each other.

The state governments will have the upper hand over the federal government, whether we look at their immediate reliance on each other, the level of personal influence each side will have, the powers assigned to them, the preferences and likely support of the people, or their ability and willingness to resist and undermine each other's actions.

The State governments may be regarded as constituent and essential parts of the federal government; whilst the latter is nowise essential to the operation or organization of the former. Without the intervention of the State legislatures, the President of the United States cannot be elected at all. They must in all cases have a great share in his appointment, and will, perhaps, in most cases, of themselves determine it. The Senate will be elected absolutely and exclusively by the State legislatures. Even the House of Representatives, though drawn immediately from the people, will be chosen very much under the influence of that class of men, whose influence over the people obtains for themselves an election into the State legislatures. Thus, each of the principal branches of the federal government will owe its existence more or less to the favor of the State governments, and must consequently feel a dependence, which is much more likely to beget a disposition too obsequious than too overbearing towards them. On the other side, the component parts of the State governments will in no instance be indebted for their appointment to the direct agency of the federal government, and very little, if at all, to the local influence of its members.

The state governments can be seen as essential parts of the federal government, while the federal government is not essential for the operation or organization of the states. Without the involvement of state legislatures, the President of the United States cannot be elected at all. They play a major role in his appointment and will likely determine it in most cases. The Senate will be elected entirely and exclusively by the state legislatures. Even the House of Representatives, which is elected directly by the people, will be greatly influenced by those individuals whose influence helps them get elected to the state legislatures. Therefore, each main branch of the federal government will owe its existence to the support of the state governments and will likely feel a dependence that is more inclined to lead to a submissive attitude than an overbearing one towards them. Conversely, the components of the state governments will not owe their positions to the direct involvement of the federal government and will owe very little, if anything, to the local influence of its members.

The number of individuals employed under the Constitution of the United States will be much smaller than the number employed under the particular States. There will consequently be less of personal influence on the side of the former than of the latter. The members of the legislative, executive, and judiciary departments of thirteen and more States, the justices of peace, officers of militia, ministerial officers of justice, with all the county, corporation, and town officers, for three millions and more of people, intermixed, and having particular acquaintance with every class and circle of people, must exceed, beyond all proportion, both in number and influence, those of every description who will be employed in the administration of the federal system. Compare the members of the three great departments of the thirteen States, excluding from the judiciary department the justices of peace, with the members of the corresponding departments of the single government of the Union; compare the militia officers of three millions of people with the military and marine officers of any establishment which is within the compass of probability, or, I may add, of possibility, and in this view alone, we may pronounce the advantage of the States to be decisive. If the federal government is to have collectors of revenue, the State governments will have theirs also. And as those of the former will be principally on the seacoast, and not very numerous, whilst those of the latter will be spread over the face of the country, and will be very numerous, the advantage in this view also lies on the same side. It is true, that the Confederacy is to possess, and may exercise, the power of collecting internal as well as external taxes throughout the States; but it is probable that this power will not be resorted to, except for supplemental purposes of revenue; that an option will then be given to the States to supply their quotas by previous collections of their own; and that the eventual collection, under the immediate authority of the Union, will generally be made by the officers, and according to the rules, appointed by the several States. Indeed it is extremely probable, that in other instances, particularly in the organization of the judicial power, the officers of the States will be clothed with the correspondent authority of the Union. Should it happen, however, that separate collectors of internal revenue should be appointed under the federal government, the influence of the whole number would not bear a comparison with that of the multitude of State officers in the opposite scale. Within every district to which a federal collector would be allotted, there would not be less than thirty or forty, or even more, officers of different descriptions, and many of them persons of character and weight, whose influence would lie on the side of the State.

The number of people working under the Constitution of the United States will be much smaller than those working under the individual States. As a result, there will be less personal influence from the former than the latter. The members of the legislative, executive, and judicial branches across thirteen or more States, along with justices of the peace, militia officers, ministerial officers of justice, and all the county, corporation, and town officials, serving over three million people, who have personal connections with every class and community, will significantly outnumber and outshine in influence those individuals involved in the administration of the federal system. If you compare the members of the three main branches of the thirteen States, excluding justices of the peace from the judiciary, with those in the corresponding branches of the single government of the Union, and compare the militia officers for three million people with the military and naval officers of any realistic or even imaginable establishment, it becomes clear that the States hold the advantage. If the federal government has revenue collectors, the State governments will have their own as well. Since the federal collectors will mainly be located on the seacoast and won’t be very numerous, while the State collectors will be spread out across the country and will be quite numerous, the advantage again lies with the States. It is true that the Confederacy has the power to collect internal as well as external taxes throughout the States; however, it’s likely that this power will only be used for supplementary revenue purposes. States may be allowed to fulfill their quotas by collecting their own taxes first, and eventual collections done under the direct authority of the Union will typically be carried out by officers appointed according to the rules of the various States. In fact, it’s very likely that in other cases, especially in organizing the judicial power, State officers will be granted equivalent authority from the Union. However, if separate collectors of internal revenue are appointed by the federal government, their overall influence would not compare to that of the numerous State officers on the other side. In every district assigned a federal collector, there would be at least thirty or forty, or even more, officials of various kinds, many of whom would be respected individuals with significant influence favoring the State.

The powers delegated by the proposed Constitution to the federal government, are few and defined. Those which are to remain in the State governments are numerous and indefinite. The former will be exercised principally on external objects, as war, peace, negotiation, and foreign commerce; with which last the power of taxation will, for the most part, be connected. The powers reserved to the several States will extend to all the objects which, in the ordinary course of affairs, concern the lives, liberties, and properties of the people, and the internal order, improvement, and prosperity of the State.

The powers given to the federal government by the proposed Constitution are limited and clearly defined. In contrast, the powers that will stay with the State governments are many and not clearly defined. The federal government will mainly focus on external issues like war, peace, diplomacy, and international trade; the power to tax will generally be linked to these areas. The powers reserved for the individual States will cover everything that, in everyday matters, affects the lives, freedoms, and property of the people, as well as the internal order, development, and well-being of the State.

The operations of the federal government will be most extensive and important in times of war and danger; those of the State governments, in times of peace and security. As the former periods will probably bear a small proportion to the latter, the State governments will here enjoy another advantage over the federal government. The more adequate, indeed, the federal powers may be rendered to the national defense, the less frequent will be those scenes of danger which might favor their ascendancy over the governments of the particular States.

The federal government will have the most extensive and significant operations during times of war and danger, while State governments will be more active during periods of peace and security. Since the times of war will likely be much less common than peaceful times, State governments will gain another advantage over the federal government. In fact, the better the federal powers are prepared for national defense, the less often we will see dangerous situations that might strengthen their dominance over individual State governments.

If the new Constitution be examined with accuracy and candor, it will be found that the change which it proposes consists much less in the addition of NEW POWERS to the Union, than in the invigoration of its ORIGINAL POWERS. The regulation of commerce, it is true, is a new power; but that seems to be an addition which few oppose, and from which no apprehensions are entertained. The powers relating to war and peace, armies and fleets, treaties and finance, with the other more considerable powers, are all vested in the existing Congress by the articles of Confederation. The proposed change does not enlarge these powers; it only substitutes a more effectual mode of administering them. The change relating to taxation may be regarded as the most important; and yet the present Congress have as complete authority to REQUIRE of the States indefinite supplies of money for the common defense and general welfare, as the future Congress will have to require them of individual citizens; and the latter will be no more bound than the States themselves have been, to pay the quotas respectively taxed on them. Had the States complied punctually with the articles of Confederation, or could their compliance have been enforced by as peaceable means as may be used with success towards single persons, our past experience is very far from countenancing an opinion, that the State governments would have lost their constitutional powers, and have gradually undergone an entire consolidation. To maintain that such an event would have ensued, would be to say at once, that the existence of the State governments is incompatible with any system whatever that accomplishes the essential purposes of the Union.

If we take a close and honest look at the new Constitution, we'll see that the changes it suggests are more about strengthening the original powers rather than adding new ones. It's true that regulating commerce is a new power, but that addition is widely accepted and doesn't raise any concerns. The powers related to war, peace, armies, fleets, treaties, and finance, along with other significant powers, are already granted to the current Congress under the Articles of Confederation. The proposed changes don’t expand these powers; they just offer a more effective way to manage them. The change regarding taxation may be seen as the most crucial; however, the current Congress already has full authority to demand unlimited monetary contributions from the states for common defense and general welfare, just as the future Congress will be able to require them from individual citizens. And, individual citizens won't be more obligated than the states have been to pay their respective taxes. If the states had fully complied with the Articles of Confederation, or if their compliance could have been enforced as peacefully as it might be with individuals, our past experiences do not support the idea that state governments would have lost their constitutional powers or have gradually merged into a single entity. To claim that such an outcome would have occurred is to suggest that state governments cannot coexist with any system that fulfills the fundamental goals of the Union.

PUBLIUS

PUBLIUS





FEDERALIST No. 46. The Influence of the State and Federal Governments Compared

From the New York Packet. Tuesday, January 29, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

RESUMING the subject of the last paper, I proceed to inquire whether the federal government or the State governments will have the advantage with regard to the predilection and support of the people. Notwithstanding the different modes in which they are appointed, we must consider both of them as substantially dependent on the great body of the citizens of the United States. I assume this position here as it respects the first, reserving the proofs for another place. The federal and State governments are in fact but different agents and trustees of the people, constituted with different powers, and designed for different purposes. The adversaries of the Constitution seem to have lost sight of the people altogether in their reasonings on this subject; and to have viewed these different establishments, not only as mutual rivals and enemies, but as uncontrolled by any common superior in their efforts to usurp the authorities of each other. These gentlemen must here be reminded of their error. They must be told that the ultimate authority, wherever the derivative may be found, resides in the people alone, and that it will not depend merely on the comparative ambition or address of the different governments, whether either, or which of them, will be able to enlarge its sphere of jurisdiction at the expense of the other. Truth, no less than decency, requires that the event in every case should be supposed to depend on the sentiments and sanction of their common constituents.

RESUMING the topic from the last paper, I’m going to look into whether the federal government or the State governments will have the advantage in terms of the people's preference and support. Even though they are appointed in different ways, we should see both as fundamentally reliant on the larger community of citizens in the United States. I’ll take this stance for now regarding the federal government and provide evidence later. The federal and State governments are essentially different agents and trustees of the people, established with different powers and purposes. The critics of the Constitution seem to have completely overlooked the people in their arguments on this subject; they view these different systems not only as rivals and opponents but as being unchecked by any higher authority in their attempts to take over each other's powers. These individuals need to be reminded of their mistake. They must understand that the ultimate authority, regardless of its source, belongs to the people alone, and it won’t simply depend on the relative ambition or skills of the different governments whether either or which one can extend its reach at the cost of the other. Both truth and decency ask that the outcome in every case should be seen as relying on the views and approval of their shared constituents.

Many considerations, besides those suggested on a former occasion, seem to place it beyond doubt that the first and most natural attachment of the people will be to the governments of their respective States. Into the administration of these a greater number of individuals will expect to rise. From the gift of these a greater number of offices and emoluments will flow. By the superintending care of these, all the more domestic and personal interests of the people will be regulated and provided for. With the affairs of these, the people will be more familiarly and minutely conversant. And with the members of these, will a greater proportion of the people have the ties of personal acquaintance and friendship, and of family and party attachments; on the side of these, therefore, the popular bias may well be expected most strongly to incline.

Many factors, in addition to those mentioned before, clearly indicate that people's primary and most natural connection will be with the governments of their respective States. More individuals will aim to advance within these administrations. From these positions, more offices and benefits will emerge. Through their oversight, the domestic and personal interests of the people will be managed and addressed. The public will be more familiar and deeply involved with these matters. Additionally, a larger number of people will have personal relationships and friendships, as well as family and party ties with the members of these governments. Therefore, it’s reasonable to expect that the public's support will lean most strongly toward them.

Experience speaks the same language in this case. The federal administration, though hitherto very defective in comparison with what may be hoped under a better system, had, during the war, and particularly whilst the independent fund of paper emissions was in credit, an activity and importance as great as it can well have in any future circumstances whatever. It was engaged, too, in a course of measures which had for their object the protection of everything that was dear, and the acquisition of everything that could be desirable to the people at large. It was, nevertheless, invariably found, after the transient enthusiasm for the early Congresses was over, that the attention and attachment of the people were turned anew to their own particular governments; that the federal council was at no time the idol of popular favor; and that opposition to proposed enlargements of its powers and importance was the side usually taken by the men who wished to build their political consequence on the prepossessions of their fellow-citizens.

Experience speaks the same language here. The federal government, although previously quite flawed compared to what could be expected from a better system, was very active and significant during the war, especially when the independent fund of paper currency was doing well. It was involved in efforts aimed at protecting what people valued and gaining what could benefit the public. However, it was consistently observed, after the brief excitement for the early Congresses faded, that people's attention and loyalty shifted back to their local governments; the federal council was never really the favorite among the public; and those who wanted to enhance their political standing usually opposed any proposals to expand its powers and significance based on the preferences of their fellow citizens.

If, therefore, as has been elsewhere remarked, the people should in future become more partial to the federal than to the State governments, the change can only result from such manifest and irresistible proofs of a better administration, as will overcome all their antecedent propensities. And in that case, the people ought not surely to be precluded from giving most of their confidence where they may discover it to be most due; but even in that case the State governments could have little to apprehend, because it is only within a certain sphere that the federal power can, in the nature of things, be advantageously administered.

If, as noted elsewhere, people start to prefer federal government over state governments in the future, this shift can only happen because of clear and compelling evidence of better management that overcomes their prior preferences. In that scenario, people shouldn't be stopped from placing their trust where they see it’s deserved. However, even then, state governments shouldn't worry too much because federal power can only be effectively managed within a limited scope.

The remaining points on which I propose to compare the federal and State governments, are the disposition and the faculty they may respectively possess, to resist and frustrate the measures of each other.

The other points I want to compare between the federal and State governments are how they handle and the ability they have to oppose and undermine each other's actions.

It has been already proved that the members of the federal will be more dependent on the members of the State governments, than the latter will be on the former. It has appeared also, that the prepossessions of the people, on whom both will depend, will be more on the side of the State governments, than of the federal government. So far as the disposition of each towards the other may be influenced by these causes, the State governments must clearly have the advantage. But in a distinct and very important point of view, the advantage will lie on the same side. The prepossessions, which the members themselves will carry into the federal government, will generally be favorable to the States; whilst it will rarely happen, that the members of the State governments will carry into the public councils a bias in favor of the general government. A local spirit will infallibly prevail much more in the members of Congress, than a national spirit will prevail in the legislatures of the particular States. Every one knows that a great proportion of the errors committed by the State legislatures proceeds from the disposition of the members to sacrifice the comprehensive and permanent interest of the State, to the particular and separate views of the counties or districts in which they reside. And if they do not sufficiently enlarge their policy to embrace the collective welfare of their particular State, how can it be imagined that they will make the aggregate prosperity of the Union, and the dignity and respectability of its government, the objects of their affections and consultations? For the same reason that the members of the State legislatures will be unlikely to attach themselves sufficiently to national objects, the members of the federal legislature will be likely to attach themselves too much to local objects. The States will be to the latter what counties and towns are to the former. Measures will too often be decided according to their probable effect, not on the national prosperity and happiness, but on the prejudices, interests, and pursuits of the governments and people of the individual States. What is the spirit that has in general characterized the proceedings of Congress? A perusal of their journals, as well as the candid acknowledgments of such as have had a seat in that assembly, will inform us, that the members have but too frequently displayed the character, rather of partisans of their respective States, than of impartial guardians of a common interest; that where on one occasion improper sacrifices have been made of local considerations, to the aggrandizement of the federal government, the great interests of the nation have suffered on a hundred, from an undue attention to the local prejudices, interests, and views of the particular States. I mean not by these reflections to insinuate, that the new federal government will not embrace a more enlarged plan of policy than the existing government may have pursued; much less, that its views will be as confined as those of the State legislatures; but only that it will partake sufficiently of the spirit of both, to be disinclined to invade the rights of the individual States, or the prerogatives of their governments. The motives on the part of the State governments, to augment their prerogatives by defalcations from the federal government, will be overruled by no reciprocal predispositions in the members.

It has already been proven that the members of the federal government will be more dependent on the state governments than the other way around. It has also shown that the people's biases, which both will rely on, will lean more towards the state governments than the federal government. To the extent that the attitudes of each towards the other may be shaped by these factors, the state governments will clearly have the upper hand. However, in a distinct and significant way, the advantage will remain on the same side. The biases that the members will bring into the federal government will generally be favorable to the states; meanwhile, it will be rare for the members of the state governments to bring a bias in favor of the federal government into public discussions. A local perspective will definitely dominate more among the members of Congress than a national perspective will in the legislatures of the individual states. Everyone knows that a large portion of the mistakes made by the state legislatures comes from the members' tendency to prioritize the specific and immediate interests of their counties or districts over the broader and long-term interests of the state. And if they don’t expand their focus to consider the overall welfare of their state, how can we expect them to prioritize the collective prosperity of the union and the dignity and respect of its government? For the same reason that state legislators are unlikely to be sufficiently attached to national issues, members of the federal legislature are likely to become too attached to local issues. The states will be to them what counties and towns are to the state legislators. Decisions will often be based on their probable effect on the interests, biases, and pursuits of the individual states' governments and people, rather than on national prosperity and happiness. What has generally characterized the spirit of Congress? A look through their journals, as well as the honest acknowledgments of those who have served in that body, will tell us that the members have often acted more as advocates for their respective states than as impartial protectors of a common interest; that when, on some occasions, local considerations have been improperly sacrificed for the benefit of the federal government, the broader interests of the nation have suffered immensely due to excessive attention to the local biases, interests, and views of the individual states. I do not mean to imply that the new federal government will not adopt a more expansive policy compared to the current government; much less that its outlook will be as narrow as that of the state legislatures; but only that it will reflect enough of the spirit of both to be reluctant to encroach on the rights of individual states or the powers of their governments. The motivations of the state governments to enhance their powers by taking from the federal government will not be countered by any reciprocal predispositions among the members.

Were it admitted, however, that the Federal government may feel an equal disposition with the State governments to extend its power beyond the due limits, the latter would still have the advantage in the means of defeating such encroachments. If an act of a particular State, though unfriendly to the national government, be generally popular in that State and should not too grossly violate the oaths of the State officers, it is executed immediately and, of course, by means on the spot and depending on the State alone. The opposition of the federal government, or the interposition of federal officers, would but inflame the zeal of all parties on the side of the State, and the evil could not be prevented or repaired, if at all, without the employment of means which must always be resorted to with reluctance and difficulty. On the other hand, should an unwarrantable measure of the federal government be unpopular in particular States, which would seldom fail to be the case, or even a warrantable measure be so, which may sometimes be the case, the means of opposition to it are powerful and at hand. The disquietude of the people; their repugnance and, perhaps, refusal to co-operate with the officers of the Union; the frowns of the executive magistracy of the State; the embarrassments created by legislative devices, which would often be added on such occasions, would oppose, in any State, difficulties not to be despised; would form, in a large State, very serious impediments; and where the sentiments of several adjoining States happened to be in unison, would present obstructions which the federal government would hardly be willing to encounter.

However, if we acknowledge that the Federal government might also be inclined to extend its power beyond appropriate limits, the State governments would still have the upper hand in resisting such overreach. If an action by a specific State, even if opposed to the national government, is widely popular there and doesn’t severely violate the oaths of the State officials, it can be implemented immediately using resources local to that State. Any resistance from the federal government or involvement of federal officers would only intensify the commitment of those supporting the State, and fixing the situation—if it could be resolved at all—would require difficult and reluctant measures. On the other hand, if the federal government's actions are unpopular in certain States—something that often happens—or even if a justified action is also unpopular, which can occur from time to time, the means of opposing it are readily available. The unrest among the people, their reluctance or refusal to cooperate with federal officers, the displeasure of the State's executive branch, and the complications created by legislative tactics would present significant challenges in any State. In a larger State, these could become very serious obstacles, and if several neighboring States happen to share similar views, the federal government would face challenges that it would hesitate to confront.

But ambitious encroachments of the federal government, on the authority of the State governments, would not excite the opposition of a single State, or of a few States only. They would be signals of general alarm. Every government would espouse the common cause. A correspondence would be opened. Plans of resistance would be concerted. One spirit would animate and conduct the whole. The same combinations, in short, would result from an apprehension of the federal, as was produced by the dread of a foreign, yoke; and unless the projected innovations should be voluntarily renounced, the same appeal to a trial of force would be made in the one case as was made in the other. But what degree of madness could ever drive the federal government to such an extremity. In the contest with Great Britain, one part of the empire was employed against the other. The more numerous part invaded the rights of the less numerous part. The attempt was unjust and unwise; but it was not in speculation absolutely chimerical. But what would be the contest in the case we are supposing? Who would be the parties? A few representatives of the people would be opposed to the people themselves; or rather one set of representatives would be contending against thirteen sets of representatives, with the whole body of their common constituents on the side of the latter.

But if the federal government overstepped its bounds and encroached on the authority of state governments, it wouldn't just provoke a reaction from a single state or a few states. It would trigger widespread alarm. Every government would rally to the common cause. Communication would begin. Plans for resistance would be formed. There would be a unified spirit driving the entire effort. In short, the same alliances that arose from the fear of federal overreach would mirror those born from the fear of foreign domination; and if the proposed changes weren't voluntarily abandoned, the same call to arms would arise in both situations. But what level of insanity could ever push the federal government to such a point? During the conflict with Great Britain, one part of the empire fought against another. The larger faction invaded the rights of the smaller faction. That move was both unjust and unwise; but it wasn't completely far-fetched in theory. But in the situation we're discussing, what would the conflict look like? Who would be the parties involved? A few representatives of the people would find themselves at odds with the people themselves; or rather, one group of representatives would be battling against thirteen groups of representatives, with the entire body of their common constituents supporting the latter.

The only refuge left for those who prophesy the downfall of the State governments is the visionary supposition that the federal government may previously accumulate a military force for the projects of ambition. The reasonings contained in these papers must have been employed to little purpose indeed, if it could be necessary now to disprove the reality of this danger. That the people and the States should, for a sufficient period of time, elect an uninterrupted succession of men ready to betray both; that the traitors should, throughout this period, uniformly and systematically pursue some fixed plan for the extension of the military establishment; that the governments and the people of the States should silently and patiently behold the gathering storm, and continue to supply the materials, until it should be prepared to burst on their own heads, must appear to every one more like the incoherent dreams of a delirious jealousy, or the misjudged exaggerations of a counterfeit zeal, than like the sober apprehensions of genuine patriotism. Extravagant as the supposition is, let it however be made. Let a regular army, fully equal to the resources of the country, be formed; and let it be entirely at the devotion of the federal government; still it would not be going too far to say, that the State governments, with the people on their side, would be able to repel the danger. The highest number to which, according to the best computation, a standing army can be carried in any country, does not exceed one hundredth part of the whole number of souls; or one twenty-fifth part of the number able to bear arms. This proportion would not yield, in the United States, an army of more than twenty-five or thirty thousand men. To these would be opposed a militia amounting to near half a million of citizens with arms in their hands, officered by men chosen from among themselves, fighting for their common liberties, and united and conducted by governments possessing their affections and confidence. It may well be doubted, whether a militia thus circumstanced could ever be conquered by such a proportion of regular troops. Those who are best acquainted with the last successful resistance of this country against the British arms, will be most inclined to deny the possibility of it. Besides the advantage of being armed, which the Americans possess over the people of almost every other nation, the existence of subordinate governments, to which the people are attached, and by which the militia officers are appointed, forms a barrier against the enterprises of ambition, more insurmountable than any which a simple government of any form can admit of. Notwithstanding the military establishments in the several kingdoms of Europe, which are carried as far as the public resources will bear, the governments are afraid to trust the people with arms. And it is not certain, that with this aid alone they would not be able to shake off their yokes. But were the people to possess the additional advantages of local governments chosen by themselves, who could collect the national will and direct the national force, and of officers appointed out of the militia, by these governments, and attached both to them and to the militia, it may be affirmed with the greatest assurance, that the throne of every tyranny in Europe would be speedily overturned in spite of the legions which surround it. Let us not insult the free and gallant citizens of America with the suspicion, that they would be less able to defend the rights of which they would be in actual possession, than the debased subjects of arbitrary power would be to rescue theirs from the hands of their oppressors. Let us rather no longer insult them with the supposition that they can ever reduce themselves to the necessity of making the experiment, by a blind and tame submission to the long train of insidious measures which must precede and produce it.

The only safe haven left for those who predict the collapse of state governments is the hopeful idea that the federal government might gather a military force for ambitious plans. The arguments in these writings would have been pointless if we needed to prove that this danger is real. It seems far-fetched that the people and the states would continuously elect individuals willing to betray them, and that these traitors would systematically follow a predetermined plan to expand the military. It’s hard to believe that the governments and citizens of the states would just sit back and watch the storm gather, continuing to provide resources until it eventually exploded in their faces. This idea seems more like the confused fantasies of a jealous mind or the exaggerated claims of false enthusiasm rather than real concerns of true patriotism. As outrageous as it is, let’s entertain it: if a regular army, fully equipped by the country’s resources, were formed and entirely under federal control, it still wouldn’t be unreasonable to say that state governments, backed by their citizens, could defend against this threat. The maximum size a standing army could reach in any country typically doesn’t exceed one percent of the total population, or one-twenty-fifth of those capable of bearing arms. This would mean that in the United States, the army could be no more than twenty-five to thirty thousand men. Opposing them would be a militia of nearly half a million armed citizens, led by their own chosen officers, fighting for their shared freedoms, and united under governments they trust and support. It's open to question whether such a militia could ever be defeated by such a small regular army. Those familiar with the last successful resistance against the British forces here would likely argue it’s impossible. Besides their advantage of being armed, the presence of local governments that people feel connected to, and where militia officers are appointed, creates a barrier against ambitious threats that no simple government could overcome. Despite the military forces in European nations, which are as strong as public resources allow, governments hesitate to arm their citizens. It’s not even clear that, with arms, they could shake off their oppression. But if people had the extra benefit of local governments they had elected—capable of gathering the national will and directing its force, along with officers chosen from the militia—then it could be confidently asserted that every oppressive regime in Europe would quickly fall, regardless of the legions protecting it. Let’s not insult the brave and free citizens of America by suggesting they would be less capable of defending their rights than the downtrodden subjects of arbitrary power trying to reclaim theirs. Rather, let’s stop insulting them by assuming they would ever allow themselves to reach a point of needing to make such an attempt due to a blind and passive acceptance of the deceptive actions leading up to it.

The argument under the present head may be put into a very concise form, which appears altogether conclusive. Either the mode in which the federal government is to be constructed will render it sufficiently dependent on the people, or it will not. On the first supposition, it will be restrained by that dependence from forming schemes obnoxious to their constituents. On the other supposition, it will not possess the confidence of the people, and its schemes of usurpation will be easily defeated by the State governments, who will be supported by the people.

The argument being discussed can be summarized very clearly, and it seems completely convincing. Either the way the federal government is set up will make it accountable to the people, or it won’t. If the first is true, that accountability will keep it from creating plans that upset the citizens. If the second is true, the federal government won’t have the public’s trust, and any attempts to take power will be easily stopped by the state governments, with the backing of the people.

On summing up the considerations stated in this and the last paper, they seem to amount to the most convincing evidence, that the powers proposed to be lodged in the federal government are as little formidable to those reserved to the individual States, as they are indispensably necessary to accomplish the purposes of the Union; and that all those alarms which have been sounded, of a meditated and consequential annihilation of the State governments, must, on the most favorable interpretation, be ascribed to the chimerical fears of the authors of them.

Summarizing the points made in this and the previous paper, it seems clear that the powers suggested for the federal government are just as harmless to the powers kept by the individual states as they are absolutely necessary to achieve the goals of the Union. All the concerns that have been raised about a planned and resulting destruction of state governments can, at best, be credited to the unrealistic fears of those raising them.

PUBLIUS

PUBLIUS





FEDERALIST No. 47. The Particular Structure of the New Government and the Distribution of Power Among Its Different Parts.

For the Independent Journal. Wednesday, January 30, 1788.

MADISON

MADISON

To the People of the State of New York:

To the people of the State of New York:

HAVING reviewed the general form of the proposed government and the general mass of power allotted to it, I proceed to examine the particular structure of this government, and the distribution of this mass of power among its constituent parts.

HAVING reviewed the overall structure of the proposed government and the total amount of power assigned to it, I now move on to analyze the specific setup of this government and how this power is distributed among its various components.

One of the principal objections inculcated by the more respectable adversaries to the Constitution, is its supposed violation of the political maxim, that the legislative, executive, and judiciary departments ought to be separate and distinct. In the structure of the federal government, no regard, it is said, seems to have been paid to this essential precaution in favor of liberty. The several departments of power are distributed and blended in such a manner as at once to destroy all symmetry and beauty of form, and to expose some of the essential parts of the edifice to the danger of being crushed by the disproportionate weight of other parts.

One of the main criticisms raised by more reputable opponents of the Constitution is that it supposedly violates the political principle that the legislative, executive, and judicial branches should be separate and distinct. Critics argue that in the design of the federal government, there is little attention paid to this crucial safeguard for liberty. The various branches of power are arranged and mixed in such a way that it disrupts overall balance and harmony, putting some vital components of the structure at risk of being overwhelmed by the excessive weight of others.

No political truth is certainly of greater intrinsic value, or is stamped with the authority of more enlightened patrons of liberty, than that on which the objection is founded. The accumulation of all powers, legislative, executive, and judiciary, in the same hands, whether of one, a few, or many, and whether hereditary, self-appointed, or elective, may justly be pronounced the very definition of tyranny. Were the federal Constitution, therefore, really chargeable with the accumulation of power, or with a mixture of powers, having a dangerous tendency to such an accumulation, no further arguments would be necessary to inspire a universal reprobation of the system. I persuade myself, however, that it will be made apparent to every one, that the charge cannot be supported, and that the maxim on which it relies has been totally misconceived and misapplied. In order to form correct ideas on this important subject, it will be proper to investigate the sense in which the preservation of liberty requires that the three great departments of power should be separate and distinct.

No political truth is more valuable or backed by more enlightened advocates of liberty than the one that this objection is based on. The concentration of all powers—legislative, executive, and judicial—into the same hands, whether those are one person, a few people, or many, and whether those powers are inherited, self-appointed, or elected, can rightly be called the definition of tyranny. If the federal Constitution were truly guilty of concentrating power or mixing powers in a way that dangerously leads to such concentration, no further arguments would be needed to warrant a complete rejection of the system. However, I believe it will become clear to everyone that this accusation cannot be supported and that the principle it rests on has been completely misunderstood and misapplied. To form accurate ideas on this crucial topic, we must examine how the preservation of liberty requires the three main branches of power to be separate and distinct.

The oracle who is always consulted and cited on this subject is the celebrated Montesquieu. If he be not the author of this invaluable precept in the science of politics, he has the merit at least of displaying and recommending it most effectually to the attention of mankind. Let us endeavor, in the first place, to ascertain his meaning on this point.

The go-to expert frequently referenced on this topic is the famous Montesquieu. Even if he isn’t the original author of this essential principle in political science, he definitely deserves credit for highlighting and promoting it effectively to everyone. First, let’s try to understand what he means regarding this issue.

The British Constitution was to Montesquieu what Homer has been to the didactic writers on epic poetry. As the latter have considered the work of the immortal bard as the perfect model from which the principles and rules of the epic art were to be drawn, and by which all similar works were to be judged, so this great political critic appears to have viewed the Constitution of England as the standard, or to use his own expression, as the mirror of political liberty; and to have delivered, in the form of elementary truths, the several characteristic principles of that particular system. That we may be sure, then, not to mistake his meaning in this case, let us recur to the source from which the maxim was drawn.

The British Constitution was to Montesquieu what Homer has been to the instructional writers on epic poetry. Just as those writers have seen the work of the timeless bard as the ideal model for the principles and rules of epic art, which all similar works should be measured against, this influential political thinker seems to have regarded the Constitution of England as the benchmark, or as he called it, the mirror of political freedom; and he has expressed, in straightforward terms, the various key principles of that specific system. So, to make sure we don't misunderstand his meaning here, let's refer back to the source from which the idea originated.

On the slightest view of the British Constitution, we must perceive that the legislative, executive, and judiciary departments are by no means totally separate and distinct from each other. The executive magistrate forms an integral part of the legislative authority. He alone has the prerogative of making treaties with foreign sovereigns, which, when made, have, under certain limitations, the force of legislative acts. All the members of the judiciary department are appointed by him, can be removed by him on the address of the two Houses of Parliament, and form, when he pleases to consult them, one of his constitutional councils. One branch of the legislative department forms also a great constitutional council to the executive chief, as, on another hand, it is the sole depositary of judicial power in cases of impeachment, and is invested with the supreme appellate jurisdiction in all other cases. The judges, again, are so far connected with the legislative department as often to attend and participate in its deliberations, though not admitted to a legislative vote.

At a quick glance at the British Constitution, we can see that the legislative, executive, and judicial branches are definitely not completely separate from one another. The executive leader is a key part of the legislative authority. He alone has the power to make treaties with foreign governments, which, once made, have, under certain conditions, the same authority as legislative acts. All members of the judicial branch are appointed by him, can be removed by him upon the request of both Houses of Parliament, and when he chooses to consult them, they form part of his constitutional advisory council. One branch of the legislative department also serves as a major constitutional council to the executive leader, while on another hand, it is the only body that holds judicial power in impeachment cases and has the highest authority in all other cases. The judges are also connected to the legislative department, as they often attend and take part in its discussions, though they do not have a legislative vote.

From these facts, by which Montesquieu was guided, it may clearly be inferred that, in saying "There can be no liberty where the legislative and executive powers are united in the same person, or body of magistrates," or, "if the power of judging be not separated from the legislative and executive powers," he did not mean that these departments ought to have no PARTIAL AGENCY in, or no CONTROL over, the acts of each other. His meaning, as his own words import, and still more conclusively as illustrated by the example in his eye, can amount to no more than this, that where the WHOLE power of one department is exercised by the same hands which possess the WHOLE power of another department, the fundamental principles of a free constitution are subverted. This would have been the case in the constitution examined by him, if the king, who is the sole executive magistrate, had possessed also the complete legislative power, or the supreme administration of justice; or if the entire legislative body had possessed the supreme judiciary, or the supreme executive authority. This, however, is not among the vices of that constitution. The magistrate in whom the whole executive power resides cannot of himself make a law, though he can put a negative on every law; nor administer justice in person, though he has the appointment of those who do administer it. The judges can exercise no executive prerogative, though they are shoots from the executive stock; nor any legislative function, though they may be advised with by the legislative councils. The entire legislature can perform no judiciary act, though by the joint act of two of its branches the judges may be removed from their offices, and though one of its branches is possessed of the judicial power in the last resort. The entire legislature, again, can exercise no executive prerogative, though one of its branches constitutes the supreme executive magistracy, and another, on the impeachment of a third, can try and condemn all the subordinate officers in the executive department.

From these facts that guided Montesquieu, it’s clear that when he said, "There can be no liberty where the legislative and executive powers are united in the same person, or body of magistrates," or, "if the power of judging isn't separated from the legislative and executive powers," he didn't mean that these branches shouldn't have any partial involvement in or control over each other's actions. What he meant, as his own words suggest and even more so as demonstrated by the example he had in mind, is that when one department holds all the power of another department, the basic principles of a free constitution are undermined. This would have been true in the constitution he examined if the king, who is the only executive magistrate, also had complete legislative power or the highest level of judicial authority; or if the entire legislative body had the highest judiciary or executive powers. However, this is not a flaw in that constitution. The magistrate holding all the executive power cannot create laws by himself, though he can veto every law; nor can he personally administer justice, though he appoints those who do. Judges cannot exercise any executive power, even though they come from the executive branch; nor can they perform any legislative duties, although they may be consulted by legislative councils. The entire legislature can't carry out any judicial functions, although by the combined action of two of its branches, judges can be removed from their positions, and one of its branches holds the judicial power in the final instance. Additionally, the whole legislature can't carry out any executive powers, even though one of its branches makes up the highest executive authority, and another can try and convict all subordinate officers in the executive branch during an impeachment of a third branch.

The reasons on which Montesquieu grounds his maxim are a further demonstration of his meaning. "When the legislative and executive powers are united in the same person or body," says he, "there can be no liberty, because apprehensions may arise lest THE SAME monarch or senate should ENACT tyrannical laws to EXECUTE them in a tyrannical manner." Again: "Were the power of judging joined with the legislative, the life and liberty of the subject would be exposed to arbitrary control, for THE JUDGE would then be THE LEGISLATOR. Were it joined to the executive power, THE JUDGE might behave with all the violence of AN OPPRESSOR." Some of these reasons are more fully explained in other passages; but briefly stated as they are here, they sufficiently establish the meaning which we have put on this celebrated maxim of this celebrated author.

The reasons Montesquieu gives for his principle further clarify his point. "When the legislative and executive powers are held by the same person or group," he says, "there can be no freedom, because there may be fears that the same monarch or senate could make tyrannical laws and enforce them in a tyrannical way." He continues: "If the power to judge were combined with the legislative power, the life and liberty of the individual would be subject to arbitrary control, as the judge would also be the legislator. If it were combined with the executive power, the judge could act with all the brutality of an oppressor." Some of these reasons are explained more thoroughly in other sections, but stated briefly as they are here, they clearly support the interpretation of this famous principle from this renowned author.

If we look into the constitutions of the several States, we find that, notwithstanding the emphatical and, in some instances, the unqualified terms in which this axiom has been laid down, there is not a single instance in which the several departments of power have been kept absolutely separate and distinct. New Hampshire, whose constitution was the last formed, seems to have been fully aware of the impossibility and inexpediency of avoiding any mixture whatever of these departments, and has qualified the doctrine by declaring "that the legislative, executive, and judiciary powers ought to be kept as separate from, and independent of, each other AS THE NATURE OF A FREE GOVERNMENT WILL ADMIT; OR AS IS CONSISTENT WITH THAT CHAIN OF CONNECTION THAT BINDS THE WHOLE FABRIC OF THE CONSTITUTION IN ONE INDISSOLUBLE BOND OF UNITY AND AMITY." Her constitution accordingly mixes these departments in several respects. The Senate, which is a branch of the legislative department, is also a judicial tribunal for the trial of impeachments. The President, who is the head of the executive department, is the presiding member also of the Senate; and, besides an equal vote in all cases, has a casting vote in case of a tie. The executive head is himself eventually elective every year by the legislative department, and his council is every year chosen by and from the members of the same department. Several of the officers of state are also appointed by the legislature. And the members of the judiciary department are appointed by the executive department.

If we examine the constitutions of the various States, we find that, despite the strong and sometimes unqualified wording of this principle, there isn't a single case where the different branches of power have been kept completely separate and distinct. New Hampshire, whose constitution was the last to be established, seems to have recognized the impossibility and impracticality of avoiding any overlap between these branches. It has modified the principle by stating "that the legislative, executive, and judiciary powers ought to be kept as separate from, and independent of, each other AS THE NATURE OF A FREE GOVERNMENT WILL ADMIT; OR AS IS CONSISTENT WITH THAT CHAIN OF CONNECTION THAT BINDS THE WHOLE FABRIC OF THE CONSTITUTION IN ONE INDISSOLUBLE BOND OF UNITY AND AMITY." Consequently, its constitution intertwines these branches in various ways. The Senate, which is part of the legislative branch, also acts as a judicial body for impeachment trials. The President, who leads the executive branch, also presides over the Senate; in addition to having an equal vote in all matters, he also has the deciding vote in the event of a tie. The executive leader is elected every year by the legislative branch, and his council is also selected annually from members of the same branch. Several state officials are appointed by the legislature, and the members of the judiciary branch are appointed by the executive branch.

The constitution of Massachusetts has observed a sufficient though less pointed caution, in expressing this fundamental article of liberty. It declares "that the legislative department shall never exercise the executive and judicial powers, or either of them; the executive shall never exercise the legislative and judicial powers, or either of them; the judicial shall never exercise the legislative and executive powers, or either of them." This declaration corresponds precisely with the doctrine of Montesquieu, as it has been explained, and is not in a single point violated by the plan of the convention. It goes no farther than to prohibit any one of the entire departments from exercising the powers of another department. In the very Constitution to which it is prefixed, a partial mixture of powers has been admitted. The executive magistrate has a qualified negative on the legislative body, and the Senate, which is a part of the legislature, is a court of impeachment for members both of the executive and judiciary departments. The members of the judiciary department, again, are appointable by the executive department, and removable by the same authority on the address of the two legislative branches. Lastly, a number of the officers of government are annually appointed by the legislative department. As the appointment to offices, particularly executive offices, is in its nature an executive function, the compilers of the Constitution have, in this last point at least, violated the rule established by themselves.

The Massachusetts constitution has taken a cautious approach, though not overly explicit, in stating this fundamental liberty. It states that "the legislative branch shall never exercise the executive and judicial powers, or either of them; the executive shall never exercise the legislative and judicial powers, or either of them; the judicial shall never exercise the legislative and executive powers, or either of them." This statement aligns perfectly with Montesquieu's doctrine, as it has been interpreted, and is not contradicted at any point by the convention's plan. It only prohibits any one of the branches from exercising the powers of another branch. In the very Constitution it precedes, a limited blending of powers has been included. The executive has a conditional veto on the legislature, and the Senate, which is part of the legislature, serves as a court for impeaching members of both the executive and judicial branches. Additionally, members of the judiciary are appointed by the executive and can be removed by the same authority upon the request of both legislative branches. Lastly, several government officers are appointed each year by the legislative branch. Since appointing officers, especially executive ones, is inherently an executive function, the framers of the Constitution have, in this last instance at least, not adhered to their own established rule.

I pass over the constitutions of Rhode Island and Connecticut, because they were formed prior to the Revolution, and even before the principle under examination had become an object of political attention.

I skip over the constitutions of Rhode Island and Connecticut because they were created before the Revolution and even before the principle we're discussing became a focus of political interest.

The constitution of New York contains no declaration on this subject; but appears very clearly to have been framed with an eye to the danger of improperly blending the different departments. It gives, nevertheless, to the executive magistrate, a partial control over the legislative department; and, what is more, gives a like control to the judiciary department; and even blends the executive and judiciary departments in the exercise of this control. In its council of appointment members of the legislative are associated with the executive authority, in the appointment of officers, both executive and judiciary. And its court for the trial of impeachments and correction of errors is to consist of one branch of the legislature and the principal members of the judiciary department.

The constitution of New York doesn’t specifically address this issue, but it’s clear that it was designed with an awareness of the risks of improperly mixing the different branches of government. It does give the executive a certain level of control over the legislative branch, and importantly, it also gives the judiciary a similar level of control; in fact, it combines the executive and judiciary in exercising this control. In its council of appointment, members of the legislature work alongside the executive authority to appoint officers for both executive and judicial roles. Additionally, the court responsible for impeachments and correcting errors includes one house of the legislature and key members of the judiciary.

The constitution of New Jersey has blended the different powers of government more than any of the preceding. The governor, who is the executive magistrate, is appointed by the legislature; is chancellor and ordinary, or surrogate of the State; is a member of the Supreme Court of Appeals, and president, with a casting vote, of one of the legislative branches. The same legislative branch acts again as executive council of the governor, and with him constitutes the Court of Appeals. The members of the judiciary department are appointed by the legislative department and removable by one branch of it, on the impeachment of the other.

The constitution of New Jersey has combined the different powers of government more than any of the previous ones. The governor, who is the chief executive, is appointed by the legislature; serves as chancellor and surrogate of the State; is a member of the Supreme Court of Appeals, and acts as president, with a tie-breaking vote, of one of the legislative branches. That same legislative branch also functions as the executive council for the governor, and together they make up the Court of Appeals. The members of the judicial branch are appointed by the legislative branch and can be removed by one branch on the impeachment from the other.

According to the constitution of Pennsylvania, the president, who is the head of the executive department, is annually elected by a vote in which the legislative department predominates. In conjunction with an executive council, he appoints the members of the judiciary department, and forms a court of impeachment for trial of all officers, judiciary as well as executive. The judges of the Supreme Court and justices of the peace seem also to be removable by the legislature; and the executive power of pardoning in certain cases, to be referred to the same department. The members of the executive council are made EX-OFFICIO justices of peace throughout the State.

According to Pennsylvania's constitution, the president, who leads the executive department, is elected annually through a vote that mainly involves the legislative department. Together with an executive council, he appoints members of the judicial department and establishes a court of impeachment to trial all officers, including those in the judiciary and executive branches. The Supreme Court justices and justices of the peace also appear to be removable by the legislature, and the executive power to grant pardons in certain situations seems to lie with the same branch. The members of the executive council automatically serve as justices of the peace across the State.

In Delaware, the chief executive magistrate is annually elected by the legislative department. The speakers of the two legislative branches are vice-presidents in the executive department. The executive chief, with six others, appointed, three by each of the legislative branches constitutes the Supreme Court of Appeals; he is joined with the legislative department in the appointment of the other judges. Throughout the States, it appears that the members of the legislature may at the same time be justices of the peace; in this State, the members of one branch of it are EX-OFFICIO justices of the peace; as are also the members of the executive council. The principal officers of the executive department are appointed by the legislative; and one branch of the latter forms a court of impeachments. All officers may be removed on address of the legislature.

In Delaware, the chief executive is elected every year by the legislative branch. The leaders of the two legislative bodies serve as vice-presidents in the executive branch. The executive chief, along with six others—three appointed by each legislative branch—makes up the Supreme Court of Appeals; he collaborates with the legislative branch in appointing the other judges. Across the states, it seems that members of the legislature can also serve as justices of the peace; in this state, the members of one legislative branch automatically serve as justices of the peace, as do the members of the executive council. The main officials of the executive branch are appointed by the legislature, and one branch of that body functions as a court of impeachments. All officials can be removed with the legislature's approval.

Maryland has adopted the maxim in the most unqualified terms; declaring that the legislative, executive, and judicial powers of government ought to be forever separate and distinct from each other. Her constitution, notwithstanding, makes the executive magistrate appointable by the legislative department; and the members of the judiciary by the executive department.

Maryland has fully embraced the principle that the legislative, executive, and judicial powers of government should always be separate and distinct from one another. However, her constitution still allows the executive to be appointed by the legislative branch, and members of the judiciary to be appointed by the executive branch.

The language of Virginia is still more pointed on this subject. Her constitution declares, "that the legislative, executive, and judiciary departments shall be separate and distinct; so that neither exercise the powers properly belonging to the other; nor shall any person exercise the powers of more than one of them at the same time, except that the justices of county courts shall be eligible to either House of Assembly." Yet we find not only this express exception, with respect to the members of the inferior courts, but that the chief magistrate, with his executive council, are appointable by the legislature; that two members of the latter are triennially displaced at the pleasure of the legislature; and that all the principal offices, both executive and judiciary, are filled by the same department. The executive prerogative of pardon, also, is in one case vested in the legislative department.

The language of Virginia is even clearer on this topic. Her constitution states, "the legislative, executive, and judicial departments shall be separate and distinct; so that neither can exercise the powers that properly belong to the other; nor shall any person hold the powers of more than one at the same time, except that the justices of county courts can be members of either House of Assembly." However, we see not only this specific exception regarding the members of the lower courts, but also that the governor and his executive council can be appointed by the legislature; that two members of the legislature are removed every three years at the legislature's discretion; and that all key positions, both executive and judicial, are filled by the same department. Additionally, the legislative branch also holds the power to grant pardons in one case.

The constitution of North Carolina, which declares "that the legislative, executive, and supreme judicial powers of government ought to be forever separate and distinct from each other," refers, at the same time, to the legislative department, the appointment not only of the executive chief, but all the principal officers within both that and the judiciary department.

The Constitution of North Carolina states that "the legislative, executive, and supreme judicial powers of government should always be kept separate and distinct from one another." At the same time, it addresses the legislative branch's role in appointing not only the executive leader but also all the key officials within both that branch and the judicial branch.

In South Carolina, the constitution makes the executive magistracy eligible by the legislative department. It gives to the latter, also, the appointment of the members of the judiciary department, including even justices of the peace and sheriffs; and the appointment of officers in the executive department, down to captains in the army and navy of the State.

In South Carolina, the constitution allows the legislative branch to make decisions about the executive branch. It also gives the legislature the power to appoint members of the judicial branch, including justices of the peace and sheriffs, as well as appoint officers in the executive branch, all the way down to captains in the state's army and navy.

In the constitution of Georgia, where it is declared "that the legislative, executive, and judiciary departments shall be separate and distinct, so that neither exercise the powers properly belonging to the other," we find that the executive department is to be filled by appointments of the legislature; and the executive prerogative of pardon to be finally exercised by the same authority. Even justices of the peace are to be appointed by the legislature.

In the constitution of Georgia, it states that "the legislative, executive, and judiciary departments shall be separate and distinct, so that neither exercises the powers that properly belong to the other." We see that the executive branch is to be filled by appointments made by the legislature, and the authority to grant pardons also lies with the legislature. Even justices of the peace are to be appointed by the legislature.

In citing these cases, in which the legislative, executive, and judiciary departments have not been kept totally separate and distinct, I wish not to be regarded as an advocate for the particular organizations of the several State governments. I am fully aware that among the many excellent principles which they exemplify, they carry strong marks of the haste, and still stronger of the inexperience, under which they were framed. It is but too obvious that in some instances the fundamental principle under consideration has been violated by too great a mixture, and even an actual consolidation, of the different powers; and that in no instance has a competent provision been made for maintaining in practice the separation delineated on paper. What I have wished to evince is, that the charge brought against the proposed Constitution, of violating the sacred maxim of free government, is warranted neither by the real meaning annexed to that maxim by its author, nor by the sense in which it has hitherto been understood in America. This interesting subject will be resumed in the ensuing paper.

In discussing these cases, where the legislative, executive, and judiciary branches haven't been completely separate and distinct, I don't want to be seen as supporting the specific structures of the various State governments. I'm fully aware that while they embody many great principles, they also show clear signs of the rush and even more so the inexperience under which they were created. It's evident that in some cases, the basic principle being examined has been violated by an excessive mixing and even an actual merging of the different powers; and that no adequate measures have been taken to maintain in practice the separation that is outlined on paper. What I want to show is that the criticism aimed at the proposed Constitution for violating the foundational principle of free government is not justified by the true meaning attached to that principle by its author or by the understanding it has had in America so far. This engaging topic will be revisited in the next paper.

PUBLIUS

PUBLIUS __A_TAG_PLACEHOLDER_0__





FEDERALIST No. 48. These Departments Should Not Be So Far Separated as to Have No Constitutional Control Over Each Other.

From the New York Packet. Friday, February 1, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

IT WAS shown in the last paper that the political apothegm there examined does not require that the legislative, executive, and judiciary departments should be wholly unconnected with each other. I shall undertake, in the next place, to show that unless these departments be so far connected and blended as to give to each a constitutional control over the others, the degree of separation which the maxim requires, as essential to a free government, can never in practice be duly maintained.

IT WAS shown in the last paper that the political saying we looked at does not require the legislative, executive, and judicial branches to be completely independent of each other. Next, I will demonstrate that unless these branches are connected and intertwined enough to give each one some constitutional authority over the others, the level of separation that this principle demands, which is essential for a free government, can never truly be upheld in practice.

It is agreed on all sides, that the powers properly belonging to one of the departments ought not to be directly and completely administered by either of the other departments. It is equally evident, that none of them ought to possess, directly or indirectly, an overruling influence over the others, in the administration of their respective powers. It will not be denied, that power is of an encroaching nature, and that it ought to be effectually restrained from passing the limits assigned to it. After discriminating, therefore, in theory, the several classes of power, as they may in their nature be legislative, executive, or judiciary, the next and most difficult task is to provide some practical security for each, against the invasion of the others. What this security ought to be, is the great problem to be solved.

Everyone agrees that the powers that rightfully belong to one department shouldn't be completely and directly managed by either of the other departments. It's also clear that none of them should have, either directly or indirectly, dominant influence over the others in how they carry out their own powers. No one can deny that power tends to overreach, and it should be effectively contained within its designated boundaries. After analyzing, in theory, the different types of power—whether they are legislative, executive, or judicial—the next and more challenging task is to establish some practical protection for each against interference from the others. Determining what this protection should be is the significant issue we need to address.

Will it be sufficient to mark, with precision, the boundaries of these departments, in the constitution of the government, and to trust to these parchment barriers against the encroaching spirit of power? This is the security which appears to have been principally relied on by the compilers of most of the American constitutions. But experience assures us, that the efficacy of the provision has been greatly overrated; and that some more adequate defense is indispensably necessary for the more feeble, against the more powerful, members of the government. The legislative department is everywhere extending the sphere of its activity, and drawing all power into its impetuous vortex.

Will it be enough to clearly define the boundaries of these departments in the government’s constitution and rely on these written rules to protect against the growing influence of power? This is the security that most of the American constitutions seem to have relied on. But experience shows us that the effectiveness of this approach has been greatly exaggerated, and that there's a need for a stronger defense for the weaker members against the more powerful ones in the government. The legislative branch is constantly expanding its reach and drawing all authority into its overwhelming pull.

The founders of our republics have so much merit for the wisdom which they have displayed, that no task can be less pleasing than that of pointing out the errors into which they have fallen. A respect for truth, however, obliges us to remark, that they seem never for a moment to have turned their eyes from the danger to liberty from the overgrown and all-grasping prerogative of an hereditary magistrate, supported and fortified by an hereditary branch of the legislative authority. They seem never to have recollected the danger from legislative usurpations, which, by assembling all power in the same hands, must lead to the same tyranny as is threatened by executive usurpations.

The founders of our republics deserve a lot of credit for their wisdom, so it’s not easy to point out their mistakes. However, a commitment to truth requires us to note that they never seemed to consider the threat to liberty posed by the excessive power of an hereditary leader, backed by a hereditary legislative branch. They also seemed to overlook the danger of legislative overreach, which, by concentrating all power in the same hands, could lead to the same tyranny as that posed by executive overreach.

In a government where numerous and extensive prerogatives are placed in the hands of an hereditary monarch, the executive department is very justly regarded as the source of danger, and watched with all the jealousy which a zeal for liberty ought to inspire. In a democracy, where a multitude of people exercise in person the legislative functions, and are continually exposed, by their incapacity for regular deliberation and concerted measures, to the ambitious intrigues of their executive magistrates, tyranny may well be apprehended, on some favorable emergency, to start up in the same quarter. But in a representative republic, where the executive magistracy is carefully limited; both in the extent and the duration of its power; and where the legislative power is exercised by an assembly, which is inspired, by a supposed influence over the people, with an intrepid confidence in its own strength; which is sufficiently numerous to feel all the passions which actuate a multitude, yet not so numerous as to be incapable of pursuing the objects of its passions, by means which reason prescribes; it is against the enterprising ambition of this department that the people ought to indulge all their jealousy and exhaust all their precautions.

In a government where a lot of power is held by an inherited monarch, people rightly see the executive branch as a potential threat and keep a close eye on it, driven by a passion for liberty. In a democracy, where many people take part in making laws and are often vulnerable to the ambitious schemes of their leaders because they struggle with regular discussions and coordinated actions, there is a real risk that tyranny could emerge during a critical moment. However, in a representative republic, where the power of the executive is carefully controlled in both how much power it has and how long it lasts; and where the legislative power is exercised by a group that believes it has strong influence over the people, giving it confidence in its authority; and which is large enough to feel the emotions of the crowd but small enough to act on those feelings in sensible ways, it is this ambitious branch of government that the people should be most cautious about and watch closely.

The legislative department derives a superiority in our governments from other circumstances. Its constitutional powers being at once more extensive, and less susceptible of precise limits, it can, with the greater facility, mask, under complicated and indirect measures, the encroachments which it makes on the co-ordinate departments. It is not unfrequently a question of real nicety in legislative bodies, whether the operation of a particular measure will, or will not, extend beyond the legislative sphere. On the other side, the executive power being restrained within a narrower compass, and being more simple in its nature, and the judiciary being described by landmarks still less uncertain, projects of usurpation by either of these departments would immediately betray and defeat themselves. Nor is this all: as the legislative department alone has access to the pockets of the people, and has in some constitutions full discretion, and in all a prevailing influence, over the pecuniary rewards of those who fill the other departments, a dependence is thus created in the latter, which gives still greater facility to encroachments of the former.

The legislative branch holds an advantage in our governments due to several factors. Its constitutional powers are both broader and harder to define clearly, allowing it to more easily disguise its overreach with complex and indirect measures that encroach on the other branches. It often becomes a delicate question in legislative bodies whether a specific measure will extend beyond the legislative realm. In contrast, the executive power is confined to a narrower scope and is more straightforward in its function, while the judiciary is marked by even clearer boundaries. As a result, any attempts at overreach by either of these branches would quickly expose themselves and fail. Furthermore, since the legislative branch is the only one with direct access to the people's finances, and in some constitutions has full discretion and in all cases significant influence over the financial incentives of those in the other branches, a dependency is created that further facilitates encroachments by the legislative branch.

I have appealed to our own experience for the truth of what I advance on this subject. Were it necessary to verify this experience by particular proofs, they might be multiplied without end. I might find a witness in every citizen who has shared in, or been attentive to, the course of public administrations. I might collect vouchers in abundance from the records and archives of every State in the Union. But as a more concise, and at the same time equally satisfactory, evidence, I will refer to the example of two States, attested by two unexceptionable authorities.

I've drawn on our own experience to support what I'm saying on this topic. If I needed to back this up with specific evidence, I could provide endless examples. I could find a witness in every citizen who has participated in or observed the actions of public administrations. I could gather plenty of documentation from the records and archives of every state in the Union. However, to keep it more concise while still providing solid evidence, I'll point to the examples of two states, validated by two reliable sources.

The first example is that of Virginia, a State which, as we have seen, has expressly declared in its constitution, that the three great departments ought not to be intermixed. The authority in support of it is Mr. Jefferson, who, besides his other advantages for remarking the operation of the government, was himself the chief magistrate of it. In order to convey fully the ideas with which his experience had impressed him on this subject, it will be necessary to quote a passage of some length from his very interesting Notes on the State of Virginia, p. 195. "All the powers of government, legislative, executive, and judiciary, result to the legislative body. The concentrating these in the same hands, is precisely the definition of despotic government. It will be no alleviation, that these powers will be exercised by a plurality of hands, and not by a single one. One hundred and seventy-three despots would surely be as oppressive as one. Let those who doubt it, turn their eyes on the republic of Venice. As little will it avail us, that they are chosen by ourselves. An ELECTIVE DESPOTISM was not the government we fought for; but one which should not only be founded on free principles, but in which the powers of government should be so divided and balanced among several bodies of magistracy, as that no one could transcend their legal limits, without being effectually checked and restrained by the others. For this reason, that convention which passed the ordinance of government, laid its foundation on this basis, that the legislative, executive, and judiciary departments should be separate and distinct, so that no person should exercise the powers of more than one of them at the same time. BUT NO BARRIER WAS PROVIDED BETWEEN THESE SEVERAL POWERS. The judiciary and the executive members were left dependent on the legislative for their subsistence in office, and some of them for their continuance in it. If, therefore, the legislature assumes executive and judiciary powers, no opposition is likely to be made; nor, if made, can be effectual; because in that case they may put their proceedings into the form of acts of Assembly, which will render them obligatory on the other branches. They have accordingly, IN MANY instances, DECIDED RIGHTS which should have been left to JUDICIARY CONTROVERSY, and THE DIRECTION OF THE EXECUTIVE, DURING THE WHOLE TIME OF THEIR SESSION, IS BECOMING HABITUAL AND FAMILIAR."

The first example is Virginia, a state that has clearly stated in its constitution that the three main branches of government should not mix. Supporting this is Mr. Jefferson, who, in addition to having many insights on how government operates, was also its chief leader. To fully capture the ideas that his experience shaped on this topic, it's necessary to quote a passage from his very interesting *Notes on the State of Virginia*, p. 195. "All the powers of government—legislative, executive, and judicial—derive from the legislative body. Concentrating these powers in the same hands is exactly what defines a despotic government. It won't help that these powers are wielded by many people instead of just one. One hundred seventy-three despots would be just as oppressive as one. Those who doubt this should look at the Republic of Venice. It also won't matter that they are chosen by us. An ELECTIVE DESPOTISM was not the government we fought for; we sought a government founded on free principles, in which powers should be divided and balanced among different branches, so that no one could exceed their legal limits without being effectively checked by the others. This is why the convention that established the government based its foundation on separating the legislative, executive, and judicial branches, ensuring that no one person could hold powers from more than one at the same time. BUT NO BARRIER WAS PUT IN PLACE BETWEEN THESE VARIOUS POWERS. The members of the judiciary and executive were left dependent on the legislative for their office positions and in some cases for their tenure. Therefore, if the legislature takes on executive and judicial powers, there is unlikely to be any opposition, and if there is, it won't be effective; because in that situation, they can frame their actions as acts of Assembly, which would make them binding on the other branches. Consequently, they have, IN MANY instances, MADE DECISIONS on rights that should have been resolved through JUDICIAL DISPUTE, and THE DIRECTION OF THE EXECUTIVE, DURING THE ENTIRE DURATION OF THEIR SESSION, IS BECOMING COMMONPLACE AND ROUTINE."

The other State which I shall take for an example is Pennsylvania; and the other authority, the Council of Censors, which assembled in the years 1783 and 1784. A part of the duty of this body, as marked out by the constitution, was "to inquire whether the constitution had been preserved inviolate in every part; and whether the legislative and executive branches of government had performed their duty as guardians of the people, or assumed to themselves, or exercised, other or greater powers than they are entitled to by the constitution." In the execution of this trust, the council were necessarily led to a comparison of both the legislative and executive proceedings, with the constitutional powers of these departments; and from the facts enumerated, and to the truth of most of which both sides in the council subscribed, it appears that the constitution had been flagrantly violated by the legislature in a variety of important instances.

The other state I'll use as an example is Pennsylvania, and the other authority is the Council of Censors, which met in 1783 and 1784. Part of this group's responsibility, as outlined by the constitution, was "to investigate whether the constitution had been preserved intact in every aspect; and whether the legislative and executive branches of government had fulfilled their role as protectors of the people, or taken on, or exercised, powers beyond what they are entitled to by the constitution." In carrying out this responsibility, the council had to compare both the legislative and executive actions with the constitutional powers of these branches. Based on the facts presented, which both sides in the council agreed on in most cases, it is clear that the legislature had significantly violated the constitution in several important instances.

A great number of laws had been passed, violating, without any apparent necessity, the rule requiring that all bills of a public nature shall be previously printed for the consideration of the people; although this is one of the precautions chiefly relied on by the constitution against improper acts of legislature.

A lot of laws had been passed that broke the rule saying all public bills must be printed beforehand for the people to consider, even though this is one of the main safeguards the constitution relies on to prevent improper legislative actions.

The constitutional trial by jury had been violated, and powers assumed which had not been delegated by the constitution.

The constitutional right to a trial by jury had been violated, and powers were taken that the constitution did not grant.

Executive powers had been usurped.

Executive powers had been taken.

The salaries of the judges, which the constitution expressly requires to be fixed, had been occasionally varied; and cases belonging to the judiciary department frequently drawn within legislative cognizance and determination.

The judges' salaries, which the constitution clearly states must be set, had sometimes been changed; and cases related to the judiciary often fell under the attention and decision-making of the legislature.

Those who wish to see the several particulars falling under each of these heads, may consult the journals of the council, which are in print. Some of them, it will be found, may be imputable to peculiar circumstances connected with the war; but the greater part of them may be considered as the spontaneous shoots of an ill-constituted government.

Those who want to look into the various details under each of these categories can check the printed journals of the council. Some of them may be attributed to specific circumstances related to the war, but most of them can be seen as the natural results of a poorly structured government.

It appears, also, that the executive department had not been innocent of frequent breaches of the constitution. There are three observations, however, which ought to be made on this head: FIRST, a great proportion of the instances were either immediately produced by the necessities of the war, or recommended by Congress or the commander-in-chief; SECOND, in most of the other instances, they conformed either to the declared or the known sentiments of the legislative department; THIRD, the executive department of Pennsylvania is distinguished from that of the other States by the number of members composing it. In this respect, it has as much affinity to a legislative assembly as to an executive council. And being at once exempt from the restraint of an individual responsibility for the acts of the body, and deriving confidence from mutual example and joint influence, unauthorized measures would, of course, be more freely hazarded, than where the executive department is administered by a single hand, or by a few hands.

It seems that the executive branch wasn't free from frequently violating the constitution. However, there are three points to consider regarding this: FIRST, many of these instances were either directly caused by the needs of the war or were suggested by Congress or the commander-in-chief; SECOND, in most other cases, they aligned with either the stated or understood views of the legislative branch; THIRD, the executive branch of Pennsylvania is unique compared to other states because of the number of members it has. In this way, it resembles a legislative body as much as an executive council. Being free from the constraints of individual accountability for the body's actions and gaining confidence through shared experiences and collective influence, unauthorized actions would likely be taken more readily than in situations where the executive department is led by just one person or a small group.

The conclusion which I am warranted in drawing from these observations is, that a mere demarcation on parchment of the constitutional limits of the several departments, is not a sufficient guard against those encroachments which lead to a tyrannical concentration of all the powers of government in the same hands.

The conclusion I can confidently draw from these observations is that simply defining the constitutional limits of each department on paper is not enough to protect against the kind of overreach that results in a tyrannical concentration of all government power in one place.

PUBLIUS

PUBLIUS





FEDERALIST No. 49. Method of Guarding Against the Encroachments of Any One Department of Government by Appealing to the People Through a Convention.

For the Independent Journal. Saturday, February 2, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE author of the "Notes on the State of Virginia," quoted in the last paper, has subjoined to that valuable work the draught of a constitution, which had been prepared in order to be laid before a convention, expected to be called in 1783, by the legislature, for the establishment of a constitution for that commonwealth. The plan, like every thing from the same pen, marks a turn of thinking, original, comprehensive, and accurate; and is the more worthy of attention as it equally displays a fervent attachment to republican government and an enlightened view of the dangerous propensities against which it ought to be guarded. One of the precautions which he proposes, and on which he appears ultimately to rely as a palladium to the weaker departments of power against the invasions of the stronger, is perhaps altogether his own, and as it immediately relates to the subject of our present inquiry, ought not to be overlooked.

The author of the "Notes on the State of Virginia," mentioned in the last paper, included in that important work a draft of a constitution that was prepared to be presented to a convention expected to be called in 1783 by the legislature for establishing a constitution for that commonwealth. The plan, like everything else from this author, shows a thinking style that is original, comprehensive, and accurate; and it is particularly noteworthy because it also demonstrates a strong commitment to republican government and a thoughtful understanding of the risks that need to be guarded against. One of the safeguards he suggests, which he seems to rely on as a protection for the weaker branches of power against the stronger ones, may be entirely his own idea, and since it directly relates to the topic we're discussing, it should not be overlooked.

His proposition is, "that whenever any two of the three branches of government shall concur in opinion, each by the voices of two thirds of their whole number, that a convention is necessary for altering the constitution, or CORRECTING BREACHES OF IT, a convention shall be called for the purpose."

His proposal is, "that whenever two of the three branches of government agree, each with a two-thirds majority, that a convention is needed to change the constitution or to FIX ITS VIOLATIONS, a convention will be convened for that purpose."

As the people are the only legitimate fountain of power, and it is from them that the constitutional charter, under which the several branches of government hold their power, is derived, it seems strictly consonant to the republican theory, to recur to the same original authority, not only whenever it may be necessary to enlarge, diminish, or new-model the powers of the government, but also whenever any one of the departments may commit encroachments on the chartered authorities of the others. The several departments being perfectly co-ordinate by the terms of their common commission, none of them, it is evident, can pretend to an exclusive or superior right of settling the boundaries between their respective powers; and how are the encroachments of the stronger to be prevented, or the wrongs of the weaker to be redressed, without an appeal to the people themselves, who, as the grantors of the commissions, can alone declare its true meaning, and enforce its observance?

Since the people are the only legitimate source of power, and it is from them that the constitutional framework, which gives authority to the different branches of government, is created, it aligns perfectly with republican principles to return to that original authority whenever it's necessary to expand, limit, or reshape the government's powers. This is also vital when any of the branches overstep their boundaries set by the others. Each branch is equal according to the terms of their shared commission, so none can claim exclusive or superior rights to define the limits of their powers. How can we prevent the stronger branches from overreaching or correct the wrongs of the weaker ones without appealing to the people themselves? They, as the ones granting the commissions, are the only ones who can clarify its true meaning and ensure it is followed.

There is certainly great force in this reasoning, and it must be allowed to prove that a constitutional road to the decision of the people ought to be marked out and kept open, for certain great and extraordinary occasions. But there appear to be insuperable objections against the proposed recurrence to the people, as a provision in all cases for keeping the several departments of power within their constitutional limits.

There is definitely strong logic in this reasoning, and we must acknowledge that a constitutional way for the people's decision should be established and maintained for certain important and extraordinary situations. However, there seem to be major objections to the suggested return to the people as a consistent way to ensure that the different branches of power stay within their constitutional boundaries.

In the first place, the provision does not reach the case of a combination of two of the departments against the third. If the legislative authority, which possesses so many means of operating on the motives of the other departments, should be able to gain to its interest either of the others, or even one third of its members, the remaining department could derive no advantage from its remedial provision. I do not dwell, however, on this objection, because it may be thought to be rather against the modification of the principle, than against the principle itself.

First of all, the provision doesn't cover the situation where two departments team up against the third. If the legislative authority, which has so many ways to influence the motivations of the other departments, were to sway either of them, or even one-third of its members, the remaining department wouldn't benefit from its remedial measure. However, I won't focus too much on this objection, as it might be seen more as an argument against modifying the principle rather than against the principle itself.

In the next place, it may be considered as an objection inherent in the principle, that as every appeal to the people would carry an implication of some defect in the government, frequent appeals would, in a great measure, deprive the government of that veneration which time bestows on every thing, and without which perhaps the wisest and freest governments would not possess the requisite stability. If it be true that all governments rest on opinion, it is no less true that the strength of opinion in each individual, and its practical influence on his conduct, depend much on the number which he supposes to have entertained the same opinion. The reason of man, like man himself, is timid and cautious when left alone, and acquires firmness and confidence in proportion to the number with which it is associated. When the examples which fortify opinion are ANCIENT as well as NUMEROUS, they are known to have a double effect. In a nation of philosophers, this consideration ought to be disregarded. A reverence for the laws would be sufficiently inculcated by the voice of an enlightened reason. But a nation of philosophers is as little to be expected as the philosophical race of kings wished for by Plato. And in every other nation, the most rational government will not find it a superfluous advantage to have the prejudices of the community on its side.

Next, it can be seen as a fundamental objection to the principle that any appeal to the people implies some flaw in the government. Frequent appeals would largely undermine the respect that time garners for any institution, which is essential for the stability of even the wisest and freest governments. If it's true that all governments rely on public opinion, it's equally true that the strength of an individual's opinion and its influence on their behavior are heavily dependent on how many others share that opinion. Human reasoning, much like people themselves, is cautious and hesitant when isolated; it gains strength and confidence in relation to the number of people it associates with. When the examples that reinforce an opinion are both ANCIENT and NUMEROUS, they have a dual impact. In a society of philosophers, this concern would be irrelevant. A respect for laws would be sufficiently taught by enlightened reasoning. However, a society of philosophers is as unlikely as the philosophical rulers that Plato envisioned. In every other society, even the most rational government will find it beneficial to have the biases of the community in its favor.

The danger of disturbing the public tranquillity by interesting too strongly the public passions, is a still more serious objection against a frequent reference of constitutional questions to the decision of the whole society. Notwithstanding the success which has attended the revisions of our established forms of government, and which does so much honor to the virtue and intelligence of the people of America, it must be confessed that the experiments are of too ticklish a nature to be unnecessarily multiplied. We are to recollect that all the existing constitutions were formed in the midst of a danger which repressed the passions most unfriendly to order and concord; of an enthusiastic confidence of the people in their patriotic leaders, which stifled the ordinary diversity of opinions on great national questions; of a universal ardor for new and opposite forms, produced by a universal resentment and indignation against the ancient government; and whilst no spirit of party connected with the changes to be made, or the abuses to be reformed, could mingle its leaven in the operation. The future situations in which we must expect to be usually placed, do not present any equivalent security against the danger which is apprehended.

The risk of disrupting public peace by stirring up strong public emotions is an even bigger concern against frequently referring constitutional questions to the decision of the entire society. Despite the success we've had in revising our established forms of government, which speaks highly of the virtue and intelligence of the American people, we must admit that these experiments are too delicate to be carried out unnecessarily. We should remember that all existing constitutions were created during a time of danger that suppressed the passions most hostile to order and unity, fueled by the people's enthusiastic trust in their patriotic leaders, which silenced the usual differences of opinion on major national issues, and driven by a widespread desire for new and opposing forms stemming from collective resentment and anger against the old government. During that period, no faction related to the changes being made or the abuses being corrected was able to influence the process. The future situations we can expect to find ourselves in do not offer any equivalent protection against the dangers we are concerned about.

But the greatest objection of all is, that the decisions which would probably result from such appeals would not answer the purpose of maintaining the constitutional equilibrium of the government. We have seen that the tendency of republican governments is to an aggrandizement of the legislative at the expense of the other departments. The appeals to the people, therefore, would usually be made by the executive and judiciary departments. But whether made by one side or the other, would each side enjoy equal advantages on the trial? Let us view their different situations. The members of the executive and judiciary departments are few in number, and can be personally known to a small part only of the people. The latter, by the mode of their appointment, as well as by the nature and permanency of it, are too far removed from the people to share much in their prepossessions. The former are generally the objects of jealousy, and their administration is always liable to be discolored and rendered unpopular. The members of the legislative department, on the other hand, are numerous. They are distributed and dwell among the people at large. Their connections of blood, of friendship, and of acquaintance embrace a great proportion of the most influential part of the society. The nature of their public trust implies a personal influence among the people, and that they are more immediately the confidential guardians of the rights and liberties of the people. With these advantages, it can hardly be supposed that the adverse party would have an equal chance for a favorable issue.

But the biggest objection of all is that the decisions likely to come from such appeals wouldn't help maintain the constitutional balance of the government. We've seen that republican governments tend to expand the power of the legislature at the expense of the other branches. Therefore, appeals to the people would typically be made by the executive and judicial branches. But whether it's one side or the other, would both sides have an equal shot during the trial? Let's consider their different situations. The members of the executive and judicial branches are few in number and can be personally known to only a small portion of the population. Their method of appointment, along with the nature and duration of their positions, keeps them too far removed from the people to share much in their biases. The executive branch is generally seen with suspicion, and their administration often faces negativity and unpopularity. In contrast, the legislative branch has many members who are spread out and live among the general population. Their family ties, friendships, and connections include a significant portion of the most influential members of society. The nature of their public role means they have a personal influence among the people, making them more directly the trusted guardians of the rights and freedoms of the populace. Given these advantages, it's hard to believe that the opposing party would have an equal chance of a favorable outcome.

But the legislative party would not only be able to plead their cause most successfully with the people. They would probably be constituted themselves the judges. The same influence which had gained them an election into the legislature, would gain them a seat in the convention. If this should not be the case with all, it would probably be the case with many, and pretty certainly with those leading characters, on whom every thing depends in such bodies. The convention, in short, would be composed chiefly of men who had been, who actually were, or who expected to be, members of the department whose conduct was arraigned. They would consequently be parties to the very question to be decided by them.

But the legislative party wouldn't just be able to argue their case effectively to the public. They would likely end up being the ones to judge it themselves. The same influence that got them elected to the legislature would also help them secure a spot in the convention. While this might not apply to everyone, it would probably be true for many, especially the key figures on whom everything relies in such groups. In short, the convention would mainly consist of individuals who had been, who were currently, or who expected to be members of the department under scrutiny. Therefore, they would be directly involved in the very issue they were supposed to decide.

It might, however, sometimes happen, that appeals would be made under circumstances less adverse to the executive and judiciary departments. The usurpations of the legislature might be so flagrant and so sudden, as to admit of no specious coloring. A strong party among themselves might take side with the other branches. The executive power might be in the hands of a peculiar favorite of the people. In such a posture of things, the public decision might be less swayed by prepossessions in favor of the legislative party. But still it could never be expected to turn on the true merits of the question. It would inevitably be connected with the spirit of pre-existing parties, or of parties springing out of the question itself. It would be connected with persons of distinguished character and extensive influence in the community. It would be pronounced by the very men who had been agents in, or opponents of, the measures to which the decision would relate. The PASSIONS, therefore, not the REASON, of the public would sit in judgment. But it is the reason, alone, of the public, that ought to control and regulate the government. The passions ought to be controlled and regulated by the government.

It might sometimes happen that appeals would be made under conditions less unfavorable to the executive and judicial branches. The legislature's overreach might be so obvious and sudden that it couldn't be camouflaged. A strong faction within the legislature might align itself with the other branches. The executive power might rest in the hands of a popular favorite. In such a situation, the public decision might be less influenced by biases favoring the legislative party. However, it could never be expected to focus on the true merits of the issue. It would inevitably tie into the existing parties' spirits or those emerging from the issue itself. It would involve individuals of notable character and significant influence in the community. The decision would be made by those who had acted as advocates or opponents of the measures related to that decision. Therefore, it would be the PASSIONS, not the REASON, of the public that would judge. But it is the public's reason alone that should guide and manage the government. The passions should be controlled and regulated by the government.

We found in the last paper, that mere declarations in the written constitution are not sufficient to restrain the several departments within their legal rights. It appears in this, that occasional appeals to the people would be neither a proper nor an effectual provision for that purpose. How far the provisions of a different nature contained in the plan above quoted might be adequate, I do not examine. Some of them are unquestionably founded on sound political principles, and all of them are framed with singular ingenuity and precision.

We discovered in the last paper that just having statements in the written constitution isn't enough to keep the various departments within their legal rights. It seems that occasional appeals to the people wouldn't be a suitable or effective solution for this issue. I won't look into how adequate the different provisions outlined in the plan above might be. Some are definitely based on solid political principles, and all of them are crafted with remarkable skill and accuracy.

PUBLIUS

PUBLIUS





FEDERALIST No. 50. Periodical Appeals to the People Considered

From the New York Packet. Tuesday, February 5, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York State:

IT MAY be contended, perhaps, that instead of OCCASIONAL appeals to the people, which are liable to the objections urged against them, PERIODICAL appeals are the proper and adequate means of PREVENTING AND CORRECTING INFRACTIONS OF THE CONSTITUTION.

It might be argued that instead of occasional appeals to the people, which face the criticisms raised against them, periodic appeals are the right and effective way to prevent and correct violations of the Constitution.

It will be attended to, that in the examination of these expedients, I confine myself to their aptitude for ENFORCING the Constitution, by keeping the several departments of power within their due bounds, without particularly considering them as provisions for ALTERING the Constitution itself. In the first view, appeals to the people at fixed periods appear to be nearly as ineligible as appeals on particular occasions as they emerge. If the periods be separated by short intervals, the measures to be reviewed and rectified will have been of recent date, and will be connected with all the circumstances which tend to vitiate and pervert the result of occasional revisions. If the periods be distant from each other, the same remark will be applicable to all recent measures; and in proportion as the remoteness of the others may favor a dispassionate review of them, this advantage is inseparable from inconveniences which seem to counterbalance it. In the first place, a distant prospect of public censure would be a very feeble restraint on power from those excesses to which it might be urged by the force of present motives. Is it to be imagined that a legislative assembly, consisting of a hundred or two hundred members, eagerly bent on some favorite object, and breaking through the restraints of the Constitution in pursuit of it, would be arrested in their career, by considerations drawn from a censorial revision of their conduct at the future distance of ten, fifteen, or twenty years? In the next place, the abuses would often have completed their mischievous effects before the remedial provision would be applied. And in the last place, where this might not be the case, they would be of long standing, would have taken deep root, and would not easily be extirpated.

I want to focus on how these measures enforce the Constitution by keeping the various branches of government in check, without examining them as ways to change the Constitution itself. At first glance, asking the public for input at set intervals seems almost as unsuitable as calling for input at specific times as issues come up. If the intervals are short, the actions being reviewed will be recent and tied to all the factors that can distort or mislead the outcomes of such reviews. If the intervals are long, the same concern applies to any recent actions. And while a longer gap could allow for a more rational assessment, this benefit comes with drawbacks that seem to offset it. First, the distant possibility of public backlash would offer only weak restraint on those in power from acting on their immediate motivations. Can we really think that a legislative body, made up of a hundred or two hundred members, passionately pursuing some agenda and ignoring the Constitution, would stop to consider a potential review of their actions scheduled for ten, fifteen, or even twenty years later? Next, any harmful practices would often have already caused their damage before any corrective action could take place. Lastly, even if that weren’t true, these issues would have been around for a long time, taking firm root and not easily removed.

The scheme of revising the constitution, in order to correct recent breaches of it, as well as for other purposes, has been actually tried in one of the States. One of the objects of the Council of Censors which met in Pennsylvania in 1783 and 1784, was, as we have seen, to inquire, "whether the constitution had been violated, and whether the legislative and executive departments had encroached upon each other." This important and novel experiment in politics merits, in several points of view, very particular attention. In some of them it may, perhaps, as a single experiment, made under circumstances somewhat peculiar, be thought to be not absolutely conclusive. But as applied to the case under consideration, it involves some facts, which I venture to remark, as a complete and satisfactory illustration of the reasoning which I have employed.

The plan to revise the constitution, to fix recent violations as well as for other reasons, has actually been tested in one of the States. One of the goals of the Council of Censors that met in Pennsylvania in 1783 and 1784 was, as we have seen, to investigate, "whether the constitution had been broken, and whether the legislative and executive branches had overstepped their boundaries." This significant and unique political experiment deserves, from various perspectives, careful attention. In some cases, it might not be completely definitive as a standalone experiment conducted under somewhat unusual circumstances. However, when applied to the situation at hand, it includes certain facts that I believe serve as a thorough and satisfying illustration of the reasoning I have presented.

First. It appears, from the names of the gentlemen who composed the council, that some, at least, of its most active members had also been active and leading characters in the parties which pre-existed in the State.

First. It seems that, based on the names of the men who made up the council, some of its most involved members had also been key figures in the political parties that existed before in the State.

Second. It appears that the same active and leading members of the council had been active and influential members of the legislative and executive branches, within the period to be reviewed; and even patrons or opponents of the very measures to be thus brought to the test of the constitution. Two of the members had been vice-presidents of the State, and several other members of the executive council, within the seven preceding years. One of them had been speaker, and a number of others distinguished members, of the legislative assembly within the same period.

Second. It seems that the same active and influential members of the council had also played significant roles in the legislative and executive branches during the time we’re looking at; they were even supporters or critics of the very measures that are now being tested against the constitution. Two of the members had served as vice-presidents of the State, and several other members of the executive council in the past seven years. One of them had been the speaker, and several others were notable members of the legislative assembly during that same time.

Third. Every page of their proceedings witnesses the effect of all these circumstances on the temper of their deliberations. Throughout the continuance of the council, it was split into two fixed and violent parties. The fact is acknowledged and lamented by themselves. Had this not been the case, the face of their proceedings exhibits a proof equally satisfactory. In all questions, however unimportant in themselves, or unconnected with each other, the same names stand invariably contrasted on the opposite columns. Every unbiased observer may infer, without danger of mistake, and at the same time without meaning to reflect on either party, or any individuals of either party, that, unfortunately, PASSION, not REASON, must have presided over their decisions. When men exercise their reason coolly and freely on a variety of distinct questions, they inevitably fall into different opinions on some of them. When they are governed by a common passion, their opinions, if they are so to be called, will be the same.

Third. Every page of their proceedings shows the impact of all these circumstances on the mood of their discussions. Throughout the entire council, it was divided into two fixed and hostile parties. This fact is recognized and mourned by them. If that hadn’t been the case, the nature of their proceedings would provide equally clear evidence. In every issue, no matter how trivial or unrelated, the same names consistently appear on opposing sides. Any impartial observer can conclude, without the risk of error, and without intending to criticize either side or any individuals within them, that, unfortunately, PASSION, not REASON, must have guided their decisions. When people use their reason calmly and freely on a variety of different questions, they inevitably end up with differing opinions on some. When driven by a shared passion, their views, if they can even be called that, will align.

Fourth. It is at least problematical, whether the decisions of this body do not, in several instances, misconstrue the limits prescribed for the legislative and executive departments, instead of reducing and limiting them within their constitutional places.

Fourth. It is at least questionable whether the decisions of this body sometimes misinterpret the boundaries set for the legislative and executive branches, rather than clarifying and confining them to their constitutional roles.

Fifth. I have never understood that the decisions of the council on constitutional questions, whether rightly or erroneously formed, have had any effect in varying the practice founded on legislative constructions. It even appears, if I mistake not, that in one instance the contemporary legislature denied the constructions of the council, and actually prevailed in the contest.

Fifth. I've never understood how the council's decisions on constitutional issues, whether they were correct or incorrect, have changed the practices based on legislative interpretations. It even seems, if I'm not mistaken, that in one case the current legislature rejected the council's interpretations and actually won the dispute.

This censorial body, therefore, proves at the same time, by its researches, the existence of the disease, and by its example, the inefficacy of the remedy.

This censoring body, therefore, simultaneously demonstrates through its research the existence of the disease and, by its example, the ineffectiveness of the treatment.

This conclusion cannot be invalidated by alleging that the State in which the experiment was made was at that crisis, and had been for a long time before, violently heated and distracted by the rage of party. Is it to be presumed, that at any future septennial epoch the same State will be free from parties? Is it to be presumed that any other State, at the same or any other given period, will be exempt from them? Such an event ought to be neither presumed nor desired; because an extinction of parties necessarily implies either a universal alarm for the public safety, or an absolute extinction of liberty.

This conclusion can't be dismissed by claiming that the State where the experiment took place was, at that time, deeply divided and tumultuous because of party strife. Can we assume that at any future seven-year period, the same State will be free from political parties? Can we assume that any other State, at the same or at any other time, will be free from them? Such an outcome shouldn't be assumed or wished for; because the elimination of political parties would mean either a widespread fear for public safety or a complete loss of freedom.

Were the precaution taken of excluding from the assemblies elected by the people, to revise the preceding administration of the government, all persons who should have been concerned with the government within the given period, the difficulties would not be obviated. The important task would probably devolve on men, who, with inferior capacities, would in other respects be little better qualified. Although they might not have been personally concerned in the administration, and therefore not immediately agents in the measures to be examined, they would probably have been involved in the parties connected with these measures, and have been elected under their auspices.

If the decision had been made to exclude from the assemblies elected by the people, which were meant to review the previous government’s administration, all individuals who had been involved in the government during that time, it wouldn't solve the issues at hand. The essential task would likely fall to individuals who, while perhaps not having been directly involved, still wouldn't be much better qualified in other ways. Even if they hadn’t personally participated in the administration and weren’t directly responsible for the actions being reviewed, they likely would have been affiliated with the groups tied to those actions and been elected with their support.

PUBLIUS

PUBLIUS __A_TAG_PLACEHOLDER_0__





FEDERALIST No. 51. The Structure of the Government Must Furnish the Proper Checks and Balances Between the Different Departments.

For the Independent Journal. Wednesday, February 6, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

TO WHAT expedient, then, shall we finally resort, for maintaining in practice the necessary partition of power among the several departments, as laid down in the Constitution? The only answer that can be given is, that as all these exterior provisions are found to be inadequate, the defect must be supplied, by so contriving the interior structure of the government as that its several constituent parts may, by their mutual relations, be the means of keeping each other in their proper places. Without presuming to undertake a full development of this important idea, I will hazard a few general observations, which may perhaps place it in a clearer light, and enable us to form a more correct judgment of the principles and structure of the government planned by the convention.

TO WHAT method, then, should we finally turn, to effectively maintain the necessary division of power among the various branches, as established in the Constitution? The only answer is that since all these external measures are found to be insufficient, the gap must be filled by designing the internal structure of the government so that its various components can, through their interactions, help keep each other in their appropriate roles. Without trying to fully explore this significant idea, I will share a few general thoughts that might clarify it and help us better understand the principles and structure of the government created by the convention.

In order to lay a due foundation for that separate and distinct exercise of the different powers of government, which to a certain extent is admitted on all hands to be essential to the preservation of liberty, it is evident that each department should have a will of its own; and consequently should be so constituted that the members of each should have as little agency as possible in the appointment of the members of the others. Were this principle rigorously adhered to, it would require that all the appointments for the supreme executive, legislative, and judiciary magistracies should be drawn from the same fountain of authority, the people, through channels having no communication whatever with one another. Perhaps such a plan of constructing the several departments would be less difficult in practice than it may in contemplation appear. Some difficulties, however, and some additional expense would attend the execution of it. Some deviations, therefore, from the principle must be admitted. In the constitution of the judiciary department in particular, it might be inexpedient to insist rigorously on the principle: first, because peculiar qualifications being essential in the members, the primary consideration ought to be to select that mode of choice which best secures these qualifications; secondly, because the permanent tenure by which the appointments are held in that department, must soon destroy all sense of dependence on the authority conferring them.

To build a solid foundation for the separate and distinct functioning of the various branches of government, which is widely recognized as crucial for maintaining liberty, it’s clear that each branch should operate independently. This means that the members of one branch should have minimal involvement in appointing members of the other branches. If this principle were strictly followed, it would require that all appointments for the executive, legislative, and judicial branches be made directly by the people, through processes that have no connections to one another. Implementing such a system might actually be less challenging in practice than it seems at first glance. However, there would still be some challenges and additional costs in making it work. Therefore, some compromises on this principle must be accepted. In particular, when it comes to establishing the judiciary, it might not be practical to adhere strictly to this principle: first, because specific qualifications are crucial for members, the main focus should be on choosing a method that best ensures these qualifications; and second, because the lasting nature of their appointments will soon eliminate any sense of reliance on the authority that makes those appointments.

It is equally evident, that the members of each department should be as little dependent as possible on those of the others, for the emoluments annexed to their offices. Were the executive magistrate, or the judges, not independent of the legislature in this particular, their independence in every other would be merely nominal.

It is clear that the members of each department should depend as little as possible on those from other departments for the benefits tied to their positions. If the executive official or the judges were not independent of the legislature in this regard, their independence in all other areas would be just a formality.

But the great security against a gradual concentration of the several powers in the same department, consists in giving to those who administer each department the necessary constitutional means and personal motives to resist encroachments of the others. The provision for defense must in this, as in all other cases, be made commensurate to the danger of attack. Ambition must be made to counteract ambition. The interest of the man must be connected with the constitutional rights of the place. It may be a reflection on human nature, that such devices should be necessary to control the abuses of government. But what is government itself, but the greatest of all reflections on human nature? If men were angels, no government would be necessary. If angels were to govern men, neither external nor internal controls on government would be necessary. In framing a government which is to be administered by men over men, the great difficulty lies in this: you must first enable the government to control the governed; and in the next place oblige it to control itself. A dependence on the people is, no doubt, the primary control on the government; but experience has taught mankind the necessity of auxiliary precautions.

But the main way to prevent a gradual concentration of power in the same department is to give those who run each department the necessary constitutional tools and personal incentives to resist interference from the others. The measures for defense must align with the potential for attack. Ambition should be used to counteract ambition. A person's interests must be linked to the constitutional rights of their role. It might be a commentary on human nature that such checks are needed to prevent government abuses. But what is government itself, if not the greatest reflection of human nature? If people were angels, there would be no need for government. If angels were to govern people, neither external nor internal limits on government would be necessary. When creating a government run by people over other people, the main challenge is this: you must first enable the government to control those being governed; and secondly, you must require it to control itself. Dependence on the people is undeniably the primary limit on the government; however, experience has shown humanity the need for additional safeguards.

This policy of supplying, by opposite and rival interests, the defect of better motives, might be traced through the whole system of human affairs, private as well as public. We see it particularly displayed in all the subordinate distributions of power, where the constant aim is to divide and arrange the several offices in such a manner as that each may be a check on the other—that the private interest of every individual may be a sentinel over the public rights. These inventions of prudence cannot be less requisite in the distribution of the supreme powers of the State.

This strategy of allowing opposing and competing interests to fill the gap left by better motivations can be seen throughout all aspects of human interactions, both private and public. It's especially evident in the various layers of power, where the ongoing goal is to distribute and organize different roles in a way that each can keep an eye on the others—ensuring that everyone's personal interests act as a guard over public rights. These careful arrangements are just as essential when it comes to distributing the highest powers of the State.

But it is not possible to give to each department an equal power of self-defense. In republican government, the legislative authority necessarily predominates. The remedy for this inconveniency is to divide the legislature into different branches; and to render them, by different modes of election and different principles of action, as little connected with each other as the nature of their common functions and their common dependence on the society will admit. It may even be necessary to guard against dangerous encroachments by still further precautions. As the weight of the legislative authority requires that it should be thus divided, the weakness of the executive may require, on the other hand, that it should be fortified. An absolute negative on the legislature appears, at first view, to be the natural defense with which the executive magistrate should be armed. But perhaps it would be neither altogether safe nor alone sufficient. On ordinary occasions it might not be exerted with the requisite firmness, and on extraordinary occasions it might be perfidiously abused. May not this defect of an absolute negative be supplied by some qualified connection between this weaker department and the weaker branch of the stronger department, by which the latter may be led to support the constitutional rights of the former, without being too much detached from the rights of its own department?

But it’s not possible to give each department the same power to defend itself. In a republican government, the legislative authority naturally holds more power. The solution to this issue is to split the legislature into different branches, and to make them as disconnected from each other as possible through different election methods and principles of action, while still acknowledging their shared functions and dependence on society. It may even be necessary to take extra precautions against potential overreach. Since the legislative authority needs to be divided, the executive may need to be strengthened due to its inherent weakness. At first glance, it seems that an absolute veto over the legislature would be the natural protection for the executive. However, this may not be completely safe or adequate on its own. In regular situations, it might not be used decisively enough, and in extraordinary situations, it could be misused. Could this lack of an absolute veto be addressed by establishing some kind of connection between this weaker department and the weaker branch of the stronger department, allowing the latter to support the constitutional rights of the former without straying too far from its own rights?

If the principles on which these observations are founded be just, as I persuade myself they are, and they be applied as a criterion to the several State constitutions, and to the federal Constitution it will be found that if the latter does not perfectly correspond with them, the former are infinitely less able to bear such a test.

If the principles behind these observations are valid, as I believe they are, and if they are used as a standard to evaluate the various state constitutions and the federal Constitution, it will be evident that while the latter may not perfectly align with them, the former are far less capable of passing such a test.

There are, moreover, two considerations particularly applicable to the federal system of America, which place that system in a very interesting point of view.

There are also two considerations that are especially relevant to the federal system of America, which highlight that system in a very interesting way.

First. In a single republic, all the power surrendered by the people is submitted to the administration of a single government; and the usurpations are guarded against by a division of the government into distinct and separate departments. In the compound republic of America, the power surrendered by the people is first divided between two distinct governments, and then the portion allotted to each subdivided among distinct and separate departments. Hence a double security arises to the rights of the people. The different governments will control each other, at the same time that each will be controlled by itself.

First. In a single republic, all the power given up by the people is handled by a single government; and abuses of power are prevented by dividing the government into separate and distinct departments. In the compound republic of America, the power surrendered by the people is first split between two distinct governments, and then the portion assigned to each is further divided among separate and distinct departments. This creates a double layer of protection for the rights of the people. The different governments will regulate each other, while also being self-regulated.

Second. It is of great importance in a republic not only to guard the society against the oppression of its rulers, but to guard one part of the society against the injustice of the other part. Different interests necessarily exist in different classes of citizens. If a majority be united by a common interest, the rights of the minority will be insecure. There are but two methods of providing against this evil: the one by creating a will in the community independent of the majority—that is, of the society itself; the other, by comprehending in the society so many separate descriptions of citizens as will render an unjust combination of a majority of the whole very improbable, if not impracticable. The first method prevails in all governments possessing an hereditary or self-appointed authority. This, at best, is but a precarious security; because a power independent of the society may as well espouse the unjust views of the major, as the rightful interests of the minor party, and may possibly be turned against both parties. The second method will be exemplified in the federal republic of the United States. Whilst all authority in it will be derived from and dependent on the society, the society itself will be broken into so many parts, interests, and classes of citizens, that the rights of individuals, or of the minority, will be in little danger from interested combinations of the majority. In a free government the security for civil rights must be the same as that for religious rights. It consists in the one case in the multiplicity of interests, and in the other in the multiplicity of sects. The degree of security in both cases will depend on the number of interests and sects; and this may be presumed to depend on the extent of country and number of people comprehended under the same government. This view of the subject must particularly recommend a proper federal system to all the sincere and considerate friends of republican government, since it shows that in exact proportion as the territory of the Union may be formed into more circumscribed Confederacies, or States oppressive combinations of a majority will be facilitated: the best security, under the republican forms, for the rights of every class of citizens, will be diminished: and consequently the stability and independence of some member of the government, the only other security, must be proportionately increased. Justice is the end of government. It is the end of civil society. It ever has been and ever will be pursued until it be obtained, or until liberty be lost in the pursuit. In a society under the forms of which the stronger faction can readily unite and oppress the weaker, anarchy may as truly be said to reign as in a state of nature, where the weaker individual is not secured against the violence of the stronger; and as, in the latter state, even the stronger individuals are prompted, by the uncertainty of their condition, to submit to a government which may protect the weak as well as themselves; so, in the former state, will the more powerful factions or parties be gradually induced, by a like motive, to wish for a government which will protect all parties, the weaker as well as the more powerful. It can be little doubted that if the State of Rhode Island was separated from the Confederacy and left to itself, the insecurity of rights under the popular form of government within such narrow limits would be displayed by such reiterated oppressions of factious majorities that some power altogether independent of the people would soon be called for by the voice of the very factions whose misrule had proved the necessity of it. In the extended republic of the United States, and among the great variety of interests, parties, and sects which it embraces, a coalition of a majority of the whole society could seldom take place on any other principles than those of justice and the general good; whilst there being thus less danger to a minor from the will of a major party, there must be less pretext, also, to provide for the security of the former, by introducing into the government a will not dependent on the latter, or, in other words, a will independent of the society itself. It is no less certain than it is important, notwithstanding the contrary opinions which have been entertained, that the larger the society, provided it lie within a practical sphere, the more duly capable it will be of self-government. And happily for the REPUBLICAN CAUSE, the practicable sphere may be carried to a very great extent, by a judicious modification and mixture of the FEDERAL PRINCIPLE.

Second. It's really important in a republic not only to protect society from the oppression of its rulers but also to safeguard one part of society from the injustices of another part. Different interests naturally exist among different classes of citizens. If a majority shares a common interest, the rights of the minority will be at risk. There are two ways to address this issue: one is to create a will in the community that is independent of the majority—that is, of society itself; the other is to include enough distinct groups of citizens in society so that an unjust majority is very unlikely, if not impossible. The first method is common in all governments with hereditary or self-appointed authority. This is, at best, a shaky security because a power independent of society might support the unjust interests of the majority as easily as the rightful interests of the minority, and it could potentially turn against both groups. The second method is illustrated by the federal republic of the United States. While all authority in it is derived from and relies on society, that society is divided into so many parts, interests, and classes of citizens that the rights of individuals or the minority are not greatly threatened by self-serving majority coalitions. In a free government, the security for civil rights must be the same as for religious rights. It relies on the diversity of interests in one case and the variety of sects in the other. The level of security in both situations will depend on the number of interests and sects; and this can be expected to depend on the size of the country and the population included under the same government. This perspective of the issue should particularly advocate for a proper federal system among all sincere and thoughtful supporters of republican government, as it shows that if the territory of the Union is divided into smaller Confederacies or States, it would facilitate oppressive majority coalitions: the best security under republican forms for the rights of every class of citizens will be reduced; consequently, the stability and independence of some member of the government, the only other security, must be increased proportionately. Justice is the goal of government. It's the goal of civil society. It has always been and will always be pursued until achieved, or until liberty is lost in the pursuit. In a society where the stronger faction can quickly band together and oppress the weaker, anarchy might be said to exist just as much as in a state of nature, where the weaker individual is not protected against the violence of the stronger; and just as, in the latter state, even stronger individuals are motivated by the uncertainty of their conditions to submit to a government that protects the weak as well as themselves, so in the former state, the more powerful factions or parties will gradually be led, by similar motives, to desire a government that will protect all factions, the weaker as well as the stronger. There is little doubt that if the State of Rhode Island were to separate from the Confederacy and stand alone, the insecurity of rights under a popular form of government within such limited boundaries would result in repeated oppressions by factious majorities, prompting a call for a power entirely independent of the people by the very factions whose misrule demonstrated the necessity for it. In the broader republic of the United States, with its vast array of interests, parties, and sects, a coalition of the majority of society is unlikely to form based on anything other than principles of justice and the common good; thus, with less risk to the minority from the will of the majority, there will also be less reason to secure the former's rights by incorporating into the government a will that is not reliant on the latter, or, in simpler terms, a will that exists independently of society itself. It is as certain as it is crucial, despite contrary opinions, that the larger the society, as long as it operates within a practical scope, the better it will be at self-governance. And fortunately for the REPUBLICAN CAUSE, this practical scope can be significantly enlarged through a well-considered application and blending of the FEDERAL PRINCIPLE.

PUBLIUS

PUBLIUS





FEDERALIST No. 52. The House of Representatives

From the New York Packet. Friday, February 8, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of the State of New York:

FROM the more general inquiries pursued in the four last papers, I pass on to a more particular examination of the several parts of the government. I shall begin with the House of Representatives.

FROM the broader questions explored in the last four papers, I will move on to a more detailed analysis of the different components of the government. I will start with the House of Representatives.

The first view to be taken of this part of the government relates to the qualifications of the electors and the elected. Those of the former are to be the same with those of the electors of the most numerous branch of the State legislatures. The definition of the right of suffrage is very justly regarded as a fundamental article of republican government. It was incumbent on the convention, therefore, to define and establish this right in the Constitution. To have left it open for the occasional regulation of the Congress, would have been improper for the reason just mentioned. To have submitted it to the legislative discretion of the States, would have been improper for the same reason; and for the additional reason that it would have rendered too dependent on the State governments that branch of the federal government which ought to be dependent on the people alone. To have reduced the different qualifications in the different States to one uniform rule, would probably have been as dissatisfactory to some of the States as it would have been difficult to the convention. The provision made by the convention appears, therefore, to be the best that lay within their option. It must be satisfactory to every State, because it is conformable to the standard already established, or which may be established, by the State itself. It will be safe to the United States, because, being fixed by the State constitutions, it is not alterable by the State governments, and it cannot be feared that the people of the States will alter this part of their constitutions in such a manner as to abridge the rights secured to them by the federal Constitution.

The first thing to consider about this part of the government is the qualifications of the voters and those being voted for. The qualifications for voters will be the same as those for the voters in the most populous branch of the state legislatures. The right to vote is rightly seen as a fundamental aspect of a republican government. Therefore, it was the convention's responsibility to define and establish this right in the Constitution. Leaving it open for occasional regulation by Congress would have been inappropriate for the reasons already mentioned. Submitting it to the legislative discretion of the states would have been inappropriate for the same reason, plus the additional concern that it would make that branch of the federal government too dependent on state governments, when it should only be accountable to the people. Reducing the various qualifications in different states to a single uniform rule would likely have been as unsatisfactory to some states as it would have been difficult for the convention. So, the provision made by the convention seems to be the best option available to them. It should satisfy every state because it aligns with the standard already set by the state itself, or that might be established later. It will be safe for the United States, since being fixed by the state constitutions, it can't be changed by the state governments, and there is little concern that the people of the states would alter this part of their constitutions in a way that would diminish the rights guaranteed by the federal Constitution.

The qualifications of the elected, being less carefully and properly defined by the State constitutions, and being at the same time more susceptible of uniformity, have been very properly considered and regulated by the convention. A representative of the United States must be of the age of twenty-five years; must have been seven years a citizen of the United States; must, at the time of his election, be an inhabitant of the State he is to represent; and, during the time of his service, must be in no office under the United States. Under these reasonable limitations, the door of this part of the federal government is open to merit of every description, whether native or adoptive, whether young or old, and without regard to poverty or wealth, or to any particular profession of religious faith.

The qualifications for elected officials, being less clearly defined by state constitutions and more open to standardization, have been appropriately addressed and regulated by the convention. A representative of the United States must be at least twenty-five years old, have been a citizen of the United States for seven years, be a resident of the state he will represent at the time of his election, and must not hold any other office under the United States during his term. With these reasonable requirements, this part of the federal government is accessible to individuals of all backgrounds, whether native or naturalized, young or old, regardless of their financial status or religious beliefs.

The term for which the representatives are to be elected falls under a second view which may be taken of this branch. In order to decide on the propriety of this article, two questions must be considered: first, whether biennial elections will, in this case, be safe; secondly, whether they be necessary or useful.

The timeframe for which the representatives are to be elected relates to a different perspective on this matter. To evaluate the appropriateness of this article, we need to consider two questions: first, whether holding elections every two years will be safe in this situation; and second, whether they are necessary or beneficial.

First. As it is essential to liberty that the government in general should have a common interest with the people, so it is particularly essential that the branch of it under consideration should have an immediate dependence on, and an intimate sympathy with, the people. Frequent elections are unquestionably the only policy by which this dependence and sympathy can be effectually secured. But what particular degree of frequency may be absolutely necessary for the purpose, does not appear to be susceptible of any precise calculation, and must depend on a variety of circumstances with which it may be connected. Let us consult experience, the guide that ought always to be followed whenever it can be found.

First. Just as it's crucial for freedom that the government as a whole shares a common interest with the people, it's especially important that the specific branch we’re discussing has a direct connection to and a strong empathy with the public. Regular elections are definitely the only way to effectively ensure that connection and empathy. However, the exact frequency needed for this purpose doesn't seem to be something that can be calculated precisely and will depend on various circumstances related to it. Let’s turn to experience, which should always be our guide whenever it's available.

The scheme of representation, as a substitute for a meeting of the citizens in person, being at most but very imperfectly known to ancient polity, it is in more modern times only that we are to expect instructive examples. And even here, in order to avoid a research too vague and diffusive, it will be proper to confine ourselves to the few examples which are best known, and which bear the greatest analogy to our particular case. The first to which this character ought to be applied, is the House of Commons in Great Britain. The history of this branch of the English Constitution, anterior to the date of Magna Charta, is too obscure to yield instruction. The very existence of it has been made a question among political antiquaries. The earliest records of subsequent date prove that parliaments were to SIT only every year; not that they were to be ELECTED every year. And even these annual sessions were left so much at the discretion of the monarch, that, under various pretexts, very long and dangerous intermissions were often contrived by royal ambition. To remedy this grievance, it was provided by a statute in the reign of Charles II, that the intermissions should not be protracted beyond a period of three years. On the accession of William III, when a revolution took place in the government, the subject was still more seriously resumed, and it was declared to be among the fundamental rights of the people that parliaments ought to be held FREQUENTLY. By another statute, which passed a few years later in the same reign, the term "frequently," which had alluded to the triennial period settled in the time of Charles II, is reduced to a precise meaning, it being expressly enacted that a new parliament shall be called within three years after the termination of the former. The last change, from three to seven years, is well known to have been introduced pretty early in the present century, under an alarm for the Hanoverian succession. From these facts it appears that the greatest frequency of elections which has been deemed necessary in that kingdom, for binding the representatives to their constituents, does not exceed a triennial return of them. And if we may argue from the degree of liberty retained even under septennial elections, and all the other vicious ingredients in the parliamentary constitution, we cannot doubt that a reduction of the period from seven to three years, with the other necessary reforms, would so far extend the influence of the people over their representatives as to satisfy us that biennial elections, under the federal system, cannot possibly be dangerous to the requisite dependence of the House of Representatives on their constituents.

The idea of representation, as a replacement for citizens meeting in person, was only somewhat known in ancient governments, so we can only look to more modern times for helpful examples. To avoid being too vague and scattered, it’s best to focus on a few well-known examples that closely relate to our specific situation. The first example that fits this description is the House of Commons in Great Britain. The history of this part of the English Constitution before Magna Carta is too unclear to provide any guidance. The very existence of it has been debated among political historians. The earliest records show that parliaments were supposed to meet every year, not that they were to be elected every year. Even these annual meetings were mostly at the monarch’s discretion, leading to various excuses for long and dangerous gaps created by royal ambition. To address this issue, a law during Charles II’s reign stipulated that these gaps couldn’t last more than three years. When William III came to power and a revolution occurred in the government, it was taken even more seriously, and it was declared a fundamental right of the people that parliaments should be held FREQUENTLY. A few years later, another law clarified the term "frequently," which referred to the three-year period established during Charles II’s time, stating that a new parliament must be called within three years after the previous one ends. The last change, extending the term from three to seven years, was introduced early in this century due to concerns about the Hanoverian succession. From these facts, it’s clear that the most frequent elections seen as necessary in that kingdom— to keep representatives accountable to their constituents— do not go beyond a three-year cycle. If we consider the degree of freedom maintained even with seven-year elections and other problematic aspects of the parliamentary system, we can’t doubt that reducing the term from seven to three years, along with other necessary reforms, would significantly enhance the influence of the people over their representatives. This makes us confident that biennial elections, within the federal system, cannot possibly threaten the required accountability of the House of Representatives to their constituents.

Elections in Ireland, till of late, were regulated entirely by the discretion of the crown, and were seldom repeated, except on the accession of a new prince, or some other contingent event. The parliament which commenced with George II. was continued throughout his whole reign, a period of about thirty-five years. The only dependence of the representatives on the people consisted in the right of the latter to supply occasional vacancies by the election of new members, and in the chance of some event which might produce a general new election. The ability also of the Irish parliament to maintain the rights of their constituents, so far as the disposition might exist, was extremely shackled by the control of the crown over the subjects of their deliberation. Of late these shackles, if I mistake not, have been broken; and octennial parliaments have besides been established. What effect may be produced by this partial reform, must be left to further experience. The example of Ireland, from this view of it, can throw but little light on the subject. As far as we can draw any conclusion from it, it must be that if the people of that country have been able under all these disadvantages to retain any liberty whatever, the advantage of biennial elections would secure to them every degree of liberty, which might depend on a due connection between their representatives and themselves.

Elections in Ireland, until recently, were entirely under the control of the crown and rarely occurred, only happening when a new monarch came to power or due to some other unforeseen event. The parliament that started with George II lasted his entire reign, which was about thirty-five years. The only way that representatives were connected to the people was through the right of the latter to fill occasional vacancies by electing new members, and through any event that might trigger a general election. Additionally, the ability of the Irish parliament to defend the rights of their constituents was severely limited by the crown's control over what they could discuss. Recently, these restrictions seem to have been lifted, and eight-year parliaments have also been established. The impact of this partial reform will need to be seen as time goes on. From this perspective, Ireland’s example isn’t very enlightening on the matter. If we can conclude anything from it, it’s that if the people of that country have managed to maintain some degree of freedom under such disadvantages, then biennial elections would ensure that they could enjoy a much greater level of freedom due to a better connection between their representatives and themselves.

Let us bring our inquiries nearer home. The example of these States, when British colonies, claims particular attention, at the same time that it is so well known as to require little to be said on it. The principle of representation, in one branch of the legislature at least, was established in all of them. But the periods of election were different. They varied from one to seven years. Have we any reason to infer, from the spirit and conduct of the representatives of the people, prior to the Revolution, that biennial elections would have been dangerous to the public liberties? The spirit which everywhere displayed itself at the commencement of the struggle, and which vanquished the obstacles to independence, is the best of proofs that a sufficient portion of liberty had been everywhere enjoyed to inspire both a sense of its worth and a zeal for its proper enlargement This remark holds good, as well with regard to the then colonies whose elections were least frequent, as to those whose elections were most frequent Virginia was the colony which stood first in resisting the parliamentary usurpations of Great Britain; it was the first also in espousing, by public act, the resolution of independence. In Virginia, nevertheless, if I have not been misinformed, elections under the former government were septennial. This particular example is brought into view, not as a proof of any peculiar merit, for the priority in those instances was probably accidental; and still less of any advantage in SEPTENNIAL elections, for when compared with a greater frequency they are inadmissible; but merely as a proof, and I conceive it to be a very substantial proof, that the liberties of the people can be in no danger from BIENNIAL elections.

Let’s bring our questions closer to home. The example of these states when they were British colonies deserves special attention, especially since it’s well known and doesn't need much explanation. The principle of representation, at least in one part of the legislature, was established in all of them. However, the election periods varied from one to seven years. Do we have any reason to assume, based on the behavior and actions of the people's representatives before the Revolution, that having elections every two years would have been harmful to public freedoms? The spirit that was evident at the start of the struggle, which overcame the challenges to independence, strongly suggests that a sufficient amount of freedom had been experienced to inspire both an appreciation for its value and a passion for its proper expansion. This observation applies equally to the colonies that had the least frequent elections as well as those with the most frequent elections. Virginia was the colony that first stood against Great Britain's parliamentary overreach; it was also the first to officially support independence. In Virginia, though, if I’m correct, elections during the previous government were held every seven years. This particular example is mentioned not as proof of any special merit, as the priority in those cases was likely coincidental; and even less as evidence of any advantage in having elections every seven years, since they are unacceptable in comparison to more frequent elections; but simply as proof—and I believe it is a very strong proof—that the liberties of the people are not at risk from having elections every two years.

The conclusion resulting from these examples will be not a little strengthened by recollecting three circumstances. The first is, that the federal legislature will possess a part only of that supreme legislative authority which is vested completely in the British Parliament; and which, with a few exceptions, was exercised by the colonial assemblies and the Irish legislature. It is a received and well-founded maxim, that where no other circumstances affect the case, the greater the power is, the shorter ought to be its duration; and, conversely, the smaller the power, the more safely may its duration be protracted. In the second place, it has, on another occasion, been shown that the federal legislature will not only be restrained by its dependence on its people, as other legislative bodies are, but that it will be, moreover, watched and controlled by the several collateral legislatures, which other legislative bodies are not. And in the third place, no comparison can be made between the means that will be possessed by the more permanent branches of the federal government for seducing, if they should be disposed to seduce, the House of Representatives from their duty to the people, and the means of influence over the popular branch possessed by the other branches of the government above cited. With less power, therefore, to abuse, the federal representatives can be less tempted on one side, and will be doubly watched on the other.

The conclusion drawn from these examples will be significantly strengthened by considering three points. First, the federal legislature will only have part of the supreme legislative authority that is fully held by the British Parliament; this authority was generally exercised by the colonial assemblies and the Irish legislature, with a few exceptions. It’s a well-accepted principle that, all else being equal, the greater the power, the shorter its duration should be; conversely, the smaller the power, the longer it can safely last. Second, it has been previously shown that the federal legislature will not only be bound by its reliance on its citizens, like other legislative bodies, but it will also be monitored and regulated by various state legislatures, which is not the case for other legislative bodies. Lastly, no comparison can be made between the capabilities that the more permanent branches of the federal government will have to entice the House of Representatives away from its responsibilities to the people, and the influence that the other branches of the government have over the popular branch. With less power to misuse, the federal representatives will be less easily tempted in one direction and will be more closely monitored in another.

PUBLIUS

PUBLIUS





FEDERALIST No. 53. The Same Subject Continued (The House of Representatives)

For the Independent Journal. Saturday, February 9, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

I SHALL here, perhaps, be reminded of a current observation, "that where annual elections end, tyranny begins." If it be true, as has often been remarked, that sayings which become proverbial are generally founded in reason, it is not less true, that when once established, they are often applied to cases to which the reason of them does not extend. I need not look for a proof beyond the case before us. What is the reason on which this proverbial observation is founded? No man will subject himself to the ridicule of pretending that any natural connection subsists between the sun or the seasons, and the period within which human virtue can bear the temptations of power. Happily for mankind, liberty is not, in this respect, confined to any single point of time; but lies within extremes, which afford sufficient latitude for all the variations which may be required by the various situations and circumstances of civil society. The election of magistrates might be, if it were found expedient, as in some instances it actually has been, daily, weekly, or monthly, as well as annual; and if circumstances may require a deviation from the rule on one side, why not also on the other side? Turning our attention to the periods established among ourselves, for the election of the most numerous branches of the State legislatures, we find them by no means coinciding any more in this instance, than in the elections of other civil magistrates. In Connecticut and Rhode Island, the periods are half-yearly. In the other States, South Carolina excepted, they are annual. In South Carolina they are biennial—as is proposed in the federal government. Here is a difference, as four to one, between the longest and shortest periods; and yet it would be not easy to show, that Connecticut or Rhode Island is better governed, or enjoys a greater share of rational liberty, than South Carolina; or that either the one or the other of these States is distinguished in these respects, and by these causes, from the States whose elections are different from both.

I might be reminded of a popular saying: "where annual elections end, tyranny begins." It's often noted that proverbs are usually based on reason, but it's equally true that once they are established, they are often misapplied to situations that don’t actually fit. We can see this in our current situation. What’s the reasoning behind this saying? No one would foolishly claim there's a natural connection between the sun or the seasons and how long human virtue can resist the temptations of power. Thankfully for everyone, liberty isn’t locked into a specific time frame; it exists within a range that allows for the necessary adjustments based on the different situations and circumstances in society. The election of officials could, if deemed necessary, happen daily, weekly, or monthly, as it actually has in some cases, rather than just annually. If circumstances can justify straying from one side of the rule, why not the other? When we look at the periods set for electing the larger branches of the State legislatures, we see they don’t match up any more in this case than they do in elections for other civil officials. In Connecticut and Rhode Island, elections occur every six months. In other states, except South Carolina, they are annual. In South Carolina, they are held every two years, similar to the federal government’s proposal. This creates a difference of four to one between the longest and shortest election periods; yet, it’s not easy to argue that Connecticut or Rhode Island is better governed or enjoys more rational liberty than South Carolina, or that either of the former states stands out in these respects compared to those with different election periods.

In searching for the grounds of this doctrine, I can discover but one, and that is wholly inapplicable to our case. The important distinction so well understood in America, between a Constitution established by the people and unalterable by the government, and a law established by the government and alterable by the government, seems to have been little understood and less observed in any other country. Wherever the supreme power of legislation has resided, has been supposed to reside also a full power to change the form of the government. Even in Great Britain, where the principles of political and civil liberty have been most discussed, and where we hear most of the rights of the Constitution, it is maintained that the authority of the Parliament is transcendent and uncontrollable, as well with regard to the Constitution, as the ordinary objects of legislative provision. They have accordingly, in several instances, actually changed, by legislative acts, some of the most fundamental articles of the government. They have in particular, on several occasions, changed the period of election; and, on the last occasion, not only introduced septennial in place of triennial elections, but by the same act, continued themselves in place four years beyond the term for which they were elected by the people. An attention to these dangerous practices has produced a very natural alarm in the votaries of free government, of which frequency of elections is the corner-stone; and has led them to seek for some security to liberty, against the danger to which it is exposed. Where no Constitution, paramount to the government, either existed or could be obtained, no constitutional security, similar to that established in the United States, was to be attempted. Some other security, therefore, was to be sought for; and what better security would the case admit, than that of selecting and appealing to some simple and familiar portion of time, as a standard for measuring the danger of innovations, for fixing the national sentiment, and for uniting the patriotic exertions? The most simple and familiar portion of time, applicable to the subject was that of a year; and hence the doctrine has been inculcated by a laudable zeal, to erect some barrier against the gradual innovations of an unlimited government, that the advance towards tyranny was to be calculated by the distance of departure from the fixed point of annual elections. But what necessity can there be of applying this expedient to a government limited, as the federal government will be, by the authority of a paramount Constitution? Or who will pretend that the liberties of the people of America will not be more secure under biennial elections, unalterably fixed by such a Constitution, than those of any other nation would be, where elections were annual, or even more frequent, but subject to alterations by the ordinary power of the government?

In looking for the reasons behind this doctrine, I can find only one, and it doesn't apply to our situation at all. The significant distinction that is clearly understood in America, between a Constitution created by the people that cannot be changed by the government, and a law created by the government that can be changed by the government, seems to be largely misunderstood and less observed in other countries. Wherever the ultimate power of legislation has been placed, it is believed to also hold the full power to change the structure of the government. Even in Great Britain, where the ideas of political and civil freedom have been extensively discussed, and where we often hear about the rights guaranteed by the Constitution, it's argued that the authority of Parliament is supreme and uncontrollable, both regarding the Constitution and regular legislative matters. Accordingly, they have, in several cases, actually changed some of the most fundamental parts of the government through legislative acts. Specifically, they have on multiple occasions changed the election period; most recently, they not only initiated seven-year elections instead of three-year ones, but also, by the same act, extended their own terms four years beyond what they were elected for by the people. Attention to these risky practices has understandably raised concern among supporters of free government, where the frequency of elections is a fundamental principle, prompting them to seek some protection for liberty against potential threats. Where no Constitution, superior to the government, either existed or could be established, similar constitutional safeguards like those in the United States were not possible. Therefore, alternative safeguards needed to be found; and what better measure could be used than a simple and familiar unit of time to gauge the risk of changes, establish national sentiment, and unite efforts in support of patriotism? The simplest and most familiar unit of time relevant to this issue was a year; hence, the doctrine was promoted with great enthusiasm to create a barrier against the gradual changes of an unlimited government, suggesting that the shift toward tyranny could be measured by how far elections deviated from the fixed point of annual elections. But why is there any need to apply this method to a government that is limited, as the federal government will be, by the authority of a superior Constitution? Or who would argue that the freedoms of the American people will not be more secure under elections held every two years, set in stone by such a Constitution, than those of any other nation where elections could be yearly or even more frequent but subject to changes made by the government?

The second question stated is, whether biennial elections be necessary or useful. The propriety of answering this question in the affirmative will appear from several very obvious considerations.

The second question is whether biennial elections are necessary or useful. The appropriateness of answering this question with a yes will become clear from several obvious reasons.

No man can be a competent legislator who does not add to an upright intention and a sound judgment a certain degree of knowledge of the subjects on which he is to legislate. A part of this knowledge may be acquired by means of information which lie within the compass of men in private as well as public stations. Another part can only be attained, or at least thoroughly attained, by actual experience in the station which requires the use of it. The period of service, ought, therefore, in all such cases, to bear some proportion to the extent of practical knowledge requisite to the due performance of the service. The period of legislative service established in most of the States for the more numerous branch is, as we have seen, one year. The question then may be put into this simple form: does the period of two years bear no greater proportion to the knowledge requisite for federal legislation than one year does to the knowledge requisite for State legislation? The very statement of the question, in this form, suggests the answer that ought to be given to it.

No one can be a good lawmaker without having a mix of good intentions, sound judgment, and a certain level of knowledge about the topics they are legislating on. Some of this knowledge can come from information available to both private and public individuals. However, some of it can only be properly understood through real experience in the relevant position. Therefore, the length of service should relate to the amount of practical knowledge needed to perform the job effectively. As we've seen, most states set the legislative term for the larger branch at one year. So, we can simplify the question: does a two-year term require no more knowledge for federal legislation than a one-year term does for state legislation? The way the question is framed suggests the answer that should be given.

In a single State, the requisite knowledge relates to the existing laws which are uniform throughout the State, and with which all the citizens are more or less conversant; and to the general affairs of the State, which lie within a small compass, are not very diversified, and occupy much of the attention and conversation of every class of people. The great theatre of the United States presents a very different scene. The laws are so far from being uniform, that they vary in every State; whilst the public affairs of the Union are spread throughout a very extensive region, and are extremely diversified by the local affairs connected with them, and can with difficulty be correctly learnt in any other place than in the central councils to which a knowledge of them will be brought by the representatives of every part of the empire. Yet some knowledge of the affairs, and even of the laws, of all the States, ought to be possessed by the members from each of the States. How can foreign trade be properly regulated by uniform laws, without some acquaintance with the commerce, the ports, the usages, and the regulations of the different States? How can the trade between the different States be duly regulated, without some knowledge of their relative situations in these and other respects? How can taxes be judiciously imposed and effectually collected, if they be not accommodated to the different laws and local circumstances relating to these objects in the different States? How can uniform regulations for the militia be duly provided, without a similar knowledge of many internal circumstances by which the States are distinguished from each other? These are the principal objects of federal legislation, and suggest most forcibly the extensive information which the representatives ought to acquire. The other interior objects will require a proportional degree of information with regard to them.

In a single state, the necessary knowledge is about the laws that are the same throughout the state, and that the citizens are generally familiar with; and about the general affairs of the state, which are limited in scope, not very varied, and occupy much of the focus and discussions among all social classes. The wider landscape of the United States presents a very different picture. The laws are far from uniform, varying from state to state; while the public affairs of the Union span a vast area and are greatly influenced by the local issues tied to them, making it difficult to fully understand them anywhere other than in the central councils, where representatives from each part of the country bring their knowledge. Yet, members representing each state should have some understanding of the affairs and even the laws of all states. How can we effectively regulate international trade with consistent laws without some familiarity with the commerce, ports, customs, and regulations of the different states? How can trade between different states be appropriately managed without some knowledge of their relative positions on these and other matters? How can taxes be effectively imposed and collected if they are not adapted to the various laws and local circumstances related to these matters in the different states? How can we establish uniform regulations for the militia without similar understanding of the many internal factors that differentiate the states? These are the main focus points of federal legislation and clearly emphasize the extensive knowledge that representatives should acquire. Other internal matters will also require a relevant degree of information regarding them.

It is true that all these difficulties will, by degrees, be very much diminished. The most laborious task will be the proper inauguration of the government and the primeval formation of a federal code. Improvements on the first draughts will every year become both easier and fewer. Past transactions of the government will be a ready and accurate source of information to new members. The affairs of the Union will become more and more objects of curiosity and conversation among the citizens at large. And the increased intercourse among those of different States will contribute not a little to diffuse a mutual knowledge of their affairs, as this again will contribute to a general assimilation of their manners and laws. But with all these abatements, the business of federal legislation must continue so far to exceed, both in novelty and difficulty, the legislative business of a single State, as to justify the longer period of service assigned to those who are to transact it.

It's true that these challenges will gradually lessen. The toughest task will be properly starting the government and creating a federal code from scratch. Improvements on the initial drafts will become both easier and less frequent each year. Past actions of the government will be a reliable and accurate source of information for new members. The affairs of the Union will increasingly spark curiosity and conversation among the general public. And the growing interactions among people from different states will help spread understanding of each other's issues, contributing to a general blending of their customs and laws. However, despite these improvements, the work of federal legislation will continue to be more novel and challenging than the legislative work of a single state, which justifies the longer service period for those involved in it.

A branch of knowledge which belongs to the acquirements of a federal representative, and which has not been mentioned is that of foreign affairs. In regulating our own commerce he ought to be not only acquainted with the treaties between the United States and other nations, but also with the commercial policy and laws of other nations. He ought not to be altogether ignorant of the law of nations; for that, as far as it is a proper object of municipal legislation, is submitted to the federal government. And although the House of Representatives is not immediately to participate in foreign negotiations and arrangements, yet from the necessary connection between the several branches of public affairs, those particular branches will frequently deserve attention in the ordinary course of legislation, and will sometimes demand particular legislative sanction and co-operation. Some portion of this knowledge may, no doubt, be acquired in a man's closet; but some of it also can only be derived from the public sources of information; and all of it will be acquired to best effect by a practical attention to the subject during the period of actual service in the legislature.

A branch of knowledge that is important for a federal representative, which hasn't been mentioned, is foreign affairs. In managing our own trade, he should not only know the treaties between the United States and other countries but also the commercial policies and laws of those nations. He shouldn't be completely unaware of international law; because, as far as it is relevant to domestic legislation, it falls under the federal government’s jurisdiction. And even though the House of Representatives isn’t directly involved in foreign negotiations and agreements, the connection between various public affairs means that these specific areas will often need attention in regular legislative processes and sometimes require specific legislative approval and collaboration. While some of this knowledge can certainly be gained privately, a lot of it can only come from public sources of information, and all of it will be best learned through practical engagement with the subject during actual service in the legislature.

There are other considerations, of less importance, perhaps, but which are not unworthy of notice. The distance which many of the representatives will be obliged to travel, and the arrangements rendered necessary by that circumstance, might be much more serious objections with fit men to this service, if limited to a single year, than if extended to two years. No argument can be drawn on this subject, from the case of the delegates to the existing Congress. They are elected annually, it is true; but their re-election is considered by the legislative assemblies almost as a matter of course. The election of the representatives by the people would not be governed by the same principle.

There are other factors that may be less important but are still worth mentioning. The distance that many representatives will need to travel, along with the arrangements required because of this, could present bigger challenges for qualified individuals if the service is limited to one year rather than two. We can't compare this to the current Congress, where delegates are elected annually; however, their re-election is almost taken for granted by the legislative assemblies. The election of representatives by the people wouldn’t operate under the same principle.

A few of the members, as happens in all such assemblies, will possess superior talents; will, by frequent reelections, become members of long standing; will be thoroughly masters of the public business, and perhaps not unwilling to avail themselves of those advantages. The greater the proportion of new members, and the less the information of the bulk of the members the more apt will they be to fall into the snares that may be laid for them. This remark is no less applicable to the relation which will subsist between the House of Representatives and the Senate.

A few members, as is common in all such groups, will have superior skills; they will become longtime members through frequent reelections, will have a firm grasp on the public business, and may be ready to take advantage of their position. The greater the number of new members and the less informed the majority are, the more likely they are to fall into traps set for them. This observation is equally relevant to the relationship between the House of Representatives and the Senate.

It is an inconvenience mingled with the advantages of our frequent elections even in single States, where they are large, and hold but one legislative session in a year, that spurious elections cannot be investigated and annulled in time for the decision to have its due effect. If a return can be obtained, no matter by what unlawful means, the irregular member, who takes his seat of course, is sure of holding it a sufficient time to answer his purposes. Hence, a very pernicious encouragement is given to the use of unlawful means, for obtaining irregular returns. Were elections for the federal legislature to be annual, this practice might become a very serious abuse, particularly in the more distant States. Each house is, as it necessarily must be, the judge of the elections, qualifications, and returns of its members; and whatever improvements may be suggested by experience, for simplifying and accelerating the process in disputed cases, so great a portion of a year would unavoidably elapse, before an illegitimate member could be dispossessed of his seat, that the prospect of such an event would be little check to unfair and illicit means of obtaining a seat.

It's a hassle mixed with the benefits of our frequent elections, even in single states where they are large and only hold one legislative session each year. Spurious elections can't be investigated and overturned in time for an effective decision. If a return can be procured, regardless of the unlawful methods used, the irregular member who takes their seat will surely hold it long enough to serve their interests. This creates a harmful incentive to use illegal methods to secure irregular returns. If federal legislature elections were held annually, this practice could become a serious problem, especially in more distant states. Each house must be the authority on the elections, qualifications, and returns of its members; and despite any improvements that could be proposed to streamline and speed up the process in contested cases, a significant portion of the year would inevitably pass before an illegitimate member could be removed from their seat, making the likelihood of such an event a weak deterrent against unfair and illegal means of securing a seat.

All these considerations taken together warrant us in affirming, that biennial elections will be as useful to the affairs of the public as we have seen that they will be safe to the liberty of the people.

All these factors combined lead us to conclude that biennial elections will be just as beneficial for public matters as we have observed they will be secure for the freedom of the people.

PUBLIUS

PUBLIUS





FEDERALIST No. 54. The Apportionment of Members Among the States

From the New York Packet. Tuesday, February 12, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE next view which I shall take of the House of Representatives relates to the appointment of its members to the several States which is to be determined by the same rule with that of direct taxes.

THE next perspective I'll share about the House of Representatives concerns how its members are appointed from the various States, which will be decided based on the same criteria as direct taxes.

It is not contended that the number of people in each State ought not to be the standard for regulating the proportion of those who are to represent the people of each State. The establishment of the same rule for the appointment of taxes, will probably be as little contested; though the rule itself in this case, is by no means founded on the same principle. In the former case, the rule is understood to refer to the personal rights of the people, with which it has a natural and universal connection. In the latter, it has reference to the proportion of wealth, of which it is in no case a precise measure, and in ordinary cases a very unfit one. But notwithstanding the imperfection of the rule as applied to the relative wealth and contributions of the States, it is evidently the least objectionable among the practicable rules, and had too recently obtained the general sanction of America, not to have found a ready preference with the convention.

It's not argued that the population of each State shouldn’t be the basis for determining how many representatives each State should have. Establishing the same guideline for tax distribution will likely be similarly unchallenged, even though this guideline is based on a different principle. In the first case, the guideline relates to the personal rights of individuals, which is universally connected. In the second case, it relates to the distribution of wealth, which doesn’t accurately measure it and is often not a suitable method. However, despite the shortcomings of the guideline regarding the relative wealth and contributions of the States, it is clearly the least objectionable option among the available choices, and it had recently received broad support from America, making it a favored choice for the convention.

All this is admitted, it will perhaps be said; but does it follow, from an admission of numbers for the measure of representation, or of slaves combined with free citizens as a ratio of taxation, that slaves ought to be included in the numerical rule of representation? Slaves are considered as property, not as persons. They ought therefore to be comprehended in estimates of taxation which are founded on property, and to be excluded from representation which is regulated by a census of persons. This is the objection, as I understand it, stated in its full force. I shall be equally candid in stating the reasoning which may be offered on the opposite side.

All of this is acknowledged, it might be argued; but does it logically follow, from accepting numbers for representation or counting slaves alongside free citizens for taxation, that slaves should be included in the count for representation? Slaves are regarded as property, not as individuals. Therefore, they should be included in property-based tax assessments and excluded from representation that is determined by a count of individuals. This is, as I see it, the main objection fully explained. I will also be straightforward in presenting the arguments that may be made in response.

"We subscribe to the doctrine," might one of our Southern brethren observe, "that representation relates more immediately to persons, and taxation more immediately to property, and we join in the application of this distinction to the case of our slaves. But we must deny the fact, that slaves are considered merely as property, and in no respect whatever as persons. The true state of the case is, that they partake of both these qualities: being considered by our laws, in some respects, as persons, and in other respects as property. In being compelled to labor, not for himself, but for a master; in being vendible by one master to another master; and in being subject at all times to be restrained in his liberty and chastised in his body, by the capricious will of another—the slave may appear to be degraded from the human rank, and classed with those irrational animals which fall under the legal denomination of property. In being protected, on the other hand, in his life and in his limbs, against the violence of all others, even the master of his labor and his liberty; and in being punishable himself for all violence committed against others—the slave is no less evidently regarded by the law as a member of the society, not as a part of the irrational creation; as a moral person, not as a mere article of property. The federal Constitution, therefore, decides with great propriety on the case of our slaves, when it views them in the mixed character of persons and of property. This is in fact their true character. It is the character bestowed on them by the laws under which they live; and it will not be denied, that these are the proper criterion; because it is only under the pretext that the laws have transformed the negroes into subjects of property, that a place is disputed them in the computation of numbers; and it is admitted, that if the laws were to restore the rights which have been taken away, the negroes could no longer be refused an equal share of representation with the other inhabitants.

"We believe," one of our Southern counterparts might say, "that representation is more directly related to individuals, while taxation is more directly related to property, and we apply this distinction to the situation of our slaves. However, we must reject the notion that slaves are only viewed as property and not at all as individuals. The reality is that they possess both these qualities: our laws consider them, in some respects, as individuals, and in other respects as property. When they are forced to work, not for themselves but for a master; when they can be sold from one master to another; and when they can be restricted in their freedom and punished physically at the whim of another—slaves may seem to be lowered from human status and categorized alongside irrational animals classified as property. On the other hand, since they are protected in their lives and physical well-being against the violence of everyone, including their master; and since they can be punished for any violence committed against others—the law clearly treats them as members of society, not as part of something irrational; as moral individuals, not just as commodities. The federal Constitution, therefore, appropriately addresses the case of our slaves by recognizing them as having a mixed identity of individuals and property. This reflects their true nature. It is the identity granted to them by the laws they live under; and it cannot be denied that these are the appropriate standards; because it is only under the guise that the laws have turned Black people into subjects of property that their place in population counts is contested; and it is acknowledged that if the laws were to restore the rights that have been taken away, Black people could no longer be denied equal representation with other residents."

"This question may be placed in another light. It is agreed on all sides, that numbers are the best scale of wealth and taxation, as they are the only proper scale of representation. Would the convention have been impartial or consistent, if they had rejected the slaves from the list of inhabitants, when the shares of representation were to be calculated, and inserted them on the lists when the tariff of contributions was to be adjusted? Could it be reasonably expected, that the Southern States would concur in a system, which considered their slaves in some degree as men, when burdens were to be imposed, but refused to consider them in the same light, when advantages were to be conferred? Might not some surprise also be expressed, that those who reproach the Southern States with the barbarous policy of considering as property a part of their human brethren, should themselves contend, that the government to which all the States are to be parties, ought to consider this unfortunate race more completely in the unnatural light of property, than the very laws of which they complain?

"This question can be viewed from a different perspective. Everyone agrees that numbers are the best measure of wealth and taxation since they provide the only appropriate basis for representation. Would the convention have been fair or consistent if they excluded slaves from the population count when calculating representation, but included them when determining tax contributions? Could it be reasonably expected that the Southern States would agree to a system that acknowledged their slaves as somewhat human when it came to imposing burdens, but refused to recognize them the same way when it came to granting benefits? It might also be surprising that those who criticize the Southern States for treating part of their fellow humans as property insist that the government, which all states should be part of, should view this unfortunate group even more as property than the very laws they complain about do."

"It may be replied, perhaps, that slaves are not included in the estimate of representatives in any of the States possessing them. They neither vote themselves nor increase the votes of their masters. Upon what principle, then, ought they to be taken into the federal estimate of representation? In rejecting them altogether, the Constitution would, in this respect, have followed the very laws which have been appealed to as the proper guide.

"It might be argued that slaves aren’t counted in the number of representatives in any of the states that have them. They don’t vote themselves nor do they add to their masters’ votes. So, on what basis should they be included in the federal count for representation? By completely excluding them, the Constitution would have adhered to the very laws that have been cited as the appropriate reference."

"This objection is repelled by a single observation. It is a fundamental principle of the proposed Constitution, that as the aggregate number of representatives allotted to the several States is to be determined by a federal rule, founded on the aggregate number of inhabitants, so the right of choosing this allotted number in each State is to be exercised by such part of the inhabitants as the State itself may designate. The qualifications on which the right of suffrage depend are not, perhaps, the same in any two States. In some of the States the difference is very material. In every State, a certain proportion of inhabitants are deprived of this right by the constitution of the State, who will be included in the census by which the federal Constitution apportions the representatives. In this point of view the Southern States might retort the complaint, by insisting that the principle laid down by the convention required that no regard should be had to the policy of particular States towards their own inhabitants; and consequently, that the slaves, as inhabitants, should have been admitted into the census according to their full number, in like manner with other inhabitants, who, by the policy of other States, are not admitted to all the rights of citizens. A rigorous adherence, however, to this principle, is waived by those who would be gainers by it. All that they ask is that equal moderation be shown on the other side. Let the case of the slaves be considered, as it is in truth, a peculiar one. Let the compromising expedient of the Constitution be mutually adopted, which regards them as inhabitants, but as debased by servitude below the equal level of free inhabitants, which regards the SLAVE as divested of two fifths of the MAN.

"This objection can be countered by a simple observation. It's a basic principle of the proposed Constitution that the total number of representatives assigned to each state will be determined by a federal rule based on the total number of residents. Similarly, the right to choose these representatives in each state will be exercised by the portion of residents designated by the state itself. The qualifications for voting rights are likely not the same across any two states, and in some states, the differences are quite significant. In every state, some residents are denied this right by the state’s constitution, even though they will be counted in the census that the federal Constitution uses to allocate representatives. From this perspective, the Southern states might respond to the complaint by arguing that the principle established by the convention requires no consideration of how specific states treat their own residents. Consequently, enslaved individuals, as residents, should be counted in the census based on their full number, just like other residents who, according to the policies of different states, are not granted all the rights of citizens. However, those who would benefit from a strict application of this principle are willing to overlook it. All they ask is that equal fairness be shown by the other side. Let's view the situation of enslaved individuals as it truly is, a unique case. Let’s mutually adopt the compromise of the Constitution, which recognizes them as residents but considers them as lesser than free residents, effectively treating the SLAVE as two-fifths of a MAN."

"After all, may not another ground be taken on which this article of the Constitution will admit of a still more ready defense? We have hitherto proceeded on the idea that representation related to persons only, and not at all to property. But is it a just idea? Government is instituted no less for protection of the property, than of the persons, of individuals. The one as well as the other, therefore, may be considered as represented by those who are charged with the government. Upon this principle it is, that in several of the States, and particularly in the State of New York, one branch of the government is intended more especially to be the guardian of property, and is accordingly elected by that part of the society which is most interested in this object of government. In the federal Constitution, this policy does not prevail. The rights of property are committed into the same hands with the personal rights. Some attention ought, therefore, to be paid to property in the choice of those hands.

"After all, can we consider another perspective on which this part of the Constitution can be more easily defended? So far, we've approached the idea that representation only relates to people, not to property at all. But is that a fair perspective? Government exists not only to protect individuals but also their property. Both should be seen as represented by those who govern. This principle is why, in several states, especially New York, one branch of government is specifically designed to protect property and is elected by those most invested in this aspect of governance. However, this approach is not reflected in the federal Constitution, where property rights are handled alongside personal rights. Therefore, we should pay attention to property when selecting those in power."

"For another reason, the votes allowed in the federal legislature to the people of each State, ought to bear some proportion to the comparative wealth of the States. States have not, like individuals, an influence over each other, arising from superior advantages of fortune. If the law allows an opulent citizen but a single vote in the choice of his representative, the respect and consequence which he derives from his fortunate situation very frequently guide the votes of others to the objects of his choice; and through this imperceptible channel the rights of property are conveyed into the public representation. A State possesses no such influence over other States. It is not probable that the richest State in the Confederacy will ever influence the choice of a single representative in any other State. Nor will the representatives of the larger and richer States possess any other advantage in the federal legislature, over the representatives of other States, than what may result from their superior number alone. As far, therefore, as their superior wealth and weight may justly entitle them to any advantage, it ought to be secured to them by a superior share of representation. The new Constitution is, in this respect, materially different from the existing Confederation, as well as from that of the United Netherlands, and other similar confederacies. In each of the latter, the efficacy of the federal resolutions depends on the subsequent and voluntary resolutions of the states composing the union. Hence the states, though possessing an equal vote in the public councils, have an unequal influence, corresponding with the unequal importance of these subsequent and voluntary resolutions. Under the proposed Constitution, the federal acts will take effect without the necessary intervention of the individual States. They will depend merely on the majority of votes in the federal legislature, and consequently each vote, whether proceeding from a larger or smaller State, or a State more or less wealthy or powerful, will have an equal weight and efficacy: in the same manner as the votes individually given in a State legislature, by the representatives of unequal counties or other districts, have each a precise equality of value and effect; or if there be any difference in the case, it proceeds from the difference in the personal character of the individual representative, rather than from any regard to the extent of the district from which he comes."

"For another reason, the votes given in the federal legislature to the people of each state should reflect the relative wealth of the states. States don’t influence each other in the same way individuals do based on their wealth. If the law lets a wealthy person have only one vote in choosing their representative, the respect and significance they gain from their wealth often sway others to vote for the same candidate; through this subtle influence, property rights are funneled into public representation. A state doesn’t have that kind of impact on other states. It’s unlikely that the richest state in the Confederacy will ever sway the choice of a single representative in a different state. Also, representatives from larger and wealthier states won’t have any real advantage in the federal legislature over those from other states, aside from their larger numbers. Therefore, as much as their greater wealth and influence might justly earn them any advantage, it should be reflected in a higher share of representation. The new Constitution is significantly different from the current Confederation, as well as from that of the United Netherlands and other similar unions. In those cases, the effectiveness of federal resolutions relies on the later and voluntary resolutions of the states in the union. Thus, while states have an equal vote in public decisions, they have an unequal influence based on the varying importance of those later resolutions. Under the proposed Constitution, federal acts will take effect without needing the individual states’ approval. They will rely solely on a majority of votes in the federal legislature, so each vote, whether from a larger or smaller state, or a wealthier or less wealthy state, will carry equal weight and effectiveness: much like how votes in a state legislature from representatives of unequal counties or districts hold equal value and impact; if there's any variation, it stems from the personal character of the individual representative, not the size of the district they represent."

Such is the reasoning which an advocate for the Southern interests might employ on this subject; and although it may appear to be a little strained in some points, yet, on the whole, I must confess that it fully reconciles me to the scale of representation which the convention have established.

This is the reasoning that someone supporting Southern interests might use on this topic; and while it may seem a bit stretched in certain areas, overall, I have to admit that it completely makes sense to me regarding the system of representation that the convention has set up.

In one respect, the establishment of a common measure for representation and taxation will have a very salutary effect. As the accuracy of the census to be obtained by the Congress will necessarily depend, in a considerable degree on the disposition, if not on the co-operation, of the States, it is of great importance that the States should feel as little bias as possible, to swell or to reduce the amount of their numbers. Were their share of representation alone to be governed by this rule, they would have an interest in exaggerating their inhabitants. Were the rule to decide their share of taxation alone, a contrary temptation would prevail. By extending the rule to both objects, the States will have opposite interests, which will control and balance each other, and produce the requisite impartiality.

In one way, creating a common standard for representation and taxation will have a very positive impact. The accuracy of the census conducted by Congress will largely depend on the willingness, if not the cooperation, of the States. Therefore, it’s really important that the States try to be as unbiased as possible when it comes to inflating or downplaying their population counts. If their share of representation were determined solely by this standard, they would be motivated to exaggerate their populations. On the other hand, if the standard only determined their share of taxation, the opposite temptation would arise. By applying the standard to both areas, the States will have conflicting interests that will counterbalance each other, leading to the necessary fairness.

PUBLIUS

PUBLIUS





FEDERALIST No. 55. The Total Number of the House of Representatives

For the Independent Journal. Wednesday, February 13, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of the State of New York:

THE number of which the House of Representatives is to consist, forms another and a very interesting point of view, under which this branch of the federal legislature may be contemplated. Scarce any article, indeed, in the whole Constitution seems to be rendered more worthy of attention, by the weight of character and the apparent force of argument with which it has been assailed. The charges exhibited against it are, first, that so small a number of representatives will be an unsafe depositary of the public interests; secondly, that they will not possess a proper knowledge of the local circumstances of their numerous constituents; thirdly, that they will be taken from that class of citizens which will sympathize least with the feelings of the mass of the people, and be most likely to aim at a permanent elevation of the few on the depression of the many; fourthly, that defective as the number will be in the first instance, it will be more and more disproportionate, by the increase of the people, and the obstacles which will prevent a correspondent increase of the representatives.

The number of representatives in the House forms another very interesting perspective through which we can view this branch of the federal legislature. Hardly any part of the Constitution seems to draw more attention, considering the weight of criticism and the strength of the arguments against it. The main criticisms are, first, that such a small number of representatives would be an unreliable guardian of public interests; second, that they won't have a solid understanding of the local circumstances affecting their many constituents; third, that they will come from a class of citizens who are least likely to relate to the feelings of the general population and are more prone to elevate the few at the expense of the many; fourth, that even though the initial number of representatives is inadequate, it will become increasingly disproportionate as the population grows and as barriers hinder an equivalent increase in representatives.

In general it may be remarked on this subject, that no political problem is less susceptible of a precise solution than that which relates to the number most convenient for a representative legislature; nor is there any point on which the policy of the several States is more at variance, whether we compare their legislative assemblies directly with each other, or consider the proportions which they respectively bear to the number of their constituents. Passing over the difference between the smallest and largest States, as Delaware, whose most numerous branch consists of twenty-one representatives, and Massachusetts, where it amounts to between three and four hundred, a very considerable difference is observable among States nearly equal in population. The number of representatives in Pennsylvania is not more than one fifth of that in the State last mentioned. New York, whose population is to that of South Carolina as six to five, has little more than one third of the number of representatives. As great a disparity prevails between the States of Georgia and Delaware or Rhode Island. In Pennsylvania, the representatives do not bear a greater proportion to their constituents than of one for every four or five thousand. In Rhode Island, they bear a proportion of at least one for every thousand. And according to the constitution of Georgia, the proportion may be carried to one to every ten electors; and must unavoidably far exceed the proportion in any of the other States.

Generally speaking, it's worth noting that no political issue is less likely to have a clear solution than the question of how many members are ideal for a representative legislature. Additionally, there's no aspect where the policies of the different states conflict more, whether we look directly at their legislative bodies or consider their proportions relative to the number of their constituents. Ignoring the difference between the smallest and largest states—like Delaware, which has a largest legislative branch of twenty-one representatives, and Massachusetts, which has between three and four hundred—a significant variation can be seen among states with similar populations. For example, Pennsylvania has only about one-fifth the number of representatives compared to Massachusetts. New York, whose population ratio to South Carolina is six to five, has just over one-third of the number of representatives. A similar gap exists between Georgia and Delaware or Rhode Island. In Pennsylvania, the number of representatives is roughly one for every four or five thousand constituents. In Rhode Island, the ratio is at least one for every thousand. According to Georgia's constitution, the ratio can be as low as one for every ten voters, which is likely to be much higher than in any other state.

Another general remark to be made is, that the ratio between the representatives and the people ought not to be the same where the latter are very numerous as where they are very few. Were the representatives in Virginia to be regulated by the standard in Rhode Island, they would, at this time, amount to between four and five hundred; and twenty or thirty years hence, to a thousand. On the other hand, the ratio of Pennsylvania, if applied to the State of Delaware, would reduce the representative assembly of the latter to seven or eight members. Nothing can be more fallacious than to found our political calculations on arithmetical principles. Sixty or seventy men may be more properly trusted with a given degree of power than six or seven. But it does not follow that six or seven hundred would be proportionably a better depositary. And if we carry on the supposition to six or seven thousand, the whole reasoning ought to be reversed. The truth is, that in all cases a certain number at least seems to be necessary to secure the benefits of free consultation and discussion, and to guard against too easy a combination for improper purposes; as, on the other hand, the number ought at most to be kept within a certain limit, in order to avoid the confusion and intemperance of a multitude. In all very numerous assemblies, of whatever character composed, passion never fails to wrest the sceptre from reason. Had every Athenian citizen been a Socrates, every Athenian assembly would still have been a mob.

Another general point to note is that the relationship between representatives and the people shouldn’t be the same when the population is large compared to when it’s small. If Virginia’s representatives were set according to Rhode Island’s standard, they would currently number between four and five hundred; and twenty or thirty years from now, it could be around a thousand. Conversely, if we applied Pennsylvania’s ratio to Delaware, the representative assembly there would only have seven or eight members. It’s misleading to base our political calculations solely on math. Sixty or seventy people might be more reliable with a certain level of power than just six or seven. However, that doesn’t mean that six or seven hundred would be a proportionally better choice. If we extend this logic to six or seven thousand, the whole argument changes. The reality is that a certain number is necessary to ensure the benefits of open discussion and to prevent easy collusion for bad purposes; on the flip side, the number should also be limited to avoid the chaos and recklessness of too many individuals. In large assemblies, regardless of how they’re made up, emotions often overpower reason. Even if every Athenian citizen were as wise as Socrates, every Athenian assembly would still be chaotic.

It is necessary also to recollect here the observations which were applied to the case of biennial elections. For the same reason that the limited powers of the Congress, and the control of the State legislatures, justify less frequent elections than the public safely might otherwise require, the members of the Congress need be less numerous than if they possessed the whole power of legislation, and were under no other than the ordinary restraints of other legislative bodies.

It’s also important to remember the points made about biennial elections. For the same reason that Congress’s limited powers and the oversight of state legislatures allow for less frequent elections than what the public might otherwise need, the number of Congress members should be smaller than if they had complete legislative power and were only subject to the usual limitations faced by other legislative bodies.

With these general ideas in our mind, let us weigh the objections which have been stated against the number of members proposed for the House of Representatives. It is said, in the first place, that so small a number cannot be safely trusted with so much power.

With these general ideas in mind, let's consider the objections that have been raised against the proposed number of members for the House of Representatives. First of all, it's said that such a small number cannot be trusted with so much power.

The number of which this branch of the legislature is to consist, at the outset of the government, will be sixty-five. Within three years a census is to be taken, when the number may be augmented to one for every thirty thousand inhabitants; and within every successive period of ten years the census is to be renewed, and augmentations may continue to be made under the above limitation. It will not be thought an extravagant conjecture that the first census will, at the rate of one for every thirty thousand, raise the number of representatives to at least one hundred. Estimating the negroes in the proportion of three fifths, it can scarcely be doubted that the population of the United States will by that time, if it does not already, amount to three millions. At the expiration of twenty-five years, according to the computed rate of increase, the number of representatives will amount to two hundred, and of fifty years, to four hundred. This is a number which, I presume, will put an end to all fears arising from the smallness of the body. I take for granted here what I shall, in answering the fourth objection, hereafter show, that the number of representatives will be augmented from time to time in the manner provided by the Constitution. On a contrary supposition, I should admit the objection to have very great weight indeed.

The initial number of members in this branch of the legislature will be sixty-five. A census will be conducted within three years, after which the number may increase to one representative for every thirty thousand residents. Every ten years, the census will be repeated, and additional representatives may continue to be added following the same guideline. It’s reasonable to predict that the first census, with the ratio of one for every thirty thousand people, will raise the count of representatives to at least one hundred. If we estimate the enslaved population at three-fifths, it’s quite likely that the population of the United States will reach three million by that time, if it hasn't already. After twenty-five years, based on the projected growth rate, the number of representatives will likely reach two hundred, and in fifty years, it could rise to four hundred. This number should ease any concerns about the small size of the body. I assume here what I will demonstrate when addressing the fourth objection, that the number of representatives will be periodically increased as outlined in the Constitution. If I were to assume otherwise, I would indeed consider the objection to be quite significant.

The true question to be decided then is, whether the smallness of the number, as a temporary regulation, be dangerous to the public liberty? Whether sixty-five members for a few years, and a hundred or two hundred for a few more, be a safe depositary for a limited and well-guarded power of legislating for the United States? I must own that I could not give a negative answer to this question, without first obliterating every impression which I have received with regard to the present genius of the people of America, the spirit which actuates the State legislatures, and the principles which are incorporated with the political character of every class of citizens I am unable to conceive that the people of America, in their present temper, or under any circumstances which can speedily happen, will choose, and every second year repeat the choice of, sixty-five or a hundred men who would be disposed to form and pursue a scheme of tyranny or treachery. I am unable to conceive that the State legislatures, which must feel so many motives to watch, and which possess so many means of counteracting, the federal legislature, would fail either to detect or to defeat a conspiracy of the latter against the liberties of their common constituents. I am equally unable to conceive that there are at this time, or can be in any short time, in the United States, any sixty-five or a hundred men capable of recommending themselves to the choice of the people at large, who would either desire or dare, within the short space of two years, to betray the solemn trust committed to them. What change of circumstances, time, and a fuller population of our country may produce, requires a prophetic spirit to declare, which makes no part of my pretensions. But judging from the circumstances now before us, and from the probable state of them within a moderate period of time, I must pronounce that the liberties of America cannot be unsafe in the number of hands proposed by the federal Constitution.

The real question we need to answer is whether having a small number of representatives, as a temporary rule, poses a threat to public freedom. Is it safe to trust sixty-five members for a few years, and a hundred or two hundred for a while longer, to hold and manage the limited and well-regulated power to make laws for the United States? Honestly, I couldn't say no to this question without completely dismissing everything I've learned about the current mindset of the American people, the motivation driving the state legislatures, and the principles that shape the political character of every social group. I can't imagine that the people of America, in their current state of mind, or under any likely future scenario, will choose and repeatedly choose sixty-five or a hundred individuals who would want to create and follow a plan of tyranny or betrayal. I also can't believe that the state legislatures, which have so many reasons to be vigilant and possess numerous ways to counteract the federal legislature, would fail to either uncover or stop any conspiracy by the latter against the freedoms of their constituents. Equally, I find it hard to believe that right now, or any time soon, there are sixty-five or a hundred people in the United States who could appeal to the voters and would either want or be bold enough to undermine the serious responsibility entrusted to them in just two years. What changes in circumstances, time, and an increased population might bring is something that requires foresight, which isn't part of my qualifications. But based on the current situation and what it might look like in a reasonable amount of time, I must conclude that the freedoms of America will not be at risk in the hands proposed by the federal Constitution.

From what quarter can the danger proceed? Are we afraid of foreign gold? If foreign gold could so easily corrupt our federal rulers and enable them to ensnare and betray their constituents, how has it happened that we are at this time a free and independent nation? The Congress which conducted us through the Revolution was a less numerous body than their successors will be; they were not chosen by, nor responsible to, their fellowcitizens at large; though appointed from year to year, and recallable at pleasure, they were generally continued for three years, and prior to the ratification of the federal articles, for a still longer term. They held their consultations always under the veil of secrecy; they had the sole transaction of our affairs with foreign nations; through the whole course of the war they had the fate of their country more in their hands than it is to be hoped will ever be the case with our future representatives; and from the greatness of the prize at stake, and the eagerness of the party which lost it, it may well be supposed that the use of other means than force would not have been scrupled. Yet we know by happy experience that the public trust was not betrayed; nor has the purity of our public councils in this particular ever suffered, even from the whispers of calumny.

From where could the danger come? Are we worried about foreign money? If foreign money could easily corrupt our federal leaders and allow them to trap and betray their constituents, how is it that we are currently a free and independent nation? The Congress that guided us through the Revolution was smaller than their successors will be; they were not elected by, nor accountable to, their fellow citizens at large; although appointed from year to year, and could be removed at will, they generally served for three years, and before the ratification of the federal articles, for an even longer period. They conducted their discussions always in secrecy; they were solely responsible for our dealings with foreign nations; throughout the war, they held the fate of the country more firmly in their hands than we can hope will be the case with our future representatives; and given the significant prize at stake, and the intensity of the party that lost it, it’s reasonable to assume that they would not have hesitated to use means other than force. Yet we know from our positive experiences that public trust was not betrayed; nor has the integrity of our public officials in this regard ever been damaged, not even by the murmurs of slander.

Is the danger apprehended from the other branches of the federal government? But where are the means to be found by the President, or the Senate, or both? Their emoluments of office, it is to be presumed, will not, and without a previous corruption of the House of Representatives cannot, more than suffice for very different purposes; their private fortunes, as they must all be American citizens, cannot possibly be sources of danger. The only means, then, which they can possess, will be in the dispensation of appointments. Is it here that suspicion rests her charge? Sometimes we are told that this fund of corruption is to be exhausted by the President in subduing the virtue of the Senate. Now, the fidelity of the other House is to be the victim. The improbability of such a mercenary and perfidious combination of the several members of government, standing on as different foundations as republican principles will well admit, and at the same time accountable to the society over which they are placed, ought alone to quiet this apprehension. But, fortunately, the Constitution has provided a still further safeguard. The members of the Congress are rendered ineligible to any civil offices that may be created, or of which the emoluments may be increased, during the term of their election. No offices therefore can be dealt out to the existing members but such as may become vacant by ordinary casualties: and to suppose that these would be sufficient to purchase the guardians of the people, selected by the people themselves, is to renounce every rule by which events ought to be calculated, and to substitute an indiscriminate and unbounded jealousy, with which all reasoning must be vain. The sincere friends of liberty, who give themselves up to the extravagancies of this passion, are not aware of the injury they do their own cause. As there is a degree of depravity in mankind which requires a certain degree of circumspection and distrust, so there are other qualities in human nature which justify a certain portion of esteem and confidence. Republican government presupposes the existence of these qualities in a higher degree than any other form. Were the pictures which have been drawn by the political jealousy of some among us faithful likenesses of the human character, the inference would be, that there is not sufficient virtue among men for self-government; and that nothing less than the chains of despotism can restrain them from destroying and devouring one another.

Is there a threat from the other branches of the federal government? But where can the President, the Senate, or both find the means? It is assumed that their salary wouldn't, and without corrupting the House of Representatives beforehand, couldn't be enough for very different purposes; their personal wealth, as they are all American citizens, cannot possibly pose a threat. The only means they might have is in the power of appointments. Is that where the suspicion lies? Sometimes we hear that the President will use this corrupting influence to undermine the integrity of the Senate. Now, the loyalty of the other House is at stake. The unlikelihood of such a mercenary and treacherous alliance among various members of government, each founded on different republican principles and accountable to the society they serve, should ease this concern. Thankfully, the Constitution has put in place an additional safeguard. Members of Congress are not eligible for any civil offices that may be created or whose salaries may be increased during their elected terms. Therefore, no positions can be offered to current members except those that become vacant due to normal circumstances: and to think that these would be enough to buy the protectors of the people chosen by the people themselves is to disregard every principle that should guide our expectations of events, and to replace it with a reckless and unlimited suspicion, rendering all reasoning futile. True friends of liberty, who succumb to this extreme fear, do not realize the damage they inflict on their own cause. While there is a certain level of corruption in humanity that requires caution and skepticism, there are also qualities in human nature that deserve a degree of respect and trust. A republican government relies on the presence of these qualities more than any other form. If the images painted by some of our political paranoia were accurate portrayals of human nature, the conclusion would be that there isn’t enough virtue among men for self-governance, and that only the chains of tyranny can keep them from destroying one another.

PUBLIUS

PUBLIUS





FEDERALIST No. 56. The Same Subject Continued (The Total Number of the House of Representatives)

For the Independent Journal. Saturday, February 16, 1788.

MADISON

MADISON

To the People of the State of New York:

To the people of New York State:

THE SECOND charge against the House of Representatives is, that it will be too small to possess a due knowledge of the interests of its constituents.

THE SECOND charge against the House of Representatives is that it will be too small to have a proper understanding of the interests of its constituents.

As this objection evidently proceeds from a comparison of the proposed number of representatives with the great extent of the United States, the number of their inhabitants, and the diversity of their interests, without taking into view at the same time the circumstances which will distinguish the Congress from other legislative bodies, the best answer that can be given to it will be a brief explanation of these peculiarities.

As this objection clearly comes from comparing the suggested number of representatives with the vast size of the United States, its population, and the range of interests, without considering the factors that will set Congress apart from other legislative bodies, the best response will be a simple explanation of these unique features.

It is a sound and important principle that the representative ought to be acquainted with the interests and circumstances of his constituents. But this principle can extend no further than to those circumstances and interests to which the authority and care of the representative relate. An ignorance of a variety of minute and particular objects, which do not lie within the compass of legislation, is consistent with every attribute necessary to a due performance of the legislative trust. In determining the extent of information required in the exercise of a particular authority, recourse then must be had to the objects within the purview of that authority.

It’s a solid and important principle that a representative should understand the interests and situations of their constituents. However, this principle only applies to the situations and interests that fall under the representative's authority and responsibilities. Not knowing a variety of small and specific issues that aren’t within the scope of legislation does not prevent someone from effectively fulfilling their legislative duties. To determine how much knowledge is needed when exercising a specific authority, we must look at the issues that are relevant to that authority.

What are to be the objects of federal legislation? Those which are of most importance, and which seem most to require local knowledge, are commerce, taxation, and the militia.

What should be the targets of federal legislation? The ones that are most important and seem to need local knowledge the most are commerce, taxation, and the militia.

A proper regulation of commerce requires much information, as has been elsewhere remarked; but as far as this information relates to the laws and local situation of each individual State, a very few representatives would be very sufficient vehicles of it to the federal councils.

A proper regulation of commerce requires a lot of information, as noted before; however, when it comes to information about the laws and local conditions of each individual state, just a few representatives would be more than enough to communicate that to the federal councils.

Taxation will consist, in a great measure, of duties which will be involved in the regulation of commerce. So far the preceding remark is applicable to this object. As far as it may consist of internal collections, a more diffusive knowledge of the circumstances of the State may be necessary. But will not this also be possessed in sufficient degree by a very few intelligent men, diffusively elected within the State? Divide the largest State into ten or twelve districts, and it will be found that there will be no peculiar local interests in either, which will not be within the knowledge of the representative of the district. Besides this source of information, the laws of the State, framed by representatives from every part of it, will be almost of themselves a sufficient guide. In every State there have been made, and must continue to be made, regulations on this subject which will, in many cases, leave little more to be done by the federal legislature, than to review the different laws, and reduce them in one general act. A skillful individual in his closet with all the local codes before him, might compile a law on some subjects of taxation for the whole union, without any aid from oral information, and it may be expected that whenever internal taxes may be necessary, and particularly in cases requiring uniformity throughout the States, the more simple objects will be preferred. To be fully sensible of the facility which will be given to this branch of federal legislation by the assistance of the State codes, we need only suppose for a moment that this or any other State were divided into a number of parts, each having and exercising within itself a power of local legislation. Is it not evident that a degree of local information and preparatory labor would be found in the several volumes of their proceedings, which would very much shorten the labors of the general legislature, and render a much smaller number of members sufficient for it? The federal councils will derive great advantage from another circumstance. The representatives of each State will not only bring with them a considerable knowledge of its laws, and a local knowledge of their respective districts, but will probably in all cases have been members, and may even at the very time be members, of the State legislature, where all the local information and interests of the State are assembled, and from whence they may easily be conveyed by a very few hands into the legislature of the United States.

Taxation will largely involve duties connected to regulating commerce. This point applies to this purpose. If it involves internal collections, there may be a need for broader knowledge about the state's circumstances. But won't this knowledge also be held by a few knowledgeable individuals, widely elected within the state? If you divide a large state into ten or twelve districts, you'll find that there are no unique local interests in each district that the district's representative won’t know about. In addition to this source of information, the state's laws, created by representatives from every part, will almost serve as a sufficient guide on their own. Every state has created, and will continue to create, regulations on this topic, which will often require the federal legislature to do little more than review various laws and consolidate them into one general act. A skilled individual, with all the local codes at hand, could draft a unified law on certain tax matters for the entire union without needing any spoken input. It’s expected that whenever internal taxes are necessary, especially when uniformity across states is required, simpler matters will be prioritized. To understand how much easier this federal legislation branch will be with the help of state codes, consider for a moment if this state, or any other, were divided into several parts, each having local legislative powers. Isn’t it clear that a certain level of local information and groundwork would be found in their various proceedings, significantly easing the workload of the general legislature and reducing the number of members needed? The federal councils will additionally benefit from another factor. The representatives from each state will not only bring substantial knowledge of their laws and local familiarity with their districts but will likely have been members of the state legislature, where all local information and interests gather, and from where they can easily relay that knowledge to the United States legislature with just a few people.

(The observations made on the subject of taxation apply with greater force to the case of the militia. For however different the rules of discipline may be in different States, they are the same throughout each particular State; and depend on circumstances which can differ but little in different parts of the same State.)(E1)

(The observations made on the subject of taxation apply even more strongly to the militia. No matter how different the rules of discipline may be in different states, they are consistent within each individual state; and they are based on circumstances that vary little in different regions of the same state.)(E1)

(With regard to the regulation of the militia, there are scarcely any circumstances in reference to which local knowledge can be said to be necessary. The general face of the country, whether mountainous or level, most fit for the operations of infantry or cavalry, is almost the only consideration of this nature that can occur. The art of war teaches general principles of organization, movement, and discipline, which apply universally.)(E1)

(When it comes to regulating the militia, there are hardly any situations where local knowledge is essential. The overall landscape, whether it's hilly or flat, and which is best suited for infantry or cavalry operations, is about the only factor of this kind that matters. The principles of warfare provide general guidelines for organization, movement, and discipline that are applicable everywhere.)(E1)

The attentive reader will discern that the reasoning here used, to prove the sufficiency of a moderate number of representatives, does not in any respect contradict what was urged on another occasion with regard to the extensive information which the representatives ought to possess, and the time that might be necessary for acquiring it. This information, so far as it may relate to local objects, is rendered necessary and difficult, not by a difference of laws and local circumstances within a single State, but of those among different States. Taking each State by itself, its laws are the same, and its interests but little diversified. A few men, therefore, will possess all the knowledge requisite for a proper representation of them. Were the interests and affairs of each individual State perfectly simple and uniform, a knowledge of them in one part would involve a knowledge of them in every other, and the whole State might be competently represented by a single member taken from any part of it. On a comparison of the different States together, we find a great dissimilarity in their laws, and in many other circumstances connected with the objects of federal legislation, with all of which the federal representatives ought to have some acquaintance. Whilst a few representatives, therefore, from each State, may bring with them a due knowledge of their own State, every representative will have much information to acquire concerning all the other States. The changes of time, as was formerly remarked, on the comparative situation of the different States, will have an assimilating effect. The effect of time on the internal affairs of the States, taken singly, will be just the contrary. At present some of the States are little more than a society of husbandmen. Few of them have made much progress in those branches of industry which give a variety and complexity to the affairs of a nation. These, however, will in all of them be the fruits of a more advanced population, and will require, on the part of each State, a fuller representation. The foresight of the convention has accordingly taken care that the progress of population may be accompanied with a proper increase of the representative branch of the government.

The attentive reader will notice that the reasoning used here to demonstrate the adequacy of a moderate number of representatives does not contradict what was previously stated about the extensive knowledge representatives should have and the time it takes to acquire that knowledge. This information, particularly in relation to local matters, is necessary and challenging not due to differences in laws and local circumstances within a single State, but because of the variations among different States. Each State, when considered individually, has the same laws, and its interests are not vastly different. Therefore, a few individuals will have all the knowledge needed to effectively represent them. If the interests and affairs of each individual State were perfectly straightforward and uniform, understanding them in one area would mean understanding them everywhere, and the entire State could be competently represented by a single member from any part of it. However, when comparing the various States, we find significant differences in their laws and in many other factors relevant to federal legislation, all of which federal representatives should be somewhat familiar with. While a few representatives from each State may bring sufficient knowledge of their own State, each representative will need to learn a lot about all the other States. Changes over time, as previously noted, will have an unifying effect on the different States. Conversely, the impact of time on the internal affairs of the States individually will be quite the opposite. Currently, some States are primarily made up of farmers. Few have made significant progress in the industries that add complexity and variety to a nation's affairs. However, these will naturally emerge with a more advanced population, requiring each State to have a larger representation. The foresight of the convention has ensured that the growth of the population will be matched with a suitable increase in the representative branch of government.

The experience of Great Britain, which presents to mankind so many political lessons, both of the monitory and exemplary kind, and which has been frequently consulted in the course of these inquiries, corroborates the result of the reflections which we have just made. The number of inhabitants in the two kingdoms of England and Scotland cannot be stated at less than eight millions. The representatives of these eight millions in the House of Commons amount to five hundred and fifty-eight. Of this number, one ninth are elected by three hundred and sixty-four persons, and one half, by five thousand seven hundred and twenty-three persons.(1) It cannot be supposed that the half thus elected, and who do not even reside among the people at large, can add any thing either to the security of the people against the government, or to the knowledge of their circumstances and interests in the legislative councils. On the contrary, it is notorious, that they are more frequently the representatives and instruments of the executive magistrate, than the guardians and advocates of the popular rights. They might therefore, with great propriety, be considered as something more than a mere deduction from the real representatives of the nation. We will, however, consider them in this light alone, and will not extend the deduction to a considerable number of others, who do not reside among their constitutents, are very faintly connected with them, and have very little particular knowledge of their affairs. With all these concessions, two hundred and seventy-nine persons only will be the depository of the safety, interest, and happiness of eight millions that is to say, there will be one representative only to maintain the rights and explain the situation of TWENTY-EIGHT THOUSAND SIX HUNDRED AND SEVENTY constitutents, in an assembly exposed to the whole force of executive influence, and extending its authority to every object of legislation within a nation whose affairs are in the highest degree diversified and complicated. Yet it is very certain, not only that a valuable portion of freedom has been preserved under all these circumstances, but that the defects in the British code are chargeable, in a very small proportion, on the ignorance of the legislature concerning the circumstances of the people. Allowing to this case the weight which is due to it, and comparing it with that of the House of Representatives as above explained it seems to give the fullest assurance, that a representative for every THIRTY THOUSAND INHABITANTS will render the latter both a safe and competent guardian of the interests which will be confided to it.

The experience of Great Britain offers many political lessons, both warning and exemplary, and has been frequently referenced in these inquiries, confirming our previous reflections. The population of England and Scotland is at least eight million. The representatives for these eight million in the House of Commons total five hundred and fifty-eight. Of this number, one ninth are elected by three hundred and sixty-four individuals, and half by five thousand seven hundred and twenty-three individuals. It can't be assumed that this half, who don’t even live among the general populace, can contribute anything to the people's security against the government, or understand their circumstances and interests within the legislative councils. On the contrary, it is well-known that they often act more as representatives and tools of the executive than as protectors and advocates of the people's rights. Thus, they could be seen as more than just a trivial subtraction from the true representatives of the nation. We will, however, consider them only in this way and not extend this deduction to a significant number of others who do not live among their constituents, have only weak ties to them, and know very little about their affairs. Even with all these points taken into account, only two hundred seventy-nine individuals will hold the responsibility for the safety, interests, and happiness of eight million people; that is to say, there will be just one representative to uphold the rights and explain the situation of TWENTY-EIGHT THOUSAND SIX HUNDRED AND SEVENTY constituents in an assembly open to the full force of executive influence, which extends its authority to every legislative matter in a nation whose affairs are highly diverse and complicated. Yet, it is clear that a significant amount of freedom has been maintained under these circumstances, and the shortcomings in British law are attributed very little to the legislature’s ignorance of the people’s circumstances. When we give this situation its due weight and compare it to that of the House of Representatives as explained above, it strongly suggests that a representative for every THIRTY THOUSAND INHABITANTS will make it both a safe and capable guardian of the interests that will be entrusted to it.

PUBLIUS

PUBLIUS

1. Burgh's "Political Disquisitions."

Burgh's "Political Discussions."

E1. Two versions of this paragraph appear in different editions.

E1. Two versions of this paragraph appear in different editions.





FEDERALIST No. 57. The Alleged Tendency of the New Plan to Elevate the Few at the Expense of the Many Considered in Connection with Representation.

From the New York Packet. Tuesday, February 19, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE THIRD charge against the House of Representatives is, that it will be taken from that class of citizens which will have least sympathy with the mass of the people, and be most likely to aim at an ambitious sacrifice of the many to the aggrandizement of the few.

THE THIRD charge against the House of Representatives is that it will be made up of citizens who have the least sympathy for the general public and are most likely to pursue an ambitious goal that sacrifices the many for the benefit of the few.

Of all the objections which have been framed against the federal Constitution, this is perhaps the most extraordinary. Whilst the objection itself is levelled against a pretended oligarchy, the principle of it strikes at the very root of republican government.

Of all the criticisms that have been made against the federal Constitution, this one is probably the most unusual. While the criticism is aimed at a supposed oligarchy, its underlying principle actually undermines the foundation of republican government.

The aim of every political constitution is, or ought to be, first to obtain for rulers men who possess most wisdom to discern, and most virtue to pursue, the common good of the society; and in the next place, to take the most effectual precautions for keeping them virtuous whilst they continue to hold their public trust. The elective mode of obtaining rulers is the characteristic policy of republican government. The means relied on in this form of government for preventing their degeneracy are numerous and various. The most effectual one, is such a limitation of the term of appointments as will maintain a proper responsibility to the people.

The goal of any political constitution is, or should be, to first select leaders who have the greatest wisdom to recognize and the highest virtue to pursue the common good of society. Next, it should take effective steps to ensure they remain virtuous while they hold their public office. Electing leaders is a key feature of republican government. There are many different ways to prevent their decline in character in this type of government. The most effective method is to limit the duration of their appointments, ensuring they remain accountable to the people.

Let me now ask what circumstance there is in the constitution of the House of Representatives that violates the principles of republican government, or favors the elevation of the few on the ruins of the many? Let me ask whether every circumstance is not, on the contrary, strictly conformable to these principles, and scrupulously impartial to the rights and pretensions of every class and description of citizens?

Let me now ask what aspect of the House of Representatives' structure goes against the principles of republican government or supports the rise of a few at the expense of the many. Let me inquire whether every aspect is, in fact, fully aligned with these principles and meticulously fair to the rights and claims of all citizens, regardless of their class or background.

Who are to be the electors of the federal representatives? Not the rich, more than the poor; not the learned, more than the ignorant; not the haughty heirs of distinguished names, more than the humble sons of obscurity and unpropitious fortune. The electors are to be the great body of the people of the United States. They are to be the same who exercise the right in every State of electing the corresponding branch of the legislature of the State.

Who will get to vote for the federal representatives? Not the wealthy more than the poor; not the educated more than the uneducated; not the proud heirs of famous names more than the humble children of hardship and bad luck. The voters will be the general population of the United States. They will be the same people who have the right in every state to vote for the equivalent branch of the state legislature.

Who are to be the objects of popular choice? Every citizen whose merit may recommend him to the esteem and confidence of his country. No qualification of wealth, of birth, of religious faith, or of civil profession is permitted to fetter the judgement or disappoint the inclination of the people.

Who should be the subjects of public election? Every citizen whose abilities can earn him the respect and trust of his country. No requirement regarding wealth, birth, religious beliefs, or professional status should limit the judgment or the will of the people.

If we consider the situation of the men on whom the free suffrages of their fellow-citizens may confer the representative trust, we shall find it involving every security which can be devised or desired for their fidelity to their constituents.

If we look at the situation of the men who may receive the trust of representation through the free votes of their fellow citizens, we will see that it includes every possible safeguard that can be created or hoped for to ensure their loyalty to their constituents.

In the first place, as they will have been distinguished by the preference of their fellow-citizens, we are to presume that in general they will be somewhat distinguished also by those qualities which entitle them to it, and which promise a sincere and scrupulous regard to the nature of their engagements.

First of all, since they will have been recognized by their fellow citizens, we can assume that, in general, they will also be somewhat distinguished by the qualities that deserve this recognition and that indicate a genuine and careful consideration of their commitments.

In the second place, they will enter into the public service under circumstances which cannot fail to produce a temporary affection at least to their constituents. There is in every breast a sensibility to marks of honor, of favor, of esteem, and of confidence, which, apart from all considerations of interest, is some pledge for grateful and benevolent returns. Ingratitude is a common topic of declamation against human nature; and it must be confessed that instances of it are but too frequent and flagrant, both in public and in private life. But the universal and extreme indignation which it inspires is itself a proof of the energy and prevalence of the contrary sentiment.

First of all, they will join public service in situations that are bound to create at least a temporary affection for their constituents. Everyone has a sensitivity to signs of honor, favor, esteem, and trust, which, aside from any self-interest, serves as a sort of guarantee for grateful and kind responses. Ingratitude is a common point of criticism against human nature, and it's true that there are many obvious and serious examples of it in both public and private life. However, the widespread and strong outrage it causes is itself proof of the strength and prevalence of the opposite feeling.

In the third place, those ties which bind the representative to his constituents are strengthened by motives of a more selfish nature. His pride and vanity attach him to a form of government which favors his pretensions and gives him a share in its honors and distinctions. Whatever hopes or projects might be entertained by a few aspiring characters, it must generally happen that a great proportion of the men deriving their advancement from their influence with the people, would have more to hope from a preservation of the favor, than from innovations in the government subversive of the authority of the people.

In the third place, the connections that link the representative to their constituents are also reinforced by more self-serving motives. Their pride and vanity make them loyal to a government that supports their ambitions and grants them a share of its honors and recognition. While a few ambitious individuals might have different hopes or plans, most people who rise through their popularity with the public would realistically have more to gain from maintaining that favor than from changes to the government that undermine the authority of the people.

All these securities, however, would be found very insufficient without the restraint of frequent elections. Hence, in the fourth place, the House of Representatives is so constituted as to support in the members an habitual recollection of their dependence on the people. Before the sentiments impressed on their minds by the mode of their elevation can be effaced by the exercise of power, they will be compelled to anticipate the moment when their power is to cease, when their exercise of it is to be reviewed, and when they must descend to the level from which they were raised; there forever to remain unless a faithful discharge of their trust shall have established their title to a renewal of it.

All these securities, however, would be really inadequate without the regular checks of frequent elections. So, in the fourth place, the House of Representatives is set up in a way that keeps its members constantly aware of their reliance on the people. Before the impressions from how they got into their positions fade due to their power, they will have to think about when their power will end, when their actions will be evaluated, and when they must return to the level they came from; there they will stay unless they’ve faithfully fulfilled their responsibilities and earned a chance for renewal.

I will add, as a fifth circumstance in the situation of the House of Representatives, restraining them from oppressive measures, that they can make no law which will not have its full operation on themselves and their friends, as well as on the great mass of the society. This has always been deemed one of the strongest bonds by which human policy can connect the rulers and the people together. It creates between them that communion of interests and sympathy of sentiments, of which few governments have furnished examples; but without which every government degenerates into tyranny. If it be asked, what is to restrain the House of Representatives from making legal discriminations in favor of themselves and a particular class of the society? I answer: the genius of the whole system; the nature of just and constitutional laws; and above all, the vigilant and manly spirit which actuates the people of America—a spirit which nourishes freedom, and in return is nourished by it.

I want to add, as a fifth point regarding the situation of the House of Representatives that keeps them from oppressive actions, that they can’t make any law that doesn’t fully apply to them and their friends, just as it does to the vast majority of society. This has always been considered one of the strongest connections between rulers and the people. It fosters a shared interest and mutual understanding that very few governments have managed to create; without it, any government tends to turn into tyranny. If someone asks what prevents the House of Representatives from making laws that favor themselves and a specific class in society, I would say: the principles of the entire system, the nature of fair and constitutional laws, and above all, the alert and strong spirit of the American people—a spirit that supports freedom and, in turn, is sustained by it.

If this spirit shall ever be so far debased as to tolerate a law not obligatory on the legislature, as well as on the people, the people will be prepared to tolerate any thing but liberty.

If this spirit ever gets so low that it can accept a law that doesn't apply to the legislature as well as to the people, the people will be ready to put up with anything except for freedom.

Such will be the relation between the House of Representatives and their constituents. Duty, gratitude, interest, ambition itself, are the chords by which they will be bound to fidelity and sympathy with the great mass of the people. It is possible that these may all be insufficient to control the caprice and wickedness of man. But are they not all that government will admit, and that human prudence can devise? Are they not the genuine and the characteristic means by which republican government provides for the liberty and happiness of the people? Are they not the identical means on which every State government in the Union relies for the attainment of these important ends? What then are we to understand by the objection which this paper has combated? What are we to say to the men who profess the most flaming zeal for republican government, yet boldly impeach the fundamental principle of it; who pretend to be champions for the right and the capacity of the people to choose their own rulers, yet maintain that they will prefer those only who will immediately and infallibly betray the trust committed to them?

The relationship between the House of Representatives and their constituents will be based on duty, gratitude, interest, and even ambition, which will connect them to being loyal and sympathetic to the people. It’s possible that these connections might not be enough to manage the unpredictability and wrongdoing of individuals. But aren't these the only things that a government can rely on and that human wisdom can come up with? Aren't they the real, defining ways that a republican government ensures the freedom and happiness of its citizens? Aren't they the same means that every state government in the Union uses to achieve these crucial goals? So what are we supposed to make of the objections that this paper has addressed? What can we say to those who claim to be fiercely supportive of republican government but then challenge its fundamental principles; who say they defend the people’s right and ability to choose their own leaders, yet insist that they will only support those who will certainly betray the trust placed in them?

Were the objection to be read by one who had not seen the mode prescribed by the Constitution for the choice of representatives, he could suppose nothing less than that some unreasonable qualification of property was annexed to the right of suffrage; or that the right of eligibility was limited to persons of particular families or fortunes; or at least that the mode prescribed by the State constitutions was in some respect or other, very grossly departed from. We have seen how far such a supposition would err, as to the two first points. Nor would it, in fact, be less erroneous as to the last. The only difference discoverable between the two cases is, that each representative of the United States will be elected by five or six thousand citizens; whilst in the individual States, the election of a representative is left to about as many hundreds. Will it be pretended that this difference is sufficient to justify an attachment to the State governments, and an abhorrence to the federal government? If this be the point on which the objection turns, it deserves to be examined.

If someone were to read the objection without understanding how the Constitution outlines the selection of representatives, they might think that there are unreasonable property requirements for the right to vote, or that only people from certain families or with specific wealth could be eligible, or at least that the process set by the state constitutions significantly deviates from what it should be. We have seen how incorrect such assumptions would be for the first two points. It would also be just as wrong regarding the last one. The only noticeable difference between the two situations is that each representative of the United States will be elected by about five or six thousand citizens, while in the individual states, the election of a representative involves just a few hundred. Is it really claimed that this difference is enough to warrant a preference for state governments and a dislike for the federal government? If this is the issue at hand, it certainly deserves further examination.

Is it supported by REASON? This cannot be said, without maintaining that five or six thousand citizens are less capable of choosing a fit representative, or more liable to be corrupted by an unfit one, than five or six hundred. Reason, on the contrary, assures us, that as in so great a number a fit representative would be most likely to be found, so the choice would be less likely to be diverted from him by the intrigues of the ambitious or the ambitious or the bribes of the rich.

Is it backed by REASON? This can't be claimed without saying that five or six thousand citizens are less capable of picking a suitable representative, or more likely to be corrupted by an unsuitable one, than five or six hundred. On the contrary, Reason tells us that in such a large group, a suitable representative is more likely to be found, and the choice is less likely to be swayed by the schemes of the ambitious or the bribes of the wealthy.

Is the CONSEQUENCE from this doctrine admissible? If we say that five or six hundred citizens are as many as can jointly exercise their right of suffrage, must we not deprive the people of the immediate choice of their public servants, in every instance where the administration of the government does not require as many of them as will amount to one for that number of citizens?

Is the consequence of this doctrine acceptable? If we claim that five or six hundred citizens is the maximum number that can collectively exercise their right to vote, do we not have to take away the people’s ability to directly choose their public officials whenever the government’s administration doesn’t require as many officials as there are citizens?

Is the doctrine warranted by FACTS? It was shown in the last paper, that the real representation in the British House of Commons very little exceeds the proportion of one for every thirty thousand inhabitants. Besides a variety of powerful causes not existing here, and which favor in that country the pretensions of rank and wealth, no person is eligible as a representative of a county, unless he possess real estate of the clear value of six hundred pounds sterling per year; nor of a city or borough, unless he possess a like estate of half that annual value. To this qualification on the part of the county representatives is added another on the part of the county electors, which restrains the right of suffrage to persons having a freehold estate of the annual value of more than twenty pounds sterling, according to the present rate of money. Notwithstanding these unfavorable circumstances, and notwithstanding some very unequal laws in the British code, it cannot be said that the representatives of the nation have elevated the few on the ruins of the many.

Is the doctrine backed by FACTS? The previous paper showed that the actual representation in the British House of Commons is just a bit better than one representative for every thirty thousand people. Besides a range of strong factors that don’t exist here and that support the claims of rank and wealth in that country, no one can be a representative of a county unless they own real estate worth at least six hundred pounds sterling a year; and for a city or borough, they need a property worth half that amount annually. In addition to this requirement for county representatives, there's another rule for county voters that limits the right to vote to those who have a freehold property worth more than twenty pounds sterling a year, based on the current currency value. Despite these challenges and some very unfair laws in the British system, it's not accurate to say that the representatives of the nation have lifted the few up at the expense of the many.

But we need not resort to foreign experience on this subject. Our own is explicit and decisive. The districts in New Hampshire in which the senators are chosen immediately by the people, are nearly as large as will be necessary for her representatives in the Congress. Those of Massachusetts are larger than will be necessary for that purpose; and those of New York still more so. In the last State the members of Assembly for the cities and counties of New York and Albany are elected by very nearly as many voters as will be entitled to a representative in the Congress, calculating on the number of sixty-five representatives only. It makes no difference that in these senatorial districts and counties a number of representatives are voted for by each elector at the same time. If the same electors at the same time are capable of choosing four or five representatives, they cannot be incapable of choosing one. Pennsylvania is an additional example. Some of her counties, which elect her State representatives, are almost as large as her districts will be by which her federal representatives will be elected. The city of Philadelphia is supposed to contain between fifty and sixty thousand souls. It will therefore form nearly two districts for the choice of federal representatives. It forms, however, but one county, in which every elector votes for each of its representatives in the State legislature. And what may appear to be still more directly to our purpose, the whole city actually elects a SINGLE MEMBER for the executive council. This is the case in all the other counties of the State.

But we don’t need to look to other countries for examples on this topic. Our own situation is clear and decisive. The districts in New Hampshire, where senators are elected directly by the people, are almost as large as what will be needed for representatives in Congress. Massachusetts districts are larger than necessary for that purpose, and New York's are even bigger. In New York, the Assembly members for the cities and counties of New York and Albany are elected by nearly as many voters as will be allowed for a representative in Congress, based on the calculation of only sixty-five representatives. It doesn’t matter that in these senatorial districts and counties, voters choose multiple representatives at once. If the same voters can choose four or five representatives at the same time, they are more than capable of choosing one. Pennsylvania provides another example. Some of its counties, which elect state representatives, are almost as large as the districts that will elect federal representatives. The city of Philadelphia is estimated to have between fifty and sixty thousand residents. It will therefore create nearly two districts for the election of federal representatives. However, it only forms one county, where every voter casts a ballot for each of its State legislature representatives. What may be even more relevant is that the entire city actually elects a SINGLE MEMBER for the executive council. This also applies to all the other counties in the state.

Are not these facts the most satisfactory proofs of the fallacy which has been employed against the branch of the federal government under consideration? Has it appeared on trial that the senators of New Hampshire, Massachusetts, and New York, or the executive council of Pennsylvania, or the members of the Assembly in the two last States, have betrayed any peculiar disposition to sacrifice the many to the few, or are in any respect less worthy of their places than the representatives and magistrates appointed in other States by very small divisions of the people?

Aren't these facts the best evidence of the mistake that's been used against this part of the federal government? Has it been shown that the senators from New Hampshire, Massachusetts, and New York, or the executive council of Pennsylvania, or the members of the Assembly in the last two states, have shown any special tendency to put the needs of the few over the many, or are they in any way less deserving of their positions than the representatives and officials selected in other states by very small groups of people?

But there are cases of a stronger complexion than any which I have yet quoted. One branch of the legislature of Connecticut is so constituted that each member of it is elected by the whole State. So is the governor of that State, of Massachusetts, and of this State, and the president of New Hampshire. I leave every man to decide whether the result of any one of these experiments can be said to countenance a suspicion, that a diffusive mode of choosing representatives of the people tends to elevate traitors and to undermine the public liberty.

But there are examples that are stronger than any I’ve mentioned so far. One part of the legislature in Connecticut is set up so that every member is elected by the entire state. The same goes for the governors of Connecticut, Massachusetts, and this state, as well as the president of New Hampshire. I’ll let each person decide whether the outcome of any of these situations suggests that a widespread method of choosing representatives can lead to bringing in traitors and undermining public liberty.

PUBLIUS

PUBLIUS





FEDERALIST No. 58. Objection That The Number of Members Will Not Be Augmented as the Progress of Population Demands.

Considered For the Independent Journal Wednesday, February 20, 1788.

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

THE remaining charge against the House of Representatives, which I am to examine, is grounded on a supposition that the number of members will not be augmented from time to time, as the progress of population may demand.

THE remaining charge against the House of Representatives, which I am to examine, is based on the assumption that the number of members will not increase over time, as needed by the growth of the population.

It has been admitted, that this objection, if well supported, would have great weight. The following observations will show that, like most other objections against the Constitution, it can only proceed from a partial view of the subject, or from a jealousy which discolors and disfigures every object which is beheld.

It has been acknowledged that this objection, if properly supported, would carry significant weight. The following points will demonstrate that, like many other objections to the Constitution, it only comes from a limited perspective or from a bias that distorts and tarnishes everything it sees.

1. Those who urge the objection seem not to have recollected that the federal Constitution will not suffer by a comparison with the State constitutions, in the security provided for a gradual augmentation of the number of representatives. The number which is to prevail in the first instance is declared to be temporary. Its duration is limited to the short term of three years.

1. Those who bring up the objection seem to have forgotten that the federal Constitution can hold its own against the State constitutions when it comes to ensuring a gradual increase in the number of representatives. The initial number is stated to be temporary, with a limited duration of just three years.

Within every successive term of ten years a census of inhabitants is to be repeated. The unequivocal objects of these regulations are, first, to readjust, from time to time, the apportionment of representatives to the number of inhabitants, under the single exception that each State shall have one representative at least; secondly, to augment the number of representatives at the same periods, under the sole limitation that the whole number shall not exceed one for every thirty thousand inhabitants. If we review the constitutions of the several States, we shall find that some of them contain no determinate regulations on this subject, that others correspond pretty much on this point with the federal Constitution, and that the most effectual security in any of them is resolvable into a mere directory provision.

Every ten years, a census of the population will be conducted. The clear goals of these rules are, first, to periodically adjust the distribution of representatives based on the population, with the only exception being that each state must have at least one representative; second, to increase the number of representatives at these intervals, with the limitation that the total number cannot exceed one representative for every thirty thousand residents. If we look at the constitutions of the various states, we will see that some have no specific regulations on this issue, while others generally align with the federal Constitution on this matter, and the most effective guarantee in any of them boils down to a simple guideline.

2. As far as experience has taken place on this subject, a gradual increase of representatives under the State constitutions has at least kept pace with that of the constituents, and it appears that the former have been as ready to concur in such measures as the latter have been to call for them.

2. Based on what we know about this topic, the number of representatives under the State constitutions has gradually increased alongside the number of constituents, and it seems that the representatives have been just as willing to support these initiatives as the constituents have been to demand them.

3. There is a peculiarity in the federal Constitution which insures a watchful attention in a majority both of the people and of their representatives to a constitutional augmentation of the latter. The peculiarity lies in this, that one branch of the legislature is a representation of citizens, the other of the States: in the former, consequently, the larger States will have most weight; in the latter, the advantage will be in favor of the smaller States. From this circumstance it may with certainty be inferred that the larger States will be strenuous advocates for increasing the number and weight of that part of the legislature in which their influence predominates. And it so happens that four only of the largest will have a majority of the whole votes in the House of Representatives. Should the representatives or people, therefore, of the smaller States oppose at any time a reasonable addition of members, a coalition of a very few States will be sufficient to overrule the opposition; a coalition which, notwithstanding the rivalship and local prejudices which might prevent it on ordinary occasions, would not fail to take place, when not merely prompted by common interest, but justified by equity and the principles of the Constitution.

3. There's a unique aspect of the federal Constitution that ensures both the people and their representatives pay close attention to constitutional growth. This uniqueness comes from the fact that one branch of the legislature represents citizens while the other represents the States. In the first branch, the larger States have more power, while in the second, smaller States have the advantage. From this, we can safely assume that the larger States will strongly push for increasing the number and influence of the legislative part where they have more sway. It just so happens that only four of the largest States will hold a majority of votes in the House of Representatives. So, if the representatives or people of the smaller States ever oppose a reasonable increase in members, it would only take a coalition of a few States to override that opposition; a coalition that, despite any rivalries or local biases that might usually prevent it, would come together when driven not just by common interest but also by fairness and the principles of the Constitution.

It may be alleged, perhaps, that the Senate would be prompted by like motives to an adverse coalition; and as their concurrence would be indispensable, the just and constitutional views of the other branch might be defeated. This is the difficulty which has probably created the most serious apprehensions in the jealous friends of a numerous representation. Fortunately it is among the difficulties which, existing only in appearance, vanish on a close and accurate inspection. The following reflections will, if I mistake not, be admitted to be conclusive and satisfactory on this point.

It might be claimed that the Senate could be motivated to form a negative coalition, and since their agreement would be essential, the fair and constitutional perspectives of the other branch could be undermined. This issue has likely caused the greatest concern among those who are protective of a large representation. Fortunately, this is one of those challenges that, while seeming significant, disappears upon closer examination. The following thoughts will, if I’m not mistaken, be seen as definitive and reassuring on this matter.

Notwithstanding the equal authority which will subsist between the two houses on all legislative subjects, except the originating of money bills, it cannot be doubted that the House, composed of the greater number of members, when supported by the more powerful States, and speaking the known and determined sense of a majority of the people, will have no small advantage in a question depending on the comparative firmness of the two houses.

Despite the equal power that will exist between the two houses on all legislative matters, except for the initiation of money bills, it’s clear that the House, made up of more members, when backed by the stronger States and reflecting the clear opinion of the majority of the people, will have a significant advantage in any issue that relies on the relative strength of the two houses.

This advantage must be increased by the consciousness, felt by the same side of being supported in its demands by right, by reason, and by the Constitution; and the consciousness, on the opposite side, of contending against the force of all these solemn considerations.

This advantage must be amplified by the awareness on one side of being backed in its demands by right, by reason, and by the Constitution; and the awareness on the other side of fighting against the weight of all these serious factors.

It is farther to be considered, that in the gradation between the smallest and largest States, there are several, which, though most likely in general to arrange themselves among the former are too little removed in extent and population from the latter, to second an opposition to their just and legitimate pretensions. Hence it is by no means certain that a majority of votes, even in the Senate, would be unfriendly to proper augmentations in the number of representatives.

It should also be noted that in the range between the smallest and largest states, there are several that, while generally more likely to be grouped with the smaller states, are too similar in size and population to the larger ones to effectively oppose their rightful claims. Therefore, it is not at all certain that a majority of votes, even in the Senate, would be against reasonable increases in the number of representatives.

It will not be looking too far to add, that the senators from all the new States may be gained over to the just views of the House of Representatives, by an expedient too obvious to be overlooked. As these States will, for a great length of time, advance in population with peculiar rapidity, they will be interested in frequent reapportionments of the representatives to the number of inhabitants. The large States, therefore, who will prevail in the House of Representatives, will have nothing to do but to make reapportionments and augmentations mutually conditions of each other; and the senators from all the most growing States will be bound to contend for the latter, by the interest which their States will feel in the former.

It's not difficult to say that the senators from all the new States can be swayed to support the fair ideas of the House of Representatives through a method that's too obvious to ignore. Since these States will experience significant population growth for a long time, they will be invested in frequent reapportionments of representatives based on how many people live there. Therefore, the larger States, which will dominate the House of Representatives, will only need to make reapportionments and increases conditionally dependent on each other; and the senators from the fastest-growing States will have a strong incentive to push for the latter, driven by the interests their States have in the former.

These considerations seem to afford ample security on this subject, and ought alone to satisfy all the doubts and fears which have been indulged with regard to it. Admitting, however, that they should all be insufficient to subdue the unjust policy of the smaller States, or their predominant influence in the councils of the Senate, a constitutional and infallible resource still remains with the larger States, by which they will be able at all times to accomplish their just purposes. The House of Representatives cannot only refuse, but they alone can propose, the supplies requisite for the support of government. They, in a word, hold the purse—that powerful instrument by which we behold, in the history of the British Constitution, an infant and humble representation of the people gradually enlarging the sphere of its activity and importance, and finally reducing, as far as it seems to have wished, all the overgrown prerogatives of the other branches of the government. This power over the purse may, in fact, be regarded as the most complete and effectual weapon with which any constitution can arm the immediate representatives of the people, for obtaining a redress of every grievance, and for carrying into effect every just and salutary measure.

These thoughts provide a solid foundation on this topic and should alleviate any doubts or fears surrounding it. However, even if these considerations fall short of curbing the unfair policies of smaller states or their dominant influence in the Senate, the larger states still have a constitutional and reliable means to achieve their rightful goals. The House of Representatives not only has the power to refuse but is also the only body that can propose the funding necessary to support the government. In short, they control the purse—an influential tool that we see in the history of the British Constitution, where a modest and emerging representation of the people gradually expanded its role and significance, ultimately aiming to limit the excessive powers of the other branches of government. This control over finances can truly be seen as the most effective and complete resource that any constitution can provide to the direct representatives of the people for addressing grievances and implementing just and beneficial initiatives.

But will not the House of Representatives be as much interested as the Senate in maintaining the government in its proper functions, and will they not therefore be unwilling to stake its existence or its reputation on the pliancy of the Senate? Or, if such a trial of firmness between the two branches were hazarded, would not the one be as likely first to yield as the other? These questions will create no difficulty with those who reflect that in all cases the smaller the number, and the more permanent and conspicuous the station, of men in power, the stronger must be the interest which they will individually feel in whatever concerns the government. Those who represent the dignity of their country in the eyes of other nations, will be particularly sensible to every prospect of public danger, or of dishonorable stagnation in public affairs. To those causes we are to ascribe the continual triumph of the British House of Commons over the other branches of the government, whenever the engine of a money bill has been employed. An absolute inflexibility on the side of the latter, although it could not have failed to involve every department of the state in the general confusion, has neither been apprehended nor experienced. The utmost degree of firmness that can be displayed by the federal Senate or President, will not be more than equal to a resistance in which they will be supported by constitutional and patriotic principles.

But won't the House of Representatives care as much as the Senate about keeping the government running properly? Would they really want to risk its survival or their reputation based on the Senate's flexibility? Or if there was a test of strength between the two branches, wouldn't one be just as likely to give in as the other? These questions shouldn’t be hard for those who realize that, in any case, the fewer people there are in power, and the more permanent and prominent their positions, the stronger their personal interest will be in whatever affects the government. Those who represent their country’s dignity to other nations will especially be aware of any potential public danger or stagnation in government affairs. We can attribute the continuous success of the British House of Commons over the other government branches, especially when it comes to money bills, to these factors. An absolute stubbornness from the latter, even though it would have thrown every part of the state into chaos, has neither been feared nor experienced. The strongest resistance that the federal Senate or President can show will only be as effective as the support they get from constitutional and patriotic principles.

In this review of the Constitution of the House of Representatives, I have passed over the circumstances of economy, which, in the present state of affairs, might have had some effect in lessening the temporary number of representatives, and a disregard of which would probably have been as rich a theme of declamation against the Constitution as has been shown by the smallness of the number proposed. I omit also any remarks on the difficulty which might be found, under present circumstances, in engaging in the federal service a large number of such characters as the people will probably elect. One observation, however, I must be permitted to add on this subject as claiming, in my judgment, a very serious attention. It is, that in all legislative assemblies the greater the number composing them may be, the fewer will be the men who will in fact direct their proceedings. In the first place, the more numerous an assembly may be, of whatever characters composed, the greater is known to be the ascendency of passion over reason. In the next place, the larger the number, the greater will be the proportion of members of limited information and of weak capacities. Now, it is precisely on characters of this description that the eloquence and address of the few are known to act with all their force. In the ancient republics, where the whole body of the people assembled in person, a single orator, or an artful statesman, was generally seen to rule with as complete a sway as if a sceptre had been placed in his single hand. On the same principle, the more multitudinous a representative assembly may be rendered, the more it will partake of the infirmities incident to collective meetings of the people. Ignorance will be the dupe of cunning, and passion the slave of sophistry and declamation. The people can never err more than in supposing that by multiplying their representatives beyond a certain limit, they strengthen the barrier against the government of a few. Experience will forever admonish them that, on the contrary, AFTER SECURING A SUFFICIENT NUMBER FOR THE PURPOSES OF SAFETY, OF LOCAL INFORMATION, AND OF DIFFUSIVE SYMPATHY WITH THE WHOLE SOCIETY, they will counteract their own views by every addition to their representatives. The countenance of the government may become more democratic, but the soul that animates it will be more oligarchic. The machine will be enlarged, but the fewer, and often the more secret, will be the springs by which its motions are directed.

In this review of the Constitution of the House of Representatives, I’ve skipped over economic factors that, given the current situation, might have reduced the temporary number of representatives. Ignoring this would likely have provided as much material for criticism against the Constitution as the small number proposed. I’m also leaving out any comments on the challenges that might arise, under current conditions, in attracting a significant number of the types of individuals that voters are likely to elect. However, I must add one point that, in my opinion, deserves serious consideration. It is that in all legislative bodies, as the number of members increases, fewer individuals will actually direct their activities. First, the larger the assembly, regardless of who makes it up, the more passion tends to overshadow reason. Secondly, with a larger group, there will be a higher proportion of members with limited knowledge and weaker abilities. It is precisely on individuals like these that the eloquence and skill of a few will exert their full influence. In ancient republics, when the entire populace gathered in person, a single orator or crafty politician often wielded power as if they held a scepter. Following the same logic, the more numerous a representative assembly becomes, the more it will display the weaknesses typical of large gatherings of people. Ignorance will fall victim to deceit, and passion will be controlled by manipulation and rhetoric. People can err greatly by thinking that increasing their number of representatives past a certain point strengthens the checks against a few governing them. Experience will continually remind them that, on the contrary, AFTER ENSURING A SUFFICIENT NUMBER FOR SAFETY, LOCAL KNOWLEDGE, AND BROAD EMPATHY WITH THE SOCIETY AS A WHOLE, they will undermine their own goals with every additional representative. The appearance of the government may become more democratic, but its essence will lean more toward oligarchy. The mechanism will expand, but there will be fewer, and often more hidden, forces directing its movements.

As connected with the objection against the number of representatives, may properly be here noticed, that which has been suggested against the number made competent for legislative business. It has been said that more than a majority ought to have been required for a quorum; and in particular cases, if not in all, more than a majority of a quorum for a decision. That some advantages might have resulted from such a precaution, cannot be denied. It might have been an additional shield to some particular interests, and another obstacle generally to hasty and partial measures. But these considerations are outweighed by the inconveniences in the opposite scale. In all cases where justice or the general good might require new laws to be passed, or active measures to be pursued, the fundamental principle of free government would be reversed. It would be no longer the majority that would rule: the power would be transferred to the minority. Were the defensive privilege limited to particular cases, an interested minority might take advantage of it to screen themselves from equitable sacrifices to the general weal, or, in particular emergencies, to extort unreasonable indulgences. Lastly, it would facilitate and foster the baneful practice of secessions; a practice which has shown itself even in States where a majority only is required; a practice subversive of all the principles of order and regular government; a practice which leads more directly to public convulsions, and the ruin of popular governments, than any other which has yet been displayed among us.

Regarding the objection to the number of representatives, it's worth noting the concerns raised about the number deemed sufficient for legislative work. Some have argued that more than a simple majority should be required for a quorum; and in certain situations, if not all, more than a majority of that quorum for a decision. While it’s true that there could be some benefits from this approach—like providing extra protection for specific interests and acting as a barrier against rushed or biased decisions—these benefits are outweighed by the drawbacks it presents. In scenarios where justice or the common good necessitates new laws or proactive measures, the core principle of a free government would be undermined. It wouldn’t be the majority in charge anymore; instead, power would shift to the minority. If the defensive privilege were restricted to specific cases, a self-interested minority could exploit this to avoid fair contributions to the common good or, during emergencies, to demand unreasonable concessions. Finally, it would encourage the harmful practice of secessions, an issue that has emerged even in states where only a majority is needed. This practice undermines the very principles of order and regular governance and leads more directly to public upheaval and the downfall of democratic governments than any other issue we have encountered.

PUBLIUS

PUBLIUS





FEDERALIST No. 59. Concerning the Power of Congress to Regulate the Election of Members

From the New York Packet. Friday, February 22, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE natural order of the subject leads us to consider, in this place, that provision of the Constitution which authorizes the national legislature to regulate, in the last resort, the election of its own members. It is in these words: "The TIMES, PLACES, and MANNER of holding elections for senators and representatives shall be prescribed in each State by the legislature thereof; but the Congress may, at any time, by law, make or alter SUCH REGULATIONS, except as to the PLACES of choosing senators."(1) This provision has not only been declaimed against by those who condemn the Constitution in the gross, but it has been censured by those who have objected with less latitude and greater moderation; and, in one instance it has been thought exceptionable by a gentleman who has declared himself the advocate of every other part of the system.

The natural order of the subject leads us to consider here the part of the Constitution that allows the national legislature to regulate, ultimately, the election of its own members. It states: "The TIMES, PLACES, and MANNER of holding elections for senators and representatives shall be prescribed in each State by the legislature thereof; but the Congress may, at any time, by law, make or alter SUCH REGULATIONS, except as to the PLACES of choosing senators." This provision has been criticized not only by those who oppose the Constitution as a whole but also by others who have raised more specific and measured objections. In one case, it has been deemed problematic by an individual who has supported every other part of the system.

I am greatly mistaken, notwithstanding, if there be any article in the whole plan more completely defensible than this. Its propriety rests upon the evidence of this plain proposition, that EVERY GOVERNMENT OUGHT TO CONTAIN IN ITSELF THE MEANS OF ITS OWN PRESERVATION. Every just reasoner will, at first sight, approve an adherence to this rule, in the work of the convention; and will disapprove every deviation from it which may not appear to have been dictated by the necessity of incorporating into the work some particular ingredient, with which a rigid conformity to the rule was incompatible. Even in this case, though he may acquiesce in the necessity, yet he will not cease to regard and to regret a departure from so fundamental a principle, as a portion of imperfection in the system which may prove the seed of future weakness, and perhaps anarchy.

I am seriously mistaken, however, if there’s any part of the entire plan that is more completely defensible than this. Its appropriateness is based on the clear idea that EVERY GOVERNMENT SHOULD HAVE THE MEANS TO PRESERVE ITSELF. Every reasonable person will, at first glance, support sticking to this rule in the convention's work and will reject any deviation from it unless it seems necessary to include a specific element that can't strictly conform to the rule. Even in that situation, while they may accept the necessity, they will still see and regret a departure from such a fundamental principle as a flaw in the system that could lead to future weakness and possibly even chaos.

It will not be alleged, that an election law could have been framed and inserted in the Constitution, which would have been always applicable to every probable change in the situation of the country; and it will therefore not be denied, that a discretionary power over elections ought to exist somewhere. It will, I presume, be as readily conceded, that there were only three ways in which this power could have been reasonably modified and disposed: that it must either have been lodged wholly in the national legislature, or wholly in the State legislatures, or primarily in the latter and ultimately in the former. The last mode has, with reason, been preferred by the convention. They have submitted the regulation of elections for the federal government, in the first instance, to the local administrations; which, in ordinary cases, and when no improper views prevail, may be both more convenient and more satisfactory; but they have reserved to the national authority a right to interpose, whenever extraordinary circumstances might render that interposition necessary to its safety.

It can’t be claimed that an election law could have been created and included in the Constitution that would always apply to every potential change in the country’s situation; therefore, it’s reasonable to agree that some kind of discretionary power over elections needs to exist. It’s also fair to say that there are only three ways this power could have been reasonably structured: it could be entirely placed in the national legislature, entirely in the state legislatures, or mostly in the latter and ultimately in the former. The convention wisely chose the last option. They decided to hand over the regulation of elections for the federal government to the local administrations first, which can often be more convenient and satisfactory in regular circumstances when no improper motives are at play; however, they also reserved the right for the national authority to step in whenever extraordinary situations make that intervention necessary for its safety.

Nothing can be more evident, than that an exclusive power of regulating elections for the national government, in the hands of the State legislatures, would leave the existence of the Union entirely at their mercy. They could at any moment annihilate it, by neglecting to provide for the choice of persons to administer its affairs. It is to little purpose to say, that a neglect or omission of this kind would not be likely to take place. The constitutional possibility of the thing, without an equivalent for the risk, is an unanswerable objection. Nor has any satisfactory reason been yet assigned for incurring that risk. The extravagant surmises of a distempered jealousy can never be dignified with that character. If we are in a humor to presume abuses of power, it is as fair to presume them on the part of the State governments as on the part of the general government. And as it is more consonant to the rules of a just theory, to trust the Union with the care of its own existence, than to transfer that care to any other hands, if abuses of power are to be hazarded on the one side or on the other, it is more rational to hazard them where the power would naturally be placed, than where it would unnaturally be placed.

Nothing is more clear than that if state legislatures had exclusive power to regulate elections for the national government, the existence of the Union would completely depend on them. They could completely destroy it at any moment by failing to set up a process for choosing people to run its affairs. It's pointless to argue that such neglect or omission is unlikely to happen. The mere possibility of this scenario, without a valid reason to accept the risk, is an undeniable objection. No convincing rationale has been given for taking on that risk. The baseless fears stemming from an unhinged jealousy can never be regarded as legitimate. If we're inclined to assume abuses of power, it's just as reasonable to expect them from state governments as it is from the national government. And since it aligns better with the principles of fairness to let the Union manage its own existence rather than handing that responsibility over to others, if abuses of power are a concern on either side, it makes more sense to take that risk where authority naturally belongs rather than where it doesn't.

Suppose an article had been introduced into the Constitution, empowering the United States to regulate the elections for the particular States, would any man have hesitated to condemn it, both as an unwarrantable transposition of power, and as a premeditated engine for the destruction of the State governments? The violation of principle, in this case, would have required no comment; and, to an unbiased observer, it will not be less apparent in the project of subjecting the existence of the national government, in a similar respect, to the pleasure of the State governments. An impartial view of the matter cannot fail to result in a conviction, that each, as far as possible, ought to depend on itself for its own preservation.

If an article had been added to the Constitution allowing the United States to control elections in individual States, would anyone have hesitated to criticize it as an unjust transfer of power and a deliberate attempt to undermine State governments? The breach of principle in this case would need no explanation; and, to an unbiased observer, it would be just as clear in the idea of making the existence of the national government dependent on the whims of the State governments. A fair assessment of the situation would surely lead to the conclusion that each should, as much as possible, rely on itself for its own survival.

As an objection to this position, it may be remarked that the constitution of the national Senate would involve, in its full extent, the danger which it is suggested might flow from an exclusive power in the State legislatures to regulate the federal elections. It may be alleged, that by declining the appointment of Senators, they might at any time give a fatal blow to the Union; and from this it may be inferred, that as its existence would be thus rendered dependent upon them in so essential a point, there can be no objection to intrusting them with it in the particular case under consideration. The interest of each State, it may be added, to maintain its representation in the national councils, would be a complete security against an abuse of the trust.

As an objection to this viewpoint, it could be pointed out that the setup of the national Senate would fully expose the risk that is suggested might arise from giving the State legislatures exclusive control over federal elections. It could be claimed that by refusing to appoint Senators, they could potentially deal a serious blow to the Union at any time; from this, one might conclude that since its existence would be so heavily dependent on them in such a crucial area, there’s no reason not to trust them with it in the specific situation being discussed. Additionally, each State's interest in keeping its representation in the national decision-making bodies would serve as a strong safeguard against any misuse of that power.

This argument, though specious, will not, upon examination, be found solid. It is certainly true that the State legislatures, by forbearing the appointment of senators, may destroy the national government. But it will not follow that, because they have a power to do this in one instance, they ought to have it in every other. There are cases in which the pernicious tendency of such a power may be far more decisive, without any motive equally cogent with that which must have regulated the conduct of the convention in respect to the formation of the Senate, to recommend their admission into the system. So far as that construction may expose the Union to the possibility of injury from the State legislatures, it is an evil; but it is an evil which could not have been avoided without excluding the States, in their political capacities, wholly from a place in the organization of the national government. If this had been done, it would doubtless have been interpreted into an entire dereliction of the federal principle; and would certainly have deprived the State governments of that absolute safeguard which they will enjoy under this provision. But however wise it may have been to have submitted in this instance to an inconvenience, for the attainment of a necessary advantage or a greater good, no inference can be drawn from thence to favor an accumulation of the evil, where no necessity urges, nor any greater good invites.

This argument, while misleading, won't hold up under scrutiny. It's true that state legislatures could potentially undermine the national government by not appointing senators. However, just because they have the power to do this in one case doesn't mean they should have it in every situation. There are instances where the harmful effects of such power could be much more serious, without any compelling reason as strong as the one that guided the convention in creating the Senate, to justify their inclusion in the system. While that interpretation might expose the Union to risks from state legislatures, it's a problem that couldn’t have been avoided without completely excluding the states from any role in the national government. If that had happened, it would have been seen as a total abandonment of the federal principle and would certainly have taken away the essential protection that state governments will have under this arrangement. However wise it may have been to accept this inconvenience for the sake of a necessary advantage or a greater good, no conclusions should be drawn that support allowing more evil when there’s no urgent necessity or greater good involved.

It may be easily discerned also that the national government would run a much greater risk from a power in the State legislatures over the elections of its House of Representatives, than from their power of appointing the members of its Senate. The senators are to be chosen for the period of six years; there is to be a rotation, by which the seats of a third part of them are to be vacated and replenished every two years; and no State is to be entitled to more than two senators; a quorum of the body is to consist of sixteen members. The joint result of these circumstances would be, that a temporary combination of a few States to intermit the appointment of senators, could neither annul the existence nor impair the activity of the body; and it is not from a general and permanent combination of the States that we can have any thing to fear. The first might proceed from sinister designs in the leading members of a few of the State legislatures; the last would suppose a fixed and rooted disaffection in the great body of the people, which will either never exist at all, or will, in all probability, proceed from an experience of the inaptitude of the general government to the advancement of their happiness in which event no good citizen could desire its continuance.

It's clear that the national government would face much greater risk from state legislatures controlling the elections for its House of Representatives than from them appointing members to its Senate. Senators are elected for six years, with a one-third rotation where a portion of their seats is vacated and filled every two years, and no state can have more than two senators; a quorum requires sixteen members. These factors mean that a temporary alliance of a few states to delay the appointment of senators wouldn't undermine the body's existence or effectiveness. We shouldn't worry about a widespread and lasting coalition of states. The first scenario could arise from the ulterior motives of some state legislature leaders, while the latter would imply a deep-rooted discontent among the larger population, which is unlikely to occur or would likely stem from the general government's failure to promote their happiness, in which case no good citizen would want it to continue.

But with regard to the federal House of Representatives, there is intended to be a general election of members once in two years. If the State legislatures were to be invested with an exclusive power of regulating these elections, every period of making them would be a delicate crisis in the national situation, which might issue in a dissolution of the Union, if the leaders of a few of the most important States should have entered into a previous conspiracy to prevent an election.

But regarding the federal House of Representatives, there’s supposed to be a general election of members every two years. If the state legislatures had the sole power to manage these elections, every election period could become a sensitive moment for the nation, potentially leading to a breakup of the Union if leaders from a few key states colluded beforehand to block an election.

I shall not deny, that there is a degree of weight in the observation, that the interests of each State, to be represented in the federal councils, will be a security against the abuse of a power over its elections in the hands of the State legislatures. But the security will not be considered as complete, by those who attend to the force of an obvious distinction between the interest of the people in the public felicity, and the interest of their local rulers in the power and consequence of their offices. The people of America may be warmly attached to the government of the Union, at times when the particular rulers of particular States, stimulated by the natural rivalship of power, and by the hopes of personal aggrandizement, and supported by a strong faction in each of those States, may be in a very opposite temper. This diversity of sentiment between a majority of the people, and the individuals who have the greatest credit in their councils, is exemplified in some of the States at the present moment, on the present question. The scheme of separate confederacies, which will always multiply the chances of ambition, will be a never failing bait to all such influential characters in the State administrations as are capable of preferring their own emolument and advancement to the public weal. With so effectual a weapon in their hands as the exclusive power of regulating elections for the national government, a combination of a few such men, in a few of the most considerable States, where the temptation will always be the strongest, might accomplish the destruction of the Union, by seizing the opportunity of some casual dissatisfaction among the people (and which perhaps they may themselves have excited), to discontinue the choice of members for the federal House of Representatives. It ought never to be forgotten, that a firm union of this country, under an efficient government, will probably be an increasing object of jealousy to more than one nation of Europe; and that enterprises to subvert it will sometimes originate in the intrigues of foreign powers, and will seldom fail to be patronized and abetted by some of them. Its preservation, therefore ought in no case that can be avoided, to be committed to the guardianship of any but those whose situation will uniformly beget an immediate interest in the faithful and vigilant performance of the trust.

I won’t deny that there’s some truth to the idea that having each state represented in federal councils can help prevent the abuse of power over its elections by state legislatures. However, this security won’t seem complete to those who recognize the clear difference between the people’s interest in general welfare and local rulers’ interests in the power and prestige of their positions. The people of America may strongly support the federal government, even when state leaders, motivated by natural rivalries and personal ambition, bolstered by strong factions in their states, may be quite the opposite. This difference in opinion between a majority of the people and the influential individuals in their councils is evident in some states right now regarding this issue. The idea of separate confederacies will always increase ambitions, serving as a constant lure for influential figures in state administrations who prioritize their own gain over the public good. With the exclusive power to regulate elections for the national government, a small group of such individuals in a few key states, where the temptation is strongest, could potentially undermine the Union by taking advantage of any dissatisfaction among the people (which they may have even stirred up themselves) to halt the election of members for the federal House of Representatives. It should always be remembered that a strong union of this country under an effective government will likely become a growing concern for multiple European nations; plots to undermine it may arise from foreign powers' schemes and will often receive support from some of them. Therefore, its preservation should, if at all possible, be entrusted only to those whose circumstances will ensure a consistent commitment to faithfully and attentively fulfilling that responsibility.

PUBLIUS

PUBLIUS

1. 1st clause, 4th section, of the 1st article.

1. 1st clause, 4th section, of the 1st article.





FEDERALIST No. 60. The Same Subject Continued (Concerning the Power of Congress to Regulate the Election of Members)

From The Independent Journal. Saturday, February 23, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of the State of New York:

WE HAVE seen, that an uncontrollable power over the elections to the federal government could not, without hazard, be committed to the State legislatures. Let us now see, what would be the danger on the other side; that is, from confiding the ultimate right of regulating its own elections to the Union itself. It is not pretended, that this right would ever be used for the exclusion of any State from its share in the representation. The interest of all would, in this respect at least, be the security of all. But it is alleged, that it might be employed in such a manner as to promote the election of some favorite class of men in exclusion of others, by confining the places of election to particular districts, and rendering it impracticable to the citizens at large to partake in the choice. Of all chimerical suppositions, this seems to be the most chimerical. On the one hand, no rational calculation of probabilities would lead us to imagine that the disposition which a conduct so violent and extraordinary would imply, could ever find its way into the national councils; and on the other, it may be concluded with certainty, that if so improper a spirit should ever gain admittance into them, it would display itself in a form altogether different and far more decisive.

WE'VE seen that giving unchecked power over elections to the federal government would be risky if handed over to state legislatures. Now, let's consider the dangers on the flip side—if the federal government had the ultimate authority to regulate its own elections. It's not suggested that this authority would ever be used to exclude any state from representation. The interests of all states would, at least in this case, be aligned for everyone's security. However, some argue that this power could be misused to favor certain groups by restricting voting locations to specific districts, making it difficult for the general public to participate in the election process. Of all the unlikely scenarios, this one seems the most far-fetched. On one hand, no reasonable assessment would lead us to believe that such extreme behavior could make its way into national governance; on the other hand, if such an inappropriate attitude were ever to infiltrate these councils, it would likely manifest in a very different and much more definitive way.

The improbability of the attempt may be satisfactorily inferred from this single reflection, that it could never be made without causing an immediate revolt of the great body of the people, headed and directed by the State governments. It is not difficult to conceive that this characteristic right of freedom may, in certain turbulent and factious seasons, be violated, in respect to a particular class of citizens, by a victorious and overbearing majority; but that so fundamental a privilege, in a country so situated and enlightened, should be invaded to the prejudice of the great mass of the people, by the deliberate policy of the government, without occasioning a popular revolution, is altogether inconceivable and incredible.

The unlikeliness of this attempt can be understood just by considering that it would instantly trigger a backlash from the majority of the people, led by the state governments. It's easy to imagine that this core right to freedom could be disregarded at times of unrest by a powerful majority against a specific group of citizens. However, the idea that such a fundamental right in a country that is so enlightened could be systematically undermined by the government, without leading to a widespread uprising, is simply unimaginable and unbelievable.

In addition to this general reflection, there are considerations of a more precise nature, which forbid all apprehension on the subject. The dissimilarity in the ingredients which will compose the national government, and still more in the manner in which they will be brought into action in its various branches, must form a powerful obstacle to a concert of views in any partial scheme of elections. There is sufficient diversity in the state of property, in the genius, manners, and habits of the people of the different parts of the Union, to occasion a material diversity of disposition in their representatives towards the different ranks and conditions in society. And though an intimate intercourse under the same government will promote a gradual assimilation in some of these respects, yet there are causes, as well physical as moral, which may, in a greater or less degree, permanently nourish different propensities and inclinations in this respect. But the circumstance which will be likely to have the greatest influence in the matter, will be the dissimilar modes of constituting the several component parts of the government. The House of Representatives being to be elected immediately by the people, the Senate by the State legislatures, the President by electors chosen for that purpose by the people, there would be little probability of a common interest to cement these different branches in a predilection for any particular class of electors.

Along with this overall reflection, there are more specific considerations that eliminate any concerns on the topic. The differences in the elements that will make up the national government, and even more so in how these elements will be activated across its various branches, create a significant barrier to a unified approach in any partial election plan. There’s enough variety in the state of property, the character, customs, and habits of the people in different parts of the Union to result in a marked diversity of attitudes in their representatives toward the various ranks and conditions in society. While close interactions under the same government will encourage a gradual blending in some respects, there are both physical and moral factors that could, to varying degrees, perpetuate different tendencies and inclinations in this regard. However, the factor most likely to have a major impact will be the different ways in which the various parts of the government are constituted. Since the House of Representatives is elected directly by the people, the Senate by state legislatures, and the President by electors chosen for that purpose by the people, there is little likelihood of a shared interest to bond these different branches in favor of any specific group of electors.

As to the Senate, it is impossible that any regulation of "time and manner," which is all that is proposed to be submitted to the national government in respect to that body, can affect the spirit which will direct the choice of its members. The collective sense of the State legislatures can never be influenced by extraneous circumstances of that sort; a consideration which alone ought to satisfy us that the discrimination apprehended would never be attempted. For what inducement could the Senate have to concur in a preference in which itself would not be included? Or to what purpose would it be established, in reference to one branch of the legislature, if it could not be extended to the other? The composition of the one would in this case counteract that of the other. And we can never suppose that it would embrace the appointments to the Senate, unless we can at the same time suppose the voluntary co-operation of the State legislatures. If we make the latter supposition, it then becomes immaterial where the power in question is placed—whether in their hands or in those of the Union.

As for the Senate, it’s impossible for any regulation of "time and manner," which is all that’s proposed to be submitted to the national government regarding that body, to impact the spirit that guides the selection of its members. The overall sentiment of the State legislatures can never be swayed by outside factors like that; this alone should assure us that the feared discrimination would never be attempted. After all, what reason would the Senate have to agree to a preference that doesn’t include itself? And what would be the purpose of establishing it concerning one branch of the legislature if it couldn’t also apply to the other? The makeup of one would counteract that of the other in this situation. We can never assume it would involve appointments to the Senate unless we also assume the voluntary cooperation of the State legislatures. If we make that assumption, it doesn’t really matter where the power in question is placed—whether in their hands or the hands of the Union.

But what is to be the object of this capricious partiality in the national councils? Is it to be exercised in a discrimination between the different departments of industry, or between the different kinds of property, or between the different degrees of property? Will it lean in favor of the landed interest, or the moneyed interest, or the mercantile interest, or the manufacturing interest? Or, to speak in the fashionable language of the adversaries to the Constitution, will it court the elevation of "the wealthy and the well-born," to the exclusion and debasement of all the rest of the society?

But what will be the purpose of this unpredictable favoritism in the national councils? Will it involve making distinctions between various sectors of industry, different types of property, or varying levels of property ownership? Will it favor landowners, investors, merchants, or manufacturers? Or, to use the trendy talk of those against the Constitution, will it aim to elevate "the rich and the privileged," while excluding and demeaning everyone else in society?

If this partiality is to be exerted in favor of those who are concerned in any particular description of industry or property, I presume it will readily be admitted, that the competition for it will lie between landed men and merchants. And I scruple not to affirm, that it is infinitely less likely that either of them should gain an ascendant in the national councils, than that the one or the other of them should predominate in all the local councils. The inference will be, that a conduct tending to give an undue preference to either is much less to be dreaded from the former than from the latter.

If this bias is shown in favor of people involved in a particular kind of industry or property, I think it will be generally accepted that the competition for it will be between landowners and merchants. I’m not afraid to say that it’s far less likely for either of them to gain influence in the national government than for one or the other to dominate in local governments. The conclusion will be that actions aimed at giving unfair preference to either group are much less concerning from the former than from the latter.

The several States are in various degrees addicted to agriculture and commerce. In most, if not all of them, agriculture is predominant. In a few of them, however, commerce nearly divides its empire, and in most of them has a considerable share of influence. In proportion as either prevails, it will be conveyed into the national representation; and for the very reason, that this will be an emanation from a greater variety of interests, and in much more various proportions, than are to be found in any single State, it will be much less apt to espouse either of them with a decided partiality, than the representation of any single State.

The various states have different levels of focus on agriculture and commerce. In most, if not all of them, agriculture is the main focus. However, in a few, commerce is almost equally important, and in many, it has a significant influence. Depending on which one is more dominant, that will be reflected in the national representation; and because this will come from a wider range of interests, and in much more diverse proportions than is found in any single state, it will be much less likely to favor either one with clear bias, compared to the representation of any single state.

In a country consisting chiefly of the cultivators of land, where the rules of an equal representation obtain, the landed interest must, upon the whole, preponderate in the government. As long as this interest prevails in most of the State legislatures, so long it must maintain a correspondent superiority in the national Senate, which will generally be a faithful copy of the majorities of those assemblies. It cannot therefore be presumed, that a sacrifice of the landed to the mercantile class will ever be a favorite object of this branch of the federal legislature. In applying thus particularly to the Senate a general observation suggested by the situation of the country, I am governed by the consideration, that the credulous votaries of State power cannot, upon their own principles, suspect, that the State legislatures would be warped from their duty by any external influence. But in reality the same situation must have the same effect, in the primitive composition at least of the federal House of Representatives: an improper bias towards the mercantile class is as little to be expected from this quarter as from the other.

In a country mainly made up of farmers, where equal representation is the rule, landowners will generally have more influence in the government. As long as this group holds power in most state legislatures, they will also maintain a corresponding dominance in the national Senate, which will usually reflect the majority views of those assemblies. Therefore, it's unlikely that this branch of the federal legislature will prioritize the interests of the merchant class over those of landowners. When I particularly focus on the Senate in light of the country’s situation, I consider that the supporters of state power cannot genuinely suspect that state legislatures would stray from their responsibilities due to outside influences. However, the same situation will likely have the same effect on the original structure of the federal House of Representatives: it’s just as unlikely that there would be an undue bias toward the merchant class from this body as from the Senate.

In order, perhaps, to give countenance to the objection at any rate, it may be asked, is there not danger of an opposite bias in the national government, which may dispose it to endeavor to secure a monopoly of the federal administration to the landed class? As there is little likelihood that the supposition of such a bias will have any terrors for those who would be immediately injured by it, a labored answer to this question will be dispensed with. It will be sufficient to remark, first, that for the reasons elsewhere assigned, it is less likely that any decided partiality should prevail in the councils of the Union than in those of any of its members. Secondly, that there would be no temptation to violate the Constitution in favor of the landed class, because that class would, in the natural course of things, enjoy as great a preponderancy as itself could desire. And thirdly, that men accustomed to investigate the sources of public prosperity upon a large scale, must be too well convinced of the utility of commerce, to be inclined to inflict upon it so deep a wound as would result from the entire exclusion of those who would best understand its interest from a share in the management of them. The importance of commerce, in the view of revenue alone, must effectually guard it against the enmity of a body which would be continually importuned in its favor, by the urgent calls of public necessity.

To address the objection, one might ask whether there's a risk of bias in the national government that could lead it to favor the landed class in managing federal affairs. Since it’s unlikely that those who would be harmed by this bias will be worried about it, a detailed answer isn’t necessary. It's enough to point out that, for reasons discussed elsewhere, it's less probable that any significant favoritism would exist in the federal government compared to state governments. Additionally, there wouldn't be any incentive to violate the Constitution for the benefit of the landed class, as that class would naturally hold as much influence as they desire. Finally, those who are used to examining the factors behind public prosperity on a large scale must recognize the value of commerce and would be reluctant to harm it by completely excluding those who best understand its interests from having a role in its management. The importance of commerce, especially from a revenue perspective, will effectively protect it from the hostility of a government that would often be pressured to support it due to public necessity.

I the rather consult brevity in discussing the probability of a preference founded upon a discrimination between the different kinds of industry and property, because, as far as I understand the meaning of the objectors, they contemplate a discrimination of another kind. They appear to have in view, as the objects of the preference with which they endeavor to alarm us, those whom they designate by the description of "the wealthy and the well-born." These, it seems, are to be exalted to an odious pre-eminence over the rest of their fellow-citizens. At one time, however, their elevation is to be a necessary consequence of the smallness of the representative body; at another time it is to be effected by depriving the people at large of the opportunity of exercising their right of suffrage in the choice of that body.

I prefer to be brief when discussing the likelihood of a preference based on a distinction between different types of industries and property. From what I understand about the critics’ concerns, they seem to be talking about a different kind of discrimination. They appear to view the recipients of this preference as "the wealthy and the well-born." These individuals, it seems, are meant to be elevated to an undesirable superiority over the rest of their fellow citizens. At one point, though, this elevation is said to be a necessary result of the small size of the representative body; at another, it is achieved by taking away the general public's right to vote in selecting that body.

But upon what principle is the discrimination of the places of election to be made, in order to answer the purpose of the meditated preference? Are "the wealthy and the well-born," as they are called, confined to particular spots in the several States? Have they, by some miraculous instinct or foresight, set apart in each of them a common place of residence? Are they only to be met with in the towns or cities? Or are they, on the contrary, scattered over the face of the country as avarice or chance may have happened to cast their own lot or that of their predecessors? If the latter is the case, (as every intelligent man knows it to be,(1)) is it not evident that the policy of confining the places of election to particular districts would be as subversive of its own aim as it would be exceptionable on every other account? The truth is, that there is no method of securing to the rich the preference apprehended, but by prescribing qualifications of property either for those who may elect or be elected. But this forms no part of the power to be conferred upon the national government. Its authority would be expressly restricted to the regulation of the TIMES, the PLACES, the MANNER of elections. The qualifications of the persons who may choose or be chosen, as has been remarked upon other occasions, are defined and fixed in the Constitution, and are unalterable by the legislature.

But on what basis should we choose the locations for elections to achieve the intended preference? Are "the wealthy and the well-born," as they're often referred to, limited to specific areas in the various States? Have they, through some miraculous instinct or foresight, established a common place of residence in each one? Are they only found in towns or cities? Or are they, on the contrary, spread throughout the country based on greed or chance, as fate may have decided for them or their ancestors? If the latter is true, which any intelligent person understands it is, isn’t it clear that restricting election sites to specific districts would undermine its own purpose and be problematic for other reasons as well? The reality is that there’s no way to ensure the rich get the anticipated preference without setting property qualifications for those who can vote or be elected. However, that isn't part of the power given to the national government. Its authority is specifically limited to regulating the TIMES, the PLACES, and the MANNER of elections. The qualifications for who can vote or be elected, as has been noted before, are defined and fixed in the Constitution and cannot be changed by legislation.

Let it, however, be admitted, for argument sake, that the expedient suggested might be successful; and let it at the same time be equally taken for granted that all the scruples which a sense of duty or an apprehension of the danger of the experiment might inspire, were overcome in the breasts of the national rulers, still I imagine it will hardly be pretended that they could ever hope to carry such an enterprise into execution without the aid of a military force sufficient to subdue the resistance of the great body of the people. The improbability of the existence of a force equal to that object has been discussed and demonstrated in different parts of these papers; but that the futility of the objection under consideration may appear in the strongest light, it shall be conceded for a moment that such a force might exist, and the national government shall be supposed to be in the actual possession of it. What will be the conclusion? With a disposition to invade the essential rights of the community, and with the means of gratifying that disposition, is it presumable that the persons who were actuated by it would amuse themselves in the ridiculous task of fabricating election laws for securing a preference to a favorite class of men? Would they not be likely to prefer a conduct better adapted to their own immediate aggrandizement? Would they not rather boldly resolve to perpetuate themselves in office by one decisive act of usurpation, than to trust to precarious expedients which, in spite of all the precautions that might accompany them, might terminate in the dismission, disgrace, and ruin of their authors? Would they not fear that citizens, not less tenacious than conscious of their rights, would flock from the remote extremes of their respective States to the places of election, to overthrow their tyrants, and to substitute men who would be disposed to avenge the violated majesty of the people?

Let’s assume, just for the sake of discussion, that the proposed solution might actually work; and let’s also assume that any hesitations driven by a sense of duty or fear of the risks involved were set aside by the national leaders. Still, I doubt anyone would seriously believe that they could carry out such a plan without a military force strong enough to crush the resistance of the majority of the population. The unlikelihood of having such a force has been explored and proven throughout these writings. However, to clarify the weakness of the current objection, let’s momentarily accept that such a force could exist and that the national government actually has it. What does that lead us to conclude? If they were inclined to infringe on the fundamental rights of the community and had the means to act on that inclination, would they really waste their time creating election laws to favor a specific group? Wouldn’t they be more likely to choose a strategy that benefits their own immediate interests? Wouldn’t they prefer to secure their positions through a bold act of usurpation rather than rely on risky measures that, despite any precautions, could result in their ousting, disgrace, and downfall? Wouldn’t they worry that citizens, just as determined as they are aware of their rights, would gather from far and wide to the election sites to overthrow their oppressors and replace them with leaders willing to uphold the violated dignity of the people?

PUBLIUS

PUBLIUS

1. Particularly in the Southern States and in this State.

1. Especially in the Southern States and in this state.





FEDERALIST No. 61. The Same Subject Continued (Concerning the Power of Congress to Regulate the Election of Members)

From the New York Packet. Tuesday, February 26, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of the State of New York:

THE more candid opposers of the provision respecting elections, contained in the plan of the convention, when pressed in argument, will sometimes concede the propriety of that provision; with this qualification, however, that it ought to have been accompanied with a declaration, that all elections should be had in the counties where the electors resided. This, say they, was a necessary precaution against an abuse of the power. A declaration of this nature would certainly have been harmless; so far as it would have had the effect of quieting apprehensions, it might not have been undesirable. But it would, in fact, have afforded little or no additional security against the danger apprehended; and the want of it will never be considered, by an impartial and judicious examiner, as a serious, still less as an insuperable, objection to the plan. The different views taken of the subject in the two preceding papers must be sufficient to satisfy all dispassionate and discerning men, that if the public liberty should ever be the victim of the ambition of the national rulers, the power under examination, at least, will be guiltless of the sacrifice.

THE more honest opponents of the election provisions in the convention's plan, when pushed in debate, will sometimes agree that the provision is appropriate; with the caveat, however, that it should have included a statement that all elections take place in the counties where the voters live. They argue that this was essential to prevent an abuse of power. A statement like this would definitely have posed no harm; to the extent that it would calm fears, it might even have been welcome. However, it would not have provided much, if any, additional security against the feared risks; and the absence of such a statement will never be seen by an unbiased and thoughtful reviewer as a serious, let alone an insurmountable, flaw in the plan. The different perspectives presented in the two previous papers should be enough to convince all reasonable and perceptive individuals that if public liberty ever falls prey to the ambitions of the national leaders, this particular power being examined will certainly not be responsible for that loss.

If those who are inclined to consult their jealousy only, would exercise it in a careful inspection of the several State constitutions, they would find little less room for disquietude and alarm, from the latitude which most of them allow in respect to elections, than from the latitude which is proposed to be allowed to the national government in the same respect. A review of their situation, in this particular, would tend greatly to remove any ill impressions which may remain in regard to this matter. But as that view would lead into long and tedious details, I shall content myself with the single example of the State in which I write. The constitution of New York makes no other provision for LOCALITY of elections, than that the members of the Assembly shall be elected in the COUNTIES; those of the Senate, in the great districts into which the State is or may be divided: these at present are four in number, and comprehend each from two to six counties. It may readily be perceived that it would not be more difficult to the legislature of New York to defeat the suffrages of the citizens of New York, by confining elections to particular places, than for the legislature of the United States to defeat the suffrages of the citizens of the Union, by the like expedient. Suppose, for instance, the city of Albany was to be appointed the sole place of election for the county and district of which it is a part, would not the inhabitants of that city speedily become the only electors of the members both of the Senate and Assembly for that county and district? Can we imagine that the electors who reside in the remote subdivisions of the counties of Albany, Saratoga, Cambridge, etc., or in any part of the county of Montgomery, would take the trouble to come to the city of Albany, to give their votes for members of the Assembly or Senate, sooner than they would repair to the city of New York, to participate in the choice of the members of the federal House of Representatives? The alarming indifference discoverable in the exercise of so invaluable a privilege under the existing laws, which afford every facility to it, furnishes a ready answer to this question. And, abstracted from any experience on the subject, we can be at no loss to determine, that when the place of election is at an INCONVENIENT DISTANCE from the elector, the effect upon his conduct will be the same whether that distance be twenty miles or twenty thousand miles. Hence it must appear, that objections to the particular modification of the federal power of regulating elections will, in substance, apply with equal force to the modification of the like power in the constitution of this State; and for this reason it will be impossible to acquit the one, and to condemn the other. A similar comparison would lead to the same conclusion in respect to the constitutions of most of the other States.

If those who only listen to their jealousy would take a close look at the various State constitutions, they would find just as much reason for concern and alarm regarding the freedom most of them allow for elections as they would about the same freedom proposed for the national government. Examining their situation in this regard would help clear up any negative feelings that might linger about this issue. However, since that perspective would get into long and tedious details, I’ll stick to just one example from the State where I’m writing. The constitution of New York doesn't provide any other requirements for where elections are held, other than that the members of the Assembly must be elected in the COUNTIES, and the Senate members must be elected in the large districts the State is divided into, which are currently four in number and include two to six counties each. It’s clear that it would not be any more difficult for the New York legislature to undermine the votes of New York citizens by limiting elections to specific locations than it would be for the United States legislature to do the same to the citizens of the Union. For example, if Albany city were designated as the only election site for its county and district, wouldn’t the people living there quickly become the only voters for both Senate and Assembly members for that region? Can we really believe that voters living in the more remote areas of Albany, Saratoga, Cambridge, etc., or anywhere in Montgomery County, would bother to travel to Albany city to vote for Assembly or Senate members rather than going to New York city to take part in choosing the members of the federal House of Representatives? The noticeable lack of interest in exercising such a valuable right under current laws, which provide every opportunity to do so, readily answers this question. Furthermore, apart from any experience on the topic, we can easily see that when the election site is at an INCONVENIENT DISTANCE from a voter, the effect on their behavior will be the same, whether that distance is twenty miles or twenty thousand miles. Therefore, it should be apparent that objections to the specific way the federal power to regulate elections is structured will equally apply to the way this power is structured in the constitution of this State; for this reason, it is impossible to excuse one while condemning the other. A similar comparison would lead to the same conclusion regarding the constitutions of most other States.

If it should be said that defects in the State constitutions furnish no apology for those which are to be found in the plan proposed, I answer, that as the former have never been thought chargeable with inattention to the security of liberty, where the imputations thrown on the latter can be shown to be applicable to them also, the presumption is that they are rather the cavilling refinements of a predetermined opposition, than the well-founded inferences of a candid research after truth. To those who are disposed to consider, as innocent omissions in the State constitutions, what they regard as unpardonable blemishes in the plan of the convention, nothing can be said; or at most, they can only be asked to assign some substantial reason why the representatives of the people in a single State should be more impregnable to the lust of power, or other sinister motives, than the representatives of the people of the United States? If they cannot do this, they ought at least to prove to us that it is easier to subvert the liberties of three millions of people, with the advantage of local governments to head their opposition, than of two hundred thousand people who are destitute of that advantage. And in relation to the point immediately under consideration, they ought to convince us that it is less probable that a predominant faction in a single State should, in order to maintain its superiority, incline to a preference of a particular class of electors, than that a similar spirit should take possession of the representatives of thirteen States, spread over a vast region, and in several respects distinguishable from each other by a diversity of local circumstances, prejudices, and interests.

If it’s said that issues in the state constitutions don’t excuse the flaws found in the proposed plan, I respond that since the former have never been seen as neglecting the protection of liberty, where the criticisms of the latter can also be shown to apply to them, it seems they are more about picky arguments from a predetermined opposition than any well-founded conclusions from a genuine search for truth. To those who view what they consider serious flaws in the convention’s plan as mere innocent oversights in the state constitutions, there’s little to say; at best, they might be asked to provide a solid reason why representatives in a single state should be more immune to the desire for power or other questionable motives than the representatives of the United States. If they can't do this, they should at least show us that it’s easier to undermine the freedoms of three million people, with local governments to lead their resistance, than it is for two hundred thousand people who lack that advantage. And regarding the current issue, they should convince us that it’s less likely for a dominant faction in a single state to favor a specific class of voters to maintain its power than it is for a similar mindset to take over the representatives of thirteen states, spread across a large area, and notable in several ways due to differing local circumstances, biases, and interests.

Hitherto my observations have only aimed at a vindication of the provision in question, on the ground of theoretic propriety, on that of the danger of placing the power elsewhere, and on that of the safety of placing it in the manner proposed. But there remains to be mentioned a positive advantage which will result from this disposition, and which could not as well have been obtained from any other: I allude to the circumstance of uniformity in the time of elections for the federal House of Representatives. It is more than possible that this uniformity may be found by experience to be of great importance to the public welfare, both as a security against the perpetuation of the same spirit in the body, and as a cure for the diseases of faction. If each State may choose its own time of election, it is possible there may be at least as many different periods as there are months in the year. The times of election in the several States, as they are now established for local purposes, vary between extremes as wide as March and November. The consequence of this diversity would be that there could never happen a total dissolution or renovation of the body at one time. If an improper spirit of any kind should happen to prevail in it, that spirit would be apt to infuse itself into the new members, as they come forward in succession. The mass would be likely to remain nearly the same, assimilating constantly to itself its gradual accretions. There is a contagion in example which few men have sufficient force of mind to resist. I am inclined to think that treble the duration in office, with the condition of a total dissolution of the body at the same time, might be less formidable to liberty than one third of that duration subject to gradual and successive alterations.

So far, my observations have only focused on justifying the provision in question based on theoretical appropriateness, the risks of giving power elsewhere, and the safety of placing it as proposed. However, there is also a significant benefit from this arrangement that couldn't be achieved in other ways: I’m referring to the uniform timing of elections for the federal House of Representatives. It's very likely that this uniformity will prove to be essential for the public good, both as a safeguard against the same mentality dominating the body and as a remedy for faction-related issues. If each state chooses its own election time, there could be as many different election periods as there are months in the year. The election times in the various states, as currently set for local purposes, range widely from March to November. This diversity means that there could never be a complete renewal or dissolution of the body at once. If any negative spirit were to take hold, it would likely influence the new members as they join over time. The overall makeup would probably stay quite similar, gradually adjusting to its new additions. There’s a contagiousness to examples that few people can resist. I believe that a longer time in office, with a simultaneous complete dissolution of the body, might be less threatening to liberty than a shorter term with ongoing and successive changes.

Uniformity in the time of elections seems not less requisite for executing the idea of a regular rotation in the Senate, and for conveniently assembling the legislature at a stated period in each year.

Uniformity during elections appears to be just as necessary for achieving the concept of a regular rotation in the Senate and for conveniently gathering the legislature at a set time each year.

It may be asked, Why, then, could not a time have been fixed in the Constitution? As the most zealous adversaries of the plan of the convention in this State are, in general, not less zealous admirers of the constitution of the State, the question may be retorted, and it may be asked, Why was not a time for the like purpose fixed in the constitution of this State? No better answer can be given than that it was a matter which might safely be entrusted to legislative discretion; and that if a time had been appointed, it might, upon experiment, have been found less convenient than some other time. The same answer may be given to the question put on the other side. And it may be added that the supposed danger of a gradual change being merely speculative, it would have been hardly advisable upon that speculation to establish, as a fundamental point, what would deprive several States of the convenience of having the elections for their own governments and for the national government at the same epochs.

One might ask, why wasn't a specific time set in the Constitution? Since the most passionate opponents of the convention's plan in this State are generally also strong supporters of the State's constitution, the question can be turned around: why wasn't a time established for a similar purpose in this State's constitution? The best answer is that it was a decision that could be safely left to legislative discretion; if a specific time had been set, it might have turned out to be less convenient than another time upon further experience. The same response applies to the opposing viewpoint. Additionally, since the perceived risk of a gradual change is purely speculative, it wouldn't have been wise to base a fundamental principle on that speculation, especially if it meant depriving several States of the convenience of holding their own elections alongside those for the national government.

PUBLIUS

PUBLIUS





FEDERALIST No. 62. The Senate

For the Independent Journal. Wednesday, February 27, 1788

MADISON

MADISON

To the People of the State of New York:

To the People of New York:

HAVING examined the constitution of the House of Representatives, and answered such of the objections against it as seemed to merit notice, I enter next on the examination of the Senate. The heads into which this member of the government may be considered are: I. The qualification of senators; II. The appointment of them by the State legislatures; III. The equality of representation in the Senate; IV. The number of senators, and the term for which they are to be elected; V. The powers vested in the Senate.

HAVING looked at the structure of the House of Representatives and addressed the objections that seemed worth discussing, I will now examine the Senate. The aspects of this part of the government that we can consider are: I. The qualifications of senators; II. Their appointment by state legislatures; III. The equal representation in the Senate; IV. The number of senators and the length of their terms; V. The powers granted to the Senate.

I. The qualifications proposed for senators, as distinguished from those of representatives, consist in a more advanced age and a longer period of citizenship. A senator must be thirty years of age at least; as a representative must be twenty-five. And the former must have been a citizen nine years; as seven years are required for the latter. The propriety of these distinctions is explained by the nature of the senatorial trust, which, requiring greater extent of information and stability of character, requires at the same time that the senator should have reached a period of life most likely to supply these advantages; and which, participating immediately in transactions with foreign nations, ought to be exercised by none who are not thoroughly weaned from the prepossessions and habits incident to foreign birth and education. The term of nine years appears to be a prudent mediocrity between a total exclusion of adopted citizens, whose merits and talents may claim a share in the public confidence, and an indiscriminate and hasty admission of them, which might create a channel for foreign influence on the national councils.

I. The qualifications for senators, as opposed to those for representatives, include being older and having a longer citizenship period. A senator must be at least thirty years old, while a representative must be twenty-five. A senator must have been a citizen for nine years, compared to seven years for a representative. These distinctions make sense because the role of a senator requires more knowledge and stable character, which are typically better developed later in life. Since senators are involved in dealings with foreign countries, it’s important that they are fully detached from any biases or habits related to foreign origins and education. The requirement of nine years strikes a reasonable balance between completely excluding naturalized citizens, who may have valuable skills and contributions, and allowing them in too hastily, which could lead to foreign influence in our national decisions.

II. It is equally unnecessary to dilate on the appointment of senators by the State legislatures. Among the various modes which might have been devised for constituting this branch of the government, that which has been proposed by the convention is probably the most congenial with the public opinion. It is recommended by the double advantage of favoring a select appointment, and of giving to the State governments such an agency in the formation of the federal government as must secure the authority of the former, and may form a convenient link between the two systems.

II. There’s no need to elaborate on how senators are appointed by state legislatures. Among the different ways that could have been considered for forming this part of the government, the method suggested by the convention is likely the most in line with public opinion. It has the double benefit of supporting a careful selection process and providing state governments with a role in creating the federal government, which will strengthen their authority and create a useful connection between the two systems.

III. The equality of representation in the Senate is another point, which, being evidently the result of compromise between the opposite pretensions of the large and the small States, does not call for much discussion. If indeed it be right, that among a people thoroughly incorporated into one nation, every district ought to have a PROPORTIONAL share in the government, and that among independent and sovereign States, bound together by a simple league, the parties, however unequal in size, ought to have an EQUAL share in the common councils, it does not appear to be without some reason that in a compound republic, partaking both of the national and federal character, the government ought to be founded on a mixture of the principles of proportional and equal representation. But it is superfluous to try, by the standard of theory, a part of the Constitution which is allowed on all hands to be the result, not of theory, but "of a spirit of amity, and that mutual deference and concession which the peculiarity of our political situation rendered indispensable." A common government, with powers equal to its objects, is called for by the voice, and still more loudly by the political situation, of America. A government founded on principles more consonant to the wishes of the larger States, is not likely to be obtained from the smaller States. The only option, then, for the former, lies between the proposed government and a government still more objectionable. Under this alternative, the advice of prudence must be to embrace the lesser evil; and, instead of indulging a fruitless anticipation of the possible mischiefs which may ensue, to contemplate rather the advantageous consequences which may qualify the sacrifice.

III. The equal representation in the Senate is another issue that, being clearly the result of a compromise between the interests of both large and small States, doesn't require much debate. If it's right that, within a nation fully united, each region should have a proportional share in the government, and that among independent and sovereign States, tied together by a simple alliance, the parties—regardless of size—should have an equal say in the common decisions, then it makes sense that in a mixed republic, combining both national and federal elements, the government should be based on a combination of proportional and equal representation. However, it’s pointless to analyze a part of the Constitution by theoretical standards when everyone agrees it's the product of "a spirit of friendship, and mutual respect and compromise that our unique political situation made necessary." A unified government, with powers that match its goals, is called for by the demand, and even more urgently by the political circumstances of America. A government that aligns more with the preferences of the larger States is unlikely to come from the smaller States. Therefore, the only choice for the larger States is between the proposed government and one that is even less acceptable. In this situation, the sensible advice is to accept the lesser evil; rather than worrying about potential problems, it's better to consider the beneficial outcomes that may come from this compromise.

In this spirit it may be remarked, that the equal vote allowed to each State is at once a constitutional recognition of the portion of sovereignty remaining in the individual States, and an instrument for preserving that residuary sovereignty. So far the equality ought to be no less acceptable to the large than to the small States; since they are not less solicitous to guard, by every possible expedient, against an improper consolidation of the States into one simple republic.

In this context, it's worth noting that the equal vote given to each State is both a constitutional acknowledgment of the sovereignty that still exists in individual States and a tool for maintaining that remaining sovereignty. Therefore, this equality should be just as appealing to larger States as it is to smaller ones, as they are equally concerned about preventing an inappropriate merging of the States into a single, unified republic.

Another advantage accruing from this ingredient in the constitution of the Senate is, the additional impediment it must prove against improper acts of legislation. No law or resolution can now be passed without the concurrence, first, of a majority of the people, and then, of a majority of the States. It must be acknowledged that this complicated check on legislation may in some instances be injurious as well as beneficial; and that the peculiar defense which it involves in favor of the smaller States, would be more rational, if any interests common to them, and distinct from those of the other States, would otherwise be exposed to peculiar danger. But as the larger States will always be able, by their power over the supplies, to defeat unreasonable exertions of this prerogative of the lesser States, and as the faculty and excess of law-making seem to be the diseases to which our governments are most liable, it is not impossible that this part of the Constitution may be more convenient in practice than it appears to many in contemplation.

Another advantage of this element in the structure of the Senate is the additional barrier it creates against inappropriate legislation. No law or resolution can now be passed without first getting approval from a majority of the people and then a majority of the states. It's true that this complex check on legislation can sometimes be harmful as well as helpful; and that the unique protection it offers to the smaller states would make more sense if there were any common interests they had that were at risk of being threatened. However, since the larger states will always have the power over resources to override unreasonable uses of this privilege by the smaller states, and since the tendency to create excessive laws seems to be a significant issue for our governments, it's quite possible that this aspect of the Constitution is actually more practical in reality than it appears to many at first glance.

IV. The number of senators, and the duration of their appointment, come next to be considered. In order to form an accurate judgment on both of these points, it will be proper to inquire into the purposes which are to be answered by a senate; and in order to ascertain these, it will be necessary to review the inconveniences which a republic must suffer from the want of such an institution.

IV. Next, we need to consider the number of senators and how long they will serve. To make a fair assessment of both issues, we should look into the goals that a senate is meant to achieve. To determine these, it's essential to examine the problems a republic faces without such an institution.

First. It is a misfortune incident to republican government, though in a less degree than to other governments, that those who administer it may forget their obligations to their constituents, and prove unfaithful to their important trust. In this point of view, a senate, as a second branch of the legislative assembly, distinct from, and dividing the power with, a first, must be in all cases a salutary check on the government. It doubles the security to the people, by requiring the concurrence of two distinct bodies in schemes of usurpation or perfidy, where the ambition or corruption of one would otherwise be sufficient. This is a precaution founded on such clear principles, and now so well understood in the United States, that it would be more than superfluous to enlarge on it. I will barely remark, that as the improbability of sinister combinations will be in proportion to the dissimilarity in the genius of the two bodies, it must be politic to distinguish them from each other by every circumstance which will consist with a due harmony in all proper measures, and with the genuine principles of republican government.

First. One flaw of republican government, although less so than in other types of government, is that those in charge can forget their responsibilities to the people and betray their important trust. From this perspective, a senate, as a second branch of the legislative assembly, separate from and sharing power with the first, must always act as a positive check on the government. It enhances the security for the people by requiring agreement from two separate bodies in cases of usurpation or betrayal, where the ambition or corruption of one alone could be enough. This precaution is based on clear principles that are well understood in the United States, so it would be unnecessary to elaborate on it. I will simply note that the likelihood of harmful collusion will decrease as the differences between the two bodies increase, so it’s wise to set them apart in every way that still allows for proper cooperation and aligns with the true principles of republican government.

Second. The necessity of a senate is not less indicated by the propensity of all single and numerous assemblies to yield to the impulse of sudden and violent passions, and to be seduced by factious leaders into intemperate and pernicious resolutions. Examples on this subject might be cited without number; and from proceedings within the United States, as well as from the history of other nations. But a position that will not be contradicted, need not be proved. All that need be remarked is, that a body which is to correct this infirmity ought itself to be free from it, and consequently ought to be less numerous. It ought, moreover, to possess great firmness, and consequently ought to hold its authority by a tenure of considerable duration.

Second. The need for a senate is clearly highlighted by the tendency of both small and large assemblies to give in to sudden and intense emotions, and to be influenced by partisan leaders into making rash and harmful decisions. There are countless examples of this, not just from events in the United States but also from the histories of other countries. However, a claim that cannot be disputed doesn't require proof. It's important to note that a group designed to correct this issue should itself be free from it, which means it should be less populated. Additionally, it should have a strong sense of stability, and therefore its authority should last for a significant amount of time.

Third. Another defect to be supplied by a senate lies in a want of due acquaintance with the objects and principles of legislation. It is not possible that an assembly of men called for the most part from pursuits of a private nature, continued in appointment for a short time, and led by no permanent motive to devote the intervals of public occupation to a study of the laws, the affairs, and the comprehensive interests of their country, should, if left wholly to themselves, escape a variety of important errors in the exercise of their legislative trust. It may be affirmed, on the best grounds, that no small share of the present embarrassments of America is to be charged on the blunders of our governments; and that these have proceeded from the heads rather than the hearts of most of the authors of them. What indeed are all the repealing, explaining, and amending laws, which fill and disgrace our voluminous codes, but so many monuments of deficient wisdom; so many impeachments exhibited by each succeeding against each preceding session; so many admonitions to the people, of the value of those aids which may be expected from a well-constituted senate?

Third. Another flaw that needs to be addressed by a senate is the lack of proper understanding of the goals and principles of legislation. It’s unrealistic to expect a group of individuals, mostly drawn from private backgrounds, appointed for a short period, and lacking a lasting incentive to spend their downtime studying the laws, the issues, and the broader interests of their country, to avoid a range of significant mistakes in their legislative responsibilities. It can be strongly asserted that a large part of America’s current challenges can be attributed to the mistakes made by our governments; these issues stem more from the minds than the hearts of most of their creators. What are all the repealing, explaining, and amending laws that clutter and tarnish our lengthy legal codes, if not numerous monuments of inadequate wisdom; numerous accusations presented by each new session against the previous one; numerous warnings to the people about the importance of the support that can be expected from a well-structured senate?

A good government implies two things: first, fidelity to the object of government, which is the happiness of the people; secondly, a knowledge of the means by which that object can be best attained. Some governments are deficient in both these qualities; most governments are deficient in the first. I scruple not to assert, that in American governments too little attention has been paid to the last. The federal Constitution avoids this error; and what merits particular notice, it provides for the last in a mode which increases the security for the first.

A good government involves two things: first, staying true to its purpose, which is the happiness of the people; second, understanding the ways to achieve that purpose effectively. Some governments lack both qualities; most governments fall short in the first. I do not hesitate to say that American governments have given too little attention to the second. The federal Constitution avoids this mistake, and notably, it addresses the second in a way that enhances the security of the first.

Fourth. The mutability in the public councils arising from a rapid succession of new members, however qualified they may be, points out, in the strongest manner, the necessity of some stable institution in the government. Every new election in the States is found to change one half of the representatives. From this change of men must proceed a change of opinions; and from a change of opinions, a change of measures. But a continual change even of good measures is inconsistent with every rule of prudence and every prospect of success. The remark is verified in private life, and becomes more just, as well as more important, in national transactions.

Fourth. The constant changes in public councils due to a quick turnover of new members, no matter how qualified, highlight the need for a stable institution in government. Every new election in the States tends to change half of the representatives. This shift in people leads to a shift in opinions, and from a change in opinions comes a change in policies. However, constant changes—even in good policies—are at odds with any standard of prudence and any chance of success. This observation holds true in personal life and becomes even more relevant and crucial in national affairs.

To trace the mischievous effects of a mutable government would fill a volume. I will hint a few only, each of which will be perceived to be a source of innumerable others.

To explore the troublesome effects of an unstable government would take a whole book. I'll just mention a few, each of which can be seen as a source of countless others.

In the first place, it forfeits the respect and confidence of other nations, and all the advantages connected with national character. An individual who is observed to be inconstant to his plans, or perhaps to carry on his affairs without any plan at all, is marked at once, by all prudent people, as a speedy victim to his own unsteadiness and folly. His more friendly neighbors may pity him, but all will decline to connect their fortunes with his; and not a few will seize the opportunity of making their fortunes out of his. One nation is to another what one individual is to another; with this melancholy distinction perhaps, that the former, with fewer of the benevolent emotions than the latter, are under fewer restraints also from taking undue advantage from the indiscretions of each other. Every nation, consequently, whose affairs betray a want of wisdom and stability, may calculate on every loss which can be sustained from the more systematic policy of their wiser neighbors. But the best instruction on this subject is unhappily conveyed to America by the example of her own situation. She finds that she is held in no respect by her friends; that she is the derision of her enemies; and that she is a prey to every nation which has an interest in speculating on her fluctuating councils and embarrassed affairs.

First of all, it loses the respect and trust of other nations, along with all the benefits that come with having a strong national character. When people see someone who is inconsistent in their plans, or who runs their affairs without any plan at all, they immediately recognize that person as a likely target of their own unpredictability and foolishness. While more sympathetic neighbors might feel sorry for him, no one will want to tie their fortunes to his; in fact, many will look for ways to profit from his misfortunes. One nation relates to another much like one person relates to another, with the sad distinction that nations often have fewer feelings of goodwill than individuals and face fewer constraints in taking advantage of each other's mistakes. As a result, any nation that shows a lack of wisdom and stability can expect to suffer losses at the hands of the more strategic policies of their wiser neighbors. Unfortunately, America learns this lesson all too well from its own experiences. It realizes that it holds no respect from its friends, is a target of ridicule from its enemies, and is vulnerable to any nation that seeks to take advantage of its ever-changing policies and troubled affairs.

The internal effects of a mutable policy are still more calamitous. It poisons the blessing of liberty itself. It will be of little avail to the people, that the laws are made by men of their own choice, if the laws be so voluminous that they cannot be read, or so incoherent that they cannot be understood; if they be repealed or revised before they are promulgated, or undergo such incessant changes that no man, who knows what the law is to-day, can guess what it will be to-morrow. Law is defined to be a rule of action; but how can that be a rule, which is little known, and less fixed?

The internal effects of a changing policy are even more disastrous. It undermines the very blessing of freedom. It won't help the people much that the laws are created by representatives of their choice if those laws are so lengthy that they can't be read, or so confusing that they can't be understood; if they are canceled or revised before they are announced, or change so frequently that no one who knows what the law is today can predict what it will be tomorrow. Law is meant to be a guideline for action; but how can it be a guideline if it's not well-known and constantly shifts?

Another effect of public instability is the unreasonable advantage it gives to the sagacious, the enterprising, and the moneyed few over the industrious and uninformed mass of the people. Every new regulation concerning commerce or revenue, or in any way affecting the value of the different species of property, presents a new harvest to those who watch the change, and can trace its consequences; a harvest, reared not by themselves, but by the toils and cares of the great body of their fellow-citizens. This is a state of things in which it may be said with some truth that laws are made for the FEW, not for the MANY.

Another effect of public instability is the unfair advantage it gives to the clever, the ambitious, and the wealthy few over the hardworking and uninformed majority. Every new regulation about trade or tax, or anything that affects the value of different types of property, creates a new opportunity for those who pay attention to the changes and can predict their outcomes; an opportunity gained not by their own efforts, but by the labor and struggles of their fellow citizens. This situation leads to a reality where it can be accurately stated that laws are created for the FEW, not for the MANY.

In another point of view, great injury results from an unstable government. The want of confidence in the public councils damps every useful undertaking, the success and profit of which may depend on a continuance of existing arrangements. What prudent merchant will hazard his fortunes in any new branch of commerce when he knows not but that his plans may be rendered unlawful before they can be executed? What farmer or manufacturer will lay himself out for the encouragement given to any particular cultivation or establishment, when he can have no assurance that his preparatory labors and advances will not render him a victim to an inconstant government? In a word, no great improvement or laudable enterprise can go forward which requires the auspices of a steady system of national policy.

From another perspective, significant harm comes from an unstable government. A lack of confidence in public leadership dampens every beneficial project, whose success and profitability might rely on maintaining current arrangements. What sensible businessperson will risk their wealth in a new area of commerce when they can’t be sure their plans won’t be made illegal before they’re even put into action? What farmer or manufacturer will invest in the support offered for specific crops or businesses when they have no guarantee that their preparations and investments won’t turn them into victims of an unreliable government? In short, no significant advancement or worthy project can progress that depends on a consistent national policy.

But the most deplorable effect of all is that diminution of attachment and reverence which steals into the hearts of the people, towards a political system which betrays so many marks of infirmity, and disappoints so many of their flattering hopes. No government, any more than an individual, will long be respected without being truly respectable; nor be truly respectable, without possessing a certain portion of order and stability.

But the worst effect of all is the decline of attachment and respect that seeps into people’s hearts towards a political system that shows so many signs of weakness and lets down so many of their hopeful expectations. No government, just like an individual, will be respected for long without being genuinely respectable; and it can't be truly respectable without having a degree of order and stability.

PUBLIUS

PUBLIUS





FEDERALIST No. 63. The Senate Continued

For the Independent Journal. Saturday, March 1, 1788

MADISON

MADISON

To the People of the State of New York:

To the People of the State of New York:

A FIFTH desideratum, illustrating the utility of a senate, is the want of a due sense of national character. Without a select and stable member of the government, the esteem of foreign powers will not only be forfeited by an unenlightened and variable policy, proceeding from the causes already mentioned, but the national councils will not possess that sensibility to the opinion of the world, which is perhaps not less necessary in order to merit, than it is to obtain, its respect and confidence.

A fifth important need that shows the value of a senate is having a proper understanding of national character. Without a select and stable group in government, the respect of foreign powers will not only be lost due to a misguided and inconsistent policy, as mentioned before, but the national leaders will also lack the awareness of global opinion, which is just as essential for earning respect and trust as it is for gaining it.

An attention to the judgment of other nations is important to every government for two reasons: the one is, that, independently of the merits of any particular plan or measure, it is desirable, on various accounts, that it should appear to other nations as the offspring of a wise and honorable policy; the second is, that in doubtful cases, particularly where the national councils may be warped by some strong passion or momentary interest, the presumed or known opinion of the impartial world may be the best guide that can be followed. What has not America lost by her want of character with foreign nations; and how many errors and follies would she not have avoided, if the justice and propriety of her measures had, in every instance, been previously tried by the light in which they would probably appear to the unbiased part of mankind?

It's crucial for every government to consider how they're judged by other nations for two reasons: first, regardless of the merits of any specific plan or action, it's beneficial for it to seem like a product of wise and honorable policy to other countries; second, in uncertain situations, especially when national leaders might be swayed by strong emotions or short-term interests, the opinions of the impartial world can serve as the best guide. How much has America suffered from a lack of reputation with foreign nations? And how many mistakes and foolish actions could she have avoided if the fairness and appropriateness of her policies had, in every instance, been assessed by how they would likely be viewed by fair-minded people around the world?

Yet however requisite a sense of national character may be, it is evident that it can never be sufficiently possessed by a numerous and changeable body. It can only be found in a number so small that a sensible degree of the praise and blame of public measures may be the portion of each individual; or in an assembly so durably invested with public trust, that the pride and consequence of its members may be sensibly incorporated with the reputation and prosperity of the community. The half-yearly representatives of Rhode Island would probably have been little affected in their deliberations on the iniquitous measures of that State, by arguments drawn from the light in which such measures would be viewed by foreign nations, or even by the sister States; whilst it can scarcely be doubted that if the concurrence of a select and stable body had been necessary, a regard to national character alone would have prevented the calamities under which that misguided people is now laboring.

Yet no matter how important a sense of national character may be, it's clear that it can never be fully achieved by a large and ever-changing group. It can only exist in a small enough number that each individual can feel a tangible sense of praise and blame for public actions; or in an assembly that is firmly established in the public's trust, where the pride and significance of its members are closely tied to the reputation and success of the community. The representatives of Rhode Island, elected every six months, probably wouldn’t be much swayed in their decisions regarding the unjust measures of that State by the opinions of foreign nations or even by other States; while it's hard to doubt that if the agreement of a carefully selected and stable group had been necessary, a concern for national character alone would have prevented the suffering that this misguided population is currently experiencing.

I add, as a SIXTH defect the want, in some important cases, of a due responsibility in the government to the people, arising from that frequency of elections which in other cases produces this responsibility. This remark will, perhaps, appear not only new, but paradoxical. It must nevertheless be acknowledged, when explained, to be as undeniable as it is important.

I also point out, as a SIXTH flaw, the lack of appropriate accountability in the government to the people in certain important situations, which contrasts with how frequent elections typically create this accountability. This observation may seem both new and contradictory at first. However, once explained, it should be recognized as both undeniable and significant.

Responsibility, in order to be reasonable, must be limited to objects within the power of the responsible party, and in order to be effectual, must relate to operations of that power, of which a ready and proper judgment can be formed by the constituents. The objects of government may be divided into two general classes: the one depending on measures which have singly an immediate and sensible operation; the other depending on a succession of well-chosen and well-connected measures, which have a gradual and perhaps unobserved operation. The importance of the latter description to the collective and permanent welfare of every country, needs no explanation. And yet it is evident that an assembly elected for so short a term as to be unable to provide more than one or two links in a chain of measures, on which the general welfare may essentially depend, ought not to be answerable for the final result, any more than a steward or tenant, engaged for one year, could be justly made to answer for places or improvements which could not be accomplished in less than half a dozen years. Nor is it possible for the people to estimate the SHARE of influence which their annual assemblies may respectively have on events resulting from the mixed transactions of several years. It is sufficiently difficult to preserve a personal responsibility in the members of a NUMEROUS body, for such acts of the body as have an immediate, detached, and palpable operation on its constituents.

Responsibility, to be fair, must be limited to things within the control of the responsible party, and to be effective, it must relate to actions of that power, which the constituents can easily and properly judge. The objectives of government can be divided into two broad categories: one that relies on measures that have an immediate and noticeable effect; the other that relies on a series of well-planned and connected measures, which have a gradual and perhaps unnoticed effect. The importance of the latter category for the overall and lasting welfare of every country is obvious. Yet, it's clear that an assembly elected for such a short term that it can only provide one or two links in a chain of measures crucial to the general welfare should not be held accountable for the final outcome, just as a steward or tenant hired for one year shouldn't be held responsible for projects or improvements that take more than six years to complete. Furthermore, it's impossible for the people to accurately assess the influence that their annual assemblies may have on results stemming from the mixed actions of several years. It is already quite challenging to maintain personal accountability among members of a large body for actions that have an immediate, separate, and clear impact on its constituents.

The proper remedy for this defect must be an additional body in the legislative department, which, having sufficient permanency to provide for such objects as require a continued attention, and a train of measures, may be justly and effectually answerable for the attainment of those objects.

The right solution for this issue needs to be an extra body in the legislative department that has enough stability to focus on ongoing needs and a series of actions, ensuring that it can effectively and responsibly achieve those goals.

Thus far I have considered the circumstances which point out the necessity of a well-constructed Senate only as they relate to the representatives of the people. To a people as little blinded by prejudice or corrupted by flattery as those whom I address, I shall not scruple to add, that such an institution may be sometimes necessary as a defense to the people against their own temporary errors and delusions. As the cool and deliberate sense of the community ought, in all governments, and actually will, in all free governments, ultimately prevail over the views of its rulers; so there are particular moments in public affairs when the people, stimulated by some irregular passion, or some illicit advantage, or misled by the artful misrepresentations of interested men, may call for measures which they themselves will afterwards be the most ready to lament and condemn. In these critical moments, how salutary will be the interference of some temperate and respectable body of citizens, in order to check the misguided career, and to suspend the blow meditated by the people against themselves, until reason, justice, and truth can regain their authority over the public mind? What bitter anguish would not the people of Athens have often escaped if their government had contained so provident a safeguard against the tyranny of their own passions? Popular liberty might then have escaped the indelible reproach of decreeing to the same citizens the hemlock on one day and statues on the next.

So far, I've looked at why a well-structured Senate is essential for the representatives of the people. To an audience as clear-headed and not easily swayed as the one I speak to, I won’t hesitate to say that such an institution can sometimes be necessary to protect the people from their own temporary mistakes and illusions. Just as the calm and thoughtful judgment of the community should ultimately prevail over the intentions of its leaders in all governments, it does happen that in certain moments, the people—fueled by some misguided emotion, an unfair advantage, or misled by the clever lies of self-serving individuals—might push for actions they will later regret and criticize. During these crucial times, how beneficial it would be to have a reasonable and respected group of citizens to step in and redirect the misguided impulses, holding off the harm the people might inflict on themselves until reason, justice, and truth can reassert their influence over public opinion. What deep pain could the people of Athens have avoided if their government had included such a wise safeguard against the tyranny of their own feelings? Popular freedom could have avoided the lasting shame of issuing the same citizens a death sentence one day and honoring them with statues the next.

It may be suggested, that a people spread over an extensive region cannot, like the crowded inhabitants of a small district, be subject to the infection of violent passions, or to the danger of combining in pursuit of unjust measures. I am far from denying that this is a distinction of peculiar importance. I have, on the contrary, endeavored in a former paper to show, that it is one of the principal recommendations of a confederated republic. At the same time, this advantage ought not to be considered as superseding the use of auxiliary precautions. It may even be remarked, that the same extended situation, which will exempt the people of America from some of the dangers incident to lesser republics, will expose them to the inconveniency of remaining for a longer time under the influence of those misrepresentations which the combined industry of interested men may succeed in distributing among them.

It can be argued that a population spread out over a large area cannot, like the densely packed residents of a small area, fall victim to extreme emotions or the risk of coming together for unfair purposes. I certainly don't deny that this is an important distinction. In fact, I’ve previously tried to demonstrate that it’s one of the main advantages of a confederated republic. However, this benefit shouldn't be seen as a replacement for additional precautions. It's worth noting that the same large area that protects the people of America from some dangers faced by smaller republics may also make them more susceptible to being influenced for longer periods by the misleading information that biased individuals may spread among them.

It adds no small weight to all these considerations, to recollect that history informs us of no long-lived republic which had not a senate. Sparta, Rome, and Carthage are, in fact, the only states to whom that character can be applied. In each of the two first there was a senate for life. The constitution of the senate in the last is less known. Circumstantial evidence makes it probable that it was not different in this particular from the two others. It is at least certain, that it had some quality or other which rendered it an anchor against popular fluctuations; and that a smaller council, drawn out of the senate, was appointed not only for life, but filled up vacancies itself. These examples, though as unfit for the imitation, as they are repugnant to the genius, of America, are, notwithstanding, when compared with the fugitive and turbulent existence of other ancient republics, very instructive proofs of the necessity of some institution that will blend stability with liberty. I am not unaware of the circumstances which distinguish the American from other popular governments, as well ancient as modern; and which render extreme circumspection necessary, in reasoning from the one case to the other. But after allowing due weight to this consideration, it may still be maintained, that there are many points of similitude which render these examples not unworthy of our attention. Many of the defects, as we have seen, which can only be supplied by a senatorial institution, are common to a numerous assembly frequently elected by the people, and to the people themselves. There are others peculiar to the former, which require the control of such an institution. The people can never wilfully betray their own interests; but they may possibly be betrayed by the representatives of the people; and the danger will be evidently greater where the whole legislative trust is lodged in the hands of one body of men, than where the concurrence of separate and dissimilar bodies is required in every public act.

It adds significant weight to all these considerations to remember that history shows us no long-lasting republic that didn't have a senate. Sparta, Rome, and Carthage are actually the only states that fit this description. In the first two, there was a senate for life. The structure of the senate in Carthage is less understood, but circumstantial evidence suggests it was probably similar in this aspect to the other two. It is certain that it had some feature that made it a stabilizing force against popular upheavals, and that a smaller council drawn from the senate was appointed not only for life but also handled its own vacancies. While these examples may not be suitable models and contradict the spirit of America, they are still very instructive proofs of the need for some institution that merges stability with liberty, especially when compared to the fleeting and chaotic existence of other ancient republics. I'm aware of the circumstances that set America apart from other popular governments, both ancient and modern, which makes it necessary to be very cautious when drawing parallels between the cases. However, even after considering this important point, it can still be argued that there are many similarities that make these examples worth our attention. Many of the flaws that can only be addressed by a senatorial institution are common to a large assembly frequently elected by the people as well as to the people themselves. There are other issues that are unique to the former, which require oversight by such an institution. The people can never intentionally betray their own interests, but they can be misled by their representatives; and the risk is clearly greater when all legislative power is concentrated in one group of people rather than requiring the agreement of separate and different bodies for every public action.

The difference most relied on, between the American and other republics, consists in the principle of representation; which is the pivot on which the former move, and which is supposed to have been unknown to the latter, or at least to the ancient part of them. The use which has been made of this difference, in reasonings contained in former papers, will have shown that I am disposed neither to deny its existence nor to undervalue its importance. I feel the less restraint, therefore, in observing, that the position concerning the ignorance of the ancient governments on the subject of representation, is by no means precisely true in the latitude commonly given to it. Without entering into a disquisition which here would be misplaced, I will refer to a few known facts, in support of what I advance.

The main difference between the American republic and other republics lies in the principle of representation, which is the core that keeps the former functioning and is thought to have been unknown to the latter, or at least to the ancient ones. The way this difference has been used in earlier discussions shows that I’m neither denying its existence nor downplaying its significance. Therefore, I feel more free to point out that the claim regarding the ancient governments' ignorance about representation isn’t completely accurate as it's often stated. Without diving into a discussion that wouldn't fit here, I will mention a few well-known facts to support my point.

In the most pure democracies of Greece, many of the executive functions were performed, not by the people themselves, but by officers elected by the people, and REPRESENTING the people in their EXECUTIVE capacity.

In the purest democracies of Greece, many of the executive functions were carried out not by the people themselves, but by officers elected by the people, representing them in their executive roles.

Prior to the reform of Solon, Athens was governed by nine Archons, annually ELECTED BY THE PEOPLE AT LARGE. The degree of power delegated to them seems to be left in great obscurity. Subsequent to that period, we find an assembly, first of four, and afterwards of six hundred members, annually ELECTED BY THE PEOPLE; and PARTIALLY representing them in their LEGISLATIVE capacity, since they were not only associated with the people in the function of making laws, but had the exclusive right of originating legislative propositions to the people. The senate of Carthage, also, whatever might be its power, or the duration of its appointment, appears to have been ELECTIVE by the suffrages of the people. Similar instances might be traced in most, if not all the popular governments of antiquity.

Before Solon's reforms, Athens was run by nine Archons, who were elected annually by the general populace. The extent of their power seems to be quite unclear. After that time, there was an assembly, first of four members and later of six hundred, also elected annually by the people; this assembly partially represented them in a legislative role, as they were involved with the public in creating laws and had the exclusive right to propose legislation to the people. The Senate of Carthage, regardless of its power or the length of its term, also appears to have been elected by the votes of the citizens. Similar examples can be found in most, if not all, of the popular governments of ancient times.

Lastly, in Sparta we meet with the Ephori, and in Rome with the Tribunes; two bodies, small indeed in numbers, but annually ELECTED BY THE WHOLE BODY OF THE PEOPLE, and considered as the REPRESENTATIVES of the people, almost in their PLENIPOTENTIARY capacity. The Cosmi of Crete were also annually ELECTED BY THE PEOPLE, and have been considered by some authors as an institution analogous to those of Sparta and Rome, with this difference only, that in the election of that representative body the right of suffrage was communicated to a part only of the people.

Lastly, in Sparta, we have the Ephori, and in Rome, the Tribunes; two groups, though small in number, are elected each year by the entire populace and seen as representatives of the people, almost with full authority. The Cosmi of Crete were also elected annually by the people and have been viewed by some authors as an institution similar to those of Sparta and Rome, with the only difference being that in the election of that representative body, the right to vote was given to only a portion of the people.

From these facts, to which many others might be added, it is clear that the principle of representation was neither unknown to the ancients nor wholly overlooked in their political constitutions. The true distinction between these and the American governments, lies IN THE TOTAL EXCLUSION OF THE PEOPLE, IN THEIR COLLECTIVE CAPACITY, from any share in the LATTER, and not in the TOTAL EXCLUSION OF THE REPRESENTATIVES OF THE PEOPLE from the administration of the FORMER. The distinction, however, thus qualified, must be admitted to leave a most advantageous superiority in favor of the United States. But to insure to this advantage its full effect, we must be careful not to separate it from the other advantage, of an extensive territory. For it cannot be believed, that any form of representative government could have succeeded within the narrow limits occupied by the democracies of Greece.

From these facts, which could be expanded with many more, it's clear that the idea of representation wasn't entirely foreign to the ancients nor completely ignored in their political systems. The real difference between those and American governments is the COMPLETE EXCLUSION OF THE PEOPLE, AS A GROUP, from any role in the LATTER, rather than the COMPLETE EXCLUSION OF THE REPRESENTATIVES OF THE PEOPLE from the governance of the FORMER. However, this distinction, as noted, does highlight a significant advantage for the United States. To fully realize this advantage, we must combine it with the other advantage of having a vast territory. It's hard to believe that any form of representative government could have thrived within the limited spaces occupied by the democracies of Greece.

In answer to all these arguments, suggested by reason, illustrated by examples, and enforced by our own experience, the jealous adversary of the Constitution will probably content himself with repeating, that a senate appointed not immediately by the people, and for the term of six years, must gradually acquire a dangerous pre-eminence in the government, and finally transform it into a tyrannical aristocracy.

In response to all these arguments, backed by reason, shown through examples, and supported by our own experiences, the jealous opponent of the Constitution will probably just keep saying that a senate not chosen directly by the people and serving a term of six years will gradually gain a dangerous superiority in the government and eventually turn it into a tyrannical aristocracy.

To this general answer, the general reply ought to be sufficient, that liberty may be endangered by the abuses of liberty as well as by the abuses of power; that there are numerous instances of the former as well as of the latter; and that the former, rather than the latter, are apparently most to be apprehended by the United States. But a more particular reply may be given.

To this general answer, the overall response should be enough to say that liberty can be threatened by both the misuse of liberty and the misuse of power; that there are many examples of both; and that the misuse of liberty, more than the misuse of power, seems to be the biggest concern for the United States. However, a more specific response can be provided.

Before such a revolution can be effected, the Senate, it is to be observed, must in the first place corrupt itself; must next corrupt the State legislatures; must then corrupt the House of Representatives; and must finally corrupt the people at large. It is evident that the Senate must be first corrupted before it can attempt an establishment of tyranny. Without corrupting the State legislatures, it cannot prosecute the attempt, because the periodical change of members would otherwise regenerate the whole body. Without exerting the means of corruption with equal success on the House of Representatives, the opposition of that coequal branch of the government would inevitably defeat the attempt; and without corrupting the people themselves, a succession of new representatives would speedily restore all things to their pristine order. Is there any man who can seriously persuade himself that the proposed Senate can, by any possible means within the compass of human address, arrive at the object of a lawless ambition, through all these obstructions?

Before such a revolution can happen, it's important to note that the Senate must first corrupt itself; then it has to corrupt the State legislatures; after that, it needs to corrupt the House of Representatives; and finally, it must corrupt the general public. It's clear that the Senate has to be corrupted first before it can try to establish tyranny. Without corrupting the State legislatures, it won't be able to move forward with the attempt, because the regular turnover of members would otherwise refresh the entire body. If it doesn't corrupt the House of Representatives with the same level of success, the resistance from that equal branch of government would inevitably thwart the effort; and without corrupting the people themselves, a wave of new representatives would quickly restore everything to its original state. Is there anyone who can genuinely convince themselves that the proposed Senate can achieve lawless ambition despite all these obstacles?

If reason condemns the suspicion, the same sentence is pronounced by experience. The constitution of Maryland furnishes the most apposite example. The Senate of that State is elected, as the federal Senate will be, indirectly by the people, and for a term less by one year only than the federal Senate. It is distinguished, also, by the remarkable prerogative of filling up its own vacancies within the term of its appointment, and, at the same time, is not under the control of any such rotation as is provided for the federal Senate. There are some other lesser distinctions, which would expose the former to colorable objections, that do not lie against the latter. If the federal Senate, therefore, really contained the danger which has been so loudly proclaimed, some symptoms at least of a like danger ought by this time to have been betrayed by the Senate of Maryland, but no such symptoms have appeared. On the contrary, the jealousies at first entertained by men of the same description with those who view with terror the correspondent part of the federal Constitution, have been gradually extinguished by the progress of the experiment; and the Maryland constitution is daily deriving, from the salutary operation of this part of it, a reputation in which it will probably not be rivalled by that of any State in the Union.

If reason rejects the suspicion, so does experience. The constitution of Maryland provides a perfect example. The Senate in that state is elected, just like the federal Senate will be, indirectly by the people, and its term is only one year shorter than that of the federal Senate. It also stands out because it has the unique power to fill its own vacancies during its term and isn’t under any system of rotation like the federal Senate. There are a few other minor differences that could make the Maryland Senate subject to criticisms that wouldn’t apply to the federal Senate. So, if the federal Senate really posed the danger that has been so loudly warned against, we should have seen at least some signs of that danger in the Maryland Senate by now, but none have appeared. On the contrary, the initial concerns held by people similar to those who fear the corresponding part of the federal Constitution have gradually faded as the situation has evolved; and the Maryland constitution is gaining a reputation that likely won’t be matched by any other state in the Union.

But if anything could silence the jealousies on this subject, it ought to be the British example. The Senate there instead of being elected for a term of six years, and of being unconfined to particular families or fortunes, is an hereditary assembly of opulent nobles. The House of Representatives, instead of being elected for two years, and by the whole body of the people, is elected for seven years, and, in very great proportion, by a very small proportion of the people. Here, unquestionably, ought to be seen in full display the aristocratic usurpations and tyranny which are at some future period to be exemplified in the United States. Unfortunately, however, for the anti-federal argument, the British history informs us that this hereditary assembly has not been able to defend itself against the continual encroachments of the House of Representatives; and that it no sooner lost the support of the monarch, than it was actually crushed by the weight of the popular branch.

But if anything could put an end to the jealousies around this issue, it should be the British example. The Senate there, instead of being elected for a term of six years and unrestricted to certain families or fortunes, is made up of hereditary wealthy nobles. The House of Representatives, rather than being elected for two years by the entire population, is elected for seven years, and largely by a very small segment of the people. Here, we can clearly see the aristocratic takeovers and oppression that will eventually be seen in the United States. Sadly, for the anti-federal argument, British history shows us that this hereditary assembly has been unable to defend itself against the ongoing intrusions of the House of Representatives; and as soon as it lost the support of the monarch, it was actually overwhelmed by the strength of the popular branch.

As far as antiquity can instruct us on this subject, its examples support the reasoning which we have employed. In Sparta, the Ephori, the annual representatives of the people, were found an overmatch for the senate for life, continually gained on its authority and finally drew all power into their own hands. The Tribunes of Rome, who were the representatives of the people, prevailed, it is well known, in almost every contest with the senate for life, and in the end gained the most complete triumph over it. The fact is the more remarkable, as unanimity was required in every act of the Tribunes, even after their number was augmented to ten. It proves the irresistible force possessed by that branch of a free government, which has the people on its side. To these examples might be added that of Carthage, whose senate, according to the testimony of Polybius, instead of drawing all power into its vortex, had, at the commencement of the second Punic War, lost almost the whole of its original portion.

As far as ancient history can teach us about this topic, its examples support the reasoning we've used. In Sparta, the Ephori, who were the annual representatives of the people, were a strong match for the lifelong senate, constantly increasing their authority and ultimately consolidating all power in their own hands. The Tribunes of Rome, also representing the people, are well known to have prevailed in almost every conflict with the lifelong senate and ultimately achieved a complete victory over it. This fact is even more remarkable considering unanimity was required for every decision made by the Tribunes, even after their number was increased to ten. It demonstrates the unstoppable power held by that branch of a free government that has the public on its side. We could also add the example of Carthage, whose senate, according to Polybius, instead of amassing all power for itself, had lost nearly all of its original authority by the start of the second Punic War.

Besides the conclusive evidence resulting from this assemblage of facts, that the federal Senate will never be able to transform itself, by gradual usurpations, into an independent and aristocratic body, we are warranted in believing, that if such a revolution should ever happen from causes which the foresight of man cannot guard against, the House of Representatives, with the people on their side, will at all times be able to bring back the Constitution to its primitive form and principles. Against the force of the immediate representatives of the people, nothing will be able to maintain even the constitutional authority of the Senate, but such a display of enlightened policy, and attachment to the public good, as will divide with that branch of the legislature the affections and support of the entire body of the people themselves.

Besides the clear evidence from this collection of facts that the federal Senate will never be able to change itself into an independent and aristocratic body through gradual usurpations, we can believe that if such a shift were ever to occur due to unforeseen circumstances, the House of Representatives, backed by the people, will always be able to restore the Constitution to its original form and principles. Against the influence of the direct representatives of the people, nothing will be able to uphold even the constitutional authority of the Senate, except for a demonstration of enlightened policy and commitment to the public good that can win the loyalty and support of the entire populace.

PUBLIUS

PUBLIUS





FEDERALIST No. 64. The Powers of the Senate

From The Independent Journal. Wednesday, March 5, 1788.

JAY

JAY

To the People of the State of New York:

To the People of New York:

IT IS a just and not a new observation, that enemies to particular persons, and opponents to particular measures, seldom confine their censures to such things only in either as are worthy of blame. Unless on this principle, it is difficult to explain the motives of their conduct, who condemn the proposed Constitution in the aggregate, and treat with severity some of the most unexceptionable articles in it.

IT'S a fair and not a new observation that people who oppose certain individuals or specific measures rarely limit their criticisms to only those things that truly deserve it. Without this understanding, it's hard to make sense of the actions of those who condemn the proposed Constitution as a whole and harshly criticize some of its most acceptable articles.

The second section gives power to the President, "BY AND WITH THE ADVICE AND CONSENT OF THE SENATE, TO MAKE TREATIES, PROVIDED TWO THIRDS OF THE SENATORS PRESENT CONCUR."

The second section gives power to the President, "BY AND WITH THE ADVICE AND CONSENT OF THE SENATE, TO MAKE TREATIES, PROVIDED TWO THIRDS OF THE SENATORS PRESENT CONCUR."

The power of making treaties is an important one, especially as it relates to war, peace, and commerce; and it should not be delegated but in such a mode, and with such precautions, as will afford the highest security that it will be exercised by men the best qualified for the purpose, and in the manner most conducive to the public good. The convention appears to have been attentive to both these points: they have directed the President to be chosen by select bodies of electors, to be deputed by the people for that express purpose; and they have committed the appointment of senators to the State legislatures. This mode has, in such cases, vastly the advantage of elections by the people in their collective capacity, where the activity of party zeal, taking the advantage of the supineness, the ignorance, and the hopes and fears of the unwary and interested, often places men in office by the votes of a small proportion of the electors.

The power to make treaties is crucial, especially when it comes to war, peace, and commerce. It shouldn’t be handed over without careful consideration and safeguards to ensure it’s handled by the most qualified individuals and in a way that benefits the public. The convention seems to have focused on both of these issues: they specified that the President should be chosen by select groups of electors appointed by the people for this specific purpose, and they assigned the appointment of senators to the state legislatures. This approach has a significant advantage over direct elections by the public, where party loyalty often takes precedence, leading to candidates being elected by a small fraction of voters who may not be fully informed or engaged.

As the select assemblies for choosing the President, as well as the State legislatures who appoint the senators, will in general be composed of the most enlightened and respectable citizens, there is reason to presume that their attention and their votes will be directed to those men only who have become the most distinguished by their abilities and virtue, and in whom the people perceive just grounds for confidence. The Constitution manifests very particular attention to this object. By excluding men under thirty-five from the first office, and those under thirty from the second, it confines the electors to men of whom the people have had time to form a judgment, and with respect to whom they will not be liable to be deceived by those brilliant appearances of genius and patriotism, which, like transient meteors, sometimes mislead as well as dazzle. If the observation be well founded, that wise kings will always be served by able ministers, it is fair to argue, that as an assembly of select electors possess, in a greater degree than kings, the means of extensive and accurate information relative to men and characters, so will their appointments bear at least equal marks of discretion and discernment. The inference which naturally results from these considerations is this, that the President and senators so chosen will always be of the number of those who best understand our national interests, whether considered in relation to the several States or to foreign nations, who are best able to promote those interests, and whose reputation for integrity inspires and merits confidence. With such men the power of making treaties may be safely lodged.

Since the assemblies that choose the President and the State legislatures that appoint the senators will generally consist of the most informed and reputable citizens, we can assume that their attention and votes will be focused only on those individuals who are most distinguished for their abilities and integrity, and in whom the public has valid reasons to have trust. The Constitution pays careful attention to this matter. By excluding individuals under thirty-five from the Presidency and those under thirty from the Senate, it ensures that the electors are individuals whom the public has had time to evaluate, reducing the chance of being misled by temporary displays of talent and patriotism that can dazzle but also deceive. If it's true that wise leaders will always be supported by capable advisors, it's reasonable to suggest that the assembly of select electors, having more extensive and accurate information about individuals and their characters than kings do, will make selections with at least equal judgment and insight. The conclusion that naturally follows from this is that the chosen President and senators will always be among those who best understand our national interests, whether in regard to the individual States or international relations, who are most equipped to advance those interests, and whose reputation for honesty inspires and deserves public trust. With such individuals, the authority to make treaties can be confidently entrusted.

Although the absolute necessity of system, in the conduct of any business, is universally known and acknowledged, yet the high importance of it in national affairs has not yet become sufficiently impressed on the public mind. They who wish to commit the power under consideration to a popular assembly, composed of members constantly coming and going in quick succession, seem not to recollect that such a body must necessarily be inadequate to the attainment of those great objects, which require to be steadily contemplated in all their relations and circumstances, and which can only be approached and achieved by measures which not only talents, but also exact information, and often much time, are necessary to concert and to execute. It was wise, therefore, in the convention to provide, not only that the power of making treaties should be committed to able and honest men, but also that they should continue in place a sufficient time to become perfectly acquainted with our national concerns, and to form and introduce a system for the management of them. The duration prescribed is such as will give them an opportunity of greatly extending their political information, and of rendering their accumulating experience more and more beneficial to their country. Nor has the convention discovered less prudence in providing for the frequent elections of senators in such a way as to obviate the inconvenience of periodically transferring those great affairs entirely to new men; for by leaving a considerable residue of the old ones in place, uniformity and order, as well as a constant succession of official information will be preserved.

Even though the absolute necessity of having a system in any business is widely recognized, its critical importance in national affairs hasn't fully registered with the public yet. Those who want to hand over this power to a popular assembly, with members constantly coming and going, seem to forget that such a group will inevitably fall short in achieving the significant goals that need consistent focus on all their connections and circumstances. These goals can only be approached and accomplished through measures that require not just talent, but also accurate information and often a lot of time to plan and execute. It was therefore wise for the convention to ensure that the power to make treaties is entrusted to capable and honest individuals and that they remain in position long enough to become fully familiar with our national issues and to develop and establish a management system for them. The term prescribed allows them to significantly enhance their political knowledge, making their growing experience increasingly beneficial for the country. The convention also showed wisdom in setting up frequent elections of senators in a way that avoids the hassle of entirely transferring these crucial matters to new people regularly, as keeping a good number of the old senators in place ensures continuity and order, along with a steady flow of official information.

There are a few who will not admit that the affairs of trade and navigation should be regulated by a system cautiously formed and steadily pursued; and that both our treaties and our laws should correspond with and be made to promote it. It is of much consequence that this correspondence and conformity be carefully maintained; and they who assent to the truth of this position will see and confess that it is well provided for by making concurrence of the Senate necessary both to treaties and to laws.

There are some who won't acknowledge that the matters of trade and navigation need to be regulated by a carefully designed and consistently applied system; and that both our treaties and laws should align with and support it. It's very important that this alignment and consistency are carefully upheld; and those who agree with this idea will recognize and admit that it's effectively addressed by requiring Senate approval for both treaties and laws.

It seldom happens in the negotiation of treaties, of whatever nature, but that perfect SECRECY and immediate DESPATCH are sometimes requisite. These are cases where the most useful intelligence may be obtained, if the persons possessing it can be relieved from apprehensions of discovery. Those apprehensions will operate on those persons whether they are actuated by mercenary or friendly motives; and there doubtless are many of both descriptions, who would rely on the secrecy of the President, but who would not confide in that of the Senate, and still less in that of a large popular Assembly. The convention have done well, therefore, in so disposing of the power of making treaties, that although the President must, in forming them, act by the advice and consent of the Senate, yet he will be able to manage the business of intelligence in such a manner as prudence may suggest.

It rarely happens during treaty negotiations, of any kind, that complete SECRECY and quick ACTION aren’t sometimes needed. These are situations where the most valuable information can be gathered if those who have it can be free from fears of being discovered. Those fears affect people whether they are motivated by money or by goodwill; and there are certainly many from both groups who would trust the President’s secrecy but wouldn’t have the same confidence in the Senate, and even less in a large public assembly. The convention has made a smart decision by organizing the power to make treaties so that while the President must work with the advice and consent of the Senate, he can still handle intelligence matters in whatever way his judgment suggests.

They who have turned their attention to the affairs of men, must have perceived that there are tides in them; tides very irregular in their duration, strength, and direction, and seldom found to run twice exactly in the same manner or measure. To discern and to profit by these tides in national affairs is the business of those who preside over them; and they who have had much experience on this head inform us, that there frequently are occasions when days, nay, even when hours, are precious. The loss of a battle, the death of a prince, the removal of a minister, or other circumstances intervening to change the present posture and aspect of affairs, may turn the most favorable tide into a course opposite to our wishes. As in the field, so in the cabinet, there are moments to be seized as they pass, and they who preside in either should be left in capacity to improve them. So often and so essentially have we heretofore suffered from the want of secrecy and despatch, that the Constitution would have been inexcusably defective, if no attention had been paid to those objects. Those matters which in negotiations usually require the most secrecy and the most despatch, are those preparatory and auxiliary measures which are not otherwise important in a national view, than as they tend to facilitate the attainment of the objects of the negotiation. For these, the President will find no difficulty to provide; and should any circumstance occur which requires the advice and consent of the Senate, he may at any time convene them. Thus we see that the Constitution provides that our negotiations for treaties shall have every advantage which can be derived from talents, information, integrity, and deliberate investigations, on the one hand, and from secrecy and despatch on the other.

Anyone who has paid attention to human affairs must have noticed that there are fluctuating patterns; these patterns are often inconsistent in how long they last, their intensity, and their direction, and they rarely repeat in exactly the same way. Understanding and taking advantage of these fluctuations in national matters is the responsibility of those in leadership positions. Experienced individuals in this area tell us that there are often moments when days, or even hours, are crucial. A battle lost, the death of a leader, the removal of a minister, or other events that change the current state of affairs can shift a favorable situation into one that goes against our desires. Just like on the battlefield, in the government, there are opportunities that need to be acted on as they arise, and those in charge should be ready to take advantage of them. We have often suffered significantly in the past due to a lack of secrecy and urgency, so the Constitution would be seriously lacking if it didn't address these issues. The matters that in negotiations typically need the most confidentiality and speed are those preliminary and supporting actions that aren't nationally significant on their own but help achieve the goals of the negotiation. For these, the President can easily make arrangements; and if any situation arises that requires the Senate's advice and consent, he can summon them at any time. Thus, we see that the Constitution ensures our treaty negotiations benefit from both skill, knowledge, and integrity, along with thorough investigations on one side, and confidentiality and urgency on the other.

But to this plan, as to most others that have ever appeared, objections are contrived and urged.

But to this plan, like with most others that have ever come up, objections are created and pushed.

Some are displeased with it, not on account of any errors or defects in it, but because, as the treaties, when made, are to have the force of laws, they should be made only by men invested with legislative authority. These gentlemen seem not to consider that the judgments of our courts, and the commissions constitutionally given by our governor, are as valid and as binding on all persons whom they concern, as the laws passed by our legislature. All constitutional acts of power, whether in the executive or in the judicial department, have as much legal validity and obligation as if they proceeded from the legislature; and therefore, whatever name be given to the power of making treaties, or however obligatory they may be when made, certain it is, that the people may, with much propriety, commit the power to a distinct body from the legislature, the executive, or the judicial. It surely does not follow, that because they have given the power of making laws to the legislature, that therefore they should likewise give them the power to do every other act of sovereignty by which the citizens are to be bound and affected.

Some people are unhappy with this, not because there are any mistakes or flaws in it, but because treaties, once made, are supposed to have the force of laws and should only be created by those with legislative authority. These individuals don't seem to realize that the decisions made by our courts and the commissions legitimately granted by our governor are just as valid and binding on everyone involved as the laws passed by our legislature. All constitutional acts of power, whether from the executive or the judicial branch, carry the same legal validity and obligation as if they came from the legislature. Therefore, regardless of what name we give to the power to make treaties, or how mandatory they may be once established, it’s clear that the people can reasonably delegate that power to a separate body aside from the legislature, whether it’s the executive or the judicial branch. It certainly doesn't imply that just because they’ve given legislative power to the legislature, they should also give it the power to do everything else that affects the citizens.

Others, though content that treaties should be made in the mode proposed, are averse to their being the SUPREME laws of the land. They insist, and profess to believe, that treaties like acts of assembly, should be repealable at pleasure. This idea seems to be new and peculiar to this country, but new errors, as well as new truths, often appear. These gentlemen would do well to reflect that a treaty is only another name for a bargain, and that it would be impossible to find a nation who would make any bargain with us, which should be binding on them ABSOLUTELY, but on us only so long and so far as we may think proper to be bound by it. They who make laws may, without doubt, amend or repeal them; and it will not be disputed that they who make treaties may alter or cancel them; but still let us not forget that treaties are made, not by only one of the contracting parties, but by both; and consequently, that as the consent of both was essential to their formation at first, so must it ever afterwards be to alter or cancel them. The proposed Constitution, therefore, has not in the least extended the obligation of treaties. They are just as binding, and just as far beyond the lawful reach of legislative acts now, as they will be at any future period, or under any form of government.

Others, while okay with treaties being made as suggested, are against them being the SUPREME laws of the land. They argue and seem to believe that treaties, like laws passed by legislatures, should be repealable whenever desired. This viewpoint seems to be new and unique to this country, but new mistakes, just like new truths, often come up. These individuals should consider that a treaty is simply another term for a deal, and it would be impossible to find a nation that would make any deal with us that would be binding on them UNCONDITIONALLY, but only on us as long as we feel like being bound by it. Those who create laws can indeed change or repeal them, and it will not be contested that those who create treaties can modify or nullify them; however, let’s not forget that treaties are made by both parties involved, not just one. Therefore, since the agreement of both was crucial to their initial formation, it must also be essential to change or terminate them later on. Thus, the proposed Constitution has not at all increased the obligation of treaties. They remain just as binding and beyond the legal reach of legislative actions now as they will be in the future or under any type of government.

However useful jealousy may be in republics, yet when like bile in the natural, it abounds too much in the body politic, the eyes of both become very liable to be deceived by the delusive appearances which that malady casts on surrounding objects. From this cause, probably, proceed the fears and apprehensions of some, that the President and Senate may make treaties without an equal eye to the interests of all the States. Others suspect that two thirds will oppress the remaining third, and ask whether those gentlemen are made sufficiently responsible for their conduct; whether, if they act corruptly, they can be punished; and if they make disadvantageous treaties, how are we to get rid of those treaties?

However useful jealousy may be in democracies, when it, like bile in the body, becomes too excessive in the political system, both sides can easily be misled by the false appearances that this sickness creates around them. This is likely why some people fear that the President and Senate might make treaties without considering the interests of all the States equally. Others worry that two thirds could dominate the remaining third and question whether those individuals are held accountable for their actions; whether, if they act corruptly, they can be punished; and if they create unfavorable treaties, how we can get out of those treaties?

As all the States are equally represented in the Senate, and by men the most able and the most willing to promote the interests of their constituents, they will all have an equal degree of influence in that body, especially while they continue to be careful in appointing proper persons, and to insist on their punctual attendance. In proportion as the United States assume a national form and a national character, so will the good of the whole be more and more an object of attention, and the government must be a weak one indeed, if it should forget that the good of the whole can only be promoted by advancing the good of each of the parts or members which compose the whole. It will not be in the power of the President and Senate to make any treaties by which they and their families and estates will not be equally bound and affected with the rest of the community; and, having no private interests distinct from that of the nation, they will be under no temptations to neglect the latter.

Since all the states are equally represented in the Senate, and by people who are both capable and willing to advocate for their constituents' interests, they will all have an equal influence in that body, especially as long as they continue to carefully appoint the right people and insist on their regular attendance. As the United States takes on a national identity and character, the welfare of the whole will increasingly become a focus of attention, and the government must truly be weak if it forgets that the good of the whole can only be achieved by promoting the good of each part or member that makes up the whole. The President and Senate won't have the power to make treaties that don't also bind and affect themselves and their families and assets, and, with no private interests separate from those of the nation, they won't be tempted to neglect the latter.

As to corruption, the case is not supposable. He must either have been very unfortunate in his intercourse with the world, or possess a heart very susceptible of such impressions, who can think it probable that the President and two thirds of the Senate will ever be capable of such unworthy conduct. The idea is too gross and too invidious to be entertained. But in such a case, if it should ever happen, the treaty so obtained from us would, like all other fraudulent contracts, be null and void by the law of nations.

As for corruption, that's pretty hard to imagine. Someone would have to be either very unlucky in their dealings with others or have a heart easily swayed to think it's likely that the President and two-thirds of the Senate could behave in such an unworthy way. That idea is just too outrageous and offensive to consider. However, if it ever were to happen, any treaty gained this way from us would be invalid and void under international law, just like any other fraudulent agreement.

With respect to their responsibility, it is difficult to conceive how it could be increased. Every consideration that can influence the human mind, such as honor, oaths, reputations, conscience, the love of country, and family affections and attachments, afford security for their fidelity. In short, as the Constitution has taken the utmost care that they shall be men of talents and integrity, we have reason to be persuaded that the treaties they make will be as advantageous as, all circumstances considered, could be made; and so far as the fear of punishment and disgrace can operate, that motive to good behavior is amply afforded by the article on the subject of impeachments.

Regarding their responsibility, it’s hard to imagine how it could be heightened. Every factor that can influence a person's mind, like honor, oaths, reputation, conscience, loyalty to their country, and family bonds, ensures their commitment. In summary, since the Constitution has been very careful to ensure that they are people of talent and integrity, we have good reason to believe that the treaties they create will be as beneficial as possible, considering all circumstances. Furthermore, the potential for punishment and disgrace serves as a strong incentive for good behavior, as provided by the article on impeachments.

PUBLIUS

PUBLIUS





FEDERALIST No. 65. The Powers of the Senate Continued

From the New York Packet. Friday, March 7, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York State:

THE remaining powers which the plan of the convention allots to the Senate, in a distinct capacity, are comprised in their participation with the executive in the appointment to offices, and in their judicial character as a court for the trial of impeachments. As in the business of appointments the executive will be the principal agent, the provisions relating to it will most properly be discussed in the examination of that department. We will, therefore, conclude this head with a view of the judicial character of the Senate.

THE remaining powers that the convention's plan assigns to the Senate, in a separate role, involve their participation with the executive in making appointments to offices and their function as a court for impeachment trials. Since the executive will be the main authority in the appointment process, the details regarding it will be better addressed when we look at that department. Therefore, we will wrap up this section by discussing the Senate's judicial role.

A well-constituted court for the trial of impeachments is an object not more to be desired than difficult to be obtained in a government wholly elective. The subjects of its jurisdiction are those offenses which proceed from the misconduct of public men, or, in other words, from the abuse or violation of some public trust. They are of a nature which may with peculiar propriety be denominated POLITICAL, as they relate chiefly to injuries done immediately to the society itself. The prosecution of them, for this reason, will seldom fail to agitate the passions of the whole community, and to divide it into parties more or less friendly or inimical to the accused. In many cases it will connect itself with the pre-existing factions, and will enlist all their animosities, partialities, influence, and interest on one side or on the other; and in such cases there will always be the greatest danger that the decision will be regulated more by the comparative strength of parties, than by the real demonstrations of innocence or guilt.

A properly formed court for impeachment trials is something that's highly desirable but difficult to achieve in a completely elected government. The cases it handles involve offenses resulting from the wrongdoing of public officials, or in simpler terms, from the misuse or breach of public trust. These cases can aptly be called POLITICAL, as they mainly pertain to harm done directly to society itself. Because of this, prosecuting them often stirs up the emotions of the entire community, dividing it into groups that are either supportive or opposed to the accused. In many instances, it will become intertwined with existing factions, drawing out all their rivalries, biases, influence, and interests, either for or against one side; and in such situations, there is always a significant risk that the outcome will be influenced more by the relative strength of these factions than by actual evidence of innocence or guilt.

The delicacy and magnitude of a trust which so deeply concerns the political reputation and existence of every man engaged in the administration of public affairs, speak for themselves. The difficulty of placing it rightly, in a government resting entirely on the basis of periodical elections, will as readily be perceived, when it is considered that the most conspicuous characters in it will, from that circumstance, be too often the leaders or the tools of the most cunning or the most numerous faction, and on this account, can hardly be expected to possess the requisite neutrality towards those whose conduct may be the subject of scrutiny.

The sensitivity and importance of a trust that significantly affects the political reputation and livelihoods of everyone involved in public administration are clear. The challenge of managing this trust in a government based entirely on regular elections is also obvious, especially considering that the most prominent figures in such a system are often the leaders or pawns of the most manipulative or numerous groups. For this reason, they can hardly be relied upon to maintain the necessary neutrality towards those whose actions might be under investigation.

The convention, it appears, thought the Senate the most fit depositary of this important trust. Those who can best discern the intrinsic difficulty of the thing, will be least hasty in condemning that opinion, and will be most inclined to allow due weight to the arguments which may be supposed to have produced it.

The convention seems to believe that the Senate is the most suitable place for this important responsibility. Those who understand the real challenges involved will be the least quick to criticize that view and will be more open to considering the reasons that might have led to it.

What, it may be asked, is the true spirit of the institution itself? Is it not designed as a method of NATIONAL INQUEST into the conduct of public men? If this be the design of it, who can so properly be the inquisitors for the nation as the representatives of the nation themselves? It is not disputed that the power of originating the inquiry, or, in other words, of preferring the impeachment, ought to be lodged in the hands of one branch of the legislative body. Will not the reasons which indicate the propriety of this arrangement strongly plead for an admission of the other branch of that body to a share of the inquiry? The model from which the idea of this institution has been borrowed, pointed out that course to the convention. In Great Britain it is the province of the House of Commons to prefer the impeachment, and of the House of Lords to decide upon it. Several of the State constitutions have followed the example. As well the latter, as the former, seem to have regarded the practice of impeachments as a bridle in the hands of the legislative body upon the executive servants of the government. Is not this the true light in which it ought to be regarded?

What, you might ask, is the true spirit of the institution itself? Isn’t it meant to be a way for the nation to investigate the actions of public officials? If that’s the goal, who better to act as investigators for the nation than its own representatives? It’s agreed that the authority to initiate the inquiry, or in other words, to propose the impeachment, should rest with one branch of the legislative body. Don’t the reasons supporting this arrangement strongly suggest that the other branch of that body should also be involved in the inquiry? The model from which this institution’s idea is derived guided the convention. In Great Britain, the House of Commons is responsible for initiating impeachments, while the House of Lords decides on them. Several state constitutions have followed this example. Both the former and the latter seem to see the practice of impeachment as a check by the legislative body on the executive officials of the government. Shouldn’t this be the correct way to understand it?

Where else than in the Senate could have been found a tribunal sufficiently dignified, or sufficiently independent? What other body would be likely to feel CONFIDENCE ENOUGH IN ITS OWN SITUATION, to preserve, unawed and uninfluenced, the necessary impartiality between an INDIVIDUAL accused, and the REPRESENTATIVES OF THE PEOPLE, HIS ACCUSERS?

Where else but in the Senate could there be a court that is both dignified and independent? What other group would likely have enough confidence in its position to maintain the necessary impartiality between an individual on trial and the representatives of the people, his accusers, without feeling intimidated or influenced?

Could the Supreme Court have been relied upon as answering this description? It is much to be doubted, whether the members of that tribunal would at all times be endowed with so eminent a portion of fortitude, as would be called for in the execution of so difficult a task; and it is still more to be doubted, whether they would possess the degree of credit and authority, which might, on certain occasions, be indispensable towards reconciling the people to a decision that should happen to clash with an accusation brought by their immediate representatives. A deficiency in the first, would be fatal to the accused; in the last, dangerous to the public tranquillity. The hazard in both these respects, could only be avoided, if at all, by rendering that tribunal more numerous than would consist with a reasonable attention to economy. The necessity of a numerous court for the trial of impeachments, is equally dictated by the nature of the proceeding. This can never be tied down by such strict rules, either in the delineation of the offense by the prosecutors, or in the construction of it by the judges, as in common cases serve to limit the discretion of courts in favor of personal security. There will be no jury to stand between the judges who are to pronounce the sentence of the law, and the party who is to receive or suffer it. The awful discretion which a court of impeachments must necessarily have, to doom to honor or to infamy the most confidential and the most distinguished characters of the community, forbids the commitment of the trust to a small number of persons.

Could the Supreme Court really be counted on to meet this description? It’s pretty doubtful that the members of that court would always have the level of courage needed to tackle such a challenging task; even more questionable is whether they would have the credibility and authority that might be necessary at times to get the people to accept a ruling that opposes an accusation made by their local representatives. A lack of courage would be disastrous for the accused, while a lack of credibility would be risky for public peace. The risks in both instances could only be minimized, if at all, by making that court larger than would be practical for managing costs. The need for a larger court in impeachment trials is clearly dictated by the nature of the process. This can never be constrained by rigid rules, either in outlining the offense by the prosecutors or in the interpretation by the judges, as is the case in regular proceedings that limit judicial discretion to protect personal security. There won’t be a jury to mediate between the judges who will issue the legal sentence and the individual who will face it. The incredible discretion that an impeachment court must have—potentially deciding between honor and disgrace for the most trusted and prominent figures in the community—makes it reckless to assign this responsibility to a small group of people.

These considerations seem alone sufficient to authorize a conclusion, that the Supreme Court would have been an improper substitute for the Senate, as a court of impeachments. There remains a further consideration, which will not a little strengthen this conclusion. It is this: The punishment which may be the consequence of conviction upon impeachment, is not to terminate the chastisement of the offender. After having been sentenced to a perpetual ostracism from the esteem and confidence, and honors and emoluments of his country, he will still be liable to prosecution and punishment in the ordinary course of law. Would it be proper that the persons who had disposed of his fame, and his most valuable rights as a citizen in one trial, should, in another trial, for the same offense, be also the disposers of his life and his fortune? Would there not be the greatest reason to apprehend, that error, in the first sentence, would be the parent of error in the second sentence? That the strong bias of one decision would be apt to overrule the influence of any new lights which might be brought to vary the complexion of another decision? Those who know anything of human nature, will not hesitate to answer these questions in the affirmative; and will be at no loss to perceive, that by making the same persons judges in both cases, those who might happen to be the objects of prosecution would, in a great measure, be deprived of the double security intended them by a double trial. The loss of life and estate would often be virtually included in a sentence which, in its terms, imported nothing more than dismission from a present, and disqualification for a future, office. It may be said, that the intervention of a jury, in the second instance, would obviate the danger. But juries are frequently influenced by the opinions of judges. They are sometimes induced to find special verdicts, which refer the main question to the decision of the court. Who would be willing to stake his life and his estate upon the verdict of a jury acting under the auspices of judges who had predetermined his guilt?

These considerations seem sufficient to conclude that the Supreme Court would have been an inappropriate substitute for the Senate as a court of impeachment. There’s another point that strengthens this conclusion: The punishment resulting from an impeachment conviction doesn’t end the consequences for the offender. After being sentenced to a permanent removal from the respect, trust, honors, and benefits of his country, he would still face prosecution and punishment under regular laws. Would it be appropriate for the same individuals who determined his reputation and his most valuable rights as a citizen in one trial to also decide his life and his wealth in another trial for the same offense? Wouldn’t there be a significant reason to worry that an error in the first ruling would lead to an error in the second? That the strong bias of one decision would likely overshadow any new evidence that could change the outcome of another decision? Those familiar with human nature would not hesitate to answer these questions affirmatively and would clearly see that by having the same individuals serve as judges in both cases, those who might become the targets of prosecution would largely lose the protection intended by a second trial. The loss of life and property could often be essentially included in a ruling that, in its wording, suggested nothing more than removal from a current position and disqualification for future ones. It might be argued that having a jury involved in the second instance would eliminate this risk. But juries are often swayed by judges' opinions. They can sometimes be led to deliver special verdicts that place the key question back in the court’s hands. Who would willingly gamble their life and property on a jury’s verdict when acting under judges who had already decided on their guilt?

Would it have been an improvement of the plan, to have united the Supreme Court with the Senate, in the formation of the court of impeachments? This union would certainly have been attended with several advantages; but would they not have been overbalanced by the signal disadvantage, already stated, arising from the agency of the same judges in the double prosecution to which the offender would be liable? To a certain extent, the benefits of that union will be obtained from making the chief justice of the Supreme Court the president of the court of impeachments, as is proposed to be done in the plan of the convention; while the inconveniences of an entire incorporation of the former into the latter will be substantially avoided. This was perhaps the prudent mean. I forbear to remark upon the additional pretext for clamor against the judiciary, which so considerable an augmentation of its authority would have afforded.

Would it have been a better plan to combine the Supreme Court with the Senate to create the court of impeachments? This merger would definitely have some advantages; however, wouldn't they be outweighed by the significant disadvantage mentioned earlier, which comes from having the same judges involved in both prosecutions of the accused? To some extent, the benefits of that merger can still be achieved by making the chief justice of the Supreme Court the president of the court of impeachments, as proposed in the convention's plan, while avoiding the drawbacks of fully merging the two. This was probably a wise compromise. I won’t comment on the extra reasons for criticism against the judiciary that such a significant increase in its power would have created.

Would it have been desirable to have composed the court for the trial of impeachments, of persons wholly distinct from the other departments of the government? There are weighty arguments, as well against, as in favor of, such a plan. To some minds it will not appear a trivial objection, that it could tend to increase the complexity of the political machine, and to add a new spring to the government, the utility of which would at best be questionable. But an objection which will not be thought by any unworthy of attention, is this: a court formed upon such a plan, would either be attended with a heavy expense, or might in practice be subject to a variety of casualties and inconveniences. It must either consist of permanent officers, stationary at the seat of government, and of course entitled to fixed and regular stipends, or of certain officers of the State governments to be called upon whenever an impeachment was actually depending. It will not be easy to imagine any third mode materially different, which could rationally be proposed. As the court, for reasons already given, ought to be numerous, the first scheme will be reprobated by every man who can compare the extent of the public wants with the means of supplying them. The second will be espoused with caution by those who will seriously consider the difficulty of collecting men dispersed over the whole Union; the injury to the innocent, from the procrastinated determination of the charges which might be brought against them; the advantage to the guilty, from the opportunities which delay would afford to intrigue and corruption; and in some cases the detriment to the State, from the prolonged inaction of men whose firm and faithful execution of their duty might have exposed them to the persecution of an intemperate or designing majority in the House of Representatives. Though this latter supposition may seem harsh, and might not be likely often to be verified, yet it ought not to be forgotten that the demon of faction will, at certain seasons, extend his sceptre over all numerous bodies of men.

Would it have been better to have set up a court for impeachment trials made up of people completely separate from the other branches of government? There are strong arguments both for and against such a plan. Some might see it as a significant issue that it could complicate the political system and add a new mechanism to the government, the value of which would at best be uncertain. However, an objection that deserves consideration is this: a court created in this way would either be very expensive or face a range of challenges and inconveniences. It would either have to consist of permanent officials stationed at the seat of government, who would be entitled to fixed and regular salaries, or it would rely on certain state officials to be called upon only when an impeachment was actually underway. It’s hard to imagine any other substantially different method that could be reasonably suggested. Since the court, for reasons previously mentioned, should be large, the first option would be rejected by anyone who can compare the public’s needs with the means to fulfill them. The second option would be approached cautiously by those who consider the challenge of gathering people spread across the entire country; the harm to the innocent caused by delays in resolving the charges against them; the advantage it would give to the guilty, who could take advantage of such delays for schemes and corruption; and in some cases, the harm to the state from the prolonged inactivity of individuals whose steadfast and loyal performance of their duties might expose them to harassment by an unreasonable or manipulative majority in the House of Representatives. While this latter assumption may seem harsh and unlikely to happen often, it should not be overlooked that the spirit of faction can, at certain times, exert its influence over all large groups of people.

But though one or the other of the substitutes which have been examined, or some other that might be devised, should be thought preferable to the plan in this respect, reported by the convention, it will not follow that the Constitution ought for this reason to be rejected. If mankind were to resolve to agree in no institution of government, until every part of it had been adjusted to the most exact standard of perfection, society would soon become a general scene of anarchy, and the world a desert. Where is the standard of perfection to be found? Who will undertake to unite the discordant opinions of a whole community, in the same judgment of it; and to prevail upon one conceited projector to renounce his INFALLIBLE criterion for the FALLIBLE criterion of his more CONCEITED NEIGHBOR? To answer the purpose of the adversaries of the Constitution, they ought to prove, not merely that particular provisions in it are not the best which might have been imagined, but that the plan upon the whole is bad and pernicious.

But even if one of the alternatives we've looked at, or some other option we could come up with, seems better than the plan proposed by the convention in this regard, that doesn’t mean the Constitution should be rejected. If people decided to wait to establish any government until every single part was perfected to the highest standard, society would quickly fall into chaos, and the world would become a wasteland. Where can we find this perfect standard? Who will step up to reconcile the conflicting views of an entire community to reach the same conclusion? And who can convince one self-righteous inventor to give up their UNQUESTIONABLE standard for the PREDICTABLY flawed standard of their more ARROGANT NEIGHBOR? To make their case against the Constitution, critics need to show not just that certain parts aren’t the best they could be, but that the overall plan is fundamentally bad and harmful.

PUBLIUS

PUBLIUS





FEDERALIST No. 66. Objections to the Power of the Senate To Set as a Court for Impeachments Further Considered.

From The Independent Journal. Saturday, March 8, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

A REVIEW of the principal objections that have appeared against the proposed court for the trial of impeachments, will not improbably eradicate the remains of any unfavorable impressions which may still exist in regard to this matter.

A REVIEW of the main objections raised against the proposed court for impeachment trials will likely clear up any lingering negative impressions that may still exist about this issue.

The FIRST of these objections is, that the provision in question confounds legislative and judiciary authorities in the same body, in violation of that important and well-established maxim which requires a separation between the different departments of power. The true meaning of this maxim has been discussed and ascertained in another place, and has been shown to be entirely compatible with a partial intermixture of those departments for special purposes, preserving them, in the main, distinct and unconnected. This partial intermixture is even, in some cases, not only proper but necessary to the mutual defense of the several members of the government against each other. An absolute or qualified negative in the executive upon the acts of the legislative body, is admitted, by the ablest adepts in political science, to be an indispensable barrier against the encroachments of the latter upon the former. And it may, perhaps, with no less reason be contended, that the powers relating to impeachments are, as before intimated, an essential check in the hands of that body upon the encroachments of the executive. The division of them between the two branches of the legislature, assigning to one the right of accusing, to the other the right of judging, avoids the inconvenience of making the same persons both accusers and judges; and guards against the danger of persecution, from the prevalency of a factious spirit in either of those branches. As the concurrence of two thirds of the Senate will be requisite to a condemnation, the security to innocence, from this additional circumstance, will be as complete as itself can desire.

The first of these objections is that the provision in question mixes legislative and judicial powers within the same body, violating the important and well-established principle that requires a separation of different branches of power. The true meaning of this principle has been discussed and clarified elsewhere and has been shown to be completely compatible with a limited mixing of these branches for specific purposes, keeping them mostly distinct and separate. This limited mixing is sometimes not only appropriate but necessary for the mutual protection of the different parts of the government against each other. An absolute or limited veto by the executive on the actions of the legislative body is recognized by the leading experts in political science as an essential safeguard against the legislative branch overstepping its bounds. Likewise, it can reasonably be argued that the powers related to impeachments are, as mentioned earlier, a crucial check in the hands of the legislative branch against executive overreach. Dividing these powers between the two branches of the legislature, with one branch having the right to accuse and the other the right to judge, avoids the problem of having the same people act as both accusers and judges, and protects against the risk of persecution due to a factional mindset in either branch. Since a two-thirds majority in the Senate is required for a conviction, this additional safeguard ensures that the protection of innocence is as complete as one could hope for.

It is curious to observe, with what vehemence this part of the plan is assailed, on the principle here taken notice of, by men who profess to admire, without exception, the constitution of this State; while that constitution makes the Senate, together with the chancellor and judges of the Supreme Court, not only a court of impeachments, but the highest judicatory in the State, in all causes, civil and criminal. The proportion, in point of numbers, of the chancellor and judges to the senators, is so inconsiderable, that the judiciary authority of New York, in the last resort, may, with truth, be said to reside in its Senate. If the plan of the convention be, in this respect, chargeable with a departure from the celebrated maxim which has been so often mentioned, and seems to be so little understood, how much more culpable must be the constitution of New York?(1)

It’s interesting to see how fiercely this part of the plan is attacked by people who claim to fully admire the constitution of this State. The constitution itself assigns the Senate, along with the chancellor and judges of the Supreme Court, not only as a court of impeachments but also as the highest judicial authority in the State for all civil and criminal cases. The number of chancellors and judges compared to senators is so small that it can accurately be said that the ultimate judicial power of New York lies with its Senate. If the convention's plan is criticized for deviating from the well-known principle that has been frequently discussed and seems to be poorly understood, then how much more blame should be placed on the constitution of New York? (1)

A SECOND objection to the Senate, as a court of impeachments, is, that it contributes to an undue accumulation of power in that body, tending to give to the government a countenance too aristocratic. The Senate, it is observed, is to have concurrent authority with the Executive in the formation of treaties and in the appointment to offices: if, say the objectors, to these prerogatives is added that of deciding in all cases of impeachment, it will give a decided predominancy to senatorial influence. To an objection so little precise in itself, it is not easy to find a very precise answer. Where is the measure or criterion to which we can appeal, for determining what will give the Senate too much, too little, or barely the proper degree of influence? Will it not be more safe, as well as more simple, to dismiss such vague and uncertain calculations, to examine each power by itself, and to decide, on general principles, where it may be deposited with most advantage and least inconvenience?

A second objection to the Senate serving as a court for impeachments is that it leads to an excessive concentration of power in that body, giving the government a more aristocratic appearance. It's noted that the Senate shares authority with the Executive in creating treaties and making appointments. If, as critics say, the power to decide on all impeachment cases is added to these privileges, it will significantly increase senatorial influence. It's hard to provide a precise response to such a vague objection. What standard can we use to determine if the Senate has too much, too little, or just the right amount of power? Wouldn't it be safer and simpler to set aside such unclear assessments, evaluate each power individually, and decide based on general principles where it can be placed with the greatest benefit and least disruption?

If we take this course, it will lead to a more intelligible, if not to a more certain result. The disposition of the power of making treaties, which has obtained in the plan of the convention, will, then, if I mistake not, appear to be fully justified by the considerations stated in a former number, and by others which will occur under the next head of our inquiries. The expediency of the junction of the Senate with the Executive, in the power of appointing to offices, will, I trust, be placed in a light not less satisfactory, in the disquisitions under the same head. And I flatter myself the observations in my last paper must have gone no inconsiderable way towards proving that it was not easy, if practicable, to find a more fit receptacle for the power of determining impeachments, than that which has been chosen. If this be truly the case, the hypothetical dread of the too great weight of the Senate ought to be discarded from our reasonings.

If we follow this path, it will lead to a clearer, if not more certain, outcome. The arrangement of the treaty-making power outlined in the convention's plan will, I believe, be fully justified by the reasons mentioned in a previous discussion and by additional ones that will arise in our next topic. I hope the necessity of involving the Senate with the Executive in appointing officials will also be shown in a way that is just as convincing in the analysis under that same topic. I believe the points made in my last article have contributed significantly to demonstrating that it was not easy, if feasible, to find a more suitable place for the power to decide on impeachments than the one that has been selected. If this is indeed the case, we should set aside the hypothetical fear of the Senate holding too much power in our reasoning.

But this hypothesis, such as it is, has already been refuted in the remarks applied to the duration in office prescribed for the senators. It was by them shown, as well on the credit of historical examples, as from the reason of the thing, that the most POPULAR branch of every government, partaking of the republican genius, by being generally the favorite of the people, will be as generally a full match, if not an overmatch, for every other member of the Government.

But this idea, as it stands, has already been disproven in the comments made about the length of time senators are allowed to serve. They argued, both based on historical examples and logical reasoning, that the most POPULAR branch of any government that embraces republican principles, being generally favored by the people, will usually be a strong competitor, if not more powerful, than any other part of the government.

But independent of this most active and operative principle, to secure the equilibrium of the national House of Representatives, the plan of the convention has provided in its favor several important counterpoises to the additional authorities to be conferred upon the Senate. The exclusive privilege of originating money bills will belong to the House of Representatives. The same house will possess the sole right of instituting impeachments: is not this a complete counterbalance to that of determining them? The same house will be the umpire in all elections of the President, which do not unite the suffrages of a majority of the whole number of electors; a case which it cannot be doubted will sometimes, if not frequently, happen. The constant possibility of the thing must be a fruitful source of influence to that body. The more it is contemplated, the more important will appear this ultimate though contingent power, of deciding the competitions of the most illustrious citizens of the Union, for the first office in it. It would not perhaps be rash to predict, that as a mean of influence it will be found to outweigh all the peculiar attributes of the Senate.

But aside from this most active and effective principle, to maintain the balance of the national House of Representatives, the convention's plan includes several important checks against the extra powers granted to the Senate. The House of Representatives will have the exclusive right to introduce money bills. This same house will also have the sole authority to initiate impeachments: isn't this a complete counter to the Senate's power to decide them? The House will serve as the referee in all presidential elections that don't achieve the majority vote from all electors; a situation that will likely occur sometimes, if not often. The ongoing possibility of this scenario will be a significant source of influence for that body. The more we consider it, the more critical this ultimate yet contingent power to decide the contests among the most prominent citizens for the top office will seem. It may not be unreasonable to predict that as a means of influence, this will outweigh all the specific powers of the Senate.

A THIRD objection to the Senate as a court of impeachments, is drawn from the agency they are to have in the appointments to office. It is imagined that they would be too indulgent judges of the conduct of men, in whose official creation they had participated. The principle of this objection would condemn a practice, which is to be seen in all the State governments, if not in all the governments with which we are acquainted: I mean that of rendering those who hold offices during pleasure, dependent on the pleasure of those who appoint them. With equal plausibility might it be alleged in this case, that the favoritism of the latter would always be an asylum for the misbehavior of the former. But that practice, in contradiction to this principle, proceeds upon the presumption, that the responsibility of those who appoint, for the fitness and competency of the persons on whom they bestow their choice, and the interest they will have in the respectable and prosperous administration of affairs, will inspire a sufficient disposition to dismiss from a share in it all such who, by their conduct, shall have proved themselves unworthy of the confidence reposed in them. Though facts may not always correspond with this presumption, yet if it be, in the main, just, it must destroy the supposition that the Senate, who will merely sanction the choice of the Executive, should feel a bias, towards the objects of that choice, strong enough to blind them to the evidences of guilt so extraordinary, as to have induced the representatives of the nation to become its accusers.

A third objection to the Senate serving as a court for impeachments is based on their role in appointing officials. It's believed that they would be too lenient in judging the behavior of people they had a hand in appointing. This idea would criticize a practice seen in all the state governments, if not in all governments we know of: that those who hold positions at the pleasure of their superiors depend on the goodwill of those who appointed them. Similarly, one could argue that the favoritism from the latter would always protect the misbehavior of the former. However, this practice contradicts that principle, as it assumes that those who make appointments are responsible for the qualifications and capabilities of the individuals they choose, and that their interest in maintaining a respectable and successful administration will motivate them to remove anyone who proves unworthy of the trust placed in them. While reality may not always reflect this assumption, if it’s generally accurate, it undermines the idea that the Senate, which simply confirms the Executive's choices, would be so biased towards those choices that they would ignore clear evidence of wrongdoing—evidence strong enough to make the nation's representatives decide to accuse them.

If any further arguments were necessary to evince the improbability of such a bias, it might be found in the nature of the agency of the Senate in the business of appointments. It will be the office of the President to NOMINATE, and, with the advice and consent of the Senate, to APPOINT. There will, of course, be no exertion of CHOICE on the part of the Senate. They may defeat one choice of the Executive, and oblige him to make another; but they cannot themselves CHOOSE—they can only ratify or reject the choice of the President. They might even entertain a preference to some other person, at the very moment they were assenting to the one proposed, because there might be no positive ground of opposition to him; and they could not be sure, if they withheld their assent, that the subsequent nomination would fall upon their own favorite, or upon any other person in their estimation more meritorious than the one rejected. Thus it could hardly happen, that the majority of the Senate would feel any other complacency towards the object of an appointment than such as the appearances of merit might inspire, and the proofs of the want of it destroy.

If any more arguments were needed to show how unlikely such a bias is, we can look at how the Senate is involved in the appointment process. The President’s role is to NOMINATE and, with the Senate's advice and consent, to APPOINT. The Senate doesn’t actually make a CHOICE. They can block one of the President's choices and force him to make another, but they can’t CHOOSE themselves—they can only approve or reject the President's choice. They might even prefer someone else while agreeing to the proposed candidate, simply because they have no strong reason to oppose him; and they can’t be sure that if they don’t approve, the next nominee will be their favorite or someone they think is better than the one they rejected. Therefore, it’s unlikely that the majority of the Senate would feel any more satisfaction toward an appointee than what might be inspired by the signs of merit, which would be lost if there are clear signs of unworthiness.

A FOURTH objection to the Senate in the capacity of a court of impeachments, is derived from its union with the Executive in the power of making treaties. This, it has been said, would constitute the senators their own judges, in every case of a corrupt or perfidious execution of that trust. After having combined with the Executive in betraying the interests of the nation in a ruinous treaty, what prospect, it is asked, would there be of their being made to suffer the punishment they would deserve, when they were themselves to decide upon the accusation brought against them for the treachery of which they have been guilty?

A FOURTH objection to the Senate acting as a court for impeachments comes from its connection with the Executive in the power to make treaties. It has been argued that this would make the senators their own judges in any case of corrupt or deceitful execution of that trust. After collaborating with the Executive in betraying the nation's interests through a damaging treaty, what chance is there, it is asked, that they would face the consequences they deserve when they are the ones deciding on the accusations made against them for their own treachery?

This objection has been circulated with more earnestness and with greater show of reason than any other which has appeared against this part of the plan; and yet I am deceived if it does not rest upon an erroneous foundation.

This objection has been spread more seriously and with more apparent reasoning than any other that has come up against this part of the plan; and yet I’m mistaken if it doesn’t rest on a flawed basis.

The security essentially intended by the Constitution against corruption and treachery in the formation of treaties, is to be sought for in the numbers and characters of those who are to make them. The JOINT AGENCY of the Chief Magistrate of the Union, and of two thirds of the members of a body selected by the collective wisdom of the legislatures of the several States, is designed to be the pledge for the fidelity of the national councils in this particular. The convention might with propriety have meditated the punishment of the Executive, for a deviation from the instructions of the Senate, or a want of integrity in the conduct of the negotiations committed to him; they might also have had in view the punishment of a few leading individuals in the Senate, who should have prostituted their influence in that body as the mercenary instruments of foreign corruption: but they could not, with more or with equal propriety, have contemplated the impeachment and punishment of two thirds of the Senate, consenting to an improper treaty, than of a majority of that or of the other branch of the national legislature, consenting to a pernicious or unconstitutional law—a principle which, I believe, has never been admitted into any government. How, in fact, could a majority in the House of Representatives impeach themselves? Not better, it is evident, than two thirds of the Senate might try themselves. And yet what reason is there, that a majority of the House of Representatives, sacrificing the interests of the society by an unjust and tyrannical act of legislation, should escape with impunity, more than two thirds of the Senate, sacrificing the same interests in an injurious treaty with a foreign power? The truth is, that in all such cases it is essential to the freedom and to the necessary independence of the deliberations of the body, that the members of it should be exempt from punishment for acts done in a collective capacity; and the security to the society must depend on the care which is taken to confide the trust to proper hands, to make it their interest to execute it with fidelity, and to make it as difficult as possible for them to combine in any interest opposite to that of the public good.

The protection envisioned by the Constitution against corruption and betrayal in treaty-making lies in the number and character of those involved in the process. The joint responsibility of the President of the United States and two-thirds of a group selected by the combined judgment of the various state legislatures serves as a guarantee for the loyalty of the national decision-makers in this regard. The convention appropriately could have considered punishing the Executive for straying from the Senate's instructions or for lacking integrity in the negotiations assigned to them; they might have also thought about punishing a few key senators who misuse their influence as tools of foreign corruption. However, it would not have been more appropriate to consider impeaching and punishing two-thirds of the Senate for agreeing to an improper treaty than to hold a majority of either chamber of Congress accountable for approving a harmful or unconstitutional law—a principle I believe has never been recognized in any government. How, then, could a majority in the House of Representatives hold themselves accountable? Clearly, they could do it no more effectively than two-thirds of the Senate could try themselves. Yet, what justification is there for a majority of the House of Representatives, undermining societal interests through unjust and oppressive legislation, to go unpunished, while two-thirds of the Senate would not face the same consequences for jeopardizing those same interests in a detrimental treaty with a foreign nation? The reality is that in such instances, it is vital for the freedom and necessary independence of the body’s deliberations that its members be protected from penalties for actions taken collectively. The safety of society depends on ensuring that the trust is placed in capable hands, making it in their interest to fulfill it diligently, and minimizing the likelihood of them aligning with interests contrary to the public good.

So far as might concern the misbehavior of the Executive in perverting the instructions or contravening the views of the Senate, we need not be apprehensive of the want of a disposition in that body to punish the abuse of their confidence or to vindicate their own authority. We may thus far count upon their pride, if not upon their virtue. And so far even as might concern the corruption of leading members, by whose arts and influence the majority may have been inveigled into measures odious to the community, if the proofs of that corruption should be satisfactory, the usual propensity of human nature will warrant us in concluding that there would be commonly no defect of inclination in the body to divert the public resentment from themselves by a ready sacrifice of the authors of their mismanagement and disgrace.

As far as the Executive's misconduct in twisting the instructions or going against the Senate's views is concerned, we don't need to worry about the Senate's willingness to hold accountable those who abuse their trust or to assert their authority. We can rely on their pride, if not their integrity. Even regarding the corruption of some prominent members, whose actions and influence might have led the majority into actions that the public finds unacceptable, if there is solid evidence of that corruption, we can typically expect that there will be no shortage of motivation within the Senate to shift public anger away from themselves by quickly sacrificing those responsible for the mismanagement and shame.

PUBLIUS

PUBLIUS

1. In that of New Jersey, also, the final judiciary authority is in a branch of the legislature. In New Hampshire, Massachusetts, Pennsylvania, and South Carolina, one branch of the legislature is the court for the trial of impeachments.

1. In New Jersey, the ultimate judicial authority is also part of the legislature. In New Hampshire, Massachusetts, Pennsylvania, and South Carolina, one branch of the legislature handles impeachment trials.





FEDERALIST No. 67. The Executive Department

From the New York Packet. Tuesday, March 11, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York State:

THE constitution of the executive department of the proposed government, claims next our attention.

The structure of the executive branch of the proposed government is up next for our consideration.

There is hardly any part of the system which could have been attended with greater difficulty in the arrangement of it than this; and there is, perhaps, none which has been inveighed against with less candor or criticised with less judgment.

There’s hardly any part of the system that could have been more challenging to arrange than this one; and there’s probably none that has been criticized with less fairness or thought.

Here the writers against the Constitution seem to have taken pains to signalize their talent of misrepresentation. Calculating upon the aversion of the people to monarchy, they have endeavored to enlist all their jealousies and apprehensions in opposition to the intended President of the United States; not merely as the embryo, but as the full-grown progeny, of that detested parent. To establish the pretended affinity, they have not scrupled to draw resources even from the regions of fiction. The authorities of a magistrate, in few instances greater, in some instances less, than those of a governor of New York, have been magnified into more than royal prerogatives. He has been decorated with attributes superior in dignity and splendor to those of a king of Great Britain. He has been shown to us with the diadem sparkling on his brow and the imperial purple flowing in his train. He has been seated on a throne surrounded with minions and mistresses, giving audience to the envoys of foreign potentates, in all the supercilious pomp of majesty. The images of Asiatic despotism and voluptuousness have scarcely been wanting to crown the exaggerated scene. We have been taught to tremble at the terrific visages of murdering janizaries, and to blush at the unveiled mysteries of a future seraglio.

Here, the writers against the Constitution seem to have gone to great lengths to showcase their talent for misrepresentation. Counting on the people's dislike of monarchy, they’ve tried to rally all their fears and concerns against the future President of the United States, not just as a potential threat but as the full realization of that hated figure. To support this false connection, they haven't held back from drawing on fiction. The powers of a magistrate, sometimes greater and sometimes lesser than those of a governor of New York, have been exaggerated into more than royal privileges. He's been depicted with features more dignified and grand than a king of Great Britain. They've shown him with a crown sparkling on his head and an imperial robe flowing behind him. He’s been imagined seated on a throne, surrounded by followers and lovers, granting audiences to envoys from foreign rulers, all with an air of haughty majesty. The images of Asian tyranny and excess have hardly been absent from this overblown scene. We’ve been made to fear the terrifying faces of murderous guards and to feel embarrassed at the unveiled secrets of a future harem.

Attempts so extravagant as these to disfigure or, it might rather be said, to metamorphose the object, render it necessary to take an accurate view of its real nature and form: in order as well to ascertain its true aspect and genuine appearance, as to unmask the disingenuity and expose the fallacy of the counterfeit resemblances which have been so insidiously, as well as industriously, propagated.

Attempts as outrageous as these to distort or, one could say, transform the object make it essential to closely examine its true nature and form: both to determine its actual look and real appearance, and to uncover the deceit and reveal the falsehood of the counterfeit likenesses that have been so slyly, as well as diligently, spread.

In the execution of this task, there is no man who would not find it an arduous effort either to behold with moderation, or to treat with seriousness, the devices, not less weak than wicked, which have been contrived to pervert the public opinion in relation to the subject. They so far exceed the usual though unjustifiable licenses of party artifice, that even in a disposition the most candid and tolerant, they must force the sentiments which favor an indulgent construction of the conduct of political adversaries to give place to a voluntary and unreserved indignation. It is impossible not to bestow the imputation of deliberate imposture and deception upon the gross pretense of a similitude between a king of Great Britain and a magistrate of the character marked out for that of the President of the United States. It is still more impossible to withhold that imputation from the rash and barefaced expedients which have been employed to give success to the attempted imposition.

In carrying out this task, there’s no one who wouldn’t find it a challenging effort to either look at it with moderation or take it seriously. The tactics, which are both weak and wicked, have been designed to distort public opinion on the topic. They far surpass the normal but unjustifiable tricks of political maneuvering, so that even someone with the most open and tolerant mindset is compelled to let go of any sympathetic view of the actions of political opponents and instead feel genuine and absolute anger. It’s impossible not to accuse the blatant deception in comparing a king of Great Britain to a magistrate like the President of the United States. It’s even more impossible to avoid that accusation against the reckless and shameless tactics that have been used to try to push this false narrative.

In one instance, which I cite as a sample of the general spirit, the temerity has proceeded so far as to ascribe to the President of the United States a power which by the instrument reported is EXPRESSLY allotted to the Executives of the individual States. I mean the power of filling casual vacancies in the Senate.

In one example, which I mention to show the overall attitude, the boldness has gone so far as to attribute to the President of the United States a power that is clearly given to the Executives of the individual States according to the reported document. I'm talking about the power to fill unexpected vacancies in the Senate.

This bold experiment upon the discernment of his countrymen has been hazarded by a writer who (whatever may be his real merit) has had no inconsiderable share in the applauses of his party(1); and who, upon this false and unfounded suggestion, has built a series of observations equally false and unfounded. Let him now be confronted with the evidence of the fact, and let him, if he be able, justify or extenuate the shameful outrage he has offered to the dictates of truth and to the rules of fair dealing.

This bold experiment on the judgment of his fellow countrymen has been undertaken by a writer who, regardless of his actual abilities, has received significant praise from his supporters; and who, based on this misleading and unfounded idea, has constructed a series of observations that are equally misleading and unfounded. Let him now face the evidence of the facts, and let him, if he can, justify or lessen the disgraceful offense he has committed against the dictates of truth and the standards of fair dealing.

The second clause of the second section of the second article empowers the President of the United States "to nominate, and by and with the advice and consent of the Senate, to appoint ambassadors, other public ministers and consuls, judges of the Supreme Court, and all other OFFICERS of United States whose appointments are NOT in the Constitution OTHERWISE PROVIDED FOR, and WHICH SHALL BE ESTABLISHED BY LAW." Immediately after this clause follows another in these words: "The President shall have power to fill up all VACANCIES that may happen DURING THE RECESS OF THE SENATE, by granting commissions which shall EXPIRE AT THE END OF THEIR NEXT SESSION." It is from this last provision that the pretended power of the President to fill vacancies in the Senate has been deduced. A slight attention to the connection of the clauses, and to the obvious meaning of the terms, will satisfy us that the deduction is not even colorable.

The second clause of the second section of the second article gives the President of the United States the authority "to nominate, and with the advice and consent of the Senate, to appoint ambassadors, other public ministers and consuls, judges of the Supreme Court, and all other OFFICERS of the United States whose appointments are NOT otherwise provided for in the Constitution, and WHICH SHALL BE ESTABLISHED BY LAW." Right after this clause is another that states: "The President shall have power to fill all VACANCIES that may happen DURING THE RECESS OF THE SENATE, by granting commissions that shall EXPIRE AT THE END OF THEIR NEXT SESSION." It’s from this last provision that people have claimed the President has the power to fill vacancies in the Senate. A little attention to how the clauses connect, and to the clear meaning of the terms, will show us that this claim is not even reasonable.

The first of these two clauses, it is clear, only provides a mode for appointing such officers, "whose appointments are NOT OTHERWISE PROVIDED FOR in the Constitution, and which SHALL BE ESTABLISHED BY LAW"; of course it cannot extend to the appointments of senators, whose appointments are OTHERWISE PROVIDED FOR in the Constitution(2), and who are ESTABLISHED BY THE CONSTITUTION, and will not require a future establishment by law. This position will hardly be contested.

The first of these two clauses clearly only offers a way to appoint officers "whose appointments are NOT OTHERWISE PROVIDED FOR in the Constitution, and which SHALL BE ESTABLISHED BY LAW"; obviously, it doesn’t apply to the appointments of senators, whose appointments are OTHERWISE PROVIDED FOR in the Constitution(2), who are ESTABLISHED BY THE CONSTITUTION, and who won't need to be established by law in the future. This point will likely not be disputed.

The last of these two clauses, it is equally clear, cannot be understood to comprehend the power of filling vacancies in the Senate, for the following reasons: First. The relation in which that clause stands to the other, which declares the general mode of appointing officers of the United States, denotes it to be nothing more than a supplement to the other, for the purpose of establishing an auxiliary method of appointment, in cases to which the general method was inadequate. The ordinary power of appointment is confined to the President and Senate JOINTLY, and can therefore only be exercised during the session of the Senate; but as it would have been improper to oblige this body to be continually in session for the appointment of officers and as vacancies might happen IN THEIR RECESS, which it might be necessary for the public service to fill without delay, the succeeding clause is evidently intended to authorize the President, SINGLY, to make temporary appointments "during the recess of the Senate, by granting commissions which shall expire at the end of their next session." Second. If this clause is to be considered as supplementary to the one which precedes, the VACANCIES of which it speaks must be construed to relate to the "officers" described in the preceding one; and this, we have seen, excludes from its description the members of the Senate. Third. The time within which the power is to operate, "during the recess of the Senate," and the duration of the appointments, "to the end of the next session" of that body, conspire to elucidate the sense of the provision, which, if it had been intended to comprehend senators, would naturally have referred the temporary power of filling vacancies to the recess of the State legislatures, who are to make the permanent appointments, and not to the recess of the national Senate, who are to have no concern in those appointments; and would have extended the duration in office of the temporary senators to the next session of the legislature of the State, in whose representation the vacancies had happened, instead of making it to expire at the end of the ensuing session of the national Senate. The circumstances of the body authorized to make the permanent appointments would, of course, have governed the modification of a power which related to the temporary appointments; and as the national Senate is the body, whose situation is alone contemplated in the clause upon which the suggestion under examination has been founded, the vacancies to which it alludes can only be deemed to respect those officers in whose appointment that body has a concurrent agency with the President. But last, the first and second clauses of the third section of the first article, not only obviate all possibility of doubt, but destroy the pretext of misconception. The former provides, that "the Senate of the United States shall be composed of two Senators from each State, chosen BY THE LEGISLATURE THEREOF for six years"; and the latter directs, that, "if vacancies in that body should happen by resignation or otherwise, DURING THE RECESS OF THE LEGISLATURE OF ANY STATE, the Executive THEREOF may make temporary appointments until the NEXT MEETING OF THE LEGISLATURE, which shall then fill such vacancies." Here is an express power given, in clear and unambiguous terms, to the State Executives, to fill casual vacancies in the Senate, by temporary appointments; which not only invalidates the supposition, that the clause before considered could have been intended to confer that power upon the President of the United States, but proves that this supposition, destitute as it is even of the merit of plausibility, must have originated in an intention to deceive the people, too palpable to be obscured by sophistry, too atrocious to be palliated by hypocrisy.

The last of these two clauses is also clearly not meant to include the power to fill vacancies in the Senate for several reasons: First, the way this clause relates to the one that defines the general method for appointing officers of the United States shows that it’s just a supplement to establish an additional method of appointment for cases where the general method falls short. The normal power to appoint is limited to the President and Senate together, which means it can only be exercised during Senate sessions. It would have been inappropriate to require the Senate to be continuously in session for these appointments, especially since vacancies could occur during their recess, which might need to be filled promptly for public service. Therefore, the next clause clearly allows the President, on his own, to make temporary appointments "during the recess of the Senate, by granting commissions that will expire at the end of their next session." Second, if this clause is seen as a supplement to the one before it, then the "vacancies" it mentions must refer to the "officers" described earlier, which, as we've noted, excludes Senate members. Third, the timing during which this power operates, "during the recess of the Senate," and the duration of the appointments, "to the end of the next session" of that body, clarify the meaning of this provision. If it were meant to include senators, it would have likely linked the temporary power to fill vacancies to the recess of the state legislatures, which are responsible for making permanent appointments, rather than the national Senate, which has no role in those appointments. Additionally, it would have made the temporary senators' term last until the next session of the state legislature where the vacancies arose, rather than ending at the conclusion of the upcoming session of the national Senate. The context of the body that is authorized to make permanent appointments would clearly guide the adjustments of a power related to temporary appointments. Since the national Senate is the body discussed in the clause examined, the vacancies referred to can only pertain to those officers that require both the Senate and the President's involvement in their appointment. Lastly, the first and second clauses of the third section of the first article not only eliminate any chance of doubt but also eliminate any chance of misunderstanding. The first states that "the Senate of the United States shall be composed of two Senators from each State, chosen BY THE LEGISLATURE THEREOF for six years"; the second states that "if vacancies in that body occur due to resignation or otherwise, DURING THE RECESS OF THE LEGISLATURE OF ANY STATE, the Executive THEREOF may make temporary appointments until the NEXT MEETING OF THE LEGISLATURE, which shall then fill such vacancies." This clearly grants an express power to the State Executives to make temporary appointments to fill casual vacancies in the Senate, which not only disproves the idea that the previously discussed clause could have meant to give that power to the President of the United States but also shows that this assumption, lacking even a hint of plausibility, must have stemmed from a deceitful intention that is too obvious to be hidden by clever argumentation and too wrong to be excused by false sincerity.

I have taken the pains to select this instance of misrepresentation, and to place it in a clear and strong light, as an unequivocal proof of the unwarrantable arts which are practiced to prevent a fair and impartial judgment of the real merits of the Constitution submitted to the consideration of the people. Nor have I scrupled, in so flagrant a case, to allow myself a severity of animadversion little congenial with the general spirit of these papers. I hesitate not to submit it to the decision of any candid and honest adversary of the proposed government, whether language can furnish epithets of too much asperity, for so shameless and so prostitute an attempt to impose on the citizens of America.

I have taken the time to highlight this example of misrepresentation and to showcase it clearly and strongly as undeniable evidence of the unjust methods used to prevent a fair and unbiased evaluation of the actual merits of the Constitution put forward for the public's consideration. I haven't held back in this obvious case, using a level of criticism that’s not usually in line with the general tone of these papers. I have no doubt submitting it to the judgment of any fair-minded and honest opponent of the proposed government, whether language can express enough harshness for such a blatant and degrading attempt to deceive the citizens of America.

PUBLIUS

PUBLIUS

1. See CATO, No. V.

See CATO, No. 5.

2. Article I, section 3, clause 1.

2. Article I, section 3, clause 1.





FEDERALIST No. 68. The Mode of Electing the President

From The Independent Journal. Wednesday, March 12, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of the State of New York:

THE mode of appointment of the Chief Magistrate of the United States is almost the only part of the system, of any consequence, which has escaped without severe censure, or which has received the slightest mark of approbation from its opponents. The most plausible of these, who has appeared in print, has even deigned to admit that the election of the President is pretty well guarded.(1) I venture somewhat further, and hesitate not to affirm, that if the manner of it be not perfect, it is at least excellent. It unites in an eminent degree all the advantages, the union of which was to be wished for.(E1)

THE way the Chief Magistrate of the United States is appointed is almost the only part of the system that hasn’t faced harsh criticism, nor has it received much praise from its opponents. The most reasonable of them, who has published their views, has even acknowledged that the election of the President is quite well protected.(1) I go a step further and confidently state that while the process may not be perfect, it is certainly excellent. It effectively combines all the desirable advantages we hoped for.(E1)

It was desirable that the sense of the people should operate in the choice of the person to whom so important a trust was to be confided. This end will be answered by committing the right of making it, not to any preestablished body, but to men chosen by the people for the special purpose, and at the particular conjuncture.

It was important for the people's opinion to play a role in choosing the person to whom such an important responsibility would be given. This goal will be achieved by allowing the people to select individuals specifically for this purpose, rather than relying on any existing organization.

It was equally desirable, that the immediate election should be made by men most capable of analyzing the qualities adapted to the station, and acting under circumstances favorable to deliberation, and to a judicious combination of all the reasons and inducements which were proper to govern their choice. A small number of persons, selected by their fellow-citizens from the general mass, will be most likely to possess the information and discernment requisite to such complicated investigations.

It was just as important that the immediate election be carried out by individuals who were most capable of analyzing the qualities suited for the position and acting in conditions that were conducive to thoughtful discussion and a wise combination of all the reasons and motivations that should guide their choice. A small group of people, chosen by their fellow citizens from the wider population, is most likely to have the knowledge and insight necessary for such complex evaluations.

It was also peculiarly desirable to afford as little opportunity as possible to tumult and disorder. This evil was not least to be dreaded in the election of a magistrate, who was to have so important an agency in the administration of the government as the President of the United States. But the precautions which have been so happily concerted in the system under consideration, promise an effectual security against this mischief. The choice of SEVERAL, to form an intermediate body of electors, will be much less apt to convulse the community with any extraordinary or violent movements, than the choice of ONE who was himself to be the final object of the public wishes. And as the electors, chosen in each State, are to assemble and vote in the State in which they are chosen, this detached and divided situation will expose them much less to heats and ferments, which might be communicated from them to the people, than if they were all to be convened at one time, in one place.

It was also particularly important to minimize opportunities for chaos and disorder. This issue was especially concerning during the election of a magistrate who would play such a critical role in the administration of the government as the President of the United States. However, the precautions that have been effectively put in place in the system being discussed offer strong protection against this problem. The selection of several electors to create an intermediate body will be much less likely to cause any extraordinary or violent disturbances in the community than if there were just one person who was the final focus of public desire. Additionally, since the electors chosen in each state will gather and vote in their own state, this separated and varied arrangement will make them less susceptible to the tensions and unrest that could spread to the public than if they were all brought together at the same time and place.

Nothing was more to be desired than that every practicable obstacle should be opposed to cabal, intrigue, and corruption. These most deadly adversaries of republican government might naturally have been expected to make their approaches from more than one quarter, but chiefly from the desire in foreign powers to gain an improper ascendant in our councils. How could they better gratify this, than by raising a creature of their own to the chief magistracy of the Union? But the convention have guarded against all danger of this sort, with the most provident and judicious attention. They have not made the appointment of the President to depend on any preexisting bodies of men, who might be tampered with beforehand to prostitute their votes; but they have referred it in the first instance to an immediate act of the people of America, to be exerted in the choice of persons for the temporary and sole purpose of making the appointment. And they have excluded from eligibility to this trust, all those who from situation might be suspected of too great devotion to the President in office. No senator, representative, or other person holding a place of trust or profit under the United States, can be of the numbers of the electors. Thus without corrupting the body of the people, the immediate agents in the election will at least enter upon the task free from any sinister bias. Their transient existence, and their detached situation, already taken notice of, afford a satisfactory prospect of their continuing so, to the conclusion of it. The business of corruption, when it is to embrace so considerable a number of men, requires time as well as means. Nor would it be found easy suddenly to embark them, dispersed as they would be over thirteen States, in any combinations founded upon motives, which though they could not properly be denominated corrupt, might yet be of a nature to mislead them from their duty.

Nothing was more important than preventing any possible obstacles to conspiracy, manipulation, and corruption. These dangerous enemies of republican government could be expected to come from multiple sources, but mainly from foreign powers wanting to gain an inappropriate influence in our decision-making. What better way to achieve this than by putting someone they control in the highest position of the Union? However, the convention has carefully guarded against this type of danger with thoughtful and careful measures. They did not make the President's appointment reliant on any pre-existing groups who could be pressured to misuse their votes; instead, they entrusted the decision initially to the direct action of the American people, specifically for the purpose of making this appointment. Moreover, they have disqualified anyone who might be seen as overly loyal to the sitting President from being eligible for this role. No senator, representative, or anyone holding a position of trust or profit under the United States can be among the electors. By doing this, the immediate agents in the election can approach the task without any corrupt influences. Their temporary role and separate status, as previously mentioned, provide a good chance that they will remain impartial until the end. Engaging a significant number of people in corrupt practices requires both time and resources. It wouldn’t be easy to quickly involve them across thirteen States in any schemes based on motives that, while not truly corrupt, could still distract them from their responsibilities.

Another and no less important desideratum was, that the Executive should be independent for his continuance in office on all but the people themselves. He might otherwise be tempted to sacrifice his duty to his complaisance for those whose favor was necessary to the duration of his official consequence. This advantage will also be secured, by making his re-election to depend on a special body of representatives, deputed by the society for the single purpose of making the important choice.

Another equally important goal was that the Executive should be independent in his position, relying only on the people for his continuance in office. Otherwise, he might be tempted to prioritize his duty less for the people, and more for those whose support was necessary for his official status. This benefit will also be ensured by having his re-election depend on a specific group of representatives chosen by the community solely for the purpose of making this important decision.

All these advantages will happily combine in the plan devised by the convention; which is, that the people of each State shall choose a number of persons as electors, equal to the number of senators and representatives of such State in the national government, who shall assemble within the State, and vote for some fit person as President. Their votes, thus given, are to be transmitted to the seat of the national government, and the person who may happen to have a majority of the whole number of votes will be the President. But as a majority of the votes might not always happen to centre in one man, and as it might be unsafe to permit less than a majority to be conclusive, it is provided that, in such a contingency, the House of Representatives shall select out of the candidates who shall have the five highest number of votes, the man who in their opinion may be best qualified for the office.

All these benefits will come together in the plan created by the convention; that is, the people of each State will choose a number of electors equal to the number of senators and representatives from that State in the national government. These electors will meet within the State and vote for someone suitable as President. Their votes will then be sent to the national government, and the person who ends up with the majority of the total votes will be the President. However, since a majority might not always align with just one candidate, and it could be risky to allow anything less than a majority to make the decision, it is established that in such a case, the House of Representatives will choose from the candidates with the five highest vote counts the person they believe is best qualified for the position.

The process of election affords a moral certainty, that the office of President will never fall to the lot of any man who is not in an eminent degree endowed with the requisite qualifications. Talents for low intrigue, and the little arts of popularity, may alone suffice to elevate a man to the first honors in a single State; but it will require other talents, and a different kind of merit, to establish him in the esteem and confidence of the whole Union, or of so considerable a portion of it as would be necessary to make him a successful candidate for the distinguished office of President of the United States. It will not be too strong to say, that there will be a constant probability of seeing the station filled by characters pre-eminent for ability and virtue. And this will be thought no inconsiderable recommendation of the Constitution, by those who are able to estimate the share which the executive in every government must necessarily have in its good or ill administration. Though we cannot acquiesce in the political heresy of the poet who says:

The election process provides a strong assurance that the office of President will never be held by someone who lacks the necessary qualifications. Skills for petty scheming and the superficial tactics of gaining popularity might be enough to elevate someone to high honors in a single state, but it takes different talents and genuine merit to earn the respect and trust of the entire Union, or at least a significant part of it, to become a successful candidate for the prestigious role of President of the United States. It’s safe to say that there’s always a good chance the position will be held by individuals known for their exceptional ability and virtue. This will be seen as a valuable strength of the Constitution by those who understand the role that the executive branch plays in the effective or ineffective administration of government. Although we cannot agree with the political error of the poet who states:

"For forms of government let fools contest—That which is best administered is best,"—yet we may safely pronounce, that the true test of a good government is its aptitude and tendency to produce a good administration.

"For different types of government, let idiots argue—The one that is managed best is the best,"—still, we can confidently say that the real measure of a good government is its ability and inclination to create effective administration.

The Vice-President is to be chosen in the same manner with the President; with this difference, that the Senate is to do, in respect to the former, what is to be done by the House of Representatives, in respect to the latter.

The Vice President is to be selected in the same way as the President; the only difference is that the Senate will handle the selection for the former, while the House of Representatives will handle it for the latter.

The appointment of an extraordinary person, as Vice-President, has been objected to as superfluous, if not mischievous. It has been alleged, that it would have been preferable to have authorized the Senate to elect out of their own body an officer answering that description. But two considerations seem to justify the ideas of the convention in this respect. One is, that to secure at all times the possibility of a definite resolution of the body, it is necessary that the President should have only a casting vote. And to take the senator of any State from his seat as senator, to place him in that of President of the Senate, would be to exchange, in regard to the State from which he came, a constant for a contingent vote. The other consideration is, that as the Vice-President may occasionally become a substitute for the President, in the supreme executive magistracy, all the reasons which recommend the mode of election prescribed for the one, apply with great if not with equal force to the manner of appointing the other. It is remarkable that in this, as in most other instances, the objection which is made would lie against the constitution of this State. We have a Lieutenant-Governor, chosen by the people at large, who presides in the Senate, and is the constitutional substitute for the Governor, in casualties similar to those which would authorize the Vice-President to exercise the authorities and discharge the duties of the President.

The appointment of an extraordinary person as Vice-President has been criticized as unnecessary, if not harmful. Some argue that it would have been better to allow the Senate to elect an officer from among themselves for that role. However, two points seem to support the convention's thinking on this issue. One is that to ensure the possibility of a clear decision from the body at all times, the President should only have a tie-breaking vote. Taking a senator from their position to serve as President of the Senate would mean trading a guaranteed vote for the state they represent for a potential one. The other point is that since the Vice-President might occasionally step in for the President in executive matters, all the reasons for the election method chosen for one role also strongly apply to how the other role should be filled. Notably, in this case, as in many others, the objection raised would also apply to the constitution of this State. We have a Lieutenant-Governor, elected by the public, who presides over the Senate and serves as the constitutional substitute for the Governor in situations that would allow the Vice-President to assume the authority and responsibilities of the President.

PUBLIUS

PUBLIUS

1. Vide federal farmer.

See federal farmer.

E1. Some editions substitute "desired" for "wished for".

E1. Some editions replace "wished for" with "desired".





FEDERALIST No. 69. The Real Character of the Executive

From the New York Packet. Friday, March 14, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

I PROCEED now to trace the real characters of the proposed Executive, as they are marked out in the plan of the convention. This will serve to place in a strong light the unfairness of the representations which have been made in regard to it.

I will now outline the true characteristics of the proposed Executive, as defined in the convention's plan. This will highlight the unfairness of the representations that have been made about it.

The first thing which strikes our attention is, that the executive authority, with few exceptions, is to be vested in a single magistrate. This will scarcely, however, be considered as a point upon which any comparison can be grounded; for if, in this particular, there be a resemblance to the king of Great Britain, there is not less a resemblance to the Grand Seignior, to the khan of Tartary, to the Man of the Seven Mountains, or to the governor of New York.

The first thing that grabs our attention is that the executive power, with a few exceptions, will be held by a single leader. However, this is probably not something we can really compare; because while it may be similar to the king of Great Britain, it also resembles the Grand Seignior, the khan of Tartary, the Man of the Seven Mountains, or the governor of New York.

That magistrate is to be elected for four years; and is to be re-eligible as often as the people of the United States shall think him worthy of their confidence. In these circumstances there is a total dissimilitude between him and a king of Great Britain, who is an hereditary monarch, possessing the crown as a patrimony descendible to his heirs forever; but there is a close analogy between him and a governor of New York, who is elected for three years, and is re-eligible without limitation or intermission. If we consider how much less time would be requisite for establishing a dangerous influence in a single State, than for establishing a like influence throughout the United States, we must conclude that a duration of four years for the Chief Magistrate of the Union is a degree of permanency far less to be dreaded in that office, than a duration of three years for a corresponding office in a single State.

That magistrate will be elected for four years and can be re-elected as many times as the people of the United States believe he deserves their trust. In this regard, he is completely different from a king of Great Britain, who is an hereditary monarch, holding the crown as a legacy passed down to his heirs forever; however, he is quite similar to the governor of New York, who is elected for three years and can be re-elected indefinitely without any breaks. If we think about how much less time it would take to establish a harmful influence in a single state than to create a similar influence across the entire United States, we have to conclude that a four-year term for the Chief Magistrate of the Union is a much less concerning level of permanence in that position than a three-year term for a comparable position in a single state.

The President of the United States would be liable to be impeached, tried, and, upon conviction of treason, bribery, or other high crimes or misdemeanors, removed from office; and would afterwards be liable to prosecution and punishment in the ordinary course of law. The person of the king of Great Britain is sacred and inviolable; there is no constitutional tribunal to which he is amenable; no punishment to which he can be subjected without involving the crisis of a national revolution. In this delicate and important circumstance of personal responsibility, the President of Confederated America would stand upon no better ground than a governor of New York, and upon worse ground than the governors of Maryland and Delaware.

The President of the United States can be impeached, tried, and if convicted of treason, bribery, or other serious crimes, removed from office; and afterward, they can face prosecution and punishment through the regular legal process. The king of Great Britain is considered sacred and untouchable; there is no constitutional authority he must answer to; no punishment he can face without triggering a national crisis. In this sensitive and crucial situation regarding personal accountability, the President of the Confederated States would be in no better position than the governor of New York, and even in a worse position than the governors of Maryland and Delaware.

The President of the United States is to have power to return a bill, which shall have passed the two branches of the legislature, for reconsideration; and the bill so returned is to become a law, if, upon that reconsideration, it be approved by two thirds of both houses. The king of Great Britain, on his part, has an absolute negative upon the acts of the two houses of Parliament. The disuse of that power for a considerable time past does not affect the reality of its existence; and is to be ascribed wholly to the crown's having found the means of substituting influence to authority, or the art of gaining a majority in one or the other of the two houses, to the necessity of exerting a prerogative which could seldom be exerted without hazarding some degree of national agitation. The qualified negative of the President differs widely from this absolute negative of the British sovereign; and tallies exactly with the revisionary authority of the council of revision of this State, of which the governor is a constituent part. In this respect the power of the President would exceed that of the governor of New York, because the former would possess, singly, what the latter shares with the chancellor and judges; but it would be precisely the same with that of the governor of Massachusetts, whose constitution, as to this article, seems to have been the original from which the convention have copied.

The President of the United States has the authority to return a bill that has passed both houses of Congress for reconsideration. If, after that reconsideration, two-thirds of both houses approve the bill, it becomes law. In contrast, the king of Great Britain has an absolute veto over the actions of both houses of Parliament. The fact that this power hasn’t been used for a significant period doesn’t change its existence; it is entirely due to the crown finding ways to rely on influence rather than authority, effectively securing a majority in one or the other house without needing to exercise a power that could often lead to national unrest. The President’s qualified veto is very different from the absolute veto of the British monarch; it aligns closely with the revisory authority of the council of revision in this state, of which the governor is a part. In this regard, the President's power would surpass that of the governor of New York since the President would have authority on their own that the New York governor shares with the chancellor and judges. However, it would be exactly the same as the governor of Massachusetts, whose constitution on this matter appears to have been the original source from which the convention took inspiration.

The President is to be the "commander-in-chief of the army and navy of the United States, and of the militia of the several States, when called into the actual service of the United States. He is to have power to grant reprieves and pardons for offenses against the United States, except in cases of impeachment; to recommend to the consideration of Congress such measures as he shall judge necessary and expedient; to convene, on extraordinary occasions, both houses of the legislature, or either of them, and, in case of disagreement between them with respect to the time of adjournment, to adjourn them to such time as he shall think proper; to take care that the laws be faithfully executed; and to commission all officers of the United States." In most of these particulars, the power of the President will resemble equally that of the king of Great Britain and of the governor of New York. The most material points of difference are these:—First. The President will have only the occasional command of such part of the militia of the nation as by legislative provision may be called into the actual service of the Union. The king of Great Britain and the governor of New York have at all times the entire command of all the militia within their several jurisdictions. In this article, therefore, the power of the President would be inferior to that of either the monarch or the governor. Second. The President is to be commander-in-chief of the army and navy of the United States. In this respect his authority would be nominally the same with that of the king of Great Britain, but in substance much inferior to it. It would amount to nothing more than the supreme command and direction of the military and naval forces, as first General and admiral of the Confederacy; while that of the British king extends to the declaring of war and to the raising and regulating of fleets and armies—all which, by the Constitution under consideration, would appertain to the legislature.(1) The governor of New York, on the other hand, is by the constitution of the State vested only with the command of its militia and navy. But the constitutions of several of the States expressly declare their governors to be commanders-in-chief, as well of the army as navy; and it may well be a question, whether those of New Hampshire and Massachusetts, in particular, do not, in this instance, confer larger powers upon their respective governors, than could be claimed by a President of the United States. Third. The power of the President, in respect to pardons, would extend to all cases, except those of impeachment. The governor of New York may pardon in all cases, even in those of impeachment, except for treason and murder. Is not the power of the governor, in this article, on a calculation of political consequences, greater than that of the President? All conspiracies and plots against the government, which have not been matured into actual treason, may be screened from punishment of every kind, by the interposition of the prerogative of pardoning. If a governor of New York, therefore, should be at the head of any such conspiracy, until the design had been ripened into actual hostility he could insure his accomplices and adherents an entire impunity. A President of the Union, on the other hand, though he may even pardon treason, when prosecuted in the ordinary course of law, could shelter no offender, in any degree, from the effects of impeachment and conviction. Would not the prospect of a total indemnity for all the preliminary steps be a greater temptation to undertake and persevere in an enterprise against the public liberty, than the mere prospect of an exemption from death and confiscation, if the final execution of the design, upon an actual appeal to arms, should miscarry? Would this last expectation have any influence at all, when the probability was computed, that the person who was to afford that exemption might himself be involved in the consequences of the measure, and might be incapacitated by his agency in it from affording the desired impunity? The better to judge of this matter, it will be necessary to recollect, that, by the proposed Constitution, the offense of treason is limited "to levying war upon the United States, and adhering to their enemies, giving them aid and comfort"; and that by the laws of New York it is confined within similar bounds. Fourth. The President can only adjourn the national legislature in the single case of disagreement about the time of adjournment. The British monarch may prorogue or even dissolve the Parliament. The governor of New York may also prorogue the legislature of this State for a limited time; a power which, in certain situations, may be employed to very important purposes.

The President is the "commander-in-chief of the army and navy of the United States, and of the militia of the various States when called into actual service of the United States. He has the power to grant reprieves and pardons for offenses against the United States, except in cases of impeachment; to recommend to Congress any measures he thinks are necessary and appropriate; to convene, on extraordinary occasions, both houses of the legislature or either one of them; and, in case they disagree about the time of adjournment, to adjourn them to a time he considers proper; to ensure that the laws are faithfully executed; and to commission all officers of the United States." In many respects, the President's powers are similar to those of the king of Great Britain and the governor of New York. The main differences are these: First, the President will only occasionally command parts of the national militia as legislatively provided for actual service of the Union. The king of Great Britain and the governor of New York have continuous command over all the militia in their jurisdictions. Therefore, regarding this power, the President is at a disadvantage compared to either the monarch or the governor. Second, while the President will be commander-in-chief of the army and navy of the United States, his authority is nominally similar to that of the king of Great Britain but is actually much less significant. His role mainly includes supreme command and direction of the military and naval forces as the top General and Admiral of the Confederacy, while the British king has the power to declare war and to raise and regulate fleets and armies, which would be the responsibility of the legislature under the Constitution being discussed. On the other hand, the governor of New York is given only command of the state's militia and navy by state constitution. However, the constitutions of several states specifically state that their governors are commanders-in-chief of both the army and navy, and it raises the question whether those of New Hampshire and Massachusetts appoint their governors with more power in this regard than a President of the United States could claim. Third, the President’s power regarding pardons extends to all cases except impeachment. The governor of New York can grant pardons in all cases, including impeachment, except for treason and murder. Doesn't the governor’s power, when considering political consequences, exceed that of the President? Any conspiracies or plots against the government that haven’t reached the level of treason could be protected from punishment through the governor's pardon power. Therefore, if a New York governor were leading such a conspiracy, until the plot escalated to actual hostility, he could ensure complete impunity for his accomplices and supporters. In contrast, a President of the Union could pardon treason, but he can’t offer protection from the consequences of impeachment and conviction. Wouldn’t the chance for total immunity for all preliminary actions be a stronger incentive to engage in and persist with actions against public liberty than simply hoping to avoid death and confiscation if a final military effort were to fail? Would that expectation hold any weight if the person granting that immunity could potentially face consequences from their involvement and be unable to provide the needed protection? To better understand this, it’s important to remember that under the proposed Constitution, treason is limited to "levying war against the United States, and aiding and comforting their enemies," which is similarly defined by New York law. Fourth, the President can only adjourn the national legislature in the specific case of disagreement over the time of adjournment. The British monarch can prorogue or even dissolve Parliament. The governor of New York can also prorogue the state legislature for a limited time, a power that can be used for very important purposes in certain situations.

The President is to have power, with the advice and consent of the Senate, to make treaties, provided two thirds of the senators present concur. The king of Great Britain is the sole and absolute representative of the nation in all foreign transactions. He can of his own accord make treaties of peace, commerce, alliance, and of every other description. It has been insinuated, that his authority in this respect is not conclusive, and that his conventions with foreign powers are subject to the revision, and stand in need of the ratification, of Parliament. But I believe this doctrine was never heard of, until it was broached upon the present occasion. Every jurist(2) of that kingdom, and every other man acquainted with its Constitution, knows, as an established fact, that the prerogative of making treaties exists in the crown in its utmost plentitude; and that the compacts entered into by the royal authority have the most complete legal validity and perfection, independent of any other sanction. The Parliament, it is true, is sometimes seen employing itself in altering the existing laws to conform them to the stipulations in a new treaty; and this may have possibly given birth to the imagination, that its co-operation was necessary to the obligatory efficacy of the treaty. But this parliamentary interposition proceeds from a different cause: from the necessity of adjusting a most artificial and intricate system of revenue and commercial laws, to the changes made in them by the operation of the treaty; and of adapting new provisions and precautions to the new state of things, to keep the machine from running into disorder. In this respect, therefore, there is no comparison between the intended power of the President and the actual power of the British sovereign. The one can perform alone what the other can do only with the concurrence of a branch of the legislature. It must be admitted, that, in this instance, the power of the federal Executive would exceed that of any State Executive. But this arises naturally from the sovereign power which relates to treaties. If the Confederacy were to be dissolved, it would become a question, whether the Executives of the several States were not solely invested with that delicate and important prerogative.

The President has the power, with the Senate's advice and consent, to make treaties, as long as two-thirds of the senators present agree. The king of Great Britain is the sole and complete representative of the nation in all foreign affairs. He can unilaterally make treaties for peace, trade, alliances, and more. It's been suggested that his authority isn't absolute, and that his agreements with foreign powers need Parliament's review and ratification. However, I believe this idea only came up recently. Every legal expert in that country, and anyone familiar with its Constitution, knows as a proven fact that the crown has the full right to make treaties, and that any agreements made by royal authority are valid and complete without needing any further approval. True, Parliament sometimes alters existing laws to align them with a new treaty's terms, which might have led to the notion that its cooperation is needed for a treaty to be binding. But this parliamentary involvement actually stems from the need to adapt a complex system of tax and trade laws to changes brought about by the treaty and to put new measures in place to keep everything running smoothly. So, in this regard, there's no comparison between the President's intended power and the actual power of the British monarch. One can act independently while the other needs agreement from a part of the legislature. It's clear that, in this case, the federal Executive's power would surpass that of any State Executive. But this naturally comes from the sovereign power related to treaties. If the Confederacy were to fall apart, it would raise the question of whether the Executives of the individual States would then hold that delicate and crucial prerogative.

The President is also to be authorized to receive ambassadors and other public ministers. This, though it has been a rich theme of declamation, is more a matter of dignity than of authority. It is a circumstance which will be without consequence in the administration of the government; and it was far more convenient that it should be arranged in this manner, than that there should be a necessity of convening the legislature, or one of its branches, upon every arrival of a foreign minister, though it were merely to take the place of a departed predecessor.

The President is also authorized to receive ambassadors and other public ministers. While this has often been a popular topic for debate, it's more about prestige than actual power. This is something that won't significantly impact the way the government operates; it's much more practical for it to be handled this way instead of having to gather the legislature or one of its branches every time a foreign minister arrives, even if it's just to replace someone who left.

The President is to nominate, and, with the advice and consent of the Senate, to appoint ambassadors and other public ministers, judges of the Supreme Court, and in general all officers of the United States established by law, and whose appointments are not otherwise provided for by the Constitution. The king of Great Britain is emphatically and truly styled the fountain of honor. He not only appoints to all offices, but can create offices. He can confer titles of nobility at pleasure; and has the disposal of an immense number of church preferments. There is evidently a great inferiority in the power of the President, in this particular, to that of the British king; nor is it equal to that of the governor of New York, if we are to interpret the meaning of the constitution of the State by the practice which has obtained under it. The power of appointment is with us lodged in a council, composed of the governor and four members of the Senate, chosen by the Assembly. The governor claims, and has frequently exercised, the right of nomination, and is entitled to a casting vote in the appointment. If he really has the right of nominating, his authority is in this respect equal to that of the President, and exceeds it in the article of the casting vote. In the national government, if the Senate should be divided, no appointment could be made; in the government of New York, if the council should be divided, the governor can turn the scale, and confirm his own nomination.(3) If we compare the publicity which must necessarily attend the mode of appointment by the President and an entire branch of the national legislature, with the privacy in the mode of appointment by the governor of New York, closeted in a secret apartment with at most four, and frequently with only two persons; and if we at the same time consider how much more easy it must be to influence the small number of which a council of appointment consists, than the considerable number of which the national Senate would consist, we cannot hesitate to pronounce that the power of the chief magistrate of this State, in the disposition of offices, must, in practice, be greatly superior to that of the Chief Magistrate of the Union.

The President is responsible for nominating, and with the Senate's approval, appointing ambassadors and other public ministers, Supreme Court judges, and generally all officers of the United States established by law, whose appointments are not covered by the Constitution. The king of Great Britain is clearly referred to as the source of honor. He not only appoints to all offices but also has the power to create new ones. He can grant titles of nobility at will and controls a large number of church positions. It's clear that the President's power in this regard is significantly less than that of the British king; it's also not equal to that of the governor of New York, if we interpret the state constitution based on its practice. The appointment power here is held by a council made up of the governor and four Senate members chosen by the Assembly. The governor asserts, and has often used, the right to nominate and is allowed a tie-breaking vote in appointments. If he genuinely has the right to nominate, his authority in this area equals that of the President and surpasses it with his tie-breaking vote. In the national government, if the Senate is divided, no appointments can be made; in New York's government, if the council is divided, the governor can tip the scales and confirm his own nomination. If we compare the transparency required for appointments by the President and the entire national legislature with the secrecy surrounding the governor of New York's appointments, often conducted in a private room with at most four people and sometimes just two, and if we consider how much easier it is to influence the small council compared to the larger national Senate, we can confidently say that the power of the chief magistrate of this state in appointing officials must, in practice, be much greater than that of the Chief Magistrate of the Union.

Hence it appears that, except as to the concurrent authority of the President in the article of treaties, it would be difficult to determine whether that magistrate would, in the aggregate, possess more or less power than the Governor of New York. And it appears yet more unequivocally, that there is no pretense for the parallel which has been attempted between him and the king of Great Britain. But to render the contrast in this respect still more striking, it may be of use to throw the principal circumstances of dissimilitude into a closer group.

It seems that, aside from the shared authority of the President regarding treaties, it would be hard to figure out if that office holds more or less power in total compared to the Governor of New York. Furthermore, it’s clear that there’s no valid comparison between him and the King of Great Britain. To highlight the differences even more, it might be helpful to list the main contrasting points more closely.

The President of the United States would be an officer elected by the people for four years; the king of Great Britain is a perpetual and hereditary prince. The one would be amenable to personal punishment and disgrace; the person of the other is sacred and inviolable. The one would have a qualified negative upon the acts of the legislative body; the other has an absolute negative. The one would have a right to command the military and naval forces of the nation; the other, in addition to this right, possesses that of declaring war, and of raising and regulating fleets and armies by his own authority. The one would have a concurrent power with a branch of the legislature in the formation of treaties; the other is the sole possessor of the power of making treaties. The one would have a like concurrent authority in appointing to offices; the other is the sole author of all appointments. The one can confer no privileges whatever; the other can make denizens of aliens, noblemen of commoners; can erect corporations with all the rights incident to corporate bodies. The one can prescribe no rules concerning the commerce or currency of the nation; the other is in several respects the arbiter of commerce, and in this capacity can establish markets and fairs, can regulate weights and measures, can lay embargoes for a limited time, can coin money, can authorize or prohibit the circulation of foreign coin. The one has no particle of spiritual jurisdiction; the other is the supreme head and governor of the national church! What answer shall we give to those who would persuade us that things so unlike resemble each other? The same that ought to be given to those who tell us that a government, the whole power of which would be in the hands of the elective and periodical servants of the people, is an aristocracy, a monarchy, and a despotism.

The President of the United States is an officer elected by the people for four years, while the king of Great Britain is a lifelong hereditary ruler. The former can face personal punishment and disgrace, while the latter's status is sacred and protected. The President has a limited ability to reject the actions of the legislative body, while the king has complete power to do so. The President can command the nation’s military and naval forces, but the king also has the authority to declare war and raise and manage fleets and armies on his own. The President shares the power to create treaties with a part of the legislature, whereas the king alone holds that power. In appointing officials, the President has a similar shared authority, while the king is the sole authority. The President cannot grant any privileges, but the king can grant citizenship to foreigners, make commoners noble, and establish corporations with all their associated rights. The President cannot set rules about trade or currency, while the king effectively controls commerce and can create markets and fairs, regulate weights and measures, impose temporary embargoes, coin money, and allow or forbid the use of foreign currency. The President has no spiritual authority, but the king is the supreme leader of the national church! What should we say to those who try to convince us that such dissimilarities are actually alike? The same response we should give to those who claim that a government, where all power rests with elected officials serving the people for a limited time, is an aristocracy, a monarchy, or a despotism.

PUBLIUS

PUBLIUS

1. A writer in a Pennsylvania paper, under the signature of TAMONY, has asserted that the king of Great Britain owes his prerogative as commander-in-chief to an annual mutiny bill. The truth is, on the contrary, that his prerogative, in this respect, is immemorial, and was only disputed, "contrary to all reason and precedent," as Blackstone vol. i., page 262, expresses it, by the Long Parliament of Charles I. but by the statute the 13th of Charles II., chap. 6, it was declared to be in the king alone, for that the sole supreme government and command of the militia within his Majesty's realms and dominions, and of all forces by sea and land, and of all forts and places of strength, EVER WAS AND IS the undoubted right of his Majesty and his royal predecessors, kings and queens of England, and that both or either house of Parliament cannot nor ought to pretend to the same.

1. A writer in a Pennsylvania newspaper, signing off as TAMONY, has claimed that the king of Great Britain derives his authority as commander-in-chief from an annual mutiny bill. In reality, his authority in this regard is ancient and was only challenged, "against all reason and precedent," as Blackstone notes in vol. i., page 262, by the Long Parliament during Charles I's reign. However, according to the statute from the 13th of Charles II, chap. 6, it was affirmed to belong solely to the king, as the ultimate authority and command over the militia in his Majesty's realms and territories, as well as all military forces at sea and on land, and all forts and strongholds, has ALWAYS BEEN AND IS the unquestionable right of his Majesty and his royal predecessors, the kings and queens of England, and neither house of Parliament can or should claim the same.

2. Vide Blackstone's Commentaries, Vol I., p. 257.

2. See Blackstone's Commentaries, Volume I, page 257.

3. Candor, however, demands an acknowledgment that I do not think the claim of the governor to a right of nomination well founded. Yet it is always justifiable to reason from the practice of a government, till its propriety has been constitutionally questioned. And independent of this claim, when we take into view the other considerations, and pursue them through all their consequences, we shall be inclined to draw much the same conclusion.

3. To be honest, I don’t believe the governor’s claim to the right of nomination is justified. However, it’s always reasonable to consider the practices of a government until those practices are formally challenged. Moreover, if we look at other factors and consider their implications, we’re likely to come to a similar conclusion.





FEDERALIST No. 70. The Executive Department Further Considered

From The Independent Journal. Saturday, March 15, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THERE is an idea, which is not without its advocates, that a vigorous Executive is inconsistent with the genius of republican government. The enlightened well-wishers to this species of government must at least hope that the supposition is destitute of foundation; since they can never admit its truth, without at the same time admitting the condemnation of their own principles. Energy in the Executive is a leading character in the definition of good government. It is essential to the protection of the community against foreign attacks; it is not less essential to the steady administration of the laws; to the protection of property against those irregular and high-handed combinations which sometimes interrupt the ordinary course of justice; to the security of liberty against the enterprises and assaults of ambition, of faction, and of anarchy. Every man the least conversant in Roman history, knows how often that republic was obliged to take refuge in the absolute power of a single man, under the formidable title of Dictator, as well against the intrigues of ambitious individuals who aspired to the tyranny, and the seditions of whole classes of the community whose conduct threatened the existence of all government, as against the invasions of external enemies who menaced the conquest and destruction of Rome.

There’s a belief, which has some supporters, that a strong Executive is incompatible with the spirit of republican government. Those who genuinely support this type of government must at least hope that this belief is unfounded; because accepting its truth would mean recognizing the failure of their own principles. Energy in the Executive is a key aspect of good governance. It’s necessary for protecting the community from foreign threats; it’s equally important for the consistent enforcement of laws; for safeguarding property against the irregular and forceful groups that sometimes disrupt the normal administration of justice; and for ensuring liberty against the ambitions, factions, and chaos that can arise. Anyone with even a basic understanding of Roman history knows how often that republic had to rely on the absolute power of a single leader, under the powerful title of Dictator, to defend against the schemes of ambitious individuals wanting tyranny, the rebellions of entire social classes threatening the stability of governance, and against external enemies aiming to conquer and destroy Rome.

There can be no need, however, to multiply arguments or examples on this head. A feeble Executive implies a feeble execution of the government. A feeble execution is but another phrase for a bad execution; and a government ill executed, whatever it may be in theory, must be, in practice, a bad government.

There’s no need to overdo it with reasons or examples here. A weak Executive means a weak execution of government. A weak execution is just another way of saying a bad execution; and a poorly executed government, no matter what it looks like in theory, will ultimately be a bad government in practice.

Taking it for granted, therefore, that all men of sense will agree in the necessity of an energetic Executive, it will only remain to inquire, what are the ingredients which constitute this energy? How far can they be combined with those other ingredients which constitute safety in the republican sense? And how far does this combination characterize the plan which has been reported by the convention?

Assuming that everyone with common sense agrees on the need for a strong Executive, the next step is to find out what makes up this strength. How can these elements be combined with those that ensure safety in a republican way? And to what extent does this combination define the plan proposed by the convention?

The ingredients which constitute energy in the Executive are, first, unity; secondly, duration; thirdly, an adequate provision for its support; fourthly, competent powers.

The elements that make up energy in the Executive are, first, unity; second, duration; third, sufficient resources for its support; fourth, capable powers.

The ingredients which constitute safety in the republican sense are, first, a due dependence on the people, secondly, a due responsibility.

The elements that create safety in a republican sense are, first, a proper reliance on the people, and second, a proper accountability.

Those politicians and statesmen who have been the most celebrated for the soundness of their principles and for the justice of their views, have declared in favor of a single Executive and a numerous legislature. They have with great propriety, considered energy as the most necessary qualification of the former, and have regarded this as most applicable to power in a single hand, while they have, with equal propriety, considered the latter as best adapted to deliberation and wisdom, and best calculated to conciliate the confidence of the people and to secure their privileges and interests.

Those politicians and leaders who are most well-known for having solid principles and fair viewpoints have favored having a single Executive and a large legislature. They appropriately view energy as the most essential quality for the Executive, believing it's most effective when power is concentrated in one person. At the same time, they rightly see a larger legislature as better suited for careful thought and wisdom, which helps earn the people's trust and protect their rights and interests.

That unity is conducive to energy will not be disputed. Decision, activity, secrecy, and despatch will generally characterize the proceedings of one man in a much more eminent degree than the proceedings of any greater number; and in proportion as the number is increased, these qualities will be diminished.

That unity is beneficial for energy is something no one will argue against. Decisions, actions, confidentiality, and speed usually define the work of one person to a much greater extent than that of a larger group; and as the group size increases, these qualities tend to decrease.

This unity may be destroyed in two ways: either by vesting the power in two or more magistrates of equal dignity and authority; or by vesting it ostensibly in one man, subject, in whole or in part, to the control and co-operation of others, in the capacity of counsellors to him. Of the first, the two Consuls of Rome may serve as an example; of the last, we shall find examples in the constitutions of several of the States. New York and New Jersey, if I recollect right, are the only States which have intrusted the executive authority wholly to single men.(1) Both these methods of destroying the unity of the Executive have their partisans; but the votaries of an executive council are the most numerous. They are both liable, if not to equal, to similar objections, and may in most lights be examined in conjunction.

This unity can be undermined in two ways: either by giving power to two or more officials with equal status and authority, or by supposedly giving it to one person, who is partially or entirely under the influence and cooperation of others in the role of advisors. A good example of the first is the two Consuls of Rome; for the second, we can look at the constitutions of several states. If I remember correctly, New York and New Jersey are the only states that have fully entrusted executive authority to individual leaders. Both approaches to weakening the unity of the Executive have their supporters, but those in favor of an executive council are the most numerous. Both methods have similar criticisms and can generally be viewed together.

The experience of other nations will afford little instruction on this head. As far, however, as it teaches any thing, it teaches us not to be enamoured of plurality in the Executive. We have seen that the Achaeans, on an experiment of two Praetors, were induced to abolish one. The Roman history records many instances of mischiefs to the republic from the dissensions between the Consuls, and between the military Tribunes, who were at times substituted for the Consuls. But it gives us no specimens of any peculiar advantages derived to the state from the circumstance of the plurality of those magistrates. That the dissensions between them were not more frequent or more fatal, is a matter of astonishment, until we advert to the singular position in which the republic was almost continually placed, and to the prudent policy pointed out by the circumstances of the state, and pursued by the Consuls, of making a division of the government between them. The patricians engaged in a perpetual struggle with the plebeians for the preservation of their ancient authorities and dignities; the Consuls, who were generally chosen out of the former body, were commonly united by the personal interest they had in the defense of the privileges of their order. In addition to this motive of union, after the arms of the republic had considerably expanded the bounds of its empire, it became an established custom with the Consuls to divide the administration between themselves by lot—one of them remaining at Rome to govern the city and its environs, the other taking the command in the more distant provinces. This expedient must, no doubt, have had great influence in preventing those collisions and rivalships which might otherwise have embroiled the peace of the republic.

The experiences of other countries offer little guidance on this matter. However, to the extent that it teaches us anything, it suggests that we shouldn't be too fond of having multiple leaders in the Executive branch. We saw that the Achaeans, after trying out two Praetors, decided to eliminate one. Roman history shows many examples of problems in the republic caused by conflicts between the Consuls and between the military Tribunes, who sometimes took the place of the Consuls. However, it doesn’t provide any clear benefits that came from having several magistrates. It’s surprising that their disagreements weren’t more frequent or more damaging until we consider the unique situation the republic was almost always in and the sensible policies the Consuls adopted to share power between themselves. The patricians were constantly fighting with the plebeians to maintain their traditional powers and status; the Consuls, usually selected from the patricians, often had a personal interest in defending their privileges. Moreover, after the republic's military expansion had significantly increased the empire's territory, it became a standard practice for the Consuls to divide their duties by drawing lots—one would stay in Rome to manage the city and its surroundings, while the other would command in the more remote provinces. This approach must have been very effective in preventing the clashes and rivalries that could have disrupted the republic's peace.

But quitting the dim light of historical research, attaching ourselves purely to the dictates of reason and good sense, we shall discover much greater cause to reject than to approve the idea of plurality in the Executive, under any modification whatever.

But stepping away from the limited perspective of historical research and focusing purely on reason and common sense, we will find many more reasons to reject than to accept the idea of having multiple leaders in the Executive branch, in any form.

Wherever two or more persons are engaged in any common enterprise or pursuit, there is always danger of difference of opinion. If it be a public trust or office, in which they are clothed with equal dignity and authority, there is peculiar danger of personal emulation and even animosity. From either, and especially from all these causes, the most bitter dissensions are apt to spring. Whenever these happen, they lessen the respectability, weaken the authority, and distract the plans and operation of those whom they divide. If they should unfortunately assail the supreme executive magistracy of a country, consisting of a plurality of persons, they might impede or frustrate the most important measures of the government, in the most critical emergencies of the state. And what is still worse, they might split the community into the most violent and irreconcilable factions, adhering differently to the different individuals who composed the magistracy.

Whenever two or more people are involved in a shared project or goal, there’s always a risk of differing opinions. If it's a public trust or office where they hold equal respect and authority, there’s a greater chance of personal rivalry and even hostility. These tensions, especially when combined, can lead to serious conflicts. When these conflicts arise, they diminish the respectability, weaken the authority, and disrupt the plans and actions of those affected. If, unfortunately, these issues target the top executive body of a country made up of several individuals, they could hinder or sabotage the government's most critical actions during crucial times. Even worse, they could divide the community into intensely opposing and irreconcilable factions, each supporting different members of the executive body.

Men often oppose a thing, merely because they have had no agency in planning it, or because it may have been planned by those whom they dislike. But if they have been consulted, and have happened to disapprove, opposition then becomes, in their estimation, an indispensable duty of self-love. They seem to think themselves bound in honor, and by all the motives of personal infallibility, to defeat the success of what has been resolved upon contrary to their sentiments. Men of upright, benevolent tempers have too many opportunities of remarking, with horror, to what desperate lengths this disposition is sometimes carried, and how often the great interests of society are sacrificed to the vanity, to the conceit, and to the obstinacy of individuals, who have credit enough to make their passions and their caprices interesting to mankind. Perhaps the question now before the public may, in its consequences, afford melancholy proofs of the effects of this despicable frailty, or rather detestable vice, in the human character.

Men often oppose something simply because they weren’t involved in planning it, or because it may have been created by people they don’t like. However, if they have been consulted and happen to disapprove, they then see their opposition as a necessary duty of self-respect. They believe they are obligated by honor and the need to be right to undermine whatever has been decided against their wishes. People with honest, kind personalities have too many chances to witness, with dismay, how far this tendency can go, and how often significant societal interests are sacrificed for the vanity, arrogance, and stubbornness of individuals who have enough influence to make their feelings and whims matter to others. Perhaps the issue currently facing the public will, in its aftermath, provide sad evidence of the consequences of this contemptible weakness, or rather, loathsome flaw, in human character.

Upon the principles of a free government, inconveniences from the source just mentioned must necessarily be submitted to in the formation of the legislature; but it is unnecessary, and therefore unwise, to introduce them into the constitution of the Executive. It is here too that they may be most pernicious. In the legislature, promptitude of decision is oftener an evil than a benefit. The differences of opinion, and the jarrings of parties in that department of the government, though they may sometimes obstruct salutary plans, yet often promote deliberation and circumspection, and serve to check excesses in the majority. When a resolution too is once taken, the opposition must be at an end. That resolution is a law, and resistance to it punishable. But no favorable circumstances palliate or atone for the disadvantages of dissension in the executive department. Here, they are pure and unmixed. There is no point at which they cease to operate. They serve to embarrass and weaken the execution of the plan or measure to which they relate, from the first step to the final conclusion of it. They constantly counteract those qualities in the Executive which are the most necessary ingredients in its composition—vigor and expedition, and this without any counterbalancing good. In the conduct of war, in which the energy of the Executive is the bulwark of the national security, every thing would be to be apprehended from its plurality.

Based on the principles of a free government, the issues mentioned earlier must be accepted when forming the legislature; however, it is unnecessary and, therefore, unwise to incorporate them into the constitution of the Executive. This is where they can be most harmful. In the legislature, quick decision-making is often more of a problem than a benefit. The differences in opinion and conflicts between parties in that branch of government, while they may sometimes block useful plans, often encourage careful consideration and caution, helping to prevent the majority from going too far. Once a decision is made, any opposition must end. That decision becomes law, and resisting it is punishable. However, no positive circumstances can lessen or make up for the drawbacks of disagreement in the executive branch. Here, the issues are straightforward and unambiguous. They affect the execution of a plan or measure from start to finish. They constantly undermine the essential qualities of the Executive—strength and speed—without providing any counterbalancing advantages. In times of war, where the strength of the Executive is vital for national security, everything would be a concern regarding its plurality.

It must be confessed that these observations apply with principal weight to the first case supposed—that is, to a plurality of magistrates of equal dignity and authority a scheme, the advocates for which are not likely to form a numerous sect; but they apply, though not with equal, yet with considerable weight to the project of a council, whose concurrence is made constitutionally necessary to the operations of the ostensible Executive. An artful cabal in that council would be able to distract and to enervate the whole system of administration. If no such cabal should exist, the mere diversity of views and opinions would alone be sufficient to tincture the exercise of the executive authority with a spirit of habitual feebleness and dilatoriness.

It must be admitted that these observations mostly apply to the first scenario considered—that is, to a group of magistrates of equal status and power, a concept that isn’t likely to attract a large following. However, they also apply, though not as strongly, to the idea of a council whose agreement is constitutionally required for the actions of the visible Executive. A clever faction within that council could disrupt and weaken the entire administration system. Even if no such faction exists, the simple variety of perspectives and opinions would be enough to infuse the exercise of executive power with a tendency toward ongoing weakness and slowness.

(But one of the weightiest objections to a plurality in the Executive, and which lies as much against the last as the first plan, is, that it tends to conceal faults and destroy responsibility. Responsibility is of two kinds—to censure and to punishment. The first is the more important of the two, especially in an elective office. Man, in public trust, will much oftener act in such a manner as to render him unworthy of being any longer trusted, than in such a manner as to make him obnoxious to legal punishment. But the multiplication of the Executive adds to the difficulty of detection in either case. It often becomes impossible, amidst mutual accusations, to determine on whom the blame or the punishment of a pernicious measure, or series of pernicious measures, ought really to fall. It is shifted from one to another with so much dexterity, and under such plausible appearances, that the public opinion is left in suspense about the real author. The circumstances which may have led to any national miscarriage or misfortune are sometimes so complicated that, where there are a number of actors who may have had different degrees and kinds of agency, though we may clearly see upon the whole that there has been mismanagement, yet it may be impracticable to pronounce to whose account the evil which may have been incurred is truly chargeable.)(E1)

(But one of the biggest objections to having multiple people in the Executive branch, which applies to both the last and the first plan, is that it tends to hide faults and undermine accountability. There are two types of responsibility—censure and punishment. The first is more important, especially in an elected position. People in public trust are more likely to act in ways that make them unworthy of that trust than in ways that attract legal punishment. However, having multiple executives makes it harder to identify faults in either case. Amidst mutual accusations, it often becomes impossible to determine who should really be blamed or punished for a harmful action or series of harmful actions. Blame gets passed around so skillfully and with such convincing appearances that public opinion remains uncertain about the true culprit. The factors leading to any national failure or problem can be so complicated that, even when we can see overall mismanagement, it may be impossible to pin the blame on one specific person among many who may have contributed in different ways.)

(But one of the weightiest objections to a plurality in the Executive, and which lies as much against the last as the first plan, is, that it tends to conceal faults and destroy responsibility.

(But one of the strongest objections to having multiple leaders in the Executive, which applies equally to both the last and the first plan, is that it tends to hide mistakes and undermine accountability.

Responsibility is of two kinds—to censure and to punishment. The first is the more important of the two, especially in an elective office. Man, in public trust, will much oftener act in such a manner as to render him unworthy of being any longer trusted, than in such a manner as to make him obnoxious to legal punishment. But the multiplication of the Executive adds to the difficulty of detection in either case. It often becomes impossible, amidst mutual accusations, to determine on whom the blame or the punishment of a pernicious measure, or series of pernicious measures, ought really to fall. It is shifted from one to another with so much dexterity, and under such plausible appearances, that the public opinion is left in suspense about the real author. The circumstances which may have led to any national miscarriage or misfortune are sometimes so complicated that, where there are a number of actors who may have had different degrees and kinds of agency, though we may clearly see upon the whole that there has been mismanagement, yet it may be impracticable to pronounce to whose account the evil which may have been incurred is truly chargeable.)(E1)

Responsibility comes in two forms—criticism and punishment. The first is more important, especially in elected positions. A person in public office is more likely to act in ways that make them untrustworthy than to do something that warrants legal punishment. However, having many people in executive roles makes it harder to identify wrongdoing in either case. When accusations fly, it often becomes impossible to figure out who should be blamed or punished for a harmful decision or series of harmful decisions. The blame gets passed around so smoothly and with such convincing reasoning that public opinion remains uncertain about who’s really responsible. The factors leading to a national failure or misfortune can be so complex that, even though it’s clear there has been mismanagement, it can be nearly impossible to determine who should actually be held accountable for the damage done.

"I was overruled by my council. The council were so divided in their opinions that it was impossible to obtain any better resolution on the point." These and similar pretexts are constantly at hand, whether true or false. And who is there that will either take the trouble or incur the odium, of a strict scrutiny into the secret springs of the transaction? Should there be found a citizen zealous enough to undertake the unpromising task, if there happen to be collusion between the parties concerned, how easy it is to clothe the circumstances with so much ambiguity, as to render it uncertain what was the precise conduct of any of those parties?

"I was overruled by my council. The council was so divided in their opinions that it was impossible to reach any better resolution on the matter." These and similar excuses are always available, whether they're true or not. And who is willing to take the time or deal with the backlash of a thorough investigation into the hidden factors of the situation? If there's a citizen passionate enough to take on that challenging task, and if there's any collusion between the parties involved, it's easy to wrap the circumstances in so much ambiguity that it becomes unclear what any of those parties actually did.

In the single instance in which the governor of this State is coupled with a council—that is, in the appointment to offices, we have seen the mischiefs of it in the view now under consideration. Scandalous appointments to important offices have been made. Some cases, indeed, have been so flagrant that ALL PARTIES have agreed in the impropriety of the thing. When inquiry has been made, the blame has been laid by the governor on the members of the council, who, on their part, have charged it upon his nomination; while the people remain altogether at a loss to determine, by whose influence their interests have been committed to hands so unqualified and so manifestly improper. In tenderness to individuals, I forbear to descend to particulars.

In the one situation where the governor of this state is working with a council—specifically, in making appointments to offices—we've noticed the problems this causes in the situation we're examining. Scandalous appointments to important positions have occurred. Some cases have been so blatant that everyone involved has acknowledged how inappropriate it was. When questions have been raised, the governor has blamed the council members, who in turn have pointed to his nominations; meanwhile, the public is left confused about whose influence has led to their interests being handled by such unqualified and obviously unsuitable people. Out of consideration for individuals, I will refrain from going into specifics.

It is evident from these considerations, that the plurality of the Executive tends to deprive the people of the two greatest securities they can have for the faithful exercise of any delegated power, first, the restraints of public opinion, which lose their efficacy, as well on account of the division of the censure attendant on bad measures among a number, as on account of the uncertainty on whom it ought to fall; and, second, the opportunity of discovering with facility and clearness the misconduct of the persons they trust, in order either to their removal from office or to their actual punishment in cases which admit of it.

It's clear from these considerations that having multiple leaders in the Executive branch tends to take away two of the greatest protections the people have for ensuring that any delegated power is used responsibly. First, the influence of public opinion weakens because the blame for poor decisions is spread among many, and it's unclear who should be held accountable. Second, it's harder for citizens to easily and clearly identify any wrongdoing by those they trust, which is necessary for either removing them from their position or punishing them when appropriate.

In England, the king is a perpetual magistrate; and it is a maxim which has obtained for the sake of the public peace, that he is unaccountable for his administration, and his person sacred. Nothing, therefore, can be wiser in that kingdom, than to annex to the king a constitutional council, who may be responsible to the nation for the advice they give. Without this, there would be no responsibility whatever in the executive department an idea inadmissible in a free government. But even there the king is not bound by the resolutions of his council, though they are answerable for the advice they give. He is the absolute master of his own conduct in the exercise of his office, and may observe or disregard the counsel given to him at his sole discretion.

In England, the king is a permanent leader, and it's a commonly accepted principle for the sake of public peace that he isn't held accountable for his actions, and his person is protected. Therefore, it makes sense for that kingdom to attach a constitutional council to the king, which can be accountable to the nation for the advice they provide. Without this, there would be no accountability in the executive branch, which is unacceptable in a free government. However, even then, the king isn't obligated to follow the decisions of his council, even though they are responsible for the advice they offer. He has complete control over his own actions in performing his duties and can choose to follow or ignore the counsel given to him at his discretion.

But in a republic, where every magistrate ought to be personally responsible for his behavior in office the reason which in the British Constitution dictates the propriety of a council, not only ceases to apply, but turns against the institution. In the monarchy of Great Britain, it furnishes a substitute for the prohibited responsibility of the chief magistrate, which serves in some degree as a hostage to the national justice for his good behavior. In the American republic, it would serve to destroy, or would greatly diminish, the intended and necessary responsibility of the Chief Magistrate himself.

But in a republic, where every official should be held personally accountable for their actions in office, the reasoning that supports a council in the British Constitution no longer applies and actually works against that system. In the monarchy of Great Britain, it provides a replacement for the chief official's lack of accountability, acting as a sort of safeguard for their proper conduct in the eyes of national justice. In the American republic, it would undermine or significantly reduce the essential responsibility of the Chief Magistrate.

The idea of a council to the Executive, which has so generally obtained in the State constitutions, has been derived from that maxim of republican jealousy which considers power as safer in the hands of a number of men than of a single man. If the maxim should be admitted to be applicable to the case, I should contend that the advantage on that side would not counterbalance the numerous disadvantages on the opposite side. But I do not think the rule at all applicable to the executive power. I clearly concur in opinion, in this particular, with a writer whom the celebrated Junius pronounces to be "deep, solid, and ingenious," that "the executive power is more easily confined when it is ONE";(2) that it is far more safe there should be a single object for the jealousy and watchfulness of the people; and, in a word, that all multiplication of the Executive is rather dangerous than friendly to liberty.

The idea of having a council for the Executive, which is common in state constitutions, comes from the belief that it’s safer to spread power among a group rather than having it concentrated in one person. If we accept this belief as applicable, I would argue that the benefits of this arrangement don’t outweigh its many drawbacks. However, I don’t believe this principle applies to executive power at all. I completely agree with a writer, whom the well-known Junius describes as "deep, solid, and clever," that "the executive power is easier to control when it is ONE";(2) that it’s much safer to have one focus for the public's concern and vigilance; and, ultimately, that having multiple executives is more of a threat to liberty than a safeguard.

A little consideration will satisfy us, that the species of security sought for in the multiplication of the Executive, is unattainable. Numbers must be so great as to render combination difficult, or they are rather a source of danger than of security. The united credit and influence of several individuals must be more formidable to liberty, than the credit and influence of either of them separately. When power, therefore, is placed in the hands of so small a number of men, as to admit of their interests and views being easily combined in a common enterprise, by an artful leader, it becomes more liable to abuse, and more dangerous when abused, than if it be lodged in the hands of one man; who, from the very circumstance of his being alone, will be more narrowly watched and more readily suspected, and who cannot unite so great a mass of influence as when he is associated with others. The Decemvirs of Rome, whose name denotes their number,(3) were more to be dreaded in their usurpation than any ONE of them would have been. No person would think of proposing an Executive much more numerous than that body; from six to a dozen have been suggested for the number of the council. The extreme of these numbers, is not too great for an easy combination; and from such a combination America would have more to fear, than from the ambition of any single individual. A council to a magistrate, who is himself responsible for what he does, are generally nothing better than a clog upon his good intentions, are often the instruments and accomplices of his bad and are almost always a cloak to his faults.

A little thought will convince us that the type of security sought by increasing the Executive is unattainable. The numbers must be so large that forming a group becomes difficult, or they create more risk than safety. The combined power and influence of multiple individuals is more threatening to freedom than the power and influence of any one of them alone. When power is given to a small group of people, their interests and goals can be easily aligned by a clever leader, making it more prone to misuse and more dangerous when abused than if it were in the hands of a single person. This individual, being alone, will be more closely monitored and readily distrusted, and will not be able to gather as much influence as when paired with others. The Decemvirs of Rome, whose name indicates their number, were feared more for their usurpation than any one of them would have been on their own. No one would consider proposing an Executive much larger than that group; proposals for the council have suggested numbers from six to a dozen. Even the largest of these numbers is not too big for easy collaboration, and from such a group, America would have more to fear than from the ambition of any single person. A council to advise a magistrate, who is responsible for his actions, usually ends up being just a hindrance to his good intentions, often acting as accomplices to his wrongdoing, and almost always serving as a cover for his mistakes.

I forbear to dwell upon the subject of expense; though it be evident that if the council should be numerous enough to answer the principal end aimed at by the institution, the salaries of the members, who must be drawn from their homes to reside at the seat of government, would form an item in the catalogue of public expenditures too serious to be incurred for an object of equivocal utility. I will only add that, prior to the appearance of the Constitution, I rarely met with an intelligent man from any of the States, who did not admit, as the result of experience, that the UNITY of the executive of this State was one of the best of the distinguishing features of our constitution.

I won’t spend too much time on the topic of expenses; however, it’s clear that if the council is large enough to fulfill the main goal of the institution, the salaries of the members, who have to leave their homes to live at the seat of government, would be a significant part of public spending that we shouldn’t take on for something of uncertain benefit. I’ll just add that before the Constitution was introduced, I rarely encountered an intelligent person from any of the States who didn’t agree, based on their experience, that the unity of the executive in this State was one of the best features of our constitution.

PUBLIUS

PUBLIUS

1. New York has no council except for the single purpose of appointing to offices; New Jersey has a council whom the governor may consult. But I think, from the terms of the constitution, their resolutions do not bind him.

1. New York only has a council for the sole purpose of making appointments; New Jersey has a council that the governor can consult. However, I believe that according to the constitution, their resolutions do not have to be followed by him.

2. De Lolme.

2. De Lolme.

3. Ten.

10.

E1. Two versions of these paragraphs appear in different editions.

E1. Two versions of these paragraphs are found in different editions.





FEDERALIST No. 71. The Duration in Office of the Executive

From the New York Packet. Tuesday, March 18, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

DURATION in office has been mentioned as the second requisite to the energy of the Executive authority. This has relation to two objects: to the personal firmness of the executive magistrate, in the employment of his constitutional powers; and to the stability of the system of administration which may have been adopted under his auspices. With regard to the first, it must be evident, that the longer the duration in office, the greater will be the probability of obtaining so important an advantage. It is a general principle of human nature, that a man will be interested in whatever he possesses, in proportion to the firmness or precariousness of the tenure by which he holds it; will be less attached to what he holds by a momentary or uncertain title, than to what he enjoys by a durable or certain title; and, of course, will be willing to risk more for the sake of the one, than for the sake of the other. This remark is not less applicable to a political privilege, or honor, or trust, than to any article of ordinary property. The inference from it is, that a man acting in the capacity of chief magistrate, under a consciousness that in a very short time he MUST lay down his office, will be apt to feel himself too little interested in it to hazard any material censure or perplexity, from the independent exertion of his powers, or from encountering the ill-humors, however transient, which may happen to prevail, either in a considerable part of the society itself, or even in a predominant faction in the legislative body. If the case should only be, that he MIGHT lay it down, unless continued by a new choice, and if he should be desirous of being continued, his wishes, conspiring with his fears, would tend still more powerfully to corrupt his integrity, or debase his fortitude. In either case, feebleness and irresolution must be the characteristics of the station.

DURATION in office has been highlighted as the second requirement for the energy of the Executive authority. This relates to two main points: the personal strength of the executive leader in exercising his constitutional powers, and the stability of the administrative system established under his leadership. Regarding the first point, it's clear that the longer someone holds office, the more likely they are to gain this important advantage. It's a general principle of human nature that a person is more invested in what they own based on how secure or unstable their hold on it is; they will feel less attached to something they possess temporarily or uncertainly than to something they have a lasting and definite claim to; therefore, they will be willing to take more risks for the former than for the latter. This observation applies to political privileges, honors, or trusts just as much as it does to regular property. The conclusion is that a person acting as chief magistrate, knowing that he must soon leave his position, will likely feel too little invested in it to take significant risks or face serious criticism by exercising his powers independently, or dealing with the temporary discontent that may arise in a substantial part of society or within a dominant faction in the legislature. If it's just a possibility that he might leave the office unless reassured by another election, and if he wishes to be re-elected, his desires combined with his fears will further undermine his integrity and weaken his resolve. In either situation, weakness and indecision will characterize the role.

There are some who would be inclined to regard the servile pliancy of the Executive to a prevailing current, either in the community or in the legislature, as its best recommendation. But such men entertain very crude notions, as well of the purposes for which government was instituted, as of the true means by which the public happiness may be promoted. The republican principle demands that the deliberate sense of the community should govern the conduct of those to whom they intrust the management of their affairs; but it does not require an unqualified complaisance to every sudden breeze of passion, or to every transient impulse which the people may receive from the arts of men, who flatter their prejudices to betray their interests. It is a just observation, that the people commonly INTEND the PUBLIC GOOD. This often applies to their very errors. But their good sense would despise the adulator who should pretend that they always REASON RIGHT about the MEANS of promoting it. They know from experience that they sometimes err; and the wonder is that they so seldom err as they do, beset, as they continually are, by the wiles of parasites and sycophants, by the snares of the ambitious, the avaricious, the desperate, by the artifices of men who possess their confidence more than they deserve it, and of those who seek to possess rather than to deserve it. When occasions present themselves, in which the interests of the people are at variance with their inclinations, it is the duty of the persons whom they have appointed to be the guardians of those interests, to withstand the temporary delusion, in order to give them time and opportunity for more cool and sedate reflection. Instances might be cited in which a conduct of this kind has saved the people from very fatal consequences of their own mistakes, and has procured lasting monuments of their gratitude to the men who had courage and magnanimity enough to serve them at the peril of their displeasure.

There are some who think that the willingness of the Executive to go along with popular opinion, whether in the community or in the legislature, is its strongest point. But these people have a very simplistic understanding of why government was created and how public happiness can truly be achieved. The republican principle states that the collective will of the community should guide the actions of those they trust to manage their affairs; however, it does not require blind compliance with every fleeting emotion or impulse that the people may have, especially from those who flatter their biases to undermine their true interests. It is a valid point that people generally aim for the public good, even when it applies to their mistakes. But their good judgment would reject anyone who claims that they always reason correctly about how to achieve it. They know from experience that they can make errors; the surprising part is how rarely they do, despite constantly facing the manipulations of opportunists and flatterers, the traps set by the ambitious and greedy, and the schemes of those who gain their trust without deserving it, as well as those who aspire to gain trust rather than earn it. When situations arise where the people's interests conflict with their desires, it is the responsibility of those they have chosen to protect those interests to resist the temporary illusion, allowing the people time and space for more thoughtful reflection. There are examples where this kind of behavior has saved the people from severe consequences of their own mistakes and has earned lasting gratitude from those who had the courage and integrity to help them, even at the risk of their own discontent.

But however inclined we might be to insist upon an unbounded complaisance in the Executive to the inclinations of the people, we can with no propriety contend for a like complaisance to the humors of the legislature. The latter may sometimes stand in opposition to the former, and at other times the people may be entirely neutral. In either supposition, it is certainly desirable that the Executive should be in a situation to dare to act his own opinion with vigor and decision.

But no matter how much we might want to demand that the Executive fully accommodates the wishes of the people, we can't reasonably argue for the same kind of accommodation to the whims of the legislature. Sometimes the legislature may oppose the people's desires, and at other times, the people may not have a strong opinion at all. In either case, it’s definitely important that the Executive is able to confidently act on their own judgment with strength and determination.

The same rule which teaches the propriety of a partition between the various branches of power, teaches us likewise that this partition ought to be so contrived as to render the one independent of the other. To what purpose separate the executive or the judiciary from the legislative, if both the executive and the judiciary are so constituted as to be at the absolute devotion of the legislative? Such a separation must be merely nominal, and incapable of producing the ends for which it was established. It is one thing to be subordinate to the laws, and another to be dependent on the legislative body. The first comports with, the last violates, the fundamental principles of good government; and, whatever may be the forms of the Constitution, unites all power in the same hands. The tendency of the legislative authority to absorb every other, has been fully displayed and illustrated by examples in some preceding numbers. In governments purely republican, this tendency is almost irresistible. The representatives of the people, in a popular assembly, seem sometimes to fancy that they are the people themselves, and betray strong symptoms of impatience and disgust at the least sign of opposition from any other quarter; as if the exercise of its rights, by either the executive or judiciary, were a breach of their privilege and an outrage to their dignity. They often appear disposed to exert an imperious control over the other departments; and as they commonly have the people on their side, they always act with such momentum as to make it very difficult for the other members of the government to maintain the balance of the Constitution.

The same rule that highlights the importance of separating different branches of power also tells us that this separation should be designed to make each branch independent of the others. What’s the point of separating the executive or the judiciary from the legislative if both the executive and the judiciary are controlled by the legislative? Such a separation would be only a formality and would fail to achieve its intended purposes. There’s a big difference between being subordinate to the laws and being dependent on the legislative body. Being subordinate aligns with the principles of good government, while being dependent undermines them and, regardless of the Constitution's framework, concentrates all power in one place. The legislative branch's tendency to overshadow all others has been vividly shown with examples in earlier sections. In purely republican governments, this tendency is almost impossible to resist. The representatives of the people in a public assembly often seem to believe they are the people themselves and show clear signs of frustration and irritation at any hint of opposition from elsewhere; as if the rights exercised by the executive or judiciary violated their privileges and insulted their authority. They frequently appear eager to exert strict control over the other branches, and since they usually have the public's support, they act with such force that it becomes very challenging for the other parts of the government to keep the constitutional balance.

It may perhaps be asked, how the shortness of the duration in office can affect the independence of the Executive on the legislature, unless the one were possessed of the power of appointing or displacing the other. One answer to this inquiry may be drawn from the principle already remarked that is, from the slender interest a man is apt to take in a short-lived advantage, and the little inducement it affords him to expose himself, on account of it, to any considerable inconvenience or hazard. Another answer, perhaps more obvious, though not more conclusive, will result from the consideration of the influence of the legislative body over the people; which might be employed to prevent the re-election of a man who, by an upright resistance to any sinister project of that body, should have made himself obnoxious to its resentment.

It might be asked how the short duration of an office can impact the independence of the Executive from the legislature, unless one has the power to appoint or remove the other. One answer to this question comes from the idea that a person is likely to care very little about a temporary advantage and that it gives them little reason to put themselves at serious risk or inconvenience. Another answer, which is perhaps more obvious but not necessarily more definitive, relates to the influence that the legislative body has over the public; this influence could be used to block the re-election of someone who, by standing against any unethical plans of that body, has made themselves a target for its anger.

It may be asked also, whether a duration of four years would answer the end proposed; and if it would not, whether a less period, which would at least be recommended by greater security against ambitious designs, would not, for that reason, be preferable to a longer period, which was, at the same time, too short for the purpose of inspiring the desired firmness and independence of the magistrate.

It can also be questioned whether a four-year term would achieve the intended goal, and if it wouldn't, whether a shorter term, which would at least be favored for offering more protection against ambitious plans, might be better than a longer term that is also too short to instill the needed confidence and independence in the magistrate.

It cannot be affirmed, that a duration of four years, or any other limited duration, would completely answer the end proposed; but it would contribute towards it in a degree which would have a material influence upon the spirit and character of the government. Between the commencement and termination of such a period, there would always be a considerable interval, in which the prospect of annihilation would be sufficiently remote, not to have an improper effect upon the conduct of a man indued with a tolerable portion of fortitude; and in which he might reasonably promise himself, that there would be time enough before it arrived, to make the community sensible of the propriety of the measures he might incline to pursue. Though it be probable that, as he approached the moment when the public were, by a new election, to signify their sense of his conduct, his confidence, and with it his firmness, would decline; yet both the one and the other would derive support from the opportunities which his previous continuance in the station had afforded him, of establishing himself in the esteem and good-will of his constituents. He might, then, hazard with safety, in proportion to the proofs he had given of his wisdom and integrity, and to the title he had acquired to the respect and attachment of his fellow-citizens. As, on the one hand, a duration of four years will contribute to the firmness of the Executive in a sufficient degree to render it a very valuable ingredient in the composition; so, on the other, it is not enough to justify any alarm for the public liberty. If a British House of Commons, from the most feeble beginnings, FROM THE MERE POWER OF ASSENTING OR DISAGREEING TO THE IMPOSITION OF A NEW TAX, have, by rapid strides, reduced the prerogatives of the crown and the privileges of the nobility within the limits they conceived to be compatible with the principles of a free government, while they raised themselves to the rank and consequence of a coequal branch of the legislature; if they have been able, in one instance, to abolish both the royalty and the aristocracy, and to overturn all the ancient establishments, as well in the Church as State; if they have been able, on a recent occasion, to make the monarch tremble at the prospect of an innovation(1) attempted by them, what would be to be feared from an elective magistrate of four years' duration, with the confined authorities of a President of the United States? What, but that he might be unequal to the task which the Constitution assigns him? I shall only add, that if his duration be such as to leave a doubt of his firmness, that doubt is inconsistent with a jealousy of his encroachments.

It's hard to say that a term of four years, or any fixed length of time, would completely achieve the intended goal; however, it would definitely play a significant role in shaping the spirit and character of the government. Between the start and end of such a term, there would always be a substantial gap during which the likelihood of losing his position would seem remote enough not to negatively influence the behavior of a person with a decent amount of courage. During this time, he could reasonably expect that he would have enough time before the end to convince the community that the measures he might want to take were appropriate. Although it's likely that as he neared the moment when the public would express their opinion on his performance through a new election, his confidence, and thus his assertiveness, might wane; both of these would be bolstered by the opportunities his previous time in office provided him to earn the respect and goodwill of his constituents. He could then take calculated risks based on the evidence of his wisdom and integrity, as well as the respect he had built with his fellow citizens. On one hand, a four-year term would contribute to the stability of the Executive enough to be an important factor in its makeup; on the other hand, it wouldn't justify any fears for public freedom. If a British House of Commons, starting from very humble beginnings, with just the power to agree or disagree to a new tax, has quickly managed to limit the powers of the crown and the privileges of the nobility to what they viewed as acceptable for a free government, and in doing so elevated themselves to the status of a coequal part of the legislature; if they have, at one point, been able to abolish both the royal and aristocratic systems, and dismantle all the traditional institutions in both the Church and State; if they have recently made the king nervous about a potential change initiated by them, what on earth is there to fear from an elected official serving a four-year term with the limited powers of a President of the United States? The only true concern would be whether he might not be capable of fulfilling the responsibilities that the Constitution assigns to him. I will just add that if his term raises doubts about his strength, then those doubts are at odds with any concerns about his overreach.

PUBLIUS

PUBLIUS

1. This was the case with respect to Mr. Fox's India bill, which was carried in the House of Commons, and rejected in the House of Lords, to the entire satisfaction, as it is said, of the people.

1. This was true regarding Mr. Fox's India bill, which passed in the House of Commons but was rejected in the House of Lords, much to the satisfaction, as it is said, of the people.





FEDERALIST No. 72. The Same Subject Continued, and Re-Eligibility of the Executive Considered.

From The Independent Journal. Wednesday, March 19, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of the State of New York:

THE administration of government, in its largest sense, comprehends all the operations of the body politic, whether legislative, executive, or judiciary; but in its most usual, and perhaps its most precise signification. it is limited to executive details, and falls peculiarly within the province of the executive department. The actual conduct of foreign negotiations, the preparatory plans of finance, the application and disbursement of the public moneys in conformity to the general appropriations of the legislature, the arrangement of the army and navy, the directions of the operations of war—these, and other matters of a like nature, constitute what seems to be most properly understood by the administration of government. The persons, therefore, to whose immediate management these different matters are committed, ought to be considered as the assistants or deputies of the chief magistrate, and on this account, they ought to derive their offices from his appointment, at least from his nomination, and ought to be subject to his superintendence. This view of the subject will at once suggest to us the intimate connection between the duration of the executive magistrate in office and the stability of the system of administration. To reverse and undo what has been done by a predecessor, is very often considered by a successor as the best proof he can give of his own capacity and desert; and in addition to this propensity, where the alteration has been the result of public choice, the person substituted is warranted in supposing that the dismission of his predecessor has proceeded from a dislike to his measures; and that the less he resembles him, the more he will recommend himself to the favor of his constituents. These considerations, and the influence of personal confidences and attachments, would be likely to induce every new President to promote a change of men to fill the subordinate stations; and these causes together could not fail to occasion a disgraceful and ruinous mutability in the administration of the government.

The administration of government, in its broadest sense, includes all the activities of the political body, whether legislative, executive, or judicial; but in its most common and perhaps most precise meaning, it is limited to executive details and falls squarely within the executive branch. The actual management of foreign relations, financial planning, the allocation and spending of public funds according to the legislature's general appropriations, the organization of the army and navy, and the direction of military operations—these, and other related matters, represent what is most accurately understood as the administration of government. Therefore, the individuals responsible for managing these various matters should be viewed as assistants or deputies of the chief executive, which is why they should be appointed, at least nominated, by him and be accountable to his oversight. This perspective highlights the close relationship between the length of time the executive holds office and the stability of the administration system. Changing or reversing what a predecessor has done is often seen by a successor as the best demonstration of their own ability and worth; additionally, when such a change results from public choice, the successor may believe that his predecessor was dismissed due to dissatisfaction with their policies, leading him to think that the less he resembles them, the more he will win the favor of his supporters. These factors, along with personal loyalties and relationships, are likely to push every new President toward making changes in lower positions; collectively, these causes could easily lead to a shameful and destructive instability in the administration of the government.

With a positive duration of considerable extent, I connect the circumstance of re-eligibility. The first is necessary to give to the officer himself the inclination and the resolution to act his part well, and to the community time and leisure to observe the tendency of his measures, and thence to form an experimental estimate of their merits. The last is necessary to enable the people, when they see reason to approve of his conduct, to continue him in his station, in order to prolong the utility of his talents and virtues, and to secure to the government the advantage of permanency in a wise system of administration.

With a positive duration that's considerable, I connect it to the idea of being re-eligible. The first is essential to give the officer the motivation and determination to do his job well, and it also allows the community the time and opportunity to observe the outcomes of his actions and form an informed judgment on their value. The latter is necessary so that when people recognize and appreciate his conduct, they can keep him in his position to extend the benefits of his skills and qualities, ensuring that the government enjoys the stability of a sound administration.

Nothing appears more plausible at first sight, nor more ill-founded upon close inspection, than a scheme which in relation to the present point has had some respectable advocates—I mean that of continuing the chief magistrate in office for a certain time, and then excluding him from it, either for a limited period or forever after. This exclusion, whether temporary or perpetual, would have nearly the same effects, and these effects would be for the most part rather pernicious than salutary.

Nothing seems more believable at first glance, yet upon closer examination, it’s clear that it’s poorly supported—I'm talking about the idea that some respected figures have championed: keeping the president in office for a set period and then banning them from serving again, either for a limited time or permanently. This ban, whether temporary or permanent, would have almost the same consequences, and mostly, those consequences would be more harmful than beneficial.

One ill effect of the exclusion would be a diminution of the inducements to good behavior. There are few men who would not feel much less zeal in the discharge of a duty when they were conscious that the advantages of the station with which it was connected must be relinquished at a determinate period, than when they were permitted to entertain a hope of obtaining, by meriting, a continuance of them. This position will not be disputed so long as it is admitted that the desire of reward is one of the strongest incentives of human conduct; or that the best security for the fidelity of mankind is to make their interests coincide with their duty. Even the love of fame, the ruling passion of the noblest minds, which would prompt a man to plan and undertake extensive and arduous enterprises for the public benefit, requiring considerable time to mature and perfect them, if he could flatter himself with the prospect of being allowed to finish what he had begun, would, on the contrary, deter him from the undertaking, when he foresaw that he must quit the scene before he could accomplish the work, and must commit that, together with his own reputation, to hands which might be unequal or unfriendly to the task. The most to be expected from the generality of men, in such a situation, is the negative merit of not doing harm, instead of the positive merit of doing good.

One downside of the exclusion would be a decrease in the motivation for good behavior. Few people would feel as much energy in fulfilling a responsibility if they knew that the benefits associated with it would be lost after a certain time, compared to when they can hope to earn a chance to keep those benefits for longer. This idea won’t be challenged as long as we agree that the desire for reward is one of the strongest motivators for human actions; or that the best way to ensure people act faithfully is to align their interests with their responsibilities. Even the ambition for fame, which drives the best minds to undertake large and complex projects for the public good, requiring significant time to develop and perfect, would likely discourage them if they thought they had to leave before finishing and would have to trust others—who may not be capable or supportive—to complete the work and protect their reputation. In such a situation, the most we can expect from most people is the bare minimum of not causing harm, rather than actively doing good.

Another ill effect of the exclusion would be the temptation to sordid views, to peculation, and, in some instances, to usurpation. An avaricious man, who might happen to fill the office, looking forward to a time when he must at all events yield up the emoluments he enjoyed, would feel a propensity, not easy to be resisted by such a man, to make the best use of the opportunity he enjoyed while it lasted, and might not scruple to have recourse to the most corrupt expedients to make the harvest as abundant as it was transitory; though the same man, probably, with a different prospect before him, might content himself with the regular perquisites of his situation, and might even be unwilling to risk the consequences of an abuse of his opportunities. His avarice might be a guard upon his avarice. Add to this that the same man might be vain or ambitious, as well as avaricious. And if he could expect to prolong his honors by his good conduct, he might hesitate to sacrifice his appetite for them to his appetite for gain. But with the prospect before him of approaching an inevitable annihilation, his avarice would be likely to get the victory over his caution, his vanity, or his ambition.

Another negative consequence of exclusion would be the temptation for selfish views, corruption, and, in some cases, outright theft. A greedy person who ends up in the position may look ahead to the time when they must give up the benefits they enjoy and feel a strong urge, hard to resist, to make the most of their current opportunity while it lasts, possibly resorting to the most corrupt methods to maximize their short-lived gains. However, the same person, if faced with a different outlook, might just stick to the regular benefits of their job and may even be reluctant to risk the fallout from abusing their position. Their greed might actually keep their greed in check. Furthermore, this person could also be vain or ambitious, not just greedy. If they believed they could extend their power through good behavior, they might hesitate to trade their desire for prestige for their desire for money. But with the impending inevitability of losing everything in sight, their greed would likely overpower their caution, vanity, or ambition.

An ambitious man, too, when he found himself seated on the summit of his country's honors, when he looked forward to the time at which he must descend from the exalted eminence for ever, and reflected that no exertion of merit on his part could save him from the unwelcome reverse; such a man, in such a situation, would be much more violently tempted to embrace a favorable conjuncture for attempting the prolongation of his power, at every personal hazard, than if he had the probability of answering the same end by doing his duty.

An ambitious man, when he found himself at the top of his country's achievements, and realized that he would eventually have to step down from that high position forever, reflecting that no effort on his part could prevent the unwanted decline; in such a situation, he would be much more strongly tempted to seize any opportunity to extend his power, no matter the personal risk, than if he thought he could achieve the same goal by simply doing his job.

Would it promote the peace of the community, or the stability of the government to have half a dozen men who had had credit enough to be raised to the seat of the supreme magistracy, wandering among the people like discontented ghosts, and sighing for a place which they were destined never more to possess?

Would it help the community's peace or the government's stability to have half a dozen men who once had enough cred to be in the highest position, wandering among the people like discontented spirits, longing for a place they were never meant to hold again?

A third ill effect of the exclusion would be, the depriving the community of the advantage of the experience gained by the chief magistrate in the exercise of his office. That experience is the parent of wisdom, is an adage the truth of which is recognized by the wisest as well as the simplest of mankind. What more desirable or more essential than this quality in the governors of nations? Where more desirable or more essential than in the first magistrate of a nation? Can it be wise to put this desirable and essential quality under the ban of the Constitution, and to declare that the moment it is acquired, its possessor shall be compelled to abandon the station in which it was acquired, and to which it is adapted? This, nevertheless, is the precise import of all those regulations which exclude men from serving their country, by the choice of their fellowcitizens, after they have by a course of service fitted themselves for doing it with a greater degree of utility.

A third negative effect of the exclusion would be that the community is deprived of the benefits of the experience gained by the chief magistrate while serving in office. The saying that experience is the parent of wisdom is recognized as true by both the wisest and the simplest people. What could be more desirable or essential than this quality in the leaders of nations? Where could it be more important than in the head of a nation? Is it wise to place this valuable and essential quality under a constitutional ban, declaring that the moment it is acquired, its possessor must leave the position in which it was gained and to which they are suited? This, however, is exactly what those rules mean that prevent individuals from serving their country, as chosen by their fellow citizens, after they have gained the experience that prepares them to do so more effectively.

A fourth ill effect of the exclusion would be the banishing men from stations in which, in certain emergencies of the state, their presence might be of the greatest moment to the public interest or safety. There is no nation which has not, at one period or another, experienced an absolute necessity of the services of particular men in particular situations; perhaps it would not be too strong to say, to the preservation of its political existence. How unwise, therefore, must be every such self-denying ordinance as serves to prohibit a nation from making use of its own citizens in the manner best suited to its exigencies and circumstances! Without supposing the personal essentiality of the man, it is evident that a change of the chief magistrate, at the breaking out of a war, or at any similar crisis, for another, even of equal merit, would at all times be detrimental to the community, inasmuch as it would substitute inexperience to experience, and would tend to unhinge and set afloat the already settled train of the administration.

A fourth negative effect of the exclusion would be the removal of men from positions where, in certain emergencies, their presence could be crucial for the public interest or safety. No nation has gone without, at some point, realizing an urgent need for specific individuals in specific situations; it might even be fair to say, for the preservation of its political existence. How foolish, then, must be any self-imposed rule that prevents a nation from utilizing its own citizens in the way that best addresses its urgent needs and circumstances! Even without considering the personal importance of the individual, it's clear that changing the chief leader at the outbreak of a war, or during any similar crisis, for another, even if equally qualified, would always be harmful to the community, since it would replace experience with inexperience and disrupt the already established course of the administration.

A fifth ill effect of the exclusion would be, that it would operate as a constitutional interdiction of stability in the administration. By necessitating a change of men, in the first office of the nation, it would necessitate a mutability of measures. It is not generally to be expected, that men will vary and measures remain uniform. The contrary is the usual course of things. And we need not be apprehensive that there will be too much stability, while there is even the option of changing; nor need we desire to prohibit the people from continuing their confidence where they think it may be safely placed, and where, by constancy on their part, they may obviate the fatal inconveniences of fluctuating councils and a variable policy.

A fifth negative consequence of the exclusion would be that it would act as a constitutional ban on stability in the government. By forcing a change in leadership at the highest level of the nation, it would require a constant shift in policies. It’s not realistic to expect that leaders will change but policies will stay the same. In fact, the opposite is usually true. We shouldn’t worry about having too much stability when there’s still a chance for change; nor should we want to stop the people from maintaining their trust where they believe it is safe, and where their consistency can help prevent the serious problems that come with unstable leadership and unpredictable policies.

These are some of the disadvantages which would flow from the principle of exclusion. They apply most forcibly to the scheme of a perpetual exclusion; but when we consider that even a partial exclusion would always render the readmission of the person a remote and precarious object, the observations which have been made will apply nearly as fully to one case as to the other.

These are some of the drawbacks that would come from the principle of exclusion. They are particularly relevant to the idea of a perpetual exclusion; however, when we think about the fact that even a partial exclusion would always make the readmission of the person a distant and uncertain goal, the points that have been made apply almost as much to one situation as to the other.

What are the advantages promised to counterbalance these disadvantages? They are represented to be: 1st, greater independence in the magistrate; 2d, greater security to the people. Unless the exclusion be perpetual, there will be no pretense to infer the first advantage. But even in that case, may he have no object beyond his present station, to which he may sacrifice his independence? May he have no connections, no friends, for whom he may sacrifice it? May he not be less willing by a firm conduct, to make personal enemies, when he acts under the impression that a time is fast approaching, on the arrival of which he not only MAY, but MUST, be exposed to their resentments, upon an equal, perhaps upon an inferior, footing? It is not an easy point to determine whether his independence would be most promoted or impaired by such an arrangement.

What benefits are promised to offset these drawbacks? They are said to be: 1st, more independence for the magistrate; 2nd, greater security for the people. Unless the exclusion is permanent, there's no way to claim the first advantage. But even then, does he have no goals beyond his current position for which he might sacrifice his independence? Does he have no connections, no friends, for whom he might sacrifice it? Might he be less inclined to create personal enemies if he knows that a time is approaching when he will not only possibly, but definitely, face their anger, perhaps on equal or even weaker terms? It's hard to determine whether such an arrangement would actually enhance or undermine his independence.

As to the second supposed advantage, there is still greater reason to entertain doubts concerning it. If the exclusion were to be perpetual, a man of irregular ambition, of whom alone there could be reason in any case to entertain apprehension, would, with infinite reluctance, yield to the necessity of taking his leave forever of a post in which his passion for power and pre-eminence had acquired the force of habit. And if he had been fortunate or adroit enough to conciliate the good-will of the people, he might induce them to consider as a very odious and unjustifiable restraint upon themselves, a provision which was calculated to debar them of the right of giving a fresh proof of their attachment to a favorite. There may be conceived circumstances in which this disgust of the people, seconding the thwarted ambition of such a favorite, might occasion greater danger to liberty, than could ever reasonably be dreaded from the possibility of a perpetuation in office, by the voluntary suffrages of the community, exercising a constitutional privilege.

Regarding the second supposed advantage, there’s even more reason to doubt it. If the exclusion were to last forever, a person driven by irregular ambition—who is the only one we should really worry about—would, with immense reluctance, accept the need to permanently leave a position where his desire for power and status had become habit. If he were lucky or savvy enough to win over the people's goodwill, he might convince them to view a rule that prevented them from showing renewed loyalty to a favorite as an unfair and offensive restriction. There could be situations where this public discontent, combined with the frustrated ambition of such a favorite, could pose a greater threat to liberty than could ever reasonably be feared from the possibility of someone holding office indefinitely through the voluntary votes of the community, exercising a constitutional right.

There is an excess of refinement in the idea of disabling the people to continue in office men who had entitled themselves, in their opinion, to approbation and confidence; the advantages of which are at best speculative and equivocal, and are overbalanced by disadvantages far more certain and decisive.

There’s too much focus on the idea of stopping people from holding office when they believe they’ve earned approval and trust. The potential benefits are at best uncertain and ambiguous, while the drawbacks are much more clear and significant.

PUBLIUS

PUBLIUS





FEDERALIST No. 73. The Provision For The Support of the Executive, and the Veto Power

From the New York Packet. Friday, March 21, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE third ingredient towards constituting the vigor of the executive authority, is an adequate provision for its support. It is evident that, without proper attention to this article, the separation of the executive from the legislative department would be merely nominal and nugatory. The legislature, with a discretionary power over the salary and emoluments of the Chief Magistrate, could render him as obsequious to their will as they might think proper to make him. They might, in most cases, either reduce him by famine, or tempt him by largesses, to surrender at discretion his judgment to their inclinations. These expressions, taken in all the latitude of the terms, would no doubt convey more than is intended. There are men who could neither be distressed nor won into a sacrifice of their duty; but this stern virtue is the growth of few soils; and in the main it will be found that a power over a man's support is a power over his will. If it were necessary to confirm so plain a truth by facts, examples would not be wanting, even in this country, of the intimidation or seduction of the Executive by the terrors or allurements of the pecuniary arrangements of the legislative body.

THE third ingredient necessary for the strength of the executive authority is proper funding. It's clear that without sufficient attention to this aspect, the separation of the executive from the legislative branch would be purely superficial and ineffective. The legislature, having control over the salary and benefits of the Chief Magistrate, could easily make him as subservient to their wishes as they see fit. They could, in many cases, either starve him into submission or entice him with generous offers to abandon his judgment in favor of their desires. These statements, taken at face value, might suggest more than intended. There are individuals who could neither be pressured nor bribed into neglecting their duty; however, such unwavering integrity is rare, and generally, control over someone's livelihood equates to control over their will. If it were necessary to back up such an obvious truth with evidence, examples would not be lacking, even in this country, of instances where the Executive has been intimidated or seduced by the financial incentives or threats posed by the legislative body.

It is not easy, therefore, to commend too highly the judicious attention which has been paid to this subject in the proposed Constitution. It is there provided that "The President of the United States shall, at stated times, receive for his services a compensation which shall neither be increased nor diminished during the period for which he shall have been elected; and he shall not receive within that period any other emolument from the United States, or any of them." It is impossible to imagine any provision which would have been more eligible than this. The legislature, on the appointment of a President, is once for all to declare what shall be the compensation for his services during the time for which he shall have been elected. This done, they will have no power to alter it, either by increase or diminution, till a new period of service by a new election commences. They can neither weaken his fortitude by operating on his necessities, nor corrupt his integrity by appealing to his avarice. Neither the Union, nor any of its members, will be at liberty to give, nor will he be at liberty to receive, any other emolument than that which may have been determined by the first act. He can, of course, have no pecuniary inducement to renounce or desert the independence intended for him by the Constitution.

It’s not easy, then, to overly praise the careful consideration given to this issue in the proposed Constitution. It states that "The President of the United States shall, at set times, receive a salary for his services that shall not be increased or decreased during his elected term; and he shall not receive any other payment from the United States, or any of them, during that time." It’s hard to think of any provision that could be better than this. When the legislature appoints a President, they set the salary for his tenure right away. Once that's done, they can't change it, either by raising or lowering it, until a new term starts with a new election. They can’t undermine his resolve by impacting his financial needs, nor can they compromise his integrity by tempting him with money. Neither the Union nor any of its members can offer him, nor can he accept, any other payment besides what was established in the initial act. He obviously has no financial reason to abandon or give up the independence the Constitution intends for him.

The last of the requisites to energy, which have been enumerated, are competent powers. Let us proceed to consider those which are proposed to be vested in the President of the United States.

The final requirement for energy, as mentioned earlier, is capable powers. Let's move on to discuss those that are intended to be given to the President of the United States.

The first thing that offers itself to our observation, is the qualified negative of the President upon the acts or resolutions of the two houses of the legislature; or, in other words, his power of returning all bills with objections, to have the effect of preventing their becoming laws, unless they should afterwards be ratified by two thirds of each of the component members of the legislative body.

The first thing that stands out to us is the President's qualified veto on the actions or resolutions of the two houses of the legislature; in other words, his ability to return all bills with objections, preventing them from becoming laws unless they are later approved by two-thirds of both chambers of the legislative body.

The propensity of the legislative department to intrude upon the rights, and to absorb the powers, of the other departments, has been already suggested and repeated; the insufficiency of a mere parchment delineation of the boundaries of each, has also been remarked upon; and the necessity of furnishing each with constitutional arms for its own defense, has been inferred and proved. From these clear and indubitable principles results the propriety of a negative, either absolute or qualified, in the Executive, upon the acts of the legislative branches. Without the one or the other, the former would be absolutely unable to defend himself against the depredations of the latter. He might gradually be stripped of his authorities by successive resolutions, or annihilated by a single vote. And in the one mode or the other, the legislative and executive powers might speedily come to be blended in the same hands. If even no propensity had ever discovered itself in the legislative body to invade the rights of the Executive, the rules of just reasoning and theoretic propriety would of themselves teach us, that the one ought not to be left to the mercy of the other, but ought to possess a constitutional and effectual power of self-defense.

The tendency of the legislative branch to encroach on the rights and take over the powers of the other branches has already been mentioned and emphasized. It's also been noted that just having a written outline of each branch's boundaries isn’t enough, and it’s clear that each branch needs constitutional tools to protect itself. From these obvious and undeniable principles comes the necessity for the Executive to have a veto, whether absolute or qualified, over the actions of the legislative branches. Without this, the Executive would be completely powerless to defend against the legislative branch's encroachments. He could gradually lose his powers through a series of resolutions or be completely undermined by a single vote. In either case, the legislative and executive powers could quickly become concentrated in the same hands. Even if there was never any indication that the legislative body intended to infringe on the Executive's rights, logic and fairness dictate that neither should be left vulnerable to the other and each should have a constitutional means of self-defense.

But the power in question has a further use. It not only serves as a shield to the Executive, but it furnishes an additional security against the enaction of improper laws. It establishes a salutary check upon the legislative body, calculated to guard the community against the effects of faction, precipitancy, or of any impulse unfriendly to the public good, which may happen to influence a majority of that body.

But the power in question has another purpose. It not only acts as a shield for the Executive but also provides extra protection against the creation of unfair laws. It sets up a healthy check on the legislative body, designed to protect the community from the impacts of factions, hasty decisions, or any influences that are not in the public's best interest, which might sway a majority of that group.

The propriety of a negative has, upon some occasions, been combated by an observation, that it was not to be presumed a single man would possess more virtue and wisdom than a number of men; and that unless this presumption should be entertained, it would be improper to give the executive magistrate any species of control over the legislative body.

The appropriateness of a negative has, on some occasions, been challenged by the observation that it shouldn’t be assumed a single person would have more virtue and wisdom than a group of people; and that unless this assumption is accepted, it would be wrong to give the executive authority any form of control over the legislative body.

But this observation, when examined, will appear rather specious than solid. The propriety of the thing does not turn upon the supposition of superior wisdom or virtue in the Executive, but upon the supposition that the legislature will not be infallible; that the love of power may sometimes betray it into a disposition to encroach upon the rights of other members of the government; that a spirit of faction may sometimes pervert its deliberations; that impressions of the moment may sometimes hurry it into measures which itself, on maturer reflexion, would condemn. The primary inducement to conferring the power in question upon the Executive is, to enable him to defend himself; the secondary one is to increase the chances in favor of the community against the passing of bad laws, through haste, inadvertence, or design. The oftener the measure is brought under examination, the greater the diversity in the situations of those who are to examine it, the less must be the danger of those errors which flow from want of due deliberation, or of those missteps which proceed from the contagion of some common passion or interest. It is far less probable, that culpable views of any kind should infect all the parts of the government at the same moment and in relation to the same object, than that they should by turns govern and mislead every one of them.

But when we really look into this observation, it seems more like a misleading idea than a solid one. The appropriateness of the situation isn't based on the assumption that the Executive has greater wisdom or virtue, but rather on the belief that the legislature isn't infallible; that sometimes the desire for power might lead it to infringe upon the rights of other branches of government; that a spirit of faction might skew its decision-making; and that temporary emotions might rush it into actions that it would later regret after careful thought. The main reason for granting this power to the Executive is to allow him to protect himself; the secondary reason is to improve the chances for the community to avoid bad laws passed in haste, carelessness, or with intent. The more often a measure is reviewed, and the more diverse the perspectives of those reviewing it, the less likely it is that errors stemming from a lack of thorough consideration or missteps caused by a shared passion or interest will occur. It's far less likely that harmful motives of any kind will simultaneously infect all parts of the government regarding the same issue than that these motives would each take turns affecting and misleading them.

It may perhaps be said that the power of preventing bad laws includes that of preventing good ones; and may be used to the one purpose as well as to the other. But this objection will have little weight with those who can properly estimate the mischiefs of that inconstancy and mutability in the laws, which form the greatest blemish in the character and genius of our governments. They will consider every institution calculated to restrain the excess of law-making, and to keep things in the same state in which they happen to be at any given period, as much more likely to do good than harm; because it is favorable to greater stability in the system of legislation. The injury which may possibly be done by defeating a few good laws, will be amply compensated by the advantage of preventing a number of bad ones.

It can be argued that the ability to stop bad laws also includes the ability to stop good ones, and it can be used for either purpose. However, this concern won't matter much to those who understand the problems caused by the inconsistency and unpredictability in the laws, which are the biggest flaws in the character and spirit of our governments. They will see any system designed to limit excessive law-making and maintain the current state of affairs as much more likely to be beneficial than harmful because it promotes greater stability in the legislative process. Any potential harm from blocking a few good laws will be more than outweighed by the benefits of preventing many bad ones.

Nor is this all. The superior weight and influence of the legislative body in a free government, and the hazard to the Executive in a trial of strength with that body, afford a satisfactory security that the negative would generally be employed with great caution; and there would oftener be room for a charge of timidity than of rashness in the exercise of it. A king of Great Britain, with all his train of sovereign attributes, and with all the influence he draws from a thousand sources, would, at this day, hesitate to put a negative upon the joint resolutions of the two houses of Parliament. He would not fail to exert the utmost resources of that influence to strangle a measure disagreeable to him, in its progress to the throne, to avoid being reduced to the dilemma of permitting it to take effect, or of risking the displeasure of the nation by an opposition to the sense of the legislative body. Nor is it probable, that he would ultimately venture to exert his prerogatives, but in a case of manifest propriety, or extreme necessity. All well-informed men in that kingdom will accede to the justness of this remark. A very considerable period has elapsed since the negative of the crown has been exercised.

This isn't all. The significant power and influence of the legislative body in a free government, along with the risks for the Executive in a power struggle with that body, provide a strong assurance that the veto would typically be used very carefully; it would usually be seen as a sign of caution rather than recklessness. Today, a king of Great Britain, despite all his royal powers and the influence he gathers from various sources, would think twice before vetoing the joint resolutions of the two houses of Parliament. He would surely use all his resources to block any unwanted measures before they reach the throne, to avoid the choice between allowing them to become law or facing public backlash by opposing the wishes of the legislative body. It's unlikely that he would ultimately decide to use his powers, except in situations of clear necessity or extreme appropriateness. Everyone knowledgeable in that country would agree with this observation. It's been a significant amount of time since the crown's veto has been used.

If a magistrate so powerful and so well fortified as a British monarch, would have scruples about the exercise of the power under consideration, how much greater caution may be reasonably expected in a President of the United States, clothed for the short period of four years with the executive authority of a government wholly and purely republican?

If a magistrate as powerful and well-protected as a British monarch has doubts about using the power in question, how much more caution should we expect from a President of the United States, who holds the executive authority of a completely republican government for just four years?

It is evident that there would be greater danger of his not using his power when necessary, than of his using it too often, or too much. An argument, indeed, against its expediency, has been drawn from this very source. It has been represented, on this account, as a power odious in appearance, useless in practice. But it will not follow, that because it might be rarely exercised, it would never be exercised. In the case for which it is chiefly designed, that of an immediate attack upon the constitutional rights of the Executive, or in a case in which the public good was evidently and palpably sacrificed, a man of tolerable firmness would avail himself of his constitutional means of defense, and would listen to the admonitions of duty and responsibility. In the former supposition, his fortitude would be stimulated by his immediate interest in the power of his office; in the latter, by the probability of the sanction of his constituents, who, though they would naturally incline to the legislative body in a doubtful case, would hardly suffer their partiality to delude them in a very plain case. I speak now with an eye to a magistrate possessing only a common share of firmness. There are men who, under any circumstances, will have the courage to do their duty at every hazard.

It's clear that there's a bigger risk of him not using his power when necessary than of him using it too frequently or too excessively. In fact, an argument against its usefulness has come from this very point. It's been portrayed as a power that looks bad and is ineffective in practice. However, just because it might not be used often doesn't mean it wouldn't be used at all. In situations for which it's primarily intended—like an immediate threat to the constitutional rights of the Executive, or in cases where the public good is clearly at stake—someone with reasonable determination would use their constitutional means of defense and heed the call of duty and responsibility. In the first scenario, their resolve would be boosted by their direct interest in the power of their office; in the second, by the likelihood of support from their constituents, who, while they might normally lean towards the legislative body in uncertain situations, would be unlikely to let their biases cloud their judgment in a straightforward case. I'm speaking here of a magistrate with just an average level of firmness. There are people who, regardless of the situation, will have the courage to fulfill their duties no matter the risks.

But the convention have pursued a mean in this business, which will both facilitate the exercise of the power vested in this respect in the executive magistrate, and make its efficacy to depend on the sense of a considerable part of the legislative body. Instead of an absolute negative, it is proposed to give the Executive the qualified negative already described. This is a power which would be much more readily exercised than the other. A man who might be afraid to defeat a law by his single VETO, might not scruple to return it for reconsideration; subject to being finally rejected only in the event of more than one third of each house concurring in the sufficiency of his objections. He would be encouraged by the reflection, that if his opposition should prevail, it would embark in it a very respectable proportion of the legislative body, whose influence would be united with his in supporting the propriety of his conduct in the public opinion. A direct and categorical negative has something in the appearance of it more harsh, and more apt to irritate, than the mere suggestion of argumentative objections to be approved or disapproved by those to whom they are addressed. In proportion as it would be less apt to offend, it would be more apt to be exercised; and for this very reason, it may in practice be found more effectual. It is to be hoped that it will not often happen that improper views will govern so large a proportion as two thirds of both branches of the legislature at the same time; and this, too, in spite of the counterposing weight of the Executive. It is at any rate far less probable that this should be the case, than that such views should taint the resolutions and conduct of a bare majority. A power of this nature in the Executive, will often have a silent and unperceived, though forcible, operation. When men, engaged in unjustifiable pursuits, are aware that obstructions may come from a quarter which they cannot control, they will often be restrained by the bare apprehension of opposition, from doing what they would with eagerness rush into, if no such external impediments were to be feared.

But the convention has adopted a method in this matter that will both facilitate the exercise of the power granted to the executive and make its effectiveness dependent on the perspective of a significant portion of the legislative body. Instead of an absolute veto, they propose giving the Executive a qualified veto as previously described. This is a power that would be much easier to use than the other option. A person who might hesitate to block a law with a single veto might feel comfortable sending it back for reconsideration, with the final rejection only occurring if more than one-third of each house agrees with his objections. He would be encouraged by the thought that if his opposition succeeds, it would involve a respectable segment of the legislative body, whose influence would join his in defending his actions in the public eye. A straightforward and unequivocal veto has a more severe appearance and is more likely to irritate than simply suggesting reasoned objections for approval or disapproval by those they are directed to. Since it would be less likely to offend, it would be more likely to be utilized; and for this reason, it may prove to be more effective in practice. It is hoped that it won't often occur that improper motives will control such a large percentage as two-thirds of both branches of the legislature at the same time, even with the Executive's counterbalancing influence. It is much less likely that this will happen than that such motives would taint the decisions and actions of a simple majority. A power like this in the Executive will often operate silently and unnoticed, yet effectively. When individuals engaged in unjustifiable actions realize that obstacles may arise from a source they cannot control, they will often refrain from pursuing what they would eagerly rush into if no external resistance were to be feared.

This qualified negative, as has been elsewhere remarked, is in this State vested in a council, consisting of the governor, with the chancellor and judges of the Supreme Court, or any two of them. It has been freely employed upon a variety of occasions, and frequently with success. And its utility has become so apparent, that persons who, in compiling the Constitution, were violent opposers of it, have from experience become its declared admirers.(1)

This qualified negative, as noted elsewhere, is held in this State by a council made up of the governor, along with the chancellor and judges of the Supreme Court, or any two of them. It has been used frequently in various situations, often with good results. Its usefulness has become so clear that those who were strong opponents of it while drafting the Constitution have, through experience, become its enthusiastic supporters.(1)

I have in another place remarked, that the convention, in the formation of this part of their plan, had departed from the model of the constitution of this State, in favor of that of Massachusetts. Two strong reasons may be imagined for this preference. One is that the judges, who are to be the interpreters of the law, might receive an improper bias, from having given a previous opinion in their revisionary capacities; the other is that by being often associated with the Executive, they might be induced to embark too far in the political views of that magistrate, and thus a dangerous combination might by degrees be cemented between the executive and judiciary departments. It is impossible to keep the judges too distinct from every other avocation than that of expounding the laws. It is peculiarly dangerous to place them in a situation to be either corrupted or influenced by the Executive.

I have mentioned elsewhere that the convention, in creating this part of their plan, chose to depart from the model of our state's constitution in favor of that of Massachusetts. Two strong reasons can be suggested for this choice. One is that the judges, who will interpret the law, might be improperly influenced by having previously expressed opinions in their review roles; the other is that by frequently working with the Executive, they might become too involved in that official's political agenda, leading to a risky alliance between the executive and judicial branches. It's crucial to keep judges separate from any other roles besides interpreting the law. It's particularly dangerous to place them in a position where they could be corrupted or swayed by the Executive.

PUBLIUS

PUBLIUS

1. Mr. Abraham Yates, a warm opponent of the plan of the convention is of this number.

1. Mr. Abraham Yates, a strong opponent of the convention's plan, is among this group.





FEDERALIST No. 74. The Command of the Military and Naval Forces, and the Pardoning Power of the Executive.

From the New York Packet. Tuesday, March 25, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the Residents of New York State:

THE President of the United States is to be "commander-in-chief of the army and navy of the United States, and of the militia of the several States when called into the actual service of the United States." The propriety of this provision is so evident in itself, and it is, at the same time, so consonant to the precedents of the State constitutions in general, that little need be said to explain or enforce it. Even those of them which have, in other respects, coupled the chief magistrate with a council, have for the most part concentrated the military authority in him alone. Of all the cares or concerns of government, the direction of war most peculiarly demands those qualities which distinguish the exercise of power by a single hand. The direction of war implies the direction of the common strength; and the power of directing and employing the common strength, forms a usual and essential part in the definition of the executive authority.

The President of the United States is the "commander-in-chief of the army and navy of the United States, and of the militia of the several States when called into the actual service of the United States." This provision is clearly necessary and aligns well with the precedents set by State constitutions overall, so there's not much to explain or emphasize about it. Even those states that have linked the chief executive with a council tend to give the military authority to him alone. Among all the responsibilities of government, managing war particularly requires the qualities that come with wielding power individually. Leading a war means directing the collective strength; and the ability to manage and utilize this collective strength is a key aspect of executive authority.

"The President may require the opinion, in writing, of the principal officer in each of the executive departments, upon any subject relating to the duties of their respective officers." This I consider as a mere redundancy in the plan, as the right for which it provides would result of itself from the office.

"The President can ask for a written opinion from the head of each executive department on any topic related to their responsibilities." I see this as just unnecessary repetition in the plan because the power it grants would naturally come with the role.

He is also to be authorized to grant "reprieves and pardons for offenses against the United States, except in cases of impeachment." Humanity and good policy conspire to dictate, that the benign prerogative of pardoning should be as little as possible fettered or embarrassed. The criminal code of every country partakes so much of necessary severity, that without an easy access to exceptions in favor of unfortunate guilt, justice would wear a countenance too sanguinary and cruel. As the sense of responsibility is always strongest, in proportion as it is undivided, it may be inferred that a single man would be most ready to attend to the force of those motives which might plead for a mitigation of the rigor of the law, and least apt to yield to considerations which were calculated to shelter a fit object of its vengeance. The reflection that the fate of a fellow-creature depended on his sole fiat, would naturally inspire scrupulousness and caution; the dread of being accused of weakness or connivance, would beget equal circumspection, though of a different kind. On the other hand, as men generally derive confidence from their numbers, they might often encourage each other in an act of obduracy, and might be less sensible to the apprehension of suspicion or censure for an injudicious or affected clemency. On these accounts, one man appears to be a more eligible dispenser of the mercy of government, than a body of men.

He is also authorized to grant "reprieves and pardons for offenses against the United States, except in cases of impeachment." Both humanity and sound policy suggest that the generous ability to grant pardons should be minimally restricted. The criminal code of every country is often necessarily harsh, so without a simple way to make exceptions for those who have made unfortunate mistakes, justice could become too brutal and cruel. Since the feeling of responsibility is usually strongest when it's held by one person, it can be inferred that an individual would be more likely to consider the reasons for easing the strictness of the law and less inclined to give in to pressures that would protect someone deserving punishment. The thought that someone's fate relies solely on their decision would naturally lead to careful and cautious consideration; the fear of being seen as weak or complacent would create a similar kind of caution, although different in nature. Conversely, since people generally feel more confident when in groups, they might encourage each other to act harshly and be less aware of the risk of being criticized for showing undue leniency. For these reasons, one individual appears to be a more suitable distributor of the government's mercy than a group of individuals.

The expediency of vesting the power of pardoning in the President has, if I mistake not, been only contested in relation to the crime of treason. This, it has been urged, ought to have depended upon the assent of one, or both, of the branches of the legislative body. I shall not deny that there are strong reasons to be assigned for requiring in this particular the concurrence of that body, or of a part of it. As treason is a crime levelled at the immediate being of the society, when the laws have once ascertained the guilt of the offender, there seems a fitness in referring the expediency of an act of mercy towards him to the judgment of the legislature. And this ought the rather to be the case, as the supposition of the connivance of the Chief Magistrate ought not to be entirely excluded. But there are also strong objections to such a plan. It is not to be doubted, that a single man of prudence and good sense is better fitted, in delicate conjunctures, to balance the motives which may plead for and against the remission of the punishment, than any numerous body whatever. It deserves particular attention, that treason will often be connected with seditions which embrace a large proportion of the community; as lately happened in Massachusetts. In every such case, we might expect to see the representation of the people tainted with the same spirit which had given birth to the offense. And when parties were pretty equally matched, the secret sympathy of the friends and favorers of the condemned person, availing itself of the good-nature and weakness of others, might frequently bestow impunity where the terror of an example was necessary. On the other hand, when the sedition had proceeded from causes which had inflamed the resentments of the major party, they might often be found obstinate and inexorable, when policy demanded a conduct of forbearance and clemency. But the principal argument for reposing the power of pardoning in this case to the Chief Magistrate is this: in seasons of insurrection or rebellion, there are often critical moments, when a well-timed offer of pardon to the insurgents or rebels may restore the tranquillity of the commonwealth; and which, if suffered to pass unimproved, it may never be possible afterwards to recall. The dilatory process of convening the legislature, or one of its branches, for the purpose of obtaining its sanction to the measure, would frequently be the occasion of letting slip the golden opportunity. The loss of a week, a day, an hour, may sometimes be fatal. If it should be observed, that a discretionary power, with a view to such contingencies, might be occasionally conferred upon the President, it may be answered in the first place, that it is questionable, whether, in a limited Constitution, that power could be delegated by law; and in the second place, that it would generally be impolitic beforehand to take any step which might hold out the prospect of impunity. A proceeding of this kind, out of the usual course, would be likely to be construed into an argument of timidity or of weakness, and would have a tendency to embolden guilt.

The practicality of giving the President the power to grant pardons has only been debated in the context of treason, as far as I know. It's been argued that this should depend on the approval of one or both houses of the legislative body. I won't deny that there are strong reasons for requiring the agreement of that body, or at least part of it, in this specific case. Since treason is a crime that threatens the very existence of society, once the laws have established the offender's guilt, it makes sense to let the legislature decide whether to show mercy. This is especially true considering that we shouldn't completely rule out the possibility of the Chief Executive being lenient. However, there are also compelling arguments against this approach. There's no doubt that a single, wise individual is better equipped in sensitive situations to weigh the reasons for and against lifting a punishment than any large group. It’s important to note that treason is often linked to uprisings that involve a significant part of the community, as we recently saw in Massachusetts. In such cases, we might expect the people's representatives to be influenced by the same sentiments that led to the offense. When factions are evenly matched, the hidden support of the friends and sympathizers of the person condemned could easily overlook the need for a strong example. Conversely, when an uprising stems from grievances that have stirred up the majority, they may often be unyielding when a more measured and merciful approach is necessary. But the strongest argument for placing the pardon power in the hands of the Chief Executive is this: during times of rebellion, there are often critical moments when a timely offer of pardon to the rebels can restore peace to the state; if that chance is missed, it might never come around again. The slow process of calling the legislature, or one of its branches, to get their approval could easily result in losing that golden opportunity. A delay of a week, a day, or even an hour can sometimes be disastrous. If it’s suggested that the President could occasionally be given discretionary power to handle such situations, it can be countered that, first, it’s debatable whether such authority could legally be granted under a limited Constitution; and second, it would generally be unwise to take any action in advance that might imply the possibility of avoiding punishment. A move like this, deviating from the usual process, might be seen as a sign of weakness or fear, and could encourage wrongdoing.

PUBLIUS

PUBLIUS





FEDERALIST No. 75. The Treaty-Making Power of the Executive

For the Independent Journal. Wednesday, March 26, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE President is to have power, "by and with the advice and consent of the Senate, to make treaties, provided two thirds of the senators present concur." Though this provision has been assailed, on different grounds, with no small degree of vehemence, I scruple not to declare my firm persuasion, that it is one of the best digested and most unexceptionable parts of the plan. One ground of objection is the trite topic of the intermixture of powers; some contending that the President ought alone to possess the power of making treaties; others, that it ought to have been exclusively deposited in the Senate. Another source of objection is derived from the small number of persons by whom a treaty may be made. Of those who espouse this objection, a part are of opinion that the House of Representatives ought to have been associated in the business, while another part seem to think that nothing more was necessary than to have substituted two thirds of all the members of the Senate, to two thirds of the members present. As I flatter myself the observations made in a preceding number upon this part of the plan must have sufficed to place it, to a discerning eye, in a very favorable light, I shall here content myself with offering only some supplementary remarks, principally with a view to the objections which have been just stated.

THE President has the power, "by and with the advice and consent of the Senate, to make treaties, provided two-thirds of the senators present agree." Although this provision has faced significant criticism on various grounds, I firmly believe it is one of the best thought-out and most defensible parts of the plan. One objection revolves around the mixing of powers; some argue that only the President should have the power to make treaties, while others believe it should have been solely given to the Senate. Another concern stems from the small number of people involved in making a treaty. Those who raise this objection are divided; some think the House of Representatives should have been included in the process, while others believe it would have been better to have two-thirds of all Senate members involved, rather than just two-thirds of those present. Since I believe the observations made in a previous section must have clarified this part of the plan favorably for discerning readers, I will only add a few supplementary comments, mainly addressing the objections that have just been stated.

With regard to the intermixture of powers, I shall rely upon the explanations already given in other places, of the true sense of the rule upon which that objection is founded; and shall take it for granted, as an inference from them, that the union of the Executive with the Senate, in the article of treaties, is no infringement of that rule. I venture to add, that the particular nature of the power of making treaties indicates a peculiar propriety in that union. Though several writers on the subject of government place that power in the class of executive authorities, yet this is evidently an arbitrary disposition; for if we attend carefully to its operation, it will be found to partake more of the legislative than of the executive character, though it does not seem strictly to fall within the definition of either of them. The essence of the legislative authority is to enact laws, or, in other words, to prescribe rules for the regulation of the society; while the execution of the laws, and the employment of the common strength, either for this purpose or for the common defense, seem to comprise all the functions of the executive magistrate. The power of making treaties is, plainly, neither the one nor the other. It relates neither to the execution of the subsisting laws, nor to the enaction of new ones; and still less to an exertion of the common strength. Its objects are CONTRACTS with foreign nations, which have the force of law, but derive it from the obligations of good faith. They are not rules prescribed by the sovereign to the subject, but agreements between sovereign and sovereign. The power in question seems therefore to form a distinct department, and to belong, properly, neither to the legislative nor to the executive. The qualities elsewhere detailed as indispensable in the management of foreign negotiations, point out the Executive as the most fit agent in those transactions; while the vast importance of the trust, and the operation of treaties as laws, plead strongly for the participation of the whole or a portion of the legislative body in the office of making them.

Regarding the mixing of powers, I'll rely on the explanations I've already provided elsewhere about the real meaning of the rule that this objection is based on. I’ll assume, as a conclusion from those explanations, that the combination of the Executive with the Senate in the area of treaties doesn’t violate that rule. I also want to add that the unique nature of the treaty-making power suggests that this combination is particularly appropriate. While several political theorists categorize that power as part of executive authority, this classification seems arbitrary. If we examine how it operates, we see it aligns more with the legislative side than the executive, even though it doesn’t fit neatly into either category. The essence of legislative authority is to create laws, or in simpler terms, to set rules for managing society; on the other hand, the execution of those laws and the use of collective strength for that purpose or for common defense covers the functions of the executive branch. The power to make treaties is clearly neither of those. It doesn’t relate to enforcing existing laws or creating new ones, and it is even less about utilizing common strength. Its focus is on agreements with foreign nations, which have legal force but stem from the obligations of good faith. They are not rules imposed by a sovereign on subjects but rather agreements between sovereign entities. Therefore, this treaty-making power appears to be a separate category that doesn’t neatly fit within the legislative or executive branches. The characteristics required for handling foreign negotiations suggest that the Executive is the best fit for those roles, while the significant importance of the responsibility and the way treaties operate as laws strongly advocate for some involvement from the legislative body in the making of treaties.

However proper or safe it may be in governments where the executive magistrate is an hereditary monarch, to commit to him the entire power of making treaties, it would be utterly unsafe and improper to intrust that power to an elective magistrate of four years' duration. It has been remarked, upon another occasion, and the remark is unquestionably just, that an hereditary monarch, though often the oppressor of his people, has personally too much stake in the government to be in any material danger of being corrupted by foreign powers. But a man raised from the station of a private citizen to the rank of chief magistrate, possessed of a moderate or slender fortune, and looking forward to a period not very remote when he may probably be obliged to return to the station from which he was taken, might sometimes be under temptations to sacrifice his duty to his interest, which it would require superlative virtue to withstand. An avaricious man might be tempted to betray the interests of the state to the acquisition of wealth. An ambitious man might make his own aggrandizement, by the aid of a foreign power, the price of his treachery to his constituents. The history of human conduct does not warrant that exalted opinion of human virtue which would make it wise in a nation to commit interests of so delicate and momentous a kind, as those which concern its intercourse with the rest of the world, to the sole disposal of a magistrate created and circumstanced as would be a President of the United States.

However proper or safe it may be in governments where the executive leader is a hereditary monarch to give him the full power to make treaties, it would be completely unsafe and inappropriate to hand that power to an elected leader with a four-year term. It has been noted before, and this observation is undoubtedly valid, that an hereditary monarch, although often an oppressor of his subjects, has too much personal stake in the government to be at significant risk of being corrupted by foreign powers. But a person elevated from being a private citizen to the role of chief executive, who has a modest or limited fortune and looks ahead to a time not too far off when he may have to return to his previous position, might sometimes face temptations to put his personal interests above his duties, which would require exceptional virtue to resist. A greedy person might be tempted to betray the state's interests for financial gain. An ambitious individual could make his own rise to power, with the help of a foreign entity, the cost of betraying his constituents. The history of human behavior does not support the lofty belief in human virtue that would make it wise for a nation to entrust such delicate and critical interests, particularly those affecting its relations with the rest of the world, to the sole discretion of a leader in the position of a President of the United States.

To have intrusted the power of making treaties to the Senate alone, would have been to relinquish the benefits of the constitutional agency of the President in the conduct of foreign negotiations. It is true that the Senate would, in that case, have the option of employing him in this capacity, but they would also have the option of letting it alone, and pique or cabal might induce the latter rather than the former. Besides this, the ministerial servant of the Senate could not be expected to enjoy the confidence and respect of foreign powers in the same degree with the constitutional representatives of the nation, and, of course, would not be able to act with an equal degree of weight or efficacy. While the Union would, from this cause, lose a considerable advantage in the management of its external concerns, the people would lose the additional security which would result from the co-operation of the Executive. Though it would be imprudent to confide in him solely so important a trust, yet it cannot be doubted that his participation would materially add to the safety of the society. It must indeed be clear to a demonstration that the joint possession of the power in question, by the President and Senate, would afford a greater prospect of security, than the separate possession of it by either of them. And whoever has maturely weighed the circumstances which must concur in the appointment of a President, will be satisfied that the office will always bid fair to be filled by men of such characters as to render their concurrence in the formation of treaties peculiarly desirable, as well on the score of wisdom, as on that of integrity.

To give the Senate alone the power to make treaties would mean giving up the important role of the President in foreign negotiations. It's true that the Senate could choose to use him for this purpose, but they could also decide not to, and personal interests or conflicts could lead them to do the latter instead of the former. Additionally, the Senate's appointed representative would likely not have the same level of trust and respect from foreign powers as the constitutional representatives of the nation, and therefore would not be able to act with the same influence or effectiveness. This would cause the Union to lose a significant advantage in managing its foreign affairs, and the people would miss out on the extra security that comes from the cooperation of the Executive. While it would be unwise to rely solely on him for such a vital responsibility, there's no doubt that his involvement would greatly enhance the safety of society. It should be clear that sharing this power between the President and the Senate offers a better chance of security than if either one held it alone. Anyone who carefully considers the factors involved in appointing a President will agree that the role is likely to be filled by individuals of such character that their involvement in treaty-making is especially valuable, both in terms of wisdom and integrity.

The remarks made in a former number, which have been alluded to in another part of this paper, will apply with conclusive force against the admission of the House of Representatives to a share in the formation of treaties. The fluctuating and, taking its future increase into the account, the multitudinous composition of that body, forbid us to expect in it those qualities which are essential to the proper execution of such a trust. Accurate and comprehensive knowledge of foreign politics; a steady and systematic adherence to the same views; a nice and uniform sensibility to national character; decision, secrecy, and despatch, are incompatible with the genius of a body so variable and so numerous. The very complication of the business, by introducing a necessity of the concurrence of so many different bodies, would of itself afford a solid objection. The greater frequency of the calls upon the House of Representatives, and the greater length of time which it would often be necessary to keep them together when convened, to obtain their sanction in the progressive stages of a treaty, would be a source of so great inconvenience and expense as alone ought to condemn the project.

The points made in a previous issue, which have been mentioned elsewhere in this paper, strongly argue against allowing the House of Representatives to participate in treaty formation. The changing membership and likely increase in the number of representatives make it unrealistic to expect the qualities necessary for such a responsibility. A deep understanding of foreign affairs; consistent adherence to the same policies; a sensitive and uniform appreciation of national identity; decisiveness, confidentiality, and promptness are not compatible with a group that is so variable and large. The complexity of the task, which requires the agreement of so many different members, also presents a strong objection. The frequent demands on the House of Representatives and the often lengthy sessions required to gain their approval at various stages of a treaty would create significant inconvenience and costs, which should alone be enough to reject the idea.

The only objection which remains to be canvassed, is that which would substitute the proportion of two thirds of all the members composing the senatorial body, to that of two thirds of the members present. It has been shown, under the second head of our inquiries, that all provisions which require more than the majority of any body to its resolutions, have a direct tendency to embarrass the operations of the government, and an indirect one to subject the sense of the majority to that of the minority. This consideration seems sufficient to determine our opinion, that the convention have gone as far in the endeavor to secure the advantage of numbers in the formation of treaties as could have been reconciled either with the activity of the public councils or with a reasonable regard to the major sense of the community. If two thirds of the whole number of members had been required, it would, in many cases, from the non-attendance of a part, amount in practice to a necessity of unanimity. And the history of every political establishment in which this principle has prevailed, is a history of impotence, perplexity, and disorder. Proofs of this position might be adduced from the examples of the Roman Tribuneship, the Polish Diet, and the States-General of the Netherlands, did not an example at home render foreign precedents unnecessary.

The only objection that’s left to discuss is the one suggesting that we should require two-thirds of all the members of the Senate instead of two-thirds of the members present. It has been demonstrated in our earlier discussions that any rules requiring more than a simple majority for decisions tend to complicate government operations and indirectly put the majority's views at the mercy of the minority. This point seems enough to support our belief that the convention has done as much as possible to ensure the benefits of numbers in treaty formation while still considering the efficiency of public councils and the general opinion of the community. If we required two-thirds of the total members, it would often lead to a need for unanimous consent due to some members not being present. The history of every political system that has adopted this principle shows a pattern of powerlessness, confusion, and chaos. Examples of this can be seen in the Roman Tribuneship, the Polish Diet, and the States-General of the Netherlands, but we don’t even need those foreign examples since our own situation serves as a clear illustration.

To require a fixed proportion of the whole body would not, in all probability, contribute to the advantages of a numerous agency, better then merely to require a proportion of the attending members. The former, by making a determinate number at all times requisite to a resolution, diminishes the motives to punctual attendance. The latter, by making the capacity of the body to depend on a proportion which may be varied by the absence or presence of a single member, has the contrary effect. And as, by promoting punctuality, it tends to keep the body complete, there is great likelihood that its resolutions would generally be dictated by as great a number in this case as in the other; while there would be much fewer occasions of delay. It ought not to be forgotten that, under the existing Confederation, two members may, and usually do, represent a State; whence it happens that Congress, who now are solely invested with all the powers of the Union, rarely consist of a greater number of persons than would compose the intended Senate. If we add to this, that as the members vote by States, and that where there is only a single member present from a State, his vote is lost, it will justify a supposition that the active voices in the Senate, where the members are to vote individually, would rarely fall short in number of the active voices in the existing Congress. When, in addition to these considerations, we take into view the co-operation of the President, we shall not hesitate to infer that the people of America would have greater security against an improper use of the power of making treaties, under the new Constitution, than they now enjoy under the Confederation. And when we proceed still one step further, and look forward to the probable augmentation of the Senate, by the erection of new States, we shall not only perceive ample ground of confidence in the sufficiency of the members to whose agency that power will be intrusted, but we shall probably be led to conclude that a body more numerous than the Senate would be likely to become, would be very little fit for the proper discharge of the trust.

Requiring a fixed proportion of the entire group is unlikely to enhance the benefits of having many members any better than simply requiring a proportion of those present. The former approach, which mandates a specific number for a decision, reduces the incentive for members to show up regularly. The latter approach, which allows the capacity of the group to change based on whether one member is present or not, encourages more consistent attendance. By encouraging punctuality, it helps keep the group fully staffed, making it probable that its decisions will be backed by as many members in this case as in the other, while minimizing delays. It shouldn’t be overlooked that, under the current Confederation, two members can and usually do represent a state; as a result, Congress, which currently holds all the powers of the Union, rarely has more members than would be in the proposed Senate. Furthermore, since members vote by state, if only one member from a state is present, that vote becomes irrelevant, suggesting that the active votes in the Senate, where members will vote individually, would rarely be fewer than in the current Congress. Additionally, when considering the involvement of the President, we can reasonably infer that the people of America would be better protected against the misuse of treaty-making power under the new Constitution than they currently are under the Confederation. Looking ahead to the potential increase in the Senate due to new states being created, we can not only feel confident about the sufficiency of the members who will hold this power but also likely conclude that a group larger than the Senate would be less capable of effectively fulfilling this responsibility.

PUBLIUS

PUBLIUS





FEDERALIST No. 76. The Appointing Power of the Executive

From the New York Packet. Tuesday, April 1, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE President is "to nominate, and, by and with the advice and consent of the Senate, to appoint ambassadors, other public ministers and consuls, judges of the Supreme Court, and all other officers of the United States whose appointments are not otherwise provided for in the Constitution. But the Congress may by law vest the appointment of such inferior officers as they think proper, in the President alone, or in the courts of law, or in the heads of departments. The President shall have power to fill up all vacancies which may happen during the recess of the Senate, by granting commissions which shall expire at the end of their next session."

The President is responsible for nominating, and with the advice and consent of the Senate, appointing ambassadors, public ministers, consuls, judges of the Supreme Court, and any other U.S. officers whose appointments are not covered by the Constitution. However, Congress can legally delegate the appointment of any lower-ranking officers they find appropriate to just the President, the courts, or department heads. The President has the authority to fill any vacancies that occur while the Senate is in recess by issuing commissions, which will expire at the end of the next Senate session.

It has been observed in a former paper, that "the true test of a good government is its aptitude and tendency to produce a good administration." If the justness of this observation be admitted, the mode of appointing the officers of the United States contained in the foregoing clauses, must, when examined, be allowed to be entitled to particular commendation. It is not easy to conceive a plan better calculated than this to promote a judicious choice of men for filling the offices of the Union; and it will not need proof, that on this point must essentially depend the character of its administration.

It has been noted in a previous paper that "the true test of a good government is how well it creates a good administration." If we accept this observation as accurate, the way the officers of the United States are appointed in the earlier sections deserves special praise upon closer inspection. It's hard to imagine a plan better suited to promote a thoughtful selection of individuals for the Union's offices, and it’s clear that the character of its administration fundamentally relies on this aspect.

It will be agreed on all hands, that the power of appointment, in ordinary cases, ought to be modified in one of three ways. It ought either to be vested in a single man, or in a select assembly of a moderate number; or in a single man, with the concurrence of such an assembly. The exercise of it by the people at large will be readily admitted to be impracticable; as waiving every other consideration, it would leave them little time to do anything else. When, therefore, mention is made in the subsequent reasonings of an assembly or body of men, what is said must be understood to relate to a select body or assembly, of the description already given. The people collectively, from their number and from their dispersed situation, cannot be regulated in their movements by that systematic spirit of cabal and intrigue, which will be urged as the chief objections to reposing the power in question in a body of men.

It’s widely agreed that the power of appointment, in typical situations, should be modified in one of three ways. It should either be given to a single person, or to a select group of a reasonable size; or to a single person with the approval of that group. It's clear that having the power exercised by the general public isn’t practical; aside from other considerations, it would leave them with little time for anything else. Therefore, when we talk about an assembly or group of people in the following discussions, it should be understood that we’re referring to a select group as described above. The general public, due to their numbers and scattered locations, can’t be effectively coordinated by that organized spirit of plotting and scheming, which will be presented as the main argument against giving this power to a group of individuals.

Those who have themselves reflected upon the subject, or who have attended to the observations made in other parts of these papers, in relation to the appointment of the President, will, I presume, agree to the position, that there would always be great probability of having the place supplied by a man of abilities, at least respectable. Premising this, I proceed to lay it down as a rule, that one man of discernment is better fitted to analyze and estimate the peculiar qualities adapted to particular offices, than a body of men of equal or perhaps even of superior discernment.

Those who have thought about this topic or who have considered the comments made in other sections of these papers regarding the President's appointment will likely agree that there is always a strong chance of filling the role with someone at least reasonably capable. With that in mind, I assert that one insightful person is better suited to assess and evaluate the specific qualities needed for certain positions than a group of individuals, even if they have equal or superior insight.

The sole and undivided responsibility of one man will naturally beget a livelier sense of duty and a more exact regard to reputation. He will, on this account, feel himself under stronger obligations, and more interested to investigate with care the qualities requisite to the stations to be filled, and to prefer with impartiality the persons who may have the fairest pretensions to them. He will have fewer personal attachments to gratify, than a body of men who may each be supposed to have an equal number; and will be so much the less liable to be misled by the sentiments of friendship and of affection. A single well-directed man, by a single understanding, cannot be distracted and warped by that diversity of views, feelings, and interests, which frequently distract and warp the resolutions of a collective body. There is nothing so apt to agitate the passions of mankind as personal considerations whether they relate to ourselves or to others, who are to be the objects of our choice or preference. Hence, in every exercise of the power of appointing to offices, by an assembly of men, we must expect to see a full display of all the private and party likings and dislikes, partialities and antipathies, attachments and animosities, which are felt by those who compose the assembly. The choice which may at any time happen to be made under such circumstances, will of course be the result either of a victory gained by one party over the other, or of a compromise between the parties. In either case, the intrinsic merit of the candidate will be too often out of sight. In the first, the qualifications best adapted to uniting the suffrages of the party, will be more considered than those which fit the person for the station. In the last, the coalition will commonly turn upon some interested equivalent: "Give us the man we wish for this office, and you shall have the one you wish for that." This will be the usual condition of the bargain. And it will rarely happen that the advancement of the public service will be the primary object either of party victories or of party negotiations.

The sole and complete responsibility of one person will naturally create a stronger sense of duty and a more careful consideration of reputation. Because of this, he will feel more obligated and invested in carefully examining the qualities necessary for the positions to be filled, and in fairly selecting the individuals who have the best qualifications for them. He will have fewer personal connections to cater to compared to a group of people, each of whom might have their own personal attachments. This means he will be less likely to be influenced by friendships or emotional ties. A single, focused individual can’t be sidetracked by the different perspectives, feelings, and interests that often confuse and mislead a group. There’s nothing that stirs up people’s emotions more than personal motives, whether related to ourselves or to others who are being considered for selection. Therefore, in any situation where a group is appointing people to positions, we should expect to see all the personal and group biases, likes and dislikes, loyalties and rivalries that exist among the members of that group. The choice made in such scenarios is likely to result from either one group defeating another or from a compromise between groups. In either case, the real qualifications of the candidate are likely to be overlooked. In the first situation, the qualities that align best with the group's interests will be prioritized over those that actually suit the person for the role. In the second, the agreement will often hinge on some form of mutual benefit: “We’ll get the person we want for this position, and you can have the one you want for that.” This will often be the terms of the deal. It will rarely be the case that the advancement of public service is the main goal in either party's victories or negotiations.

The truth of the principles here advanced seems to have been felt by the most intelligent of those who have found fault with the provision made, in this respect, by the convention. They contend that the President ought solely to have been authorized to make the appointments under the federal government. But it is easy to show, that every advantage to be expected from such an arrangement would, in substance, be derived from the power of nomination, which is proposed to be conferred upon him; while several disadvantages which might attend the absolute power of appointment in the hands of that officer would be avoided. In the act of nomination, his judgment alone would be exercised; and as it would be his sole duty to point out the man who, with the approbation of the Senate, should fill an office, his responsibility would be as complete as if he were to make the final appointment. There can, in this view, be no difference between nominating and appointing. The same motives which would influence a proper discharge of his duty in one case, would exist in the other. And as no man could be appointed but on his previous nomination, every man who might be appointed would be, in fact, his choice.

The validity of the principles mentioned here seems to have been recognized by the most insightful critics of the arrangements made by the convention. They argue that the President should exclusively have the authority to make appointments in the federal government. However, it’s easy to demonstrate that any benefits expected from this arrangement would essentially come from the nomination power proposed for him, while several drawbacks of having absolute appointment power in that office would be avoided. In the act of nominating, only his judgment would come into play; and since it would be his only responsibility to identify the person who, with the Senate's approval, would hold a position, his accountability would be as thorough as if he were making the final appointment. From this perspective, there’s no real difference between nominating and appointing. The same motivations that would impact his proper performance in one scenario would be present in the other. And since no one could be appointed without his prior nomination, anyone appointed would essentially be his choice.

But might not his nomination be overruled? I grant it might, yet this could only be to make place for another nomination by himself. The person ultimately appointed must be the object of his preference, though perhaps not in the first degree. It is also not very probable that his nomination would often be overruled. The Senate could not be tempted, by the preference they might feel to another, to reject the one proposed; because they could not assure themselves, that the person they might wish would be brought forward by a second or by any subsequent nomination. They could not even be certain, that a future nomination would present a candidate in any degree more acceptable to them; and as their dissent might cast a kind of stigma upon the individual rejected, and might have the appearance of a reflection upon the judgment of the chief magistrate, it is not likely that their sanction would often be refused, where there were not special and strong reasons for the refusal.

But could his nomination be rejected? I agree it could, but that would only open the door for him to nominate someone else. The person ultimately chosen must be someone he likes, even if it’s not his first choice. It’s also unlikely that his nomination would be frequently overturned. The Senate wouldn’t be swayed by their preference for someone else to reject the proposed candidate; they couldn’t be sure that the person they preferred would be put forward in a later nomination. They couldn't even be certain that a future nomination would offer a candidate who would be more acceptable to them. Since rejecting a nominee could reflect badly on the individual chosen and might seem like a criticism of the president’s judgment, it’s unlikely they would refuse to approve a nomination unless there were strong and specific reasons to do so.

To what purpose then require the co-operation of the Senate? I answer, that the necessity of their concurrence would have a powerful, though, in general, a silent operation. It would be an excellent check upon a spirit of favoritism in the President, and would tend greatly to prevent the appointment of unfit characters from State prejudice, from family connection, from personal attachment, or from a view to popularity. In addition to this, it would be an efficacious source of stability in the administration.

To what purpose, then, is the cooperation of the Senate needed? I respond that their agreement would have a strong, albeit generally quiet, impact. It would serve as an excellent check against favoritism by the President and would help to prevent the appointment of unsuitable individuals due to state bias, family ties, personal loyalties, or a desire for popularity. Additionally, it would be an effective source of stability in the administration.

It will readily be comprehended, that a man who had himself the sole disposition of offices, would be governed much more by his private inclinations and interests, than when he was bound to submit the propriety of his choice to the discussion and determination of a different and independent body, and that body an entire branch of the legislature. The possibility of rejection would be a strong motive to care in proposing. The danger to his own reputation, and, in the case of an elective magistrate, to his political existence, from betraying a spirit of favoritism, or an unbecoming pursuit of popularity, to the observation of a body whose opinion would have great weight in forming that of the public, could not fail to operate as a barrier to the one and to the other. He would be both ashamed and afraid to bring forward, for the most distinguished or lucrative stations, candidates who had no other merit than that of coming from the same State to which he particularly belonged, or of being in some way or other personally allied to him, or of possessing the necessary insignificance and pliancy to render them the obsequious instruments of his pleasure.

It's easy to understand that a person who has complete control over appointments would be influenced much more by their personal preferences and interests than if they had to justify their choices to a different and independent group, especially when that group is a whole branch of the legislature. The chance of rejection would strongly encourage careful proposals. The threat to their reputation, and for an elected official, the risk to their political career, from showing favoritism or an inappropriate desire for popularity in front of a body whose opinions carry significant weight in shaping public perception, would undoubtedly act as a deterrent to both. They would feel both embarrassed and cautious about proposing candidates for the most prominent or lucrative positions who had no qualifications other than being from the same state as them, having some kind of personal connection, or being sufficiently unimportant and flexible to act as their compliant instruments.

To this reasoning it has been objected that the President, by the influence of the power of nomination, may secure the complaisance of the Senate to his views. This supposition of universal venalty in human nature is little less an error in political reasoning, than the supposition of universal rectitude. The institution of delegated power implies, that there is a portion of virtue and honor among mankind, which may be a reasonable foundation of confidence; and experience justifies the theory. It has been found to exist in the most corrupt periods of the most corrupt governments. The venalty of the British House of Commons has been long a topic of accusation against that body, in the country to which they belong as well as in this; and it cannot be doubted that the charge is, to a considerable extent, well founded. But it is as little to be doubted, that there is always a large proportion of the body, which consists of independent and public-spirited men, who have an influential weight in the councils of the nation. Hence it is (the present reign not excepted) that the sense of that body is often seen to control the inclinations of the monarch, both with regard to men and to measures. Though it might therefore be allowable to suppose that the Executive might occasionally influence some individuals in the Senate, yet the supposition, that he could in general purchase the integrity of the whole body, would be forced and improbable. A man disposed to view human nature as it is, without either flattering its virtues or exaggerating its vices, will see sufficient ground of confidence in the probity of the Senate, to rest satisfied, not only that it will be impracticable to the Executive to corrupt or seduce a majority of its members, but that the necessity of its co-operation, in the business of appointments, will be a considerable and salutary restraint upon the conduct of that magistrate. Nor is the integrity of the Senate the only reliance. The Constitution has provided some important guards against the danger of executive influence upon the legislative body: it declares that "No senator or representative shall during the time for which he was elected, be appointed to any civil office under the United States, which shall have been created, or the emoluments whereof shall have been increased, during such time; and no person, holding any office under the United States, shall be a member of either house during his continuance in office."

Some have argued that the President, through the power of nomination, can secure the Senate's compliance with his agenda. This assumption that everyone is corrupt is almost as flawed as the belief that everyone is virtuous. The concept of delegated power suggests there is a degree of integrity and honor among people which can reasonably support trust; real-world experience backs this up. Such integrity has been recognized even in the most corrupt times of the most corrupt governments. The issues of corruption in the British House of Commons have long been criticized both in their own country and here, and it can't be denied that this criticism is largely justified. However, it's also clear that a significant part of this body consists of independent, public-spirited individuals who play a vital role in the nation's decision-making. Thus, even in the current era, the sentiments of this group often influence the actions of the monarch regarding both personnel and policies. While it might be feasible to think that the Executive could sway some individuals in the Senate, the idea that he could generally buy the integrity of the entire body is far-fetched and unlikely. A person who looks at human nature realistically, without exaggerating its flaws or downplaying its strengths, will find enough reason to trust the Senate's integrity. They can be assured that it would be impractical for the Executive to corrupt or manipulate a majority of its members, and the requirement for their cooperation in appointments will serve as a significant and beneficial check on the Executive's power. Moreover, the Senate's integrity is not the only safeguard. The Constitution includes important protections against executive influence over the legislative branch: it states that "No senator or representative shall during the time for which he was elected, be appointed to any civil office under the United States, which shall have been created, or the emoluments whereof shall have been increased, during such time; and no person, holding any office under the United States, shall be a member of either house during his continuance in office."

PUBLIUS

PUBLIUS





FEDERALIST No. 77. The Appointing Power Continued and Other Powers of the Executive Considered.

From The Independent Journal. Wednesday, April 2, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IT HAS been mentioned as one of the advantages to be expected from the co-operation of the Senate, in the business of appointments, that it would contribute to the stability of the administration. The consent of that body would be necessary to displace as well as to appoint. A change of the Chief Magistrate, therefore, would not occasion so violent or so general a revolution in the officers of the government as might be expected, if he were the sole disposer of offices. Where a man in any station had given satisfactory evidence of his fitness for it, a new President would be restrained from attempting a change in favor of a person more agreeable to him, by the apprehension that a discountenance of the Senate might frustrate the attempt, and bring some degree of discredit upon himself. Those who can best estimate the value of a steady administration, will be most disposed to prize a provision which connects the official existence of public men with the approbation or disapprobation of that body which, from the greater permanency of its own composition, will in all probability be less subject to inconstancy than any other member of the government.

IT HAS been noted as one of the benefits of having the Senate involved in appointments that it would help ensure stability in the administration. The Senate's approval would be required not only for new appointments but also for dismissals. Therefore, a change in the President would not lead to as drastic or widespread a shake-up in government positions as it might if he had full control over appointments. If someone in a position has proven their competence, a new President would be less likely to seek to replace them with someone more to their liking, knowing that the Senate might oppose this move and it could reflect poorly on him. Those who understand the importance of a stable administration will likely appreciate a system that ties the continued public service of officials to the approval or disapproval of the Senate, which, due to its more consistent makeup, is likely to be more stable than other parts of the government.

To this union of the Senate with the President, in the article of appointments, it has in some cases been suggested that it would serve to give the President an undue influence over the Senate, and in others that it would have an opposite tendency—a strong proof that neither suggestion is true.

To this partnership between the Senate and the President regarding appointments, some have argued that it could give the President too much power over the Senate, while others claim it would do the opposite. This is strong evidence that neither claim is correct.

To state the first in its proper form, is to refute it. It amounts to this: the President would have an improper influence over the Senate, because the Senate would have the power of restraining him. This is an absurdity in terms. It cannot admit of a doubt that the entire power of appointment would enable him much more effectually to establish a dangerous empire over that body, than a mere power of nomination subject to their control.

To put it simply, stating the first point correctly means rejecting it. It comes down to this: the President would have too much influence over the Senate because the Senate would be able to limit him. That doesn’t make sense. There’s no question that having the entire power of appointment would allow him to create a much more dangerous influence over the Senate than just having the power to nominate while still being controlled by them.

Let us take a view of the converse of the proposition: "the Senate would influence the Executive." As I have had occasion to remark in several other instances, the indistinctness of the objection forbids a precise answer. In what manner is this influence to be exerted? In relation to what objects? The power of influencing a person, in the sense in which it is here used, must imply a power of conferring a benefit upon him. How could the Senate confer a benefit upon the President by the manner of employing their right of negative upon his nominations? If it be said they might sometimes gratify him by an acquiescence in a favorite choice, when public motives might dictate a different conduct, I answer, that the instances in which the President could be personally interested in the result, would be too few to admit of his being materially affected by the compliances of the Senate. The POWER which can originate the disposition of honors and emoluments, is more likely to attract than to be attracted by the POWER which can merely obstruct their course. If by influencing the President be meant restraining him, this is precisely what must have been intended. And it has been shown that the restraint would be salutary, at the same time that it would not be such as to destroy a single advantage to be looked for from the uncontrolled agency of that Magistrate. The right of nomination would produce all the (good, without the ill.)(E1) (good of that of appointment, and would in a great measure avoid its evils.)(E1)

Let's consider the opposite of the statement: "the Senate would influence the Executive." As I've mentioned in several other cases, the vagueness of the objection makes it hard to give a clear answer. How is this influence supposed to be exercised? Regarding what issues? To influence someone, as meant here, implies a power to provide a benefit to that person. How could the Senate benefit the President by using their power to veto his nominations? If it’s suggested that they might sometimes please him by agreeing with a choice he favors, even when public reasons suggest a different approach, I respond that the occasions where the President would care about the outcome would be too rare for him to be significantly impacted by the Senate's compliance. The POWER that can create opportunities for honors and benefits is likely to attract more attention than the POWER that can merely hinder them. If influencing the President means restricting him, then that’s precisely what was intended. And it has been demonstrated that this restriction would be beneficial while not eliminating any of the advantages of having that official act independently. The right of nomination would yield all the good without the bad and would largely avoid its drawbacks.

Upon a comparison of the plan for the appointment of the officers of the proposed government with that which is established by the constitution of this State, a decided preference must be given to the former. In that plan the power of nomination is unequivocally vested in the Executive. And as there would be a necessity for submitting each nomination to the judgment of an entire branch of the legislature, the circumstances attending an appointment, from the mode of conducting it, would naturally become matters of notoriety; and the public would be at no loss to determine what part had been performed by the different actors. The blame of a bad nomination would fall upon the President singly and absolutely. The censure of rejecting a good one would lie entirely at the door of the Senate; aggravated by the consideration of their having counteracted the good intentions of the Executive. If an ill appointment should be made, the Executive for nominating, and the Senate for approving, would participate, though in different degrees, in the opprobrium and disgrace.

When we compare the plan for appointing the officers of the proposed government to what’s established by the constitution of this State, it’s clear that we should prefer the former. In that plan, the power to nominate is clearly given to the Executive. Since every nomination would need to be submitted to the judgment of an entire branch of the legislature, the details surrounding each appointment would naturally become well-known, and the public would easily see the roles played by the different participants. If there’s a poor nomination, the blame would rest solely with the President. If a good nomination is rejected, the responsibility would fall entirely on the Senate, especially considering they would have undermined the good intentions of the Executive. If a bad appointment is made, both the Executive for the nomination and the Senate for the approval would share in the blame and disgrace, though to different extents.

The reverse of all this characterizes the manner of appointment in this State. The council of appointment consists of from three to five persons, of whom the governor is always one. This small body, shut up in a private apartment, impenetrable to the public eye, proceed to the execution of the trust committed to them. It is known that the governor claims the right of nomination, upon the strength of some ambiguous expressions in the constitution; but it is not known to what extent, or in what manner he exercises it; nor upon what occasions he is contradicted or opposed. The censure of a bad appointment, on account of the uncertainty of its author, and for want of a determinate object, has neither poignancy nor duration. And while an unbounded field for cabal and intrigue lies open, all idea of responsibility is lost. The most that the public can know, is that the governor claims the right of nomination; that two out of the inconsiderable number of four men can too often be managed without much difficulty; that if some of the members of a particular council should happen to be of an uncomplying character, it is frequently not impossible to get rid of their opposition by regulating the times of meeting in such a manner as to render their attendance inconvenient; and that from whatever cause it may proceed, a great number of very improper appointments are from time to time made. Whether a governor of this State avails himself of the ascendant he must necessarily have, in this delicate and important part of the administration, to prefer to offices men who are best qualified for them, or whether he prostitutes that advantage to the advancement of persons whose chief merit is their implicit devotion to his will, and to the support of a despicable and dangerous system of personal influence, are questions which, unfortunately for the community, can only be the subjects of speculation and conjecture.

The opposite of all this defines how appointments are made in this state. The appointment council consists of three to five people, with the governor always being one of them. This small group, secluded in a private room, out of the public eye, carries out their responsibilities. It's known that the governor asserts the right to make nominations based on some vague phrases in the constitution; however, it's unclear how much or in what way he actually exercises this right, or when he faces challenges or opposition. Criticism of a bad appointment lacks impact and doesn’t last, mainly due to the obscurity of who is responsible and the absence of a specific target. With endless opportunities for scheming and intrigue, any sense of accountability disappears. All the public can ascertain is that the governor claims the right of nomination, that two out of the only four members can often be easily influenced, that sometimes when certain council members are uncooperative, it’s often possible to sidestep their objections by scheduling meetings at times that make their attendance difficult, and that for various reasons, many unsuitable appointments occur from time to time. Whether a governor uses his obvious influence in this sensitive area of administration to choose the most qualified individuals for positions, or whether he abuses this advantage to elevate people whose main quality is their blind loyalty to him and to support a corrupt and risky system of personal influence, are questions that, unfortunately for the community, can only be left to speculation and guesswork.

Every mere council of appointment, however constituted, will be a conclave, in which cabal and intrigue will have their full scope. Their number, without an unwarrantable increase of expense, cannot be large enough to preclude a facility of combination. And as each member will have his friends and connections to provide for, the desire of mutual gratification will beget a scandalous bartering of votes and bargaining for places. The private attachments of one man might easily be satisfied; but to satisfy the private attachments of a dozen, or of twenty men, would occasion a monopoly of all the principal employments of the government in a few families, and would lead more directly to an aristocracy or an oligarchy than any measure that could be contrived. If, to avoid an accumulation of offices, there was to be a frequent change in the persons who were to compose the council, this would involve the mischiefs of a mutable administration in their full extent. Such a council would also be more liable to executive influence than the Senate, because they would be fewer in number, and would act less immediately under the public inspection. Such a council, in fine, as a substitute for the plan of the convention, would be productive of an increase of expense, a multiplication of the evils which spring from favoritism and intrigue in the distribution of public honors, a decrease of stability in the administration of the government, and a diminution of the security against an undue influence of the Executive. And yet such a council has been warmly contended for as an essential amendment in the proposed Constitution.

Every simple council for appointments, no matter how it’s formed, will turn into a meeting where scheming and intrigue can thrive. Their size, without unnecessarily raising costs, can’t be big enough to prevent easy collaboration. Since each member will want to look out for their friends and connections, the urge for mutual benefit will lead to scandalous vote trading and negotiating for positions. One person's personal ties might be easy to satisfy; however, meeting the personal ties of a dozen or twenty people would monopolize all the major government roles within a few families, steering us towards an aristocracy or oligarchy more quickly than any other plan could. If, to prevent too many offices accumulating, there were to be frequent changes in the council’s members, this would invite all the downsides of a constantly changing administration. Such a council would also be more susceptible to executive influence than the Senate, as they would be fewer in number and would operate with less public oversight. Ultimately, this kind of council, as a substitute for the plan from the convention, would lead to higher costs, an increase in the problems that come from favoritism and intrigue in how public honors are distributed, less stability in how the government is run, and reduced protection against excessive control by the Executive. Yet, this kind of council has been strongly argued for as a necessary improvement in the proposed Constitution.

I could not with propriety conclude my observations on the subject of appointments without taking notice of a scheme for which there have appeared some, though but few advocates; I mean that of uniting the House of Representatives in the power of making them. I shall, however, do little more than mention it, as I cannot imagine that it is likely to gain the countenance of any considerable part of the community. A body so fluctuating and at the same time so numerous, can never be deemed proper for the exercise of that power. Its unfitness will appear manifest to all, when it is recollected that in half a century it may consist of three or four hundred persons. All the advantages of the stability, both of the Executive and of the Senate, would be defeated by this union, and infinite delays and embarrassments would be occasioned. The example of most of the States in their local constitutions encourages us to reprobate the idea.

I can't properly wrap up my thoughts on the topic of appointments without acknowledging a proposal that has had some, albeit few, supporters. I'm referring to the idea of giving the House of Representatives the power to make these appointments. However, I’ll only briefly mention it because I don’t think it’s likely to get much support from a significant part of the community. A group that is so ever-changing and numerous can’t be considered suitable for that responsibility. Its unsuitability will be clear to everyone when they realize it could have three or four hundred members in just fifty years. All the benefits of the stability of both the Executive branch and the Senate would be undermined by this union, leading to countless delays and complications. The practices of most states in their own local constitutions encourage us to reject this idea.

The only remaining powers of the Executive are comprehended in giving information to Congress of the state of the Union; in recommending to their consideration such measures as he shall judge expedient; in convening them, or either branch, upon extraordinary occasions; in adjourning them when they cannot themselves agree upon the time of adjournment; in receiving ambassadors and other public ministers; in faithfully executing the laws; and in commissioning all the officers of the United States.

The only remaining powers of the Executive include providing information to Congress about the state of the Union, recommending measures he thinks are necessary, calling them together or either branch in special circumstances, adjourning them if they can't agree on when to end their session, receiving ambassadors and other public ministers, faithfully enforcing the laws, and appointing all the officers of the United States.

Except some cavils about the power of convening either house of the legislature, and that of receiving ambassadors, no objection has been made to this class of authorities; nor could they possibly admit of any. It required, indeed, an insatiable avidity for censure to invent exceptions to the parts which have been excepted to. In regard to the power of convening either house of the legislature, I shall barely remark, that in respect to the Senate at least, we can readily discover a good reason for it. AS this body has a concurrent power with the Executive in the article of treaties, it might often be necessary to call it together with a view to this object, when it would be unnecessary and improper to convene the House of Representatives. As to the reception of ambassadors, what I have said in a former paper will furnish a sufficient answer.

Aside from some minor concerns about the power to convene either house of the legislature and the ability to receive ambassadors, there have been no real objections to this group of authorities; nor could there possibly be any. It truly takes an unending desire to criticize to come up with exceptions to the parts that have been set aside. Regarding the power to convene either house of the legislature, I will simply note that, at least in the case of the Senate, we can easily find a good reason for it. Since this body shares power with the Executive when it comes to treaties, it might often be necessary to bring it together for that purpose, while it would be unnecessary and inappropriate to call the House of Representatives. As for receiving ambassadors, what I mentioned in a previous paper will provide a sufficient answer.

We have now completed a survey of the structure and powers of the executive department, which, I have endeavored to show, combines, as far as republican principles will admit, all the requisites to energy. The remaining inquiry is: Does it also combine the requisites to safety, in a republican sense—a due dependence on the people, a due responsibility? The answer to this question has been anticipated in the investigation of its other characteristics, and is satisfactorily deducible from these circumstances; from the election of the President once in four years by persons immediately chosen by the people for that purpose; and from his being at all times liable to impeachment, trial, dismission from office, incapacity to serve in any other, and to forfeiture of life and estate by subsequent prosecution in the common course of law. But these precautions, great as they are, are not the only ones which the plan of the convention has provided in favor of the public security. In the only instances in which the abuse of the executive authority was materially to be feared, the Chief Magistrate of the United States would, by that plan, be subjected to the control of a branch of the legislative body. What more could be desired by an enlightened and reasonable people?

We have now finished a survey of the structure and powers of the executive branch, which I have tried to show combines, as much as republican principles allow, all the necessary elements for strong leadership. The next question is: Does it also meet the requirements for safety in a republican sense—proper dependence on the people and appropriate accountability? The answer to this question has already been suggested in the examination of its other features and can be logically inferred from these circumstances; from the election of the President every four years by individuals directly chosen by the people for that role; and from his constant risk of impeachment, trial, removal from office, inability to serve elsewhere, and potential loss of life and property through subsequent legal action. However, these safeguards, as significant as they are, are not the only ones that the convention's plan has put in place for public safety. In the only cases where the misuse of executive power was a serious concern, the Chief Magistrate of the United States would, according to that plan, be under the oversight of a branch of the legislative body. What more could an informed and rational people want?

PUBLIUS

PUBLIUS

E1. These two alternate endings of this sentence appear in different editions.

E1. These two alternate endings of this sentence show up in different editions.





FEDERALIST No. 78. The Judiciary Department

From McLEAN'S Edition, New York. Wednesday, May 28, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

WE PROCEED now to an examination of the judiciary department of the proposed government.

We will now look into the judiciary branch of the proposed government.

In unfolding the defects of the existing Confederation, the utility and necessity of a federal judicature have been clearly pointed out. It is the less necessary to recapitulate the considerations there urged, as the propriety of the institution in the abstract is not disputed; the only questions which have been raised being relative to the manner of constituting it, and to its extent. To these points, therefore, our observations shall be confined.

As we discuss the flaws of the current Confederation, the usefulness and need for a federal judiciary have been clearly highlighted. It’s less necessary to reiterate the arguments made, since the importance of the institution itself isn’t questioned; the only issues that have arisen are related to how it should be set up and its scope. Therefore, we will focus our comments on these points.

The manner of constituting it seems to embrace these several objects: 1st. The mode of appointing the judges. 2d. The tenure by which they are to hold their places. 3d. The partition of the judiciary authority between different courts, and their relations to each other.

The way it’s set up appears to cover the following points: 1st. How judges are appointed. 2nd. The length of time they will hold their positions. 3rd. The distribution of judicial power among different courts and how they relate to one another.

First. As to the mode of appointing the judges; this is the same with that of appointing the officers of the Union in general, and has been so fully discussed in the two last numbers, that nothing can be said here which would not be useless repetition.

First. Regarding how judges are appointed; this is the same as how Union officers are appointed in general, and has been discussed so thoroughly in the last two sections that anything mentioned here would just be redundant.

Second. As to the tenure by which the judges are to hold their places; this chiefly concerns their duration in office; the provisions for their support; the precautions for their responsibility.

Second. Regarding how long the judges will keep their positions; this mainly involves their time in office, the arrangements for their compensation, and the measures for their accountability.

According to the plan of the convention, all judges who may be appointed by the United States are to hold their offices during good behavior; which is conformable to the most approved of the State constitutions and among the rest, to that of this State. Its propriety having been drawn into question by the adversaries of that plan, is no light symptom of the rage for objection, which disorders their imaginations and judgments. The standard of good behavior for the continuance in office of the judicial magistracy, is certainly one of the most valuable of the modern improvements in the practice of government. In a monarchy it is an excellent barrier to the despotism of the prince; in a republic it is a no less excellent barrier to the encroachments and oppressions of the representative body. And it is the best expedient which can be devised in any government, to secure a steady, upright, and impartial administration of the laws.

According to the convention's plan, all judges appointed by the United States will serve during good behavior, which aligns with the best State constitutions, including this one. The fact that its appropriateness has been questioned by opponents of that plan is a clear indication of the unreasonable objections that cloud their thinking and judgment. The standard of good behavior for judges to remain in office is undoubtedly one of the most significant advancements in modern governance. In a monarchy, it serves as a strong safeguard against the prince's despotism; in a republic, it equally protects against the overreach and oppression of the representative body. It is the best method that can be devised in any government to ensure a consistent, fair, and impartial administration of the laws.

Whoever attentively considers the different departments of power must perceive, that, in a government in which they are separated from each other, the judiciary, from the nature of its functions, will always be the least dangerous to the political rights of the Constitution; because it will be least in a capacity to annoy or injure them. The Executive not only dispenses the honors, but holds the sword of the community. The legislature not only commands the purse, but prescribes the rules by which the duties and rights of every citizen are to be regulated. The judiciary, on the contrary, has no influence over either the sword or the purse; no direction either of the strength or of the wealth of the society; and can take no active resolution whatever. It may truly be said to have neither FORCE nor WILL, but merely judgment; and must ultimately depend upon the aid of the executive arm even for the efficacy of its judgments.

Whoever takes a close look at the various branches of government will see that, in a system where they are separated from each other, the judiciary, by its very nature, is always the least threatening to the political rights outlined in the Constitution; because it has the least ability to disrupt or harm them. The Executive not only grants positions of power but also controls the military. The legislature not only manages the budget but also sets the rules that dictate the responsibilities and rights of every citizen. In contrast, the judiciary has no power over the military or the budget; it doesn't direct the strength or wealth of society and can't take any active measures. It can accurately be described as having neither FORCE nor WILL, but only judgment; and ultimately relies on the support of the executive branch even for the effectiveness of its decisions.

This simple view of the matter suggests several important consequences. It proves incontestably, that the judiciary is beyond comparison the weakest of the three departments of power(1); that it can never attack with success either of the other two; and that all possible care is requisite to enable it to defend itself against their attacks. It equally proves, that though individual oppression may now and then proceed from the courts of justice, the general liberty of the people can never be endangered from that quarter; I mean so long as the judiciary remains truly distinct from both the legislature and the Executive. For I agree, that "there is no liberty, if the power of judging be not separated from the legislative and executive powers."(2) And it proves, in the last place, that as liberty can have nothing to fear from the judiciary alone, but would have every thing to fear from its union with either of the other departments; that as all the effects of such a union must ensue from a dependence of the former on the latter, notwithstanding a nominal and apparent separation; that as, from the natural feebleness of the judiciary, it is in continual jeopardy of being overpowered, awed, or influenced by its co-ordinate branches; and that as nothing can contribute so much to its firmness and independence as permanency in office, this quality may therefore be justly regarded as an indispensable ingredient in its constitution, and, in a great measure, as the citadel of the public justice and the public security.

This straightforward view of the situation suggests several important implications. It clearly shows that the judiciary is by far the weakest of the three branches of power(1); that it can never successfully challenge either of the other two; and that considerable care is needed to protect it from their attacks. It also demonstrates that while individual cases of oppression might occasionally come from the courts, the overall freedom of the people will never be at risk from that source, as long as the judiciary remains genuinely separate from both the legislature and the executive. I agree that "there is no liberty if the power of judging is not separated from the legislative and executive powers."(2) Lastly, it proves that since liberty has nothing to fear from the judiciary alone, but has everything to fear from its alliance with either of the other branches; that the consequences of such an alliance would come from the judiciary’s dependence on the others, despite a nominal and apparent separation; that due to the natural weakness of the judiciary, it is constantly at risk of being overpowered, intimidated, or influenced by its fellow branches; and that nothing can contribute more to its strength and independence than having a permanent position, this quality can be rightly viewed as an essential part of its structure and, to a great extent, as the stronghold of public justice and security.

The complete independence of the courts of justice is peculiarly essential in a limited Constitution. By a limited Constitution, I understand one which contains certain specified exceptions to the legislative authority; such, for instance, as that it shall pass no bills of attainder, no ex post facto laws, and the like. Limitations of this kind can be preserved in practice no other way than through the medium of courts of justice, whose duty it must be to declare all acts contrary to the manifest tenor of the Constitution void. Without this, all the reservations of particular rights or privileges would amount to nothing.

The complete independence of the courts is especially important in a limited Constitution. By a limited Constitution, I mean one that has specific exceptions to legislative authority, such as prohibiting bills of attainder or ex post facto laws, among others. These kinds of limitations can only be effectively upheld through the courts, which must have the responsibility to declare any actions that go against the clear intentions of the Constitution as invalid. Without this, any guarantees of specific rights or privileges would be meaningless.

Some perplexity respecting the rights of the courts to pronounce legislative acts void, because contrary to the Constitution, has arisen from an imagination that the doctrine would imply a superiority of the judiciary to the legislative power. It is urged that the authority which can declare the acts of another void, must necessarily be superior to the one whose acts may be declared void. As this doctrine is of great importance in all the American constitutions, a brief discussion of the ground on which it rests cannot be unacceptable.

Some confusion about the courts' ability to declare legislative acts invalid because they contradict the Constitution has come from the idea that this would mean the judiciary is superior to the legislative branch. It is argued that the authority that can nullify the acts of another must be superior to the one whose acts can be nullified. Since this principle is very important in all American constitutions, a short discussion of its basis is timely.

There is no position which depends on clearer principles, than that every act of a delegated authority, contrary to the tenor of the commission under which it is exercised, is void. No legislative act, therefore, contrary to the Constitution, can be valid. To deny this, would be to affirm, that the deputy is greater than his principal; that the servant is above his master; that the representatives of the people are superior to the people themselves; that men acting by virtue of powers, may do not only what their powers do not authorize, but what they forbid.

There’s no clearer principle than that any action taken by a delegated authority that goes against the terms of the commission they operate under is invalid. Therefore, no legislative action that contradicts the Constitution can be considered valid. To argue otherwise would mean claiming that the deputy is greater than the principal; that the servant is above the master; that the representatives of the people are superior to the people themselves; that individuals acting on granted powers can do not only what their powers don’t allow, but also what they explicitly prohibit.

If it be said that the legislative body are themselves the constitutional judges of their own powers, and that the construction they put upon them is conclusive upon the other departments, it may be answered, that this cannot be the natural presumption, where it is not to be collected from any particular provisions in the Constitution. It is not otherwise to be supposed, that the Constitution could intend to enable the representatives of the people to substitute their will to that of their constituents. It is far more rational to suppose, that the courts were designed to be an intermediate body between the people and the legislature, in order, among other things, to keep the latter within the limits assigned to their authority. The interpretation of the laws is the proper and peculiar province of the courts. A constitution is, in fact, and must be regarded by the judges, as a fundamental law. It therefore belongs to them to ascertain its meaning, as well as the meaning of any particular act proceeding from the legislative body. If there should happen to be an irreconcilable variance between the two, that which has the superior obligation and validity ought, of course, to be preferred; or, in other words, the Constitution ought to be preferred to the statute, the intention of the people to the intention of their agents.

If it's said that the legislative body is the ultimate authority on its own powers and that their interpretation is binding on the other branches, it can be argued that this is not a reasonable assumption when it isn't supported by specific provisions in the Constitution. We can't assume that the Constitution would allow representatives of the people to prioritize their own will over that of their constituents. It's much more rational to think that the courts were intended to act as a middle ground between the people and the legislature, in part to ensure that the legislature stays within the limits of its authority. Interpreting laws is appropriately and uniquely the role of the courts. A constitution is essentially, and should be viewed by judges, as a fundamental law. Therefore, it's their responsibility to determine its meaning, as well as the meaning of any specific law passed by the legislature. If there's a significant conflict between the two, the one with greater obligation and validity should take precedence; in other words, the Constitution should take precedence over legislation, and the will of the people should take precedence over the intentions of their representatives.

Nor does this conclusion by any means suppose a superiority of the judicial to the legislative power. It only supposes that the power of the people is superior to both; and that where the will of the legislature, declared in its statutes, stands in opposition to that of the people, declared in the Constitution, the judges ought to be governed by the latter rather than the former. They ought to regulate their decisions by the fundamental laws, rather than by those which are not fundamental.

This conclusion doesn’t suggest that the judicial power is superior to the legislative power. It simply states that the people’s power is greater than both. When the legislature's will, expressed in its laws, contradicts that of the people, expressed in the Constitution, judges should follow the latter over the former. They should base their decisions on the fundamental laws instead of those that are not fundamental.

This exercise of judicial discretion, in determining between two contradictory laws, is exemplified in a familiar instance. It not uncommonly happens, that there are two statutes existing at one time, clashing in whole or in part with each other, and neither of them containing any repealing clause or expression. In such a case, it is the province of the courts to liquidate and fix their meaning and operation. So far as they can, by any fair construction, be reconciled to each other, reason and law conspire to dictate that this should be done; where this is impracticable, it becomes a matter of necessity to give effect to one, in exclusion of the other. The rule which has obtained in the courts for determining their relative validity is, that the last in order of time shall be preferred to the first. But this is a mere rule of construction, not derived from any positive law, but from the nature and reason of the thing. It is a rule not enjoined upon the courts by legislative provision, but adopted by themselves, as consonant to truth and propriety, for the direction of their conduct as interpreters of the law. They thought it reasonable, that between the interfering acts of an EQUAL authority, that which was the last indication of its will should have the preference.

This exercise of judicial discretion in deciding between two conflicting laws is illustrated by a familiar example. It often happens that two laws exist at the same time, either fully or partially opposing each other, and neither contains any repealing clause or wording. In such cases, it is up to the courts to clarify and define their meaning and application. As much as possible, they should aim to reconcile them through reasonable interpretation; when that’s not feasible, it becomes necessary to enforce one law over the other. The established rule in the courts for determining their relative validity is that the most recent law is preferred over the earlier one. However, this is merely a rule of interpretation, not dictated by any formal law, but stemming from the nature and reasoning of the situation. It’s a guideline that the courts have adopted themselves, aligned with truth and appropriateness, to guide their actions as law interpreters. They deemed it reasonable that between conflicting actions of an EQUAL authority, the last expression of its intent should take precedence.

But in regard to the interfering acts of a superior and subordinate authority, of an original and derivative power, the nature and reason of the thing indicate the converse of that rule as proper to be followed. They teach us that the prior act of a superior ought to be preferred to the subsequent act of an inferior and subordinate authority; and that accordingly, whenever a particular statute contravenes the Constitution, it will be the duty of the judicial tribunals to adhere to the latter and disregard the former.

But when it comes to the conflicting actions of a higher and lower authority, or of an original versus a derived power, the nature and reasoning behind it suggest that the opposite rule should be followed. They indicate that the earlier action of a superior authority should take precedence over the later action of an inferior authority. Therefore, whenever a specific statute goes against the Constitution, it is the responsibility of the courts to uphold the Constitution and ignore the statute.

It can be of no weight to say that the courts, on the pretense of a repugnancy, may substitute their own pleasure to the constitutional intentions of the legislature. This might as well happen in the case of two contradictory statutes; or it might as well happen in every adjudication upon any single statute. The courts must declare the sense of the law; and if they should be disposed to exercise WILL instead of JUDGMENT, the consequence would equally be the substitution of their pleasure to that of the legislative body. The observation, if it prove any thing, would prove that there ought to be no judges distinct from that body.

It's pointless to say that courts, under the guise of inconsistency, can impose their own opinions over the constitutional intentions of the legislature. This could just as easily occur with two conflicting statutes, or it could happen in any ruling on a single statute. Courts need to interpret the law, and if they choose to act on their own WILL instead of exercising JUDGMENT, the result would be the same as putting their preferences above those of the legislative body. This observation, if it proves anything, would suggest that there shouldn't be judges separate from that body.

If, then, the courts of justice are to be considered as the bulwarks of a limited Constitution against legislative encroachments, this consideration will afford a strong argument for the permanent tenure of judicial offices, since nothing will contribute so much as this to that independent spirit in the judges which must be essential to the faithful performance of so arduous a duty.

If the courts of law are seen as the defenders of a limited Constitution against legislative overreach, this idea strongly supports the idea of judges holding their positions permanently. Nothing contributes more to the independence of judges, which is crucial for fulfilling such a challenging responsibility.

This independence of the judges is equally requisite to guard the Constitution and the rights of individuals from the effects of those ill humors, which the arts of designing men, or the influence of particular conjunctures, sometimes disseminate among the people themselves, and which, though they speedily give place to better information, and more deliberate reflection, have a tendency, in the meantime, to occasion dangerous innovations in the government, and serious oppressions of the minor party in the community. Though I trust the friends of the proposed Constitution will never concur with its enemies,(3) in questioning that fundamental principle of republican government, which admits the right of the people to alter or abolish the established Constitution, whenever they find it inconsistent with their happiness, yet it is not to be inferred from this principle, that the representatives of the people, whenever a momentary inclination happens to lay hold of a majority of their constituents, incompatible with the provisions in the existing Constitution, would, on that account, be justifiable in a violation of those provisions; or that the courts would be under a greater obligation to connive at infractions in this shape, than when they had proceeded wholly from the cabals of the representative body. Until the people have, by some solemn and authoritative act, annulled or changed the established form, it is binding upon themselves collectively, as well as individually; and no presumption, or even knowledge, of their sentiments, can warrant their representatives in a departure from it, prior to such an act. But it is easy to see, that it would require an uncommon portion of fortitude in the judges to do their duty as faithful guardians of the Constitution, where legislative invasions of it had been instigated by the major voice of the community.

The independence of judges is essential to protect the Constitution and individual rights from the negative effects caused by persuasive individuals or the influence of specific situations that can spread among the people. While these issues may quickly be replaced by better information and careful thought, they can still lead to dangerous changes in government and serious oppression of minority groups in society. I hope that supporters of the proposed Constitution will never agree with its opponents in questioning the fundamental principle of republican government, which allows the people to change or abolish the established Constitution whenever it no longer supports their happiness. However, this principle does not justify representatives of the people, when a temporary mood influences a majority of their constituents, to violate the provisions of the existing Constitution. Nor do the courts have a greater obligation to overlook such violations than they would if they arose entirely from the actions of the representatives. Until the people have formally and authoritatively annulled or changed the established form, it remains binding on them both collectively and individually; and no assumption or even knowledge of their opinions can justify their representatives in straying from it before such an act occurs. It’s clear that it would take an extraordinary amount of courage for judges to fulfill their duty as faithful guardians of the Constitution when legislative attacks on it have been urged by the majority of the community.

But it is not with a view to infractions of the Constitution only, that the independence of the judges may be an essential safeguard against the effects of occasional ill humors in the society. These sometimes extend no farther than to the injury of the private rights of particular classes of citizens, by unjust and partial laws. Here also the firmness of the judicial magistracy is of vast importance in mitigating the severity and confining the operation of such laws. It not only serves to moderate the immediate mischiefs of those which may have been passed, but it operates as a check upon the legislative body in passing them; who, perceiving that obstacles to the success of iniquitous intention are to be expected from the scruples of the courts, are in a manner compelled, by the very motives of the injustice they meditate, to qualify their attempts. This is a circumstance calculated to have more influence upon the character of our governments, than but few may be aware of. The benefits of the integrity and moderation of the judiciary have already been felt in more States than one; and though they may have displeased those whose sinister expectations they may have disappointed, they must have commanded the esteem and applause of all the virtuous and disinterested. Considerate men, of every description, ought to prize whatever will tend to beget or fortify that temper in the courts: as no man can be sure that he may not be to-morrow the victim of a spirit of injustice, by which he may be a gainer to-day. And every man must now feel, that the inevitable tendency of such a spirit is to sap the foundations of public and private confidence, and to introduce in its stead universal distrust and distress.

But it's not just issues related to violations of the Constitution that make the independence of judges crucial for protecting against the occasional negative feelings in society. These negative feelings can sometimes harm the private rights of specific groups of citizens through unfair and biased laws. Here, the strength of the judicial system is crucial in reducing the harshness of these laws and limiting their impact. It not only helps to lessen the immediate harm caused by unjust laws that may have been enacted, but it also acts as a check on the legislative body that creates them. When lawmakers realize that they might face obstacles from the courts in enacting unjust plans, they are somewhat forced—by the very motives behind their unfair intentions—to modify their efforts. This is a factor that can significantly influence how our governments function, more than many might realize. The benefits of a fair and moderate judiciary have already been recognized in more than one state; and while they may have upset those whose unfair expectations were unmet, they must have earned the respect and admiration of all honorable and selfless individuals. Thoughtful individuals from all walks of life should value anything that helps foster or strengthen this attitude in the courts, as no one can be certain they won't become the next victim of an unjust spirit that might benefit them today. And everyone must now recognize that the inevitable outcome of such a spirit is to undermine public and private trust, replacing it with widespread doubt and distress.

That inflexible and uniform adherence to the rights of the Constitution, and of individuals, which we perceive to be indispensable in the courts of justice, can certainly not be expected from judges who hold their offices by a temporary commission. Periodical appointments, however regulated, or by whomsoever made, would, in some way or other, be fatal to their necessary independence. If the power of making them was committed either to the Executive or legislature, there would be danger of an improper complaisance to the branch which possessed it; if to both, there would be an unwillingness to hazard the displeasure of either; if to the people, or to persons chosen by them for the special purpose, there would be too great a disposition to consult popularity, to justify a reliance that nothing would be consulted but the Constitution and the laws.

That rigid and consistent commitment to the rights outlined in the Constitution, and to individuals, which we believe is essential in the courts of justice, definitely can't be expected from judges who hold their positions through temporary appointments. Regular appointments, no matter how they’re arranged or who makes them, would somehow threaten their necessary independence. If the authority to make these appointments were given to either the Executive or the legislature, there would be a risk of improper favoritism towards the branch that held that power; if it were given to both, there would be a reluctance to upset either one; and if it were given to the people, or to individuals chosen by them for that specific purpose, there would be too much inclination to seek popularity, making it hard to ensure that only the Constitution and the laws are taken into account.

There is yet a further and a weightier reason for the permanency of the judicial offices, which is deducible from the nature of the qualifications they require. It has been frequently remarked, with great propriety, that a voluminous code of laws is one of the inconveniences necessarily connected with the advantages of a free government. To avoid an arbitrary discretion in the courts, it is indispensable that they should be bound down by strict rules and precedents, which serve to define and point out their duty in every particular case that comes before them; and it will readily be conceived from the variety of controversies which grow out of the folly and wickedness of mankind, that the records of those precedents must unavoidably swell to a very considerable bulk, and must demand long and laborious study to acquire a competent knowledge of them. Hence it is, that there can be but few men in the society who will have sufficient skill in the laws to qualify them for the stations of judges. And making the proper deductions for the ordinary depravity of human nature, the number must be still smaller of those who unite the requisite integrity with the requisite knowledge. These considerations apprise us, that the government can have no great option between fit character; and that a temporary duration in office, which would naturally discourage such characters from quitting a lucrative line of practice to accept a seat on the bench, would have a tendency to throw the administration of justice into hands less able, and less well qualified, to conduct it with utility and dignity. In the present circumstances of this country, and in those in which it is likely to be for a long time to come, the disadvantages on this score would be greater than they may at first sight appear; but it must be confessed, that they are far inferior to those which present themselves under the other aspects of the subject.

There is another, more significant reason for the permanence of judicial offices, which comes from the qualifications they require. It's often pointed out, quite rightly, that a lengthy set of laws is one of the drawbacks that come with the benefits of a free government. To prevent arbitrary decisions in the courts, it's essential that they adhere to strict rules and precedents that help define their responsibilities in each specific case they handle. Given the variety of disputes that arise from human folly and wrongdoing, it’s easy to see that the records of these precedents will inevitably grow quite large and require extensive study to gain a solid understanding of them. Therefore, there will be few people in society who have the necessary knowledge of the law to qualify as judges. Taking into account the usual flaws of human nature, the number of those who possess both the required integrity and knowledge is even smaller. These factors indicate that the government has limited options for selecting qualified individuals. Moreover, if judicial positions were temporary, it would likely discourage capable individuals from leaving a lucrative career to take a judgeship, ultimately placing the administration of justice in the hands of less competent and qualified people. Given the current situation in this country, and likely for the foreseeable future, the disadvantages in this regard would be more significant than they might initially seem; however, they are certainly less severe than the other challenges the subject presents.

Upon the whole, there can be no room to doubt that the convention acted wisely in copying from the models of those constitutions which have established good behavior as the tenure of their judicial offices, in point of duration; and that so far from being blamable on this account, their plan would have been inexcusably defective, if it had wanted this important feature of good government. The experience of Great Britain affords an illustrious comment on the excellence of the institution.

Overall, there’s no doubt that the convention made a smart choice by looking at the examples of constitutions that ensure good behavior as a requirement for their judicial positions, especially regarding their duration. Far from being criticized for this, their plan would have been seriously flawed without this crucial aspect of effective governance. The experience of Great Britain provides a notable example of the benefits of this system.

PUBLIUS

PUBLIUS

1. The celebrated Montesquieu, speaking of them, says: "Of the three powers above mentioned, the judiciary is next to nothing."—Spirit of Laws. Vol. I, page 186.

1. The famous Montesquieu, referring to them, says: "Of the three powers mentioned above, the judiciary is almost irrelevant."—Spirit of Laws. Vol. I, page 186.

2. Idem, page 181.

2. Same, page 181.

3. Vide Protest of the Minority of the Convention of Pennsylvania, Martin's Speech, etc.

3. See Protest of the Minority of the Convention of Pennsylvania, Martin's Speech, etc.





FEDERALIST No. 79. The Judiciary Continued

From MCLEAN's Edition, New York. Wednesday, May 28, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

NEXT to permanency in office, nothing can contribute more to the independence of the judges than a fixed provision for their support. The remark made in relation to the President is equally applicable here. In the general course of human nature, a power over a man's subsistence amounts to a power over his will. And we can never hope to see realized in practice, the complete separation of the judicial from the legislative power, in any system which leaves the former dependent for pecuniary resources on the occasional grants of the latter. The enlightened friends to good government in every State, have seen cause to lament the want of precise and explicit precautions in the State constitutions on this head. Some of these indeed have declared that permanent(1) salaries should be established for the judges; but the experiment has in some instances shown that such expressions are not sufficiently definite to preclude legislative evasions. Something still more positive and unequivocal has been evinced to be requisite. The plan of the convention accordingly has provided that the judges of the United States "shall at stated times receive for their services a compensation which shall not be diminished during their continuance in office."

Next to having a permanent position, nothing supports judges' independence more than a stable provision for their salaries. The observation made about the President applies here as well. In general, having control over someone's livelihood gives power over their will. We can never truly achieve a complete separation of judicial from legislative power in any system that makes judges reliant on occasional funding from the legislature. Concerned citizens in every state have noted the lack of clear and explicit safeguards in state constitutions regarding this issue. Some states have even stated that judges should have permanent salaries; however, in practice, these statements have proven to be too vague to prevent legislative loopholes. Something more definitive and clear is required. Thus, the convention's plan has stipulated that the judges of the United States "shall at stated times receive for their services a compensation which shall not be diminished during their continuance in office."

This, all circumstances considered, is the most eligible provision that could have been devised. It will readily be understood that the fluctuations in the value of money and in the state of society rendered a fixed rate of compensation in the Constitution inadmissible. What might be extravagant to-day, might in half a century become penurious and inadequate. It was therefore necessary to leave it to the discretion of the legislature to vary its provisions in conformity to the variations in circumstances, yet under such restrictions as to put it out of the power of that body to change the condition of the individual for the worse. A man may then be sure of the ground upon which he stands, and can never be deterred from his duty by the apprehension of being placed in a less eligible situation. The clause which has been quoted combines both advantages. The salaries of judicial officers may from time to time be altered, as occasion shall require, yet so as never to lessen the allowance with which any particular judge comes into office, in respect to him. It will be observed that a difference has been made by the convention between the compensation of the President and of the judges, That of the former can neither be increased nor diminished; that of the latter can only not be diminished. This probably arose from the difference in the duration of the respective offices. As the President is to be elected for no more than four years, it can rarely happen that an adequate salary, fixed at the commencement of that period, will not continue to be such to its end. But with regard to the judges, who, if they behave properly, will be secured in their places for life, it may well happen, especially in the early stages of the government, that a stipend, which would be very sufficient at their first appointment, would become too small in the progress of their service.

This, considering all circumstances, is the best arrangement that could have been created. It's easy to see that the changes in the value of money and shifts in society made a fixed rate of compensation in the Constitution unworkable. What may seem excessive today could become meager and insufficient in fifty years. Therefore, it was essential to let the legislature adjust its provisions based on changes in circumstances, while also setting limits to ensure they couldn’t worsen an individual’s situation. A person can then be confident in their standing and won’t be discouraged from fulfilling their duties due to fears of being put in a worse position. The clause quoted combines both benefits. The salaries of judicial officers can be adjusted as necessary, but never reduced from what a particular judge received when they took office. It's worth noting that the convention made a distinction between the compensation of the President and that of the judges. The President's compensation cannot be increased or decreased, while the judges’ compensation can only remain the same or not be reduced. This difference likely stems from the varying lengths of their terms. Since the President is elected for a maximum of four years, it’s unlikely that a salary set at the start will fail to be adequate by the end of the term. However, for judges, who are generally appointed for life if they perform well, it’s quite possible, especially in the early years of the government, that a salary deemed sufficient at their appointment could feel too small as their service continues.

This provision for the support of the judges bears every mark of prudence and efficacy; and it may be safely affirmed that, together with the permanent tenure of their offices, it affords a better prospect of their independence than is discoverable in the constitutions of any of the States in regard to their own judges.

This arrangement for supporting the judges clearly shows careful thought and effectiveness; and it can be confidently stated that, along with the secure nature of their positions, it provides a stronger assurance of their independence than what is found in the constitutions of any of the States concerning their own judges.

The precautions for their responsibility are comprised in the article respecting impeachments. They are liable to be impeached for malconduct by the House of Representatives, and tried by the Senate; and, if convicted, may be dismissed from office, and disqualified for holding any other. This is the only provision on the point which is consistent with the necessary independence of the judicial character, and is the only one which we find in our own Constitution in respect to our own judges.

The measures for their accountability are outlined in the article about impeachments. They can be impeached for misconduct by the House of Representatives and tried by the Senate; if found guilty, they can be removed from office and banned from holding any other position. This is the only rule regarding this issue that aligns with the essential independence of the judicial role, and it is the only one we see in our own Constitution concerning our judges.

The want of a provision for removing the judges on account of inability has been a subject of complaint. But all considerate men will be sensible that such a provision would either not be practiced upon or would be more liable to abuse than calculated to answer any good purpose. The mensuration of the faculties of the mind has, I believe, no place in the catalogue of known arts. An attempt to fix the boundary between the regions of ability and inability, would much oftener give scope to personal and party attachments and enmities than advance the interests of justice or the public good. The result, except in the case of insanity, must for the most part be arbitrary; and insanity, without any formal or express provision, may be safely pronounced to be a virtual disqualification.

The lack of a system for removing judges due to incompetence has been a point of criticism. However, thoughtful individuals understand that such a system would likely either not be implemented or be prone to misuse rather than serve any real purpose. Measuring mental capabilities, I believe, isn’t a recognized practice. Trying to draw a line between ability and incompetence would more often fuel personal and political biases than promote justice or the public good. Ultimately, unless insanity is involved, the outcome would mostly be arbitrary; and insanity, without any formal rules, can effectively be seen as a disqualification.

The constitution of New York, to avoid investigations that must forever be vague and dangerous, has taken a particular age as the criterion of inability. No man can be a judge beyond sixty. I believe there are few at present who do not disapprove of this provision. There is no station, in relation to which it is less proper than to that of a judge. The deliberating and comparing faculties generally preserve their strength much beyond that period in men who survive it; and when, in addition to this circumstance, we consider how few there are who outlive the season of intellectual vigor, and how improbable it is that any considerable portion of the bench, whether more or less numerous, should be in such a situation at the same time, we shall be ready to conclude that limitations of this sort have little to recommend them. In a republic, where fortunes are not affluent, and pensions not expedient, the dismission of men from stations in which they have served their country long and usefully, on which they depend for subsistence, and from which it will be too late to resort to any other occupation for a livelihood, ought to have some better apology to humanity than is to be found in the imaginary danger of a superannuated bench.

The constitution of New York, to prevent investigations that will always be unclear and risky, uses a specific age as the standard for inability. No one can be a judge past the age of sixty. I believe that very few people today support this rule. There is no position where this is less appropriate than that of a judge. The thinking and reasoning abilities of men generally remain strong long after that age, and when we also consider how few people live past their peak intellectual years, and how unlikely it is that a significant number of judges, whether many or few, would all be in such a situation at the same time, we can conclude that restrictions like this have little justification. In a republic, where wealth isn’t plentiful and pensions aren’t practical, removing people from positions where they have served their country for a long time and done so usefully—positions on which they rely for their livelihood, and from which it’s too late for them to find other work—should have a better justification than the imagined risk of an aging bench.

PUBLIUS

PUBLIUS

1. Vide Constitution of Massachusetts, Chapter 2, Section 1, Article 13.

1. See Constitution of Massachusetts, Chapter 2, Section 1, Article 13.





FEDERALIST No. 80. The Powers of the Judiciary

From McLEAN's Edition, New York. Wednesday, May 28, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

TO JUDGE with accuracy of the proper extent of the federal judicature, it will be necessary to consider, in the first place, what are its proper objects.

TO JUDGE accurately the appropriate scope of the federal judiciary, we first need to look at its intended purposes.

It seems scarcely to admit of controversy, that the judiciary authority of the Union ought to extend to these several descriptions of cases: 1st, to all those which arise out of the laws of the United States, passed in pursuance of their just and constitutional powers of legislation; 2d, to all those which concern the execution of the provisions expressly contained in the articles of Union; 3d, to all those in which the United States are a party; 4th, to all those which involve the PEACE of the CONFEDERACY, whether they relate to the intercourse between the United States and foreign nations, or to that between the States themselves; 5th, to all those which originate on the high seas, and are of admiralty or maritime jurisdiction; and, lastly, to all those in which the State tribunals cannot be supposed to be impartial and unbiased.

It’s hard to argue against the idea that the judicial authority of the Union should cover these types of cases: 1st, all cases that come from the laws of the United States, enacted under their legitimate and constitutional legislative powers; 2nd, all cases concerning the implementation of the provisions explicitly stated in the articles of Union; 3rd, all cases where the United States is a party; 4th, all cases that affect the PEACE of the CONFEDERACY, whether they involve interactions between the United States and foreign nations, or those between the States themselves; 5th, all cases that start on the high seas and fall under admiralty or maritime jurisdiction; and finally, all cases where state courts cannot be expected to be impartial and fair.

The first point depends upon this obvious consideration, that there ought always to be a constitutional method of giving efficacy to constitutional provisions. What, for instance, would avail restrictions on the authority of the State legislatures, without some constitutional mode of enforcing the observance of them? The States, by the plan of the convention, are prohibited from doing a variety of things, some of which are incompatible with the interests of the Union, and others with the principles of good government. The imposition of duties on imported articles, and the emission of paper money, are specimens of each kind. No man of sense will believe, that such prohibitions would be scrupulously regarded, without some effectual power in the government to restrain or correct the infractions of them. This power must either be a direct negative on the State laws, or an authority in the federal courts to overrule such as might be in manifest contravention of the articles of Union. There is no third course that I can imagine. The latter appears to have been thought by the convention preferable to the former, and, I presume, will be most agreeable to the States.

The first point relies on this obvious idea: there should always be a constitutional way to enforce constitutional provisions. For example, what good would it do to have restrictions on the power of state legislatures without some constitutional means to ensure they follow them? The states, according to the plan from the convention, are prohibited from doing various things, some of which conflict with the interests of the Union, and others with the principles of good governance. Imposing duties on imported goods and creating paper money are examples of each type. No sensible person would think that such prohibitions would be strictly followed without some effective power in the government to prevent or correct violations of them. This power must either be a direct veto over state laws or the authority for federal courts to nullify those that clearly violate the terms of the Union. I can't imagine any other option. The convention seems to have preferred the latter, and I assume it will be more acceptable to the states.

As to the second point, it is impossible, by any argument or comment, to make it clearer than it is in itself. If there are such things as political axioms, the propriety of the judicial power of a government being coextensive with its legislative, may be ranked among the number. The mere necessity of uniformity in the interpretation of the national laws, decides the question. Thirteen independent courts of final jurisdiction over the same causes, arising upon the same laws, is a hydra in government, from which nothing but contradiction and confusion can proceed.

Regarding the second point, it's impossible to clarify it any further with arguments or comments. If there are political principles that are universally accepted, the idea that a government's judicial power should match its legislative power is one of them. The essential need for uniform interpretation of national laws settles the issue. Having thirteen independent courts with final authority over the same cases based on the same laws creates a monster in governance, leading only to contradiction and confusion.

Still less need be said in regard to the third point. Controversies between the nation and its members or citizens, can only be properly referred to the national tribunals. Any other plan would be contrary to reason, to precedent, and to decorum.

There's not much more to say about the third point. Disputes between the nation and its members or citizens should only be handled by national courts. Any other approach would go against reason, established practice, and common decency.

The fourth point rests on this plain proposition, that the peace of the WHOLE ought not to be left at the disposal of a PART. The Union will undoubtedly be answerable to foreign powers for the conduct of its members. And the responsibility for an injury ought ever to be accompanied with the faculty of preventing it. As the denial or perversion of justice by the sentences of courts, as well as in any other manner, is with reason classed among the just causes of war, it will follow that the federal judiciary ought to have cognizance of all causes in which the citizens of other countries are concerned. This is not less essential to the preservation of the public faith, than to the security of the public tranquillity. A distinction may perhaps be imagined between cases arising upon treaties and the laws of nations and those which may stand merely on the footing of the municipal law. The former kind may be supposed proper for the federal jurisdiction, the latter for that of the States. But it is at least problematical, whether an unjust sentence against a foreigner, where the subject of controversy was wholly relative to the lex loci, would not, if unredressed, be an aggression upon his sovereign, as well as one which violated the stipulations of a treaty or the general law of nations. And a still greater objection to the distinction would result from the immense difficulty, if not impossibility, of a practical discrimination between the cases of one complexion and those of the other. So great a proportion of the cases in which foreigners are parties, involve national questions, that it is by far most safe and most expedient to refer all those in which they are concerned to the national tribunals.

The fourth point is based on the simple idea that the peace of the WHOLE shouldn't be left in the hands of a PART. The Union will certainly be accountable to foreign powers for the actions of its members. And the responsibility for causing harm should always come with the ability to prevent it. Since denying or twisting justice—whether through court decisions or in any other way—is rightly considered one of the valid reasons for war, it follows that the federal courts should have jurisdiction over all cases involving citizens from other countries. This is just as crucial for maintaining public trust as it is for ensuring public peace. One might try to differentiate between cases that arise from treaties and international laws versus those that depend solely on local laws. The former might be appropriate for federal jurisdiction, while the latter could fall under state jurisdiction. However, it remains questionable whether an unjust ruling against a foreigner—where the issue was entirely related to local law—would not, if left uncorrected, be an offense against their sovereign, as well as a violation of treaty obligations or international law. An even bigger problem with this differentiation lies in the immense difficulty, if not impossibility, of practically telling apart the two types of cases. A significant number of cases involving foreigners involve national issues, making it much safer and more practical to refer all such cases to the national courts.

The power of determining causes between two States, between one State and the citizens of another, and between the citizens of different States, is perhaps not less essential to the peace of the Union than that which has been just examined. History gives us a horrid picture of the dissensions and private wars which distracted and desolated Germany prior to the institution of the Imperial Chamber by Maximilian, towards the close of the fifteenth century; and informs us, at the same time, of the vast influence of that institution in appeasing the disorders and establishing the tranquillity of the empire. This was a court invested with authority to decide finally all differences among the members of the Germanic body.

The ability to resolve disputes between two states, between one state and the citizens of another, and between the citizens of different states is arguably just as important for the peace of the union as what we just discussed. History shows us a terrifying view of the conflicts and civil wars that tore apart Germany before Maximilian set up the Imperial Chamber at the end of the fifteenth century. It also tells us about the significant impact that institution had in calming the chaos and bringing peace to the empire. This was a court with the power to make final decisions on all disagreements among the members of the Germanic community.

A method of terminating territorial disputes between the States, under the authority of the federal head, was not unattended to, even in the imperfect system by which they have been hitherto held together. But there are many other sources, besides interfering claims of boundary, from which bickerings and animosities may spring up among the members of the Union. To some of these we have been witnesses in the course of our past experience. It will readily be conjectured that I allude to the fraudulent laws which have been passed in too many of the States. And though the proposed Constitution establishes particular guards against the repetition of those instances which have heretofore made their appearance, yet it is warrantable to apprehend that the spirit which produced them will assume new shapes, that could not be foreseen nor specifically provided against. Whatever practices may have a tendency to disturb the harmony between the States, are proper objects of federal superintendence and control.

A way to resolve territorial disputes between the States, under the federal authority, was considered, even within the flawed system that has kept them together so far. However, there are many other reasons, aside from conflicting boundary claims, that can lead to disagreements and tensions among the members of the Union. We have seen some of these issues in our past experiences. It’s likely that I’m referring to the unfair laws that have been enacted in too many States. Although the proposed Constitution puts specific protections in place to prevent those situations from happening again, it’s reasonable to worry that the attitude behind them will take on new forms that we can’t predict or specifically guard against. Any actions that could disrupt the harmony among the States deserve federal oversight and control.

It may be esteemed the basis of the Union, that "the citizens of each State shall be entitled to all the privileges and immunities of citizens of the several States." And if it be a just principle that every government ought to possess the means of executing its own provisions by its own authority, it will follow, that in order to the inviolable maintenance of that equality of privileges and immunities to which the citizens of the Union will be entitled, the national judiciary ought to preside in all cases in which one State or its citizens are opposed to another State or its citizens. To secure the full effect of so fundamental a provision against all evasion and subterfuge, it is necessary that its construction should be committed to that tribunal which, having no local attachments, will be likely to be impartial between the different States and their citizens, and which, owing its official existence to the Union, will never be likely to feel any bias inauspicious to the principles on which it is founded.

It can be seen as the foundation of the Union that "the citizens of each State should have the same rights and protections as citizens of other States." If it's true that every government should have the power to enforce its own laws, then it follows that to maintain the equality of rights and protections for all citizens of the Union, the national judiciary should handle any cases where one State or its citizens are in conflict with another State or its citizens. To ensure this essential principle is upheld without any loopholes or tricks, it is important that its interpretation is given to a court that, free from local biases, is likely to be fair among the different States and their citizens, and which, being established by the Union, is unlikely to have any bias against the foundational principles it is based upon.

The fifth point will demand little animadversion. The most bigoted idolizers of State authority have not thus far shown a disposition to deny the national judiciary the cognizances of maritime causes. These so generally depend on the laws of nations, and so commonly affect the rights of foreigners, that they fall within the considerations which are relative to the public peace. The most important part of them are, by the present Confederation, submitted to federal jurisdiction.

The fifth point will require little criticism. Even the most extreme supporters of state authority haven’t shown a willingness to deny the national judiciary the authority over maritime cases. These cases often rely on international laws and frequently impact the rights of foreigners, so they relate to matters affecting public peace. The most significant aspects of these cases are, under the current Confederation, subject to federal jurisdiction.

The reasonableness of the agency of the national courts in cases in which the State tribunals cannot be supposed to be impartial, speaks for itself. No man ought certainly to be a judge in his own cause, or in any cause in respect to which he has the least interest or bias. This principle has no inconsiderable weight in designating the federal courts as the proper tribunals for the determination of controversies between different States and their citizens. And it ought to have the same operation in regard to some cases between citizens of the same State. Claims to land under grants of different States, founded upon adverse pretensions of boundary, are of this description. The courts of neither of the granting States could be expected to be unbiased. The laws may have even prejudged the question, and tied the courts down to decisions in favor of the grants of the State to which they belonged. And even where this had not been done, it would be natural that the judges, as men, should feel a strong predilection to the claims of their own government.

The fairness of national courts in situations where state courts are unlikely to be impartial is clear. No one should be a judge in their own case or in any case where they have even a small interest or bias. This principle is significant in establishing federal courts as the right venues for resolving disputes between different states and their citizens. It should also apply to some cases involving citizens of the same state. Disputes over land claims based on different states' grants, which involve conflicting boundary claims, fall into this category. Courts in either of the granting states can't be counted on to be impartial. The laws might have already predetermined the outcome, forcing the courts to favor the grants of their own state. Even if that isn't the case, it's only natural for judges, as individuals, to prefer the claims of their own government.

Having thus laid down and discussed the principles which ought to regulate the constitution of the federal judiciary, we will proceed to test, by these principles, the particular powers of which, according to the plan of the convention, it is to be composed. It is to comprehend "all cases in law and equity arising under the Constitution, the laws of the United States, and treaties made, or which shall be made, under their authority; to all cases affecting ambassadors, other public ministers, and consuls; to all cases of admiralty and maritime jurisdiction; to controversies to which the United States shall be a party; to controversies between two or more States; between a State and citizens of another State; between citizens of different States; between citizens of the same State claiming lands and grants of different States; and between a State or the citizens thereof and foreign states, citizens, and subjects." This constitutes the entire mass of the judicial authority of the Union. Let us now review it in detail. It is, then, to extend:

Having laid out and discussed the principles that should guide the structure of the federal judiciary, we will now test the specific powers that, according to the convention's plan, it is meant to include. It should cover "all cases in law and equity arising under the Constitution, the laws of the United States, and treaties made, or that will be made, under their authority; to all cases involving ambassadors, other public ministers, and consuls; to all cases of admiralty and maritime jurisdiction; to controversies in which the United States is a party; to disputes between two or more States; between a State and citizens of another State; between citizens of different States; between citizens of the same State claiming land and grants from different States; and between a State or its citizens and foreign states, citizens, and subjects." This forms the complete scope of the Union's judicial authority. Let’s now examine it in detail. It is, therefore, to extend:

First. To all cases in law and equity, arising under the Constitution and the laws of the United States. This corresponds with the two first classes of causes, which have been enumerated, as proper for the jurisdiction of the United States. It has been asked, what is meant by "cases arising under the Constitution," in contradiction from those "arising under the laws of the United States"? The difference has been already explained. All the restrictions upon the authority of the State legislatures furnish examples of it. They are not, for instance, to emit paper money; but the interdiction results from the Constitution, and will have no connection with any law of the United States. Should paper money, notwithstanding, be emited, the controversies concerning it would be cases arising under the Constitution and not the laws of the United States, in the ordinary signification of the terms. This may serve as a sample of the whole.

First. To all cases in law and equity that arise under the Constitution and the laws of the United States. This aligns with the first two types of cases that have been identified as appropriate for the jurisdiction of the United States. It's been questioned what is meant by "cases arising under the Constitution" as opposed to those "arising under the laws of the United States." The difference has been explained already. All the limitations on the authority of State legislatures provide examples of this. For instance, they are not allowed to issue paper money; the prohibition comes from the Constitution and is not tied to any law of the United States. If paper money is issued anyway, the disputes regarding it would be cases arising under the Constitution, not the laws of the United States in the usual sense of the terms. This serves as an example of the whole concept.

It has also been asked, what need of the word "equity". What equitable causes can grow out of the Constitution and laws of the United States? There is hardly a subject of litigation between individuals, which may not involve those ingredients of fraud, accident, trust, or hardship, which would render the matter an object of equitable rather than of legal jurisdiction, as the distinction is known and established in several of the States. It is the peculiar province, for instance, of a court of equity to relieve against what are called hard bargains: these are contracts in which, though there may have been no direct fraud or deceit, sufficient to invalidate them in a court of law, yet there may have been some undue and unconscionable advantage taken of the necessities or misfortunes of one of the parties, which a court of equity would not tolerate. In such cases, where foreigners were concerned on either side, it would be impossible for the federal judicatories to do justice without an equitable as well as a legal jurisdiction. Agreements to convey lands claimed under the grants of different States, may afford another example of the necessity of an equitable jurisdiction in the federal courts. This reasoning may not be so palpable in those States where the formal and technical distinction between LAW and EQUITY is not maintained, as in this State, where it is exemplified by every day's practice.

People have also asked why we need the term "equity." What equitable issues can arise from the Constitution and laws of the United States? There’s hardly any legal dispute between individuals that doesn’t involve elements of fraud, accident, trust, or hardship, which could make the case a matter for equitable rather than legal jurisdiction, as established in several states. For example, it is the specific role of equity courts to address what are called hard bargains: these are contracts that, while they may not involve direct fraud or deceit enough to be invalidated in a legal court, might still involve some undue and unfair advantage taken of one party’s needs or misfortunes, which a court of equity would not accept. In such situations, when foreign parties are involved, it would be impossible for federal courts to achieve justice without having both equitable and legal jurisdiction. Agreements to transfer land claimed under different state grants are another example of the need for equitable jurisdiction in federal courts. This reasoning might not be as clear in states where the formal distinction between LAW and EQUITY is not maintained, unlike in this state, where it's evident in everyday practice.

The judiciary authority of the Union is to extend:

The judicial authority of the Union is to extend:

Second. To treaties made, or which shall be made, under the authority of the United States, and to all cases affecting ambassadors, other public ministers, and consuls. These belong to the fourth class of the enumerated cases, as they have an evident connection with the preservation of the national peace.

Second. To treaties made or that will be made under the authority of the United States, and to all cases involving ambassadors, other public ministers, and consuls. These fall into the fourth category of the listed cases, as they are clearly connected to maintaining national peace.

Third. To cases of admiralty and maritime jurisdiction. These form, altogether, the fifth of the enumerated classes of causes proper for the cognizance of the national courts.

Third. To cases of admiralty and maritime jurisdiction. These make up the fifth of the listed types of cases suitable for the national courts to handle.

Fourth. To controversies to which the United States shall be a party. These constitute the third of those classes.

Fourth. To disputes in which the United States is involved. These make up the third of those categories.

Fifth. To controversies between two or more States; between a State and citizens of another State; between citizens of different States. These belong to the fourth of those classes, and partake, in some measure, of the nature of the last.

Fifth. To disputes between two or more states; between a state and citizens of another state; between citizens of different states. These belong to the fourth of those classes and share, to some extent, the characteristics of the last.

Sixth. To cases between the citizens of the same State, claiming lands under grants of different States. These fall within the last class, and are the only instances in which the proposed Constitution directly contemplates the cognizance of disputes between the citizens of the same State.

Sixth. In cases between citizens of the same State who are claiming land under grants from different States. These fall into the last category, and they are the only situations where the proposed Constitution directly addresses disputes between citizens of the same State.

Seventh. To cases between a State and the citizens thereof, and foreign States, citizens, or subjects. These have been already explained to belong to the fourth of the enumerated classes, and have been shown to be, in a peculiar manner, the proper subjects of the national judicature.

Seventh. In cases involving a State and its citizens, as well as foreign States, citizens, or subjects. These have already been clarified as belonging to the fourth of the listed classes and have been demonstrated to be, in a unique way, the appropriate subjects for the national judiciary.

From this review of the particular powers of the federal judiciary, as marked out in the Constitution, it appears that they are all conformable to the principles which ought to have governed the structure of that department, and which were necessary to the perfection of the system. If some partial inconveniences should appear to be connected with the incorporation of any of them into the plan, it ought to be recollected that the national legislature will have ample authority to make such exceptions, and to prescribe such regulations as will be calculated to obviate or remove these inconveniences. The possibility of particular mischiefs can never be viewed, by a wellinformed mind, as a solid objection to a general principle, which is calculated to avoid general mischiefs and to obtain general advantages.

From this review of the specific powers of the federal judiciary, as outlined in the Constitution, it seems that they all align with the principles that should govern the structure of that branch, which were necessary for the system's improvement. If some minor inconveniences seem to be linked with including any of them in the plan, it should be remembered that the national legislature will have sufficient authority to make exceptions and set regulations designed to address or eliminate these inconveniences. The potential for specific problems should never be seen, by a knowledgeable person, as a valid objection to a general principle that aims to prevent widespread issues and achieve overall benefits.

PUBLIUS

PUBLIUS





FEDERALIST No. 81. The Judiciary Continued, and the Distribution of the Judicial Authority.

From McLEAN's Edition, New York. Wednesday, May 28, 1788.

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

LET US now return to the partition of the judiciary authority between different courts, and their relations to each other.

LET'S now go back to the division of judicial authority among different courts and how they relate to one another.

"The judicial power of the United States is" (by the plan of the convention) "to be vested in one Supreme Court, and in such inferior courts as the Congress may, from time to time, ordain and establish."(1)

"The judicial power of the United States is" (according to the convention's plan) "to be held by one Supreme Court and by any lower courts that Congress may establish from time to time."(1)

That there ought to be one court of supreme and final jurisdiction, is a proposition which is not likely to be contested. The reasons for it have been assigned in another place, and are too obvious to need repetition. The only question that seems to have been raised concerning it, is, whether it ought to be a distinct body or a branch of the legislature. The same contradiction is observable in regard to this matter which has been remarked in several other cases. The very men who object to the Senate as a court of impeachments, on the ground of an improper intermixture of powers, advocate, by implication at least, the propriety of vesting the ultimate decision of all causes, in the whole or in a part of the legislative body.

That there should be one court with supreme and final authority is a claim that’s unlikely to be challenged. The reasons for this have been explained elsewhere and are too clear to repeat. The only question that seems to have come up is whether it should be a separate entity or a part of the legislature. The same inconsistency noted in other situations is present here as well. The very people who oppose the Senate acting as a court for impeachments because of a problematic mix of powers are, at least implicitly, supporting the idea of placing the ultimate decision on all cases in the entire legislative body or part of it.

The arguments, or rather suggestions, upon which this charge is founded, are to this effect: "The authority of the proposed Supreme Court of the United States, which is to be a separate and independent body, will be superior to that of the legislature. The power of construing the laws according to the spirit of the Constitution, will enable that court to mould them into whatever shape it may think proper; especially as its decisions will not be in any manner subject to the revision or correction of the legislative body. This is as unprecedented as it is dangerous. In Britain, the judicial power, in the last resort, resides in the House of Lords, which is a branch of the legislature; and this part of the British government has been imitated in the State constitutions in general. The Parliament of Great Britain, and the legislatures of the several States, can at any time rectify, by law, the exceptionable decisions of their respective courts. But the errors and usurpations of the Supreme Court of the United States will be uncontrollable and remediless." This, upon examination, will be found to be made up altogether of false reasoning upon misconceived fact.

The arguments, or rather suggestions, behind this accusation are as follows: "The authority of the proposed Supreme Court of the United States, which is intended to be a separate and independent entity, will be greater than that of the legislature. The power to interpret the laws based on the intent of the Constitution will allow that court to shape them in whatever way it sees fit; especially since its decisions won’t be subject to review or correction by the legislative body. This is as unprecedented as it is risky. In Britain, the final judicial power rests with the House of Lords, which is part of the legislature; and this aspect of the British government has generally been reflected in State constitutions. The Parliament of Great Britain and the legislatures of the various States can at any time correct, by law, the problematic decisions of their respective courts. But the mistakes and overreach of the Supreme Court of the United States will be beyond control and remedy." Upon closer inspection, this will be found to consist entirely of flawed reasoning based on misunderstandings of the facts.

In the first place, there is not a syllable in the plan under consideration which directly empowers the national courts to construe the laws according to the spirit of the Constitution, or which gives them any greater latitude in this respect than may be claimed by the courts of every State. I admit, however, that the Constitution ought to be the standard of construction for the laws, and that wherever there is an evident opposition, the laws ought to give place to the Constitution. But this doctrine is not deducible from any circumstance peculiar to the plan of the convention, but from the general theory of a limited Constitution; and as far as it is true, is equally applicable to most, if not to all the State governments. There can be no objection, therefore, on this account, to the federal judicature which will not lie against the local judicatures in general, and which will not serve to condemn every constitution that attempts to set bounds to legislative discretion.

First of all, there’s nothing in the proposed plan that gives national courts the authority to interpret laws based on the spirit of the Constitution or allows them any more flexibility in this regard than what is allowed for the courts in each State. I agree that the Constitution should be the guiding standard for interpreting laws and that whenever there’s a clear conflict, the Constitution should take precedence over the laws. However, this principle isn’t derived from anything specific to the convention's plan, but rather from the general idea of a limited Constitution; and as far as it holds true, it applies equally to most, if not all, State governments. Therefore, any objections to the federal judiciary based on this point would also apply to local judiciaries in general and would essentially condemn every constitution that seeks to limit legislative power.

But perhaps the force of the objection may be thought to consist in the particular organization of the Supreme Court; in its being composed of a distinct body of magistrates, instead of being one of the branches of the legislature, as in the government of Great Britain and that of the State. To insist upon this point, the authors of the objection must renounce the meaning they have labored to annex to the celebrated maxim, requiring a separation of the departments of power. It shall, nevertheless, be conceded to them, agreeably to the interpretation given to that maxim in the course of these papers, that it is not violated by vesting the ultimate power of judging in a PART of the legislative body. But though this be not an absolute violation of that excellent rule, yet it verges so nearly upon it, as on this account alone to be less eligible than the mode preferred by the convention. From a body which had even a partial agency in passing bad laws, we could rarely expect a disposition to temper and moderate them in the application. The same spirit which had operated in making them, would be too apt in interpreting them; still less could it be expected that men who had infringed the Constitution in the character of legislators, would be disposed to repair the breach in the character of judges. Nor is this all. Every reason which recommends the tenure of good behavior for judicial offices, militates against placing the judiciary power, in the last resort, in a body composed of men chosen for a limited period. There is an absurdity in referring the determination of causes, in the first instance, to judges of permanent standing; in the last, to those of a temporary and mutable constitution. And there is a still greater absurdity in subjecting the decisions of men, selected for their knowledge of the laws, acquired by long and laborious study, to the revision and control of men who, for want of the same advantage, cannot but be deficient in that knowledge. The members of the legislature will rarely be chosen with a view to those qualifications which fit men for the stations of judges; and as, on this account, there will be great reason to apprehend all the ill consequences of defective information, so, on account of the natural propensity of such bodies to party divisions, there will be no less reason to fear that the pestilential breath of faction may poison the fountains of justice. The habit of being continually marshalled on opposite sides will be too apt to stifle the voice both of law and of equity.

But maybe the main issue with the objection lies in the structure of the Supreme Court; it consists of a separate group of judges instead of being one of the branches of the legislature, like in the government of Great Britain and the State. To emphasize this point, those making the objection must give up the meaning they’ve tried to attach to the famous principle that requires a separation of powers. Still, we can agree with them, based on the interpretation of that principle discussed in these papers, that it isn't violated by giving the ultimate power of judgment to a part of the legislative body. However, even if this isn't a complete violation of that important rule, it comes so close that it is less desirable than the method preferred by the convention. From a body that has even a partial role in creating flawed laws, we can hardly expect a willingness to temper and moderate them in practice. The same mindset that influenced their creation would likely carry over into their interpretation; even less can we expect that those who have violated the Constitution as legislators would be inclined to fix the damage as judges. There’s more to consider. Every argument that supports lifetime appointments for judges goes against placing the judicial power, in the end, in a group of people chosen for a limited time. It’s ridiculous to entrust the initial decision-making to judges with permanent positions, and the final decisions to those of a temporary and changing nature. There's an even greater absurdity in subjecting the rulings of individuals, selected for their legal knowledge gained through extensive study, to the review and authority of those who, due to lack of the same experience, cannot help but be less knowledgeable. Legislators are rarely chosen with the qualifications needed for judicial roles in mind, and because of this, we should have serious concerns about the negative impacts of inadequate information. Additionally, due to the natural tendency of such groups to split into factions, we should also worry that the toxic influence of partisanship might corrupt the sources of justice. The practice of constantly aligning on opposite sides would likely drown out the voices of both law and fairness.

These considerations teach us to applaud the wisdom of those States who have committed the judicial power, in the last resort, not to a part of the legislature, but to distinct and independent bodies of men. Contrary to the supposition of those who have represented the plan of the convention, in this respect, as novel and unprecedented, it is but a copy of the constitutions of New Hampshire, Massachusetts, Pennsylvania, Delaware, Maryland, Virginia, North Carolina, South Carolina, and Georgia; and the preference which has been given to those models is highly to be commended.

These points show us to appreciate the wisdom of those states that have assigned judicial power, in the final instance, not to a part of the legislature, but to separate and independent groups of people. Contrary to the belief of those who have described the convention's plan in this regard as new and unique, it is simply a copy of the constitutions from New Hampshire, Massachusetts, Pennsylvania, Delaware, Maryland, Virginia, North Carolina, South Carolina, and Georgia; and the choice to follow those models is certainly commendable.

It is not true, in the second place, that the Parliament of Great Britain, or the legislatures of the particular States, can rectify the exceptionable decisions of their respective courts, in any other sense than might be done by a future legislature of the United States. The theory, neither of the British, nor the State constitutions, authorizes the revisal of a judicial sentence by a legislative act. Nor is there any thing in the proposed Constitution, more than in either of them, by which it is forbidden. In the former, as well as in the latter, the impropriety of the thing, on the general principles of law and reason, is the sole obstacle. A legislature, without exceeding its province, cannot reverse a determination once made in a particular case; though it may prescribe a new rule for future cases. This is the principle, and it applies in all its consequences, exactly in the same manner and extent, to the State governments, as to the national government now under consideration. Not the least difference can be pointed out in any view of the subject.

It is also not true that the Parliament of Great Britain or the legislatures of individual States can correct the questionable decisions made by their respective courts in any way different from what a future legislature of the United States might do. The theory behind both the British and State constitutions does not allow for a legislative act to revise a judicial decision. There is nothing in the proposed Constitution that prohibits this any more than in either of them. In both cases, the main barrier is the impropriety of such an action according to the basic principles of law and reason. A legislature, without overstepping its boundaries, cannot overturn a decision once made in a specific case; however, it can establish a new rule for future cases. This principle applies equally, in all its implications, to the State governments as it does to the national government we're discussing. There is no significant difference when considering the topic from any perspective.

It may in the last place be observed that the supposed danger of judiciary encroachments on the legislative authority, which has been upon many occasions reiterated, is in reality a phantom. Particular misconstructions and contraventions of the will of the legislature may now and then happen; but they can never be so extensive as to amount to an inconvenience, or in any sensible degree to affect the order of the political system. This may be inferred with certainty, from the general nature of the judicial power, from the objects to which it relates, from the manner in which it is exercised, from its comparative weakness, and from its total incapacity to support its usurpations by force. And the inference is greatly fortified by the consideration of the important constitutional check which the power of instituting impeachments in one part of the legislative body, and of determining upon them in the other, would give to that body upon the members of the judicial department. This is alone a complete security. There never can be danger that the judges, by a series of deliberate usurpations on the authority of the legislature, would hazard the united resentment of the body intrusted with it, while this body was possessed of the means of punishing their presumption, by degrading them from their stations. While this ought to remove all apprehensions on the subject, it affords, at the same time, a cogent argument for constituting the Senate a court for the trial of impeachments.

It can finally be said that the feared threat of judicial overreach into the legislative authority, which has been mentioned multiple times, is actually just an illusion. Some misunderstandings and violations of the legislature's will may occur occasionally, but they can never be significant enough to create a real problem or noticeably disrupt the political system. This is clear from the overall nature of judicial power, the areas it covers, how it operates, its relative weakness, and its complete inability to enforce its overreaches by force. This conclusion is strongly supported by the important constitutional checks provided by the power to initiate impeachments in one part of the legislature and to decide on them in the other. This alone offers full protection. There is no real risk that judges would, through a series of deliberate overreaches of legislative authority, provoke the collective anger of the body entrusted with that authority, especially since that body has the means to punish their arrogance by removing them from their positions. While this should eliminate any concerns on the matter, it also provides a solid argument for making the Senate a court for impeachment trials.

Having now examined, and, I trust, removed the objections to the distinct and independent organization of the Supreme Court, I proceed to consider the propriety of the power of constituting inferior courts,(2) and the relations which will subsist between these and the former.

Having now looked into, and I hope, addressed the objections to the separate and independent setup of the Supreme Court, I will now consider the appropriateness of the power to establish lower courts, and the relationships that will exist between them and the Supreme Court.

The power of constituting inferior courts is evidently calculated to obviate the necessity of having recourse to the Supreme Court in every case of federal cognizance. It is intended to enable the national government to institute or authorize, in each State or district of the United States, a tribunal competent to the determination of matters of national jurisdiction within its limits.

The power to create lower courts clearly aims to reduce the need to turn to the Supreme Court for every federal case. It's meant to allow the national government to set up or permit a court in each state or district of the United States that is capable of handling issues of national importance within its area.

But why, it is asked, might not the same purpose have been accomplished by the instrumentality of the State courts? This admits of different answers. Though the fitness and competency of those courts should be allowed in the utmost latitude, yet the substance of the power in question may still be regarded as a necessary part of the plan, if it were only to empower the national legislature to commit to them the cognizance of causes arising out of the national Constitution. To confer the power of determining such causes upon the existing courts of the several States, would perhaps be as much "to constitute tribunals," as to create new courts with the like power. But ought not a more direct and explicit provision to have been made in favor of the State courts? There are, in my opinion, substantial reasons against such a provision: the most discerning cannot foresee how far the prevalency of a local spirit may be found to disqualify the local tribunals for the jurisdiction of national causes; whilst every man may discover, that courts constituted like those of some of the States would be improper channels of the judicial authority of the Union. State judges, holding their offices during pleasure, or from year to year, will be too little independent to be relied upon for an inflexible execution of the national laws. And if there was a necessity for confiding the original cognizance of causes arising under those laws to them there would be a correspondent necessity for leaving the door of appeal as wide as possible. In proportion to the grounds of confidence in, or distrust of, the subordinate tribunals, ought to be the facility or difficulty of appeals. And well satisfied as I am of the propriety of the appellate jurisdiction, in the several classes of causes to which it is extended by the plan of the convention. I should consider every thing calculated to give, in practice, an unrestrained course to appeals, as a source of public and private inconvenience.

But why, it’s asked, couldn’t the same goal have been achieved through the State courts? This can have different answers. Even if we accept the abilities and qualifications of those courts, the essence of the power in question may still be seen as an essential part of the plan, especially if it’s meant to enable the national legislature to hand over cases arising from the national Constitution to them. Giving the power to decide such cases to the existing courts of the various States would be as much “constituting tribunals” as creating new courts with the same power. But shouldn’t a more direct and clear provision have been made for the State courts? In my view, there are solid reasons against such a provision: it’s hard to predict how much local bias might prevent local courts from handling national cases effectively; while it’s obvious that courts like some of those in the States would be poor channels for the judicial authority of the Union. State judges, who serve at the pleasure of the governor or for a year at a time, might not be independent enough to ensure the strict enforcement of national laws. And if it was necessary to entrust the original authority over cases arising under those laws to them, it would also be necessary to keep the appeal process as open as possible. The ease or difficulty of appeals should depend on the level of trust or distrust in these lower courts. I fully support the idea of appellate jurisdiction in the various types of cases outlined by the convention's plan. However, I would see anything that encourages unlimited appeals, in practice, as a source of public and private problems.

I am not sure, but that it will be found highly expedient and useful, to divide the United States into four or five or half a dozen districts; and to institute a federal court in each district, in lieu of one in every State. The judges of these courts, with the aid of the State judges, may hold circuits for the trial of causes in the several parts of the respective districts. Justice through them may be administered with ease and despatch; and appeals may be safely circumscribed within a narrow compass. This plan appears to me at present the most eligible of any that could be adopted; and in order to it, it is necessary that the power of constituting inferior courts should exist in the full extent in which it is to be found in the proposed Constitution.

I'm not sure, but it seems really practical and beneficial to split the United States into four, five, or even six districts, and to set up a federal court in each district instead of one in every state. The judges of these courts, with help from the state judges, can travel to handle cases in different parts of their districts. Justice can be delivered smoothly and quickly, and appeals can be kept within a manageable range. This plan seems to be the best option available right now, and to make it work, the power to create lower courts needs to be fully included as outlined in the proposed Constitution.

These reasons seem sufficient to satisfy a candid mind, that the want of such a power would have been a great defect in the plan. Let us now examine in what manner the judicial authority is to be distributed between the supreme and the inferior courts of the Union.

These reasons seem enough to convince an open-minded person that lacking such a power would have been a serious flaw in the plan. Now, let's look at how the judicial authority should be split between the supreme and the lower courts of the Union.

The Supreme Court is to be invested with original jurisdiction, only "in cases affecting ambassadors, other public ministers, and consuls, and those in which A STATE shall be a party." Public ministers of every class are the immediate representatives of their sovereigns. All questions in which they are concerned are so directly connected with the public peace, that, as well for the preservation of this, as out of respect to the sovereignties they represent, it is both expedient and proper that such questions should be submitted in the first instance to the highest judicatory of the nation. Though consuls have not in strictness a diplomatic character, yet as they are the public agents of the nations to which they belong, the same observation is in a great measure applicable to them. In cases in which a State might happen to be a party, it would ill suit its dignity to be turned over to an inferior tribunal.

The Supreme Court will have original jurisdiction only "in cases involving ambassadors, other public ministers, and consuls, and those where a STATE is a party." Public ministers of all types are the direct representatives of their countries. Any issues involving them are closely tied to public peace, so it's both necessary and appropriate that these matters be brought first to the highest court in the country, both to maintain peace and to show respect for the countries they represent. While consuls don’t strictly have a diplomatic role, they are public representatives of their nations, so the same point largely applies to them. If a State is involved in a case, it wouldn’t be fitting for it to be referred to a lower court.

Though it may rather be a digression from the immediate subject of this paper, I shall take occasion to mention here a supposition which has excited some alarm upon very mistaken grounds. It has been suggested that an assignment of the public securities of one State to the citizens of another, would enable them to prosecute that State in the federal courts for the amount of those securities; a suggestion which the following considerations prove to be without foundation.

Though this may seem like a digression from the main topic of this paper, I want to mention a concern that has caused unnecessary alarm for misguided reasons. Some have suggested that transferring public securities from one state to the citizens of another would allow those citizens to sue that state in federal courts for the value of those securities; however, the following points demonstrate that this suggestion is unfounded.

It is inherent in the nature of sovereignty not to be amenable to the suit of an individual without its consent. This is the general sense, and the general practice of mankind; and the exemption, as one of the attributes of sovereignty, is now enjoyed by the government of every State in the Union. Unless, therefore, there is a surrender of this immunity in the plan of the convention, it will remain with the States, and the danger intimated must be merely ideal. The circumstances which are necessary to produce an alienation of State sovereignty were discussed in considering the article of taxation, and need not be repeated here. A recurrence to the principles there established will satisfy us, that there is no color to pretend that the State governments would, by the adoption of that plan, be divested of the privilege of paying their own debts in their own way, free from every constraint but that which flows from the obligations of good faith. The contracts between a nation and individuals are only binding on the conscience of the sovereign, and have no pretensions to a compulsive force. They confer no right of action, independent of the sovereign will. To what purpose would it be to authorize suits against States for the debts they owe? How could recoveries be enforced? It is evident, it could not be done without waging war against the contracting State; and to ascribe to the federal courts, by mere implication, and in destruction of a pre-existing right of the State governments, a power which would involve such a consequence, would be altogether forced and unwarrantable.

It is a fundamental aspect of sovereignty that it cannot be sued by an individual without its permission. This is the general understanding and practice of people everywhere; the immunity, as one of the characteristics of sovereignty, is now upheld by the government of every state in the Union. Unless there is an explicit waiver of this immunity in the convention's plan, it will stay with the states, and the mentioned threat must be purely hypothetical. The conditions that would lead to a loss of state sovereignty were discussed when looking at the taxation article, and there’s no need to go over them again here. Referring back to the principles established then shows that there is no basis to argue that state governments would, by adopting that plan, lose the right to pay off their debts in their own way, free from any constraints except for those arising from good faith obligations. Contracts between a nation and individuals only bind the sovereign's conscience and do not carry any enforceable power. They do not provide an independent right to take legal action outside of the sovereign's will. What would be the point of allowing lawsuits against states for the debts they owe? How could those debts be enforced? Clearly, enforcement would be impossible without declaring war on the state in question; attributing such power to federal courts—implicitly and in a way that undermines the existing rights of state governments—would be completely unreasonable and unjustifiable.

Let us resume the train of our observations. We have seen that the original jurisdiction of the Supreme Court would be confined to two classes of causes, and those of a nature rarely to occur. In all other cases of federal cognizance, the original jurisdiction would appertain to the inferior tribunals; and the Supreme Court would have nothing more than an appellate jurisdiction, "with such exceptions and under such regulations as the Congress shall make."

Let’s continue with our observations. We’ve noted that the Supreme Court's original jurisdiction would be limited to two types of cases, which are quite rare. In all other federal matters, original jurisdiction would belong to lower courts, while the Supreme Court would only have appellate jurisdiction, "with such exceptions and under such regulations as Congress shall establish."

The propriety of this appellate jurisdiction has been scarcely called in question in regard to matters of law; but the clamors have been loud against it as applied to matters of fact. Some well-intentioned men in this State, deriving their notions from the language and forms which obtain in our courts, have been induced to consider it as an implied supersedure of the trial by jury, in favor of the civil-law mode of trial, which prevails in our courts of admiralty, probate, and chancery. A technical sense has been affixed to the term "appellate," which, in our law parlance, is commonly used in reference to appeals in the course of the civil law. But if I am not misinformed, the same meaning would not be given to it in any part of New England. There an appeal from one jury to another, is familiar both in language and practice, and is even a matter of course, until there have been two verdicts on one side. The word "appellate," therefore, will not be understood in the same sense in New England as in New York, which shows the impropriety of a technical interpretation derived from the jurisprudence of any particular State. The expression, taken in the abstract, denotes nothing more than the power of one tribunal to review the proceedings of another, either as to the law or fact, or both. The mode of doing it may depend on ancient custom or legislative provision (in a new government it must depend on the latter), and may be with or without the aid of a jury, as may be judged advisable. If, therefore, the re-examination of a fact once determined by a jury, should in any case be admitted under the proposed Constitution, it may be so regulated as to be done by a second jury, either by remanding the cause to the court below for a second trial of the fact, or by directing an issue immediately out of the Supreme Court.

The legitimacy of this appellate jurisdiction has rarely been questioned regarding legal matters; however, there have been strong objections to it when it comes to factual matters. Some well-meaning individuals in this state, influenced by the terminology and processes used in our courts, have come to see it as a sort of replacement for the trial by jury, favoring the civil-law trial methods found in our admiralty, probate, and chancery courts. A specific meaning has been attached to the term "appellate," which, in our legal context, is usually linked to appeals in civil law. However, if I’m not mistaken, the same meaning wouldn't be understood the same way in any part of New England. There, an appeal from one jury to another is a common practice, almost routine, until there have been two verdicts on the same side. Thus, the term "appellate" will not carry the same meaning in New England as it does in New York, highlighting the issue with using a technical interpretation based on the legal practices of a specific state. In its basic sense, the term simply refers to one court's authority to review the actions of another, whether regarding law, fact, or both. The method for doing this could depend on long-standing customs or laws (and in a new government, it would have to rely on the latter) and could involve a jury or not, based on what seems necessary. Therefore, if the reconsideration of a fact once decided by a jury is allowed under the proposed Constitution, it could be organized in such a way that a second jury handles it, either by sending the case back to the lower court for a retrial on the facts or by directing an issue straight out of the Supreme Court.

But it does not follow that the re-examination of a fact once ascertained by a jury, will be permitted in the Supreme Court. Why may not it be said, with the strictest propriety, when a writ of error is brought from an inferior to a superior court of law in this State, that the latter has jurisdiction of the fact as well as the law? It is true it cannot institute a new inquiry concerning the fact, but it takes cognizance of it as it appears upon the record, and pronounces the law arising upon it.(3) This is jurisdiction of both fact and law; nor is it even possible to separate them. Though the common-law courts of this State ascertain disputed facts by a jury, yet they unquestionably have jurisdiction of both fact and law; and accordingly when the former is agreed in the pleadings, they have no recourse to a jury, but proceed at once to judgment. I contend, therefore, on this ground, that the expressions, "appellate jurisdiction, both as to law and fact," do not necessarily imply a re-examination in the Supreme Court of facts decided by juries in the inferior courts.

But it doesn't mean that the Supreme Court will allow a re-examination of facts that have already been determined by a jury. Why can't it be said, with complete accuracy, that when a writ of error is taken from a lower to a higher court in this State, the higher court has jurisdiction over both the facts and the law? It's true that it cannot start a new investigation into the facts, but it does recognize them as they are recorded and rules on the law related to them. This is jurisdiction over both fact and law, and they can't really be separated. Although the common-law courts in this State determine disputed facts through a jury, they definitely have jurisdiction over both fact and law; therefore, when the facts are agreed upon in the pleadings, they don't need a jury and go straight to judgment. I argue, on this basis, that the terms, "appellate jurisdiction, both as to law and fact," do not necessarily mean that the Supreme Court will re-examine facts that juries have already decided in the lower courts.

The following train of ideas may well be imagined to have influenced the convention, in relation to this particular provision. The appellate jurisdiction of the Supreme Court (it may have been argued) will extend to causes determinable in different modes, some in the course of the COMMON LAW, others in the course of the CIVIL LAW. In the former, the revision of the law only will be, generally speaking, the proper province of the Supreme Court; in the latter, the re-examination of the fact is agreeable to usage, and in some cases, of which prize causes are an example, might be essential to the preservation of the public peace. It is therefore necessary that the appellate jurisdiction should, in certain cases, extend in the broadest sense to matters of fact. It will not answer to make an express exception of cases which shall have been originally tried by a jury, because in the courts of some of the States all causes are tried in this mode(4); and such an exception would preclude the revision of matters of fact, as well where it might be proper, as where it might be improper. To avoid all inconveniencies, it will be safest to declare generally, that the Supreme Court shall possess appellate jurisdiction both as to law and fact, and that this jurisdiction shall be subject to such exceptions and regulations as the national legislature may prescribe. This will enable the government to modify it in such a manner as will best answer the ends of public justice and security.

The following ideas likely influenced the convention regarding this specific provision. It may have been argued that the Supreme Court's appellate jurisdiction will cover cases that can be decided in different ways: some through COMMON LAW and others through CIVIL LAW. In the former, the Supreme Court generally would only revise the law; in the latter, reviewing the facts is customary, and in some instances, like prize cases, it might be crucial for maintaining public peace. Therefore, it's important that appellate jurisdiction, in certain cases, broadly cover matters of fact. It wouldn't be practical to explicitly exclude cases that were originally tried by a jury because in some states, all cases are tried this way; such an exclusion would prevent reviewing fact matters, both where it could be appropriate and where it could be inappropriate. To avoid any issues, it’s best to state that the Supreme Court shall have appellate jurisdiction over both law and fact, and that this jurisdiction will be subject to exceptions and regulations as determined by the national legislature. This will allow the government to adjust it in a way that will best serve public justice and security.

This view of the matter, at any rate, puts it out of all doubt that the supposed abolition of the trial by jury, by the operation of this provision, is fallacious and untrue. The legislature of the United States would certainly have full power to provide, that in appeals to the Supreme Court there should be no re-examination of facts where they had been tried in the original causes by juries. This would certainly be an authorized exception; but if, for the reason already intimated, it should be thought too extensive, it might be qualified with a limitation to such causes only as are determinable at common law in that mode of trial.

This perspective clearly shows that the idea of eliminating the trial by jury through this provision is misleading and false. The U.S. Congress definitely has the authority to establish that in appeals to the Supreme Court, there shouldn't be a re-examination of facts if they were already decided by juries in the original cases. This would certainly be a valid exception; however, if it's considered too broad for the reasons mentioned earlier, it could be limited to cases that can only be decided at common law using that method of trial.

The amount of the observations hitherto made on the authority of the judicial department is this: that it has been carefully restricted to those causes which are manifestly proper for the cognizance of the national judicature; that in the partition of this authority a very small portion of original jurisdiction has been preserved to the Supreme Court, and the rest consigned to the subordinate tribunals; that the Supreme Court will possess an appellate jurisdiction, both as to law and fact, in all the cases referred to them, both subject to any exceptions and regulations which may be thought advisable; that this appellate jurisdiction does, in no case, abolish the trial by jury; and that an ordinary degree of prudence and integrity in the national councils will insure us solid advantages from the establishment of the proposed judiciary, without exposing us to any of the inconveniences which have been predicted from that source.

The observations made so far regarding the authority of the judicial branch are as follows: it has been carefully limited to cases that are clearly suitable for national courts; in dividing this authority, only a small part of the original jurisdiction has been kept for the Supreme Court, with the remainder assigned to lower courts; the Supreme Court will have appellate jurisdiction—over both law and fact—in all cases brought before it, subject to any exceptions and rules that may be deemed appropriate; this appellate jurisdiction does not eliminate the right to a jury trial; and a reasonable amount of caution and integrity in national governance will provide us with significant benefits from establishing the proposed judiciary, while avoiding the issues that have been anticipated to arise from it.

PUBLIUS

PUBLIUS

1. Article 3, Sec. 1.

Article 3, Sec. 1.

2. This power has been absurdly represented as intended to abolish all the county courts in the several States, which are commonly called inferior courts. But the expressions of the Constitution are, to constitute "tribunals INFERIOR TO THE SUPREME COURT"; and the evident design of the provision is to enable the institution of local courts, subordinate to the Supreme, either in States or larger districts. It is ridiculous to imagine that county courts were in contemplation.

2. This power has been ridiculously portrayed as meant to get rid of all the county courts in the various states, which are usually known as inferior courts. However, the wording of the Constitution is to create "tribunals INFERIOR TO THE SUPREME COURT"; and the clear purpose of this provision is to allow for the establishment of local courts that are subordinate to the Supreme Court, whether in states or larger areas. It's absurd to think that county courts were ever the focus.

3. This word is composed of JUS and DICTIO, juris dictio or a speaking and pronouncing of the law.

3. This word is made up of JUS and DICTIO, which means the law's expression or the speaking and stating of the law.

4. I hold that the States will have concurrent jurisdiction with the subordinate federal judicatories, in many cases of federal cognizance, as will be explained in my next paper.

4. I believe that the states will share jurisdiction with the lower federal courts in many cases that involve federal matters, which I will explain in my next paper.





FEDERALIST No. 82. The Judiciary Continued.

From McLEAN's Edition, New York. Wednesday, May 28, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE erection of a new government, whatever care or wisdom may distinguish the work, cannot fail to originate questions of intricacy and nicety; and these may, in a particular manner, be expected to flow from the establishment of a constitution founded upon the total or partial incorporation of a number of distinct sovereignties. 'Tis time only that can mature and perfect so compound a system, can liquidate the meaning of all the parts, and can adjust them to each other in a harmonious and consistent WHOLE.

The establishment of a new government, no matter how careful or wise the effort may be, is bound to raise complex and delicate questions. These issues will particularly arise from setting up a constitution based on the complete or partial merging of several different sovereign entities. Only time can develop and refine such a complicated system, clarify the meaning of all its components, and align them with one another into a cohesive and consistent whole.

Such questions, accordingly, have arisen upon the plan proposed by the convention, and particularly concerning the judiciary department. The principal of these respect the situation of the State courts in regard to those causes which are to be submitted to federal jurisdiction. Is this to be exclusive, or are those courts to possess a concurrent jurisdiction? If the latter, in what relation will they stand to the national tribunals? These are inquiries which we meet with in the mouths of men of sense, and which are certainly entitled to attention.

Such questions have come up regarding the plan suggested by the convention, especially about the judicial system. The main concerns revolve around the role of state courts in relation to cases that will fall under federal jurisdiction. Will this be exclusive, or will state courts have concurrent jurisdiction? If it's the latter, how will they relate to the national courts? These are questions raised by sensible people and definitely deserve consideration.

The principles established in a former paper(1) teach us that the States will retain all pre-existing authorities which may not be exclusively delegated to the federal head; and that this exclusive delegation can only exist in one of three cases: where an exclusive authority is, in express terms, granted to the Union; or where a particular authority is granted to the Union, and the exercise of a like authority is prohibited to the States; or where an authority is granted to the Union, with which a similar authority in the States would be utterly incompatible. Though these principles may not apply with the same force to the judiciary as to the legislative power, yet I am inclined to think that they are, in the main, just with respect to the former, as well as the latter. And under this impression, I shall lay it down as a rule, that the State courts will retain the jurisdiction they now have, unless it appears to be taken away in one of the enumerated modes.

The principles outlined in a previous paper(1) tell us that the States will keep all existing powers that haven’t been exclusively given to the federal government; this exclusive delegation can only occur in one of three scenarios: when an exclusive power is clearly given to the Union; when a specific power is granted to the Union, and the States are prohibited from exercising a similar power; or when a power is granted to the Union that would completely conflict with a similar power in the States. While these principles might not apply as strongly to the judiciary as they do to the legislative branch, I believe they are mostly relevant to both. With that in mind, I will state a rule: State courts will keep the jurisdiction they currently have unless it’s clearly taken away in one of the specified ways.

The only thing in the proposed Constitution, which wears the appearance of confining the causes of federal cognizance to the federal courts, is contained in this passage: "THE JUDICIAL POWER of the United States shall be vested in one Supreme Court, and in such inferior courts as the Congress shall from time to time ordain and establish." This might either be construed to signify, that the supreme and subordinate courts of the Union should alone have the power of deciding those causes to which their authority is to extend; or simply to denote, that the organs of the national judiciary should be one Supreme Court, and as many subordinate courts as Congress should think proper to appoint; or in other words, that the United States should exercise the judicial power with which they are to be invested, through one supreme tribunal, and a certain number of inferior ones, to be instituted by them. The first excludes, the last admits, the concurrent jurisdiction of the State tribunals; and as the first would amount to an alienation of State power by implication, the last appears to me the most natural and the most defensible construction.

The only part of the proposed Constitution that seems to limit federal cases to federal courts is this passage: "THE JUDICIAL POWER of the United States shall be vested in one Supreme Court, and in such inferior courts as the Congress shall from time to time ordain and establish." This could be interpreted to mean that only the Supreme and lower courts of the Union have the power to decide cases within their authority; or it could simply mean that the national judiciary should consist of one Supreme Court and however many lower courts Congress decides to create; in other words, that the United States should exercise judicial power through one supreme court and a certain number of lower courts that they establish. The first interpretation excludes state courts from having any power in these cases, while the last allows for shared jurisdiction with state courts. Since the first interpretation would imply that state power is being taken away, I think the last interpretation is the most straightforward and defensible.

But this doctrine of concurrent jurisdiction is only clearly applicable to those descriptions of causes of which the State courts have previous cognizance. It is not equally evident in relation to cases which may grow out of, and be peculiar to, the Constitution to be established; for not to allow the State courts a right of jurisdiction in such cases, can hardly be considered as the abridgment of a pre-existing authority. I mean not therefore to contend that the United States, in the course of legislation upon the objects intrusted to their direction, may not commit the decision of causes arising upon a particular regulation to the federal courts solely, if such a measure should be deemed expedient; but I hold that the State courts will be divested of no part of their primitive jurisdiction, further than may relate to an appeal; and I am even of opinion that in every case in which they were not expressly excluded by the future acts of the national legislature, they will of course take cognizance of the causes to which those acts may give birth. This I infer from the nature of judiciary power, and from the general genius of the system. The judiciary power of every government looks beyond its own local or municipal laws, and in civil cases lays hold of all subjects of litigation between parties within its jurisdiction, though the causes of dispute are relative to the laws of the most distant part of the globe. Those of Japan, not less than of New York, may furnish the objects of legal discussion to our courts. When in addition to this we consider the State governments and the national governments, as they truly are, in the light of kindred systems, and as parts of ONE WHOLE, the inference seems to be conclusive, that the State courts would have a concurrent jurisdiction in all cases arising under the laws of the Union, where it was not expressly prohibited.

But this idea of having overlapping jurisdiction clearly applies only to the types of cases that state courts already have authority over. It’s not as clear when it comes to cases that might arise from the Constitution being established, because not allowing state courts to have jurisdiction in these cases can hardly be seen as limiting their existing authority. I’m not arguing that the United States, while legislating on matters within its control, can’t assign the resolution of cases related to a specific regulation solely to federal courts if that seems necessary. However, I believe that state courts will not lose any part of their original jurisdiction, except regarding appeals; and I think that in every situation where they aren't explicitly excluded by future national legislation, they will naturally handle the cases those laws create. I draw this conclusion from the nature of judicial power and the overall character of the system. The judicial power of any government extends beyond its own local laws, and in civil cases, it addresses all disputes between parties within its jurisdiction, even if those disputes relate to laws from the farthest corners of the Earth. The laws of Japan, just like those of New York, can be the subjects of legal debate in our courts. When we also consider state and national governments as they truly are—related systems that are part of ONE WHOLE—the conclusion seems clear: state courts would have overlapping jurisdiction in all cases arising under federal law unless it is explicitly restricted.

Here another question occurs: What relation would subsist between the national and State courts in these instances of concurrent jurisdiction? I answer, that an appeal would certainly lie from the latter, to the Supreme Court of the United States. The Constitution in direct terms gives an appellate jurisdiction to the Supreme Court in all the enumerated cases of federal cognizance in which it is not to have an original one, without a single expression to confine its operation to the inferior federal courts. The objects of appeal, not the tribunals from which it is to be made, are alone contemplated. From this circumstance, and from the reason of the thing, it ought to be construed to extend to the State tribunals. Either this must be the case, or the local courts must be excluded from a concurrent jurisdiction in matters of national concern, else the judiciary authority of the Union may be eluded at the pleasure of every plaintiff or prosecutor. Neither of these consequences ought, without evident necessity, to be involved; the latter would be entirely inadmissible, as it would defeat some of the most important and avowed purposes of the proposed government, and would essentially embarrass its measures. Nor do I perceive any foundation for such a supposition. Agreeably to the remark already made, the national and State systems are to be regarded as ONE WHOLE. The courts of the latter will of course be natural auxiliaries to the execution of the laws of the Union, and an appeal from them will as naturally lie to that tribunal which is destined to unite and assimilate the principles of national justice and the rules of national decisions. The evident aim of the plan of the convention is, that all the causes of the specified classes shall, for weighty public reasons, receive their original or final determination in the courts of the Union. To confine, therefore, the general expressions giving appellate jurisdiction to the Supreme Court, to appeals from the subordinate federal courts, instead of allowing their extension to the State courts, would be to abridge the latitude of the terms, in subversion of the intent, contrary to every sound rule of interpretation.

Here’s another question: What relationship would exist between national and State courts in cases of concurrent jurisdiction? I would say that there would definitely be the option to appeal from the latter to the Supreme Court of the United States. The Constitution clearly grants appellate jurisdiction to the Supreme Court in all specified federal cases where it does not have original jurisdiction, without any wording that limits this to inferior federal courts. The focus is on the cases eligible for appeal, not on the courts from which the appeals come. Given this, and based on logic, it should be interpreted to include State courts. This must be the case, or else local courts would be excluded from concurrent jurisdiction in matters of national importance, allowing any plaintiff or prosecutor to circumvent the judicial authority of the Union at will. Neither of these outcomes should happen without clear necessity; the latter would be completely unacceptable as it would undermine some of the key goals of the proposed government and would complicate its operations. Additionally, I see no basis for such an assumption. As mentioned earlier, the national and State systems should be viewed as one cohesive unit. The courts of the latter will naturally support the enforcement of Union laws, and an appeal from them will naturally proceed to the court meant to unify and align the principles of national justice and the rules of national rulings. The clear objective of the convention's plan is for all specified cases to receive their initial or final resolution in Union courts for significant public reasons. Thus, to limit the general phrases granting appellate jurisdiction to the Supreme Court to appeals from subordinate federal courts, instead of extending that to State courts, would restrict the meaning of the terms and contradict the original intention, going against every sensible rule of interpretation.

But could an appeal be made to lie from the State courts to the subordinate federal judicatories? This is another of the questions which have been raised, and of greater difficulty than the former. The following considerations countenance the affirmative. The plan of the convention, in the first place, authorizes the national legislature "to constitute tribunals inferior to the Supreme Court."(2) It declares, in the next place, that "the JUDICIAL POWER of the United States shall be vested in one Supreme Court, and in such inferior courts as Congress shall ordain and establish"; and it then proceeds to enumerate the cases to which this judicial power shall extend. It afterwards divides the jurisdiction of the Supreme Court into original and appellate, but gives no definition of that of the subordinate courts. The only outlines described for them, are that they shall be "inferior to the Supreme Court," and that they shall not exceed the specified limits of the federal judiciary. Whether their authority shall be original or appellate, or both, is not declared. All this seems to be left to the discretion of the legislature. And this being the case, I perceive at present no impediment to the establishment of an appeal from the State courts to the subordinate national tribunals; and many advantages attending the power of doing it may be imagined. It would diminish the motives to the multiplication of federal courts, and would admit of arrangements calculated to contract the appellate jurisdiction of the Supreme Court. The State tribunals may then be left with a more entire charge of federal causes; and appeals, in most cases in which they may be deemed proper, instead of being carried to the Supreme Court, may be made to lie from the State courts to district courts of the Union.

But could you appeal decisions from state courts to lower federal courts? This is another question that has been raised, and it’s more complicated than the previous one. The following points support the idea. First, the convention’s plan allows the national legislature "to create courts inferior to the Supreme Court." It also states that "the JUDICIAL POWER of the United States shall be held by one Supreme Court, and by such inferior courts as Congress shall establish"; and it continues to list the types of cases this judicial power will cover. It then divides the Supreme Court’s jurisdiction into original and appellate, but doesn’t define that of the lower courts. The only guidelines provided for them are that they must be "inferior to the Supreme Court" and must not go beyond the federal judiciary's specified limits. Their authority, whether original or appellate, or both, is not specified. All of this seems to be left to the legislature’s discretion. Given this, I currently see no barrier to allowing appeals from state courts to the lower national courts; and many benefits from this power could be envisioned. It would reduce the reasons to create more federal courts and could lead to arrangements that limit the Supreme Court’s appellate authority. State courts could then take on more federal cases, and appeals, when deemed appropriate, could go from state courts to the district courts of the Union instead of the Supreme Court.

PUBLIUS

PUBLIUS

1. No. 31.

No. 31.

2. Sec. 8, Art. 1.

2. Sec. 8, Art. 1.





FEDERALIST No. 83. The Judiciary Continued in Relation to Trial by Jury

From MCLEAN's Edition, New York. Wednesday, May 28, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

THE objection to the plan of the convention, which has met with most success in this State, and perhaps in several of the other States, is that relative to the want of a constitutional provision for the trial by jury in civil cases. The disingenuous form in which this objection is usually stated has been repeatedly adverted to and exposed, but continues to be pursued in all the conversations and writings of the opponents of the plan. The mere silence of the Constitution in regard to civil causes, is represented as an abolition of the trial by jury, and the declamations to which it has afforded a pretext are artfully calculated to induce a persuasion that this pretended abolition is complete and universal, extending not only to every species of civil, but even to criminal causes. To argue with respect to the latter would, however, be as vain and fruitless as to attempt the serious proof of the existence of matter, or to demonstrate any of those propositions which, by their own internal evidence, force conviction, when expressed in language adapted to convey their meaning.

The main objection to the convention's plan, which has gained the most traction in this state and possibly in several others, is regarding the lack of a constitutional provision for trial by jury in civil cases. The misleading way this objection is often presented has been addressed and exposed multiple times, yet it continues to be brought up in discussions and writings by those against the plan. The mere absence of mention of civil cases in the Constitution is portrayed as if it eliminates the right to a jury trial, and the arguments this has sparked are cleverly designed to create the impression that this supposed elimination is total and applies not only to all civil cases but even to criminal ones. Arguing about the latter would be as pointless and futile as trying to prove the existence of matter or demonstrating any concepts that, by their own clarity, compel belief when expressed in understandable terms.

With regard to civil causes, subtleties almost too contemptible for refutation have been employed to countenance the surmise that a thing which is only not provided for, is entirely abolished. Every man of discernment must at once perceive the wide difference between silence and abolition. But as the inventors of this fallacy have attempted to support it by certain legal maxims of interpretation, which they have perverted from their true meaning, it may not be wholly useless to explore the ground they have taken.

When it comes to civil cases, tactics that are almost too ridiculous to argue against have been used to support the idea that something which is merely not mentioned is completely gone. Anyone with any understanding should immediately recognize the significant difference between silence and elimination. However, since the creators of this misconception have tried to back it up with some legal principles of interpretation that they have twisted from their original meaning, it might be worthwhile to examine the basis of their arguments.

The maxims on which they rely are of this nature: "A specification of particulars is an exclusion of generals"; or, "The expression of one thing is the exclusion of another." Hence, say they, as the Constitution has established the trial by jury in criminal cases, and is silent in respect to civil, this silence is an implied prohibition of trial by jury in regard to the latter.

The principles they rely on are like this: "When you specify details, you exclude general concepts"; or, "Mentioning one thing implies that another is excluded." Therefore, they argue, since the Constitution establishes the right to a jury trial in criminal cases but is silent about civil cases, this silence means that a jury trial is implicitly not allowed in civil matters.

The rules of legal interpretation are rules of common sense, adopted by the courts in the construction of the laws. The true test, therefore, of a just application of them is its conformity to the source from which they are derived. This being the case, let me ask if it is consistent with common-sense to suppose that a provision obliging the legislative power to commit the trial of criminal causes to juries, is a privation of its right to authorize or permit that mode of trial in other cases? Is it natural to suppose, that a command to do one thing is a prohibition to the doing of another, which there was a previous power to do, and which is not incompatible with the thing commanded to be done? If such a supposition would be unnatural and unreasonable, it cannot be rational to maintain that an injunction of the trial by jury in certain cases is an interdiction of it in others.

The principles of legal interpretation are based on common sense, used by the courts when interpreting laws. The real test of applying these principles fairly is whether they align with their original source. Given this, I want to ask if it makes sense to think that a rule requiring the legislative power to assign the trial of criminal cases to juries limits its ability to allow or permit that type of trial in other situations. Is it logical to believe that an order to do one thing prohibits doing something else that was previously allowed and is not contradictory to what is being ordered? If such a belief is unnatural and unreasonable, then it’s not reasonable to claim that a requirement for jury trials in specific cases prohibits them in others.

A power to constitute courts is a power to prescribe the mode of trial; and consequently, if nothing was said in the Constitution on the subject of juries, the legislature would be at liberty either to adopt that institution or to let it alone. This discretion, in regard to criminal causes, is abridged by the express injunction of trial by jury in all such cases; but it is, of course, left at large in relation to civil causes, there being a total silence on this head. The specification of an obligation to try all criminal causes in a particular mode, excludes indeed the obligation or necessity of employing the same mode in civil causes, but does not abridge the power of the legislature to exercise that mode if it should be thought proper. The pretense, therefore, that the national legislature would not be at full liberty to submit all the civil causes of federal cognizance to the determination of juries, is a pretense destitute of all just foundation.

The power to create courts means the power to determine how trials are conducted; thus, if the Constitution doesn’t mention juries, the legislature is free to either use them or ignore them. This flexibility regarding criminal cases is limited by the clear requirement for trial by jury in those instances; however, it remains unrestricted when it comes to civil cases, as there is no mention of it. The requirement to have a specific method for trying all criminal cases does exclude the need to use the same method for civil cases, but it doesn’t limit the legislature's ability to choose that method if deemed appropriate. Therefore, the claim that the national legislature wouldn’t have the freedom to subject all civil cases under federal jurisdiction to juries is entirely unfounded.

From these observations this conclusion results: that the trial by jury in civil cases would not be abolished; and that the use attempted to be made of the maxims which have been quoted, is contrary to reason and common-sense, and therefore not admissible. Even if these maxims had a precise technical sense, corresponding with the idea of those who employ them upon the present occasion, which, however, is not the case, they would still be inapplicable to a constitution of government. In relation to such a subject, the natural and obvious sense of its provisions, apart from any technical rules, is the true criterion of construction.

From these observations, we can conclude that the trial by jury in civil cases will not be eliminated; and that the attempt to apply the maxims quoted is unreasonable and lacks common sense, thus not acceptable. Even if these maxims had a clear technical meaning that aligned with how those using them understand them, which is not the case here, they would still be unsuitable for a governmental constitution. When it comes to this type of matter, the natural and obvious meaning of its provisions, aside from any technical rules, is the correct standard for interpretation.

Having now seen that the maxims relied upon will not bear the use made of them, let us endeavor to ascertain their proper use and true meaning. This will be best done by examples. The plan of the convention declares that the power of Congress, or, in other words, of the national legislature, shall extend to certain enumerated cases. This specification of particulars evidently excludes all pretension to a general legislative authority, because an affirmative grant of special powers would be absurd, as well as useless, if a general authority was intended.

Now that we've realized that the principles we depended on can't support how they're being used, let's try to understand their proper application and true meaning. The best way to do this is through examples. The plan of the convention states that the power of Congress, or the national legislature, will cover specific cases. This listing of details clearly rules out any claim to a general legislative authority, because granting specific powers makes no sense and is pointless if a general authority was meant to be implied.

In like manner the judicial authority of the federal judicatures is declared by the Constitution to comprehend certain cases particularly specified. The expression of those cases marks the precise limits, beyond which the federal courts cannot extend their jurisdiction, because the objects of their cognizance being enumerated, the specification would be nugatory if it did not exclude all ideas of more extensive authority.

The Constitution clearly states that the judicial power of the federal courts covers specific cases. This list of cases defines the exact boundaries within which the federal courts can operate; since the matters they can handle are listed, the specification would be meaningless if it didn't rule out any notion of broader authority.

These examples are sufficient to elucidate the maxims which have been mentioned, and to designate the manner in which they should be used. But that there may be no misapprehensions upon this subject, I shall add one case more, to demonstrate the proper use of these maxims, and the abuse which has been made of them.

These examples are enough to clarify the principles we've discussed and to show how they should be applied. However, to avoid any misunderstandings on this topic, I will add one more example to illustrate the correct application of these principles and the way they have been misused.

Let us suppose that by the laws of this State a married woman was incapable of conveying her estate, and that the legislature, considering this as an evil, should enact that she might dispose of her property by deed executed in the presence of a magistrate. In such a case there can be no doubt but the specification would amount to an exclusion of any other mode of conveyance, because the woman having no previous power to alienate her property, the specification determines the particular mode which she is, for that purpose, to avail herself of. But let us further suppose that in a subsequent part of the same act it should be declared that no woman should dispose of any estate of a determinate value without the consent of three of her nearest relations, signified by their signing the deed; could it be inferred from this regulation that a married woman might not procure the approbation of her relations to a deed for conveying property of inferior value? The position is too absurd to merit a refutation, and yet this is precisely the position which those must establish who contend that the trial by juries in civil cases is abolished, because it is expressly provided for in cases of a criminal nature.

Let’s say that by the laws of this State, a married woman cannot transfer her property, and the legislature, viewing this as a problem, passes a law that allows her to transfer her property through a deed signed in front of a magistrate. In this situation, it’s clear that this specification would exclude any other method of transfer because the woman didn’t have any prior power to sell her property, and this specification determines the exact method she is allowed to use. But let’s also assume that later in the same law, it states that no woman can sell any property of a certain value without the consent of three of her closest relatives, indicated by them signing the deed; could we then conclude from this rule that a married woman could not get her relatives' approval for a deed to transfer property of lesser value? This idea is too ridiculous to even argue against, and yet this is exactly the stance that those must take who argue that trial by jury in civil cases has been eliminated simply because it is explicitly provided for in criminal cases.

From these observations it must appear unquestionably true, that trial by jury is in no case abolished by the proposed Constitution, and it is equally true, that in those controversies between individuals in which the great body of the people are likely to be interested, that institution will remain precisely in the same situation in which it is placed by the State constitutions, and will be in no degree altered or influenced by the adoption of the plan under consideration. The foundation of this assertion is, that the national judiciary will have no cognizance of them, and of course they will remain determinable as heretofore by the State courts only, and in the manner which the State constitutions and laws prescribe. All land causes, except where claims under the grants of different States come into question, and all other controversies between the citizens of the same State, unless where they depend upon positive violations of the articles of union, by acts of the State legislatures, will belong exclusively to the jurisdiction of the State tribunals. Add to this, that admiralty causes, and almost all those which are of equity jurisdiction, are determinable under our own government without the intervention of a jury, and the inference from the whole will be, that this institution, as it exists with us at present, cannot possibly be affected to any great extent by the proposed alteration in our system of government.

From these observations, it must be clear that trial by jury is not abolished by the proposed Constitution, and it’s equally true that in disputes between individuals that the general public is likely to care about, this system will stay exactly as it is under the State constitutions, and will not be changed or affected by the adoption of the proposed plan. The basis for this claim is that the national judiciary won’t have any authority over these matters, which means they will continue to be resolved as they have been in the State courts and according to the rules set by the State constitutions and laws. All land disputes, except where claims from different States are involved, and all other disagreements between citizens of the same State, unless they involve clear violations of the articles of union by the State legislatures, will solely fall under the jurisdiction of the State courts. Additionally, admiralty cases and nearly all matters of equity jurisdiction can be resolved within our own government without a jury’s involvement, leading to the conclusion that this institution, as it currently stands, cannot be significantly impacted by the proposed change in our system of government.

The friends and adversaries of the plan of the convention, if they agree in nothing else, concur at least in the value they set upon the trial by jury; or if there is any difference between them it consists in this: the former regard it as a valuable safeguard to liberty; the latter represent it as the very palladium of free government. For my own part, the more the operation of the institution has fallen under my observation, the more reason I have discovered for holding it in high estimation; and it would be altogether superfluous to examine to what extent it deserves to be esteemed useful or essential in a representative republic, or how much more merit it may be entitled to, as a defense against the oppressions of an hereditary monarch, than as a barrier to the tyranny of popular magistrates in a popular government. Discussions of this kind would be more curious than beneficial, as all are satisfied of the utility of the institution, and of its friendly aspect to liberty. But I must acknowledge that I cannot readily discern the inseparable connection between the existence of liberty, and the trial by jury in civil cases. Arbitrary impeachments, arbitrary methods of prosecuting pretended offenses, and arbitrary punishments upon arbitrary convictions, have ever appeared to me to be the great engines of judicial despotism; and these have all relation to criminal proceedings. The trial by jury in criminal cases, aided by the habeas corpus act, seems therefore to be alone concerned in the question. And both of these are provided for, in the most ample manner, in the plan of the convention.

The supporters and opponents of the convention's plan, if they don't agree on anything else, at least share a common understanding of the importance of the trial by jury. The supporters view it as a crucial protection for liberty, while the opponents see it as the very foundation of free government. Personally, the more I observe how this institution works, the more reasons I find to hold it in high regard. It's unnecessary to debate how useful or essential it is in a representative republic, or how much more value it has as a defense against the oppression of a hereditary monarch compared to being a safeguard against the tyranny of elected officials in a democratic government. Such discussions would be more interesting than useful, since everyone recognizes the value of the institution and its positive role in promoting liberty. However, I must admit that I don't clearly see the essential link between the existence of liberty and the trial by jury in civil cases. Arbitrary indictments, arbitrary prosecutorial methods for alleged offenses, and arbitrary punishments based on arbitrary convictions have always seemed to me to be the main tools of judicial tyranny, and these are all related to criminal cases. Thus, the trial by jury in criminal cases, supported by the habeas corpus act, appears to be the only relevant issue here. Both of these protections are thoroughly addressed in the convention's plan.

It has been observed, that trial by jury is a safeguard against an oppressive exercise of the power of taxation. This observation deserves to be canvassed.

It has been noted that trial by jury is a protection against the unfair use of taxation power. This observation deserves to be discussed.

It is evident that it can have no influence upon the legislature, in regard to the amount of taxes to be laid, to the objects upon which they are to be imposed, or to the rule by which they are to be apportioned. If it can have any influence, therefore, it must be upon the mode of collection, and the conduct of the officers intrusted with the execution of the revenue laws.

It’s clear that it cannot affect the legislature when it comes to the amount of taxes to be imposed, the things they are applied to, or the rules for how they should be distributed. If it does have any impact, it must be on how the taxes are collected and the actions of the officers responsible for enforcing the revenue laws.

As to the mode of collection in this State, under our own Constitution, the trial by jury is in most cases out of use. The taxes are usually levied by the more summary proceeding of distress and sale, as in cases of rent. And it is acknowledged on all hands, that this is essential to the efficacy of the revenue laws. The dilatory course of a trial at law to recover the taxes imposed on individuals, would neither suit the exigencies of the public nor promote the convenience of the citizens. It would often occasion an accumulation of costs, more burdensome than the original sum of the tax to be levied.

Regarding how collections are handled in this state, our Constitution largely eliminates trial by jury. Taxes are typically collected through a quicker method of distress and sale, similar to how rent is handled. Everyone agrees that this approach is crucial for the effectiveness of revenue laws. The slow process of a legal trial to collect taxes from individuals would not meet public needs or benefit citizens. It would frequently lead to costs accumulating that would be more burdensome than the original tax amount owed.

And as to the conduct of the officers of the revenue, the provision in favor of trial by jury in criminal cases, will afford the security aimed at. Wilful abuses of a public authority, to the oppression of the subject, and every species of official extortion, are offenses against the government, for which the persons who commit them may be indicted and punished according to the circumstances of the case.

And regarding the behavior of revenue officers, the provision for trial by jury in criminal cases will provide the intended protection. Deliberate misuse of public authority that oppresses individuals, as well as any form of official extortion, are crimes against the government, and those who commit these acts can be charged and punished based on the specifics of the situation.

The excellence of the trial by jury in civil cases appears to depend on circumstances foreign to the preservation of liberty. The strongest argument in its favor is, that it is a security against corruption. As there is always more time and better opportunity to tamper with a standing body of magistrates than with a jury summoned for the occasion, there is room to suppose that a corrupt influence would more easily find its way to the former than to the latter. The force of this consideration is, however, diminished by others. The sheriff, who is the summoner of ordinary juries, and the clerks of courts, who have the nomination of special juries, are themselves standing officers, and, acting individually, may be supposed more accessible to the touch of corruption than the judges, who are a collective body. It is not difficult to see, that it would be in the power of those officers to select jurors who would serve the purpose of the party as well as a corrupted bench. In the next place, it may fairly be supposed, that there would be less difficulty in gaining some of the jurors promiscuously taken from the public mass, than in gaining men who had been chosen by the government for their probity and good character. But making every deduction for these considerations, the trial by jury must still be a valuable check upon corruption. It greatly multiplies the impediments to its success. As matters now stand, it would be necessary to corrupt both court and jury; for where the jury have gone evidently wrong, the court will generally grant a new trial, and it would be in most cases of little use to practice upon the jury, unless the court could be likewise gained. Here then is a double security; and it will readily be perceived that this complicated agency tends to preserve the purity of both institutions. By increasing the obstacles to success, it discourages attempts to seduce the integrity of either. The temptations to prostitution which the judges might have to surmount, must certainly be much fewer, while the co-operation of a jury is necessary, than they might be, if they had themselves the exclusive determination of all causes.

The effectiveness of jury trials in civil cases seems to hinge on factors unrelated to the safeguarding of freedom. The main argument supporting it is that it acts as a safeguard against corruption. Since there is usually more time and better chances to influence a fixed group of magistrates than a jury called for a specific case, it’s reasonable to think that corrupt influences are more likely to affect the former than the latter. However, this point is weakened by other factors. The sheriff, who summons regular juries, and the court clerks, who select special juries, are permanent officials and could be more susceptible to corruption than judges, who operate as a group. It's easy to see how these officials might choose jurors who would serve the interests of a party as effectively as a biased court. Moreover, it can be assumed that it would be simpler to sway some jurors randomly picked from the general public than to corrupt individuals selected by the government for their integrity and good character. But even considering these points, the jury trial still provides a significant check on corruption. It adds many layers of difficulty to achieving it. As things stand, corrupting both the court and the jury would be necessary; when the jury clearly makes a wrong decision, the court usually allows a retrial, and it would generally be pointless to manipulate the jury unless the court could also be influenced. This creates a double layer of security, and it’s clear that this complex system helps maintain the integrity of both institutions. By raising the hurdles to success, it discourages efforts to compromise the integrity of either. The pressures judges might have to resist are likely much fewer when they need a jury’s cooperation than they would be if they alone had the final say in all cases.

Notwithstanding, therefore, the doubts I have expressed, as to the essentiality of trial by jury in civil cases to liberty, I admit that it is in most cases, under proper regulations, an excellent method of determining questions of property; and that on this account alone it would be entitled to a constitutional provision in its favor if it were possible to fix the limits within which it ought to be comprehended. There is, however, in all cases, great difficulty in this; and men not blinded by enthusiasm must be sensible that in a federal government, which is a composition of societies whose ideas and institutions in relation to the matter materially vary from each other, that difficulty must be not a little augmented. For my own part, at every new view I take of the subject, I become more convinced of the reality of the obstacles which, we are authoritatively informed, prevented the insertion of a provision on this head in the plan of the convention.

Despite the doubts I’ve expressed about the necessity of a jury trial in civil cases for liberty, I admit that, with the right regulations, it is often a great way to resolve property disputes. For this reason alone, it deserves a place in the Constitution, if we could determine the boundaries for its application. However, there is always significant difficulty in doing this; people not blinded by enthusiasm must recognize that in a federal government, made up of various societies with differing ideas and institutions on this matter, that difficulty only increases. Personally, with each new perspective I take on the subject, I become more convinced of the real obstacles that we’ve been told prevented a provision on this topic from being included in the convention's plan.

The great difference between the limits of the jury trial in different States is not generally understood; and as it must have considerable influence on the sentence we ought to pass upon the omission complained of in regard to this point, an explanation of it is necessary. In this State, our judicial establishments resemble, more nearly than in any other, those of Great Britain. We have courts of common law, courts of probates (analogous in certain matters to the spiritual courts in England), a court of admiralty and a court of chancery. In the courts of common law only, the trial by jury prevails, and this with some exceptions. In all the others a single judge presides, and proceeds in general either according to the course of the canon or civil law, without the aid of a jury.(1) In New Jersey, there is a court of chancery which proceeds like ours, but neither courts of admiralty nor of probates, in the sense in which these last are established with us. In that State the courts of common law have the cognizance of those causes which with us are determinable in the courts of admiralty and of probates, and of course the jury trial is more extensive in New Jersey than in New York. In Pennsylvania, this is perhaps still more the case, for there is no court of chancery in that State, and its common-law courts have equity jurisdiction. It has a court of admiralty, but none of probates, at least on the plan of ours. Delaware has in these respects imitated Pennsylvania. Maryland approaches more nearly to New York, as does also Virginia, except that the latter has a plurality of chancellors. North Carolina bears most affinity to Pennsylvania; South Carolina to Virginia. I believe, however, that in some of those States which have distinct courts of admiralty, the causes depending in them are triable by juries. In Georgia there are none but common-law courts, and an appeal of course lies from the verdict of one jury to another, which is called a special jury, and for which a particular mode of appointment is marked out. In Connecticut, they have no distinct courts either of chancery or of admiralty, and their courts of probates have no jurisdiction of causes. Their common-law courts have admiralty and, to a certain extent, equity jurisdiction. In cases of importance, their General Assembly is the only court of chancery. In Connecticut, therefore, the trial by jury extends in practice further than in any other State yet mentioned. Rhode Island is, I believe, in this particular, pretty much in the situation of Connecticut. Massachusetts and New Hampshire, in regard to the blending of law, equity, and admiralty jurisdictions, are in a similar predicament. In the four Eastern States, the trial by jury not only stands upon a broader foundation than in the other States, but it is attended with a peculiarity unknown, in its full extent, to any of them. There is an appeal of course from one jury to another, till there have been two verdicts out of three on one side.

The significant differences in the limits of jury trials across different states are not widely understood, and since this impacts the judgment we should make about the mentioned omission regarding this issue, an explanation is needed. In this state, our judicial system is more similar to that of Great Britain than in any other state. We have common law courts, probate courts (which are somewhat like England's spiritual courts), an admiralty court, and a chancery court. Jury trials primarily take place only in common law courts, with some exceptions. In all other courts, a single judge presides and generally follows the canon or civil law without a jury's assistance. In New Jersey, there’s a chancery court that operates similarly to ours, but they do not have admiralty or probate courts set up like ours. In that state, common law courts handle cases that ours resolve in admiralty and probate courts, resulting in a broader jury trial reach in New Jersey compared to New York. Pennsylvania likely has an even wider scope in this regard, as it lacks a chancery court, and its common law courts have equity jurisdiction. It has an admiralty court but no probate court, at least not like ours. Delaware has mirrored Pennsylvania in these aspects. Maryland is more similar to New York, as is Virginia, except Virginia has multiple chancellors. North Carolina is most similar to Pennsylvania; South Carolina aligns more with Virginia. However, I believe that in some states with separate admiralty courts, cases can be tried by juries. In Georgia, there are only common law courts, and you can appeal from the verdict of one jury to another, known as a special jury, with a specific method of selection defined. In Connecticut, there are no separate chancery or admiralty courts, and their probate courts don’t handle cases. Their common law courts have some admiralty and equity jurisdiction. For significant cases, the General Assembly is the only chancery court. Thus, in Connecticut, jury trials are more widespread in practice than in any of the other mentioned states. Rhode Island is, I believe, quite similar to Connecticut in this regard. Massachusetts and New Hampshire are also in a comparable position concerning the blending of law, equity, and admiralty jurisdictions. In the four Eastern States, jury trials not only have a broader foundation than in the other states, but they also feature a uniqueness not fully found elsewhere. You can appeal from one jury to another until there are two verdicts out of three on one side.

From this sketch it appears that there is a material diversity, as well in the modification as in the extent of the institution of trial by jury in civil cases, in the several States; and from this fact these obvious reflections flow: first, that no general rule could have been fixed upon by the convention which would have corresponded with the circumstances of all the States; and secondly, that more or at least as much might have been hazarded by taking the system of any one State for a standard, as by omitting a provision altogether and leaving the matter, as has been done, to legislative regulation.

From this overview, it seems clear that there is a significant variety in how the trial by jury is modified and applied in civil cases across different States. This leads to two obvious points: first, that the convention couldn't have established a universal rule that would fit the unique situations of all the States; and second, that it could have been just as risky to adopt the system of any single State as a standard as it was to simply leave the matter to be regulated by legislation, which is what has happened.

The propositions which have been made for supplying the omission have rather served to illustrate than to obviate the difficulty of the thing. The minority of Pennsylvania have proposed this mode of expression for the purpose—"Trial by jury shall be as heretofore"—and this I maintain would be senseless and nugatory. The United States, in their united or collective capacity, are the OBJECT to which all general provisions in the Constitution must necessarily be construed to refer. Now it is evident that though trial by jury, with various limitations, is known in each State individually, yet in the United States, as such, it is at this time altogether unknown, because the present federal government has no judiciary power whatever; and consequently there is no proper antecedent or previous establishment to which the term heretofore could relate. It would therefore be destitute of a precise meaning, and inoperative from its uncertainty.

The suggestions made to address the omission have really only highlighted the difficulty rather than resolved it. The minority of Pennsylvania has put forward this phrasing for the purpose—"Trial by jury shall be as it was before"—and I argue that this would be pointless and meaningless. The United States, as a whole, is the entity that all general provisions in the Constitution must refer to. It’s clear that while trial by jury exists in each State individually with various limitations, it is currently completely unknown at the level of the United States itself because the current federal government has no judicial power whatsoever; thus, there is no appropriate previous system to which the term "heretofore" could apply. Therefore, it would lack a precise meaning and would be ineffective due to its ambiguity.

As, on the one hand, the form of the provision would not fulfil the intent of its proposers, so, on the other, if I apprehend that intent rightly, it would be in itself inexpedient. I presume it to be, that causes in the federal courts should be tried by jury, if, in the State where the courts sat, that mode of trial would obtain in a similar case in the State courts; that is to say, admiralty causes should be tried in Connecticut by a jury, in New York without one. The capricious operation of so dissimilar a method of trial in the same cases, under the same government, is of itself sufficient to indispose every wellregulated judgment towards it. Whether the cause should be tried with or without a jury, would depend, in a great number of cases, on the accidental situation of the court and parties.

As the wording of the provision wouldn't fulfill the original intention of those who proposed it, it also seems, if I understand that intention correctly, that it would be unwise on its own. I believe the intention is that cases in federal courts should be tried by a jury if, in the state where the courts are located, that type of trial would occur in a similar case in state courts; in other words, admiralty cases would be tried by a jury in Connecticut but without one in New York. The unpredictable impact of such a different trial method in the same cases under the same government is enough to make any reasonable judgment against it. Whether a case should be tried with or without a jury would depend, in many cases, on the random location of the court and the parties involved.

But this is not, in my estimation, the greatest objection. I feel a deep and deliberate conviction that there are many cases in which the trial by jury is an ineligible one. I think it so particularly in cases which concern the public peace with foreign nations—that is, in most cases where the question turns wholly on the laws of nations. Of this nature, among others, are all prize causes. Juries cannot be supposed competent to investigations that require a thorough knowledge of the laws and usages of nations; and they will sometimes be under the influence of impressions which will not suffer them to pay sufficient regard to those considerations of public policy which ought to guide their inquiries. There would of course be always danger that the rights of other nations might be infringed by their decisions, so as to afford occasions of reprisal and war. Though the proper province of juries be to determine matters of fact, yet in most cases legal consequences are complicated with fact in such a manner as to render a separation impracticable.

But I don’t think this is the biggest issue. I have a strong belief that there are many situations in which a trial by jury isn’t a good choice. I especially feel this way in cases that affect the public peace with foreign nations—specifically, cases that focus entirely on international law. This includes all prize cases, for example. Juries can’t be expected to carry out investigations that require a deep understanding of international laws and practices, and they may be swayed by biases that prevent them from fully considering the public policy issues that should guide their decisions. There will always be a risk that their verdicts could violate the rights of other nations, potentially leading to conflicts or war. While juries are meant to establish facts, the legal implications are often so intertwined with those facts that it’s impossible to separate them.

It will add great weight to this remark, in relation to prize causes, to mention that the method of determining them has been thought worthy of particular regulation in various treaties between different powers of Europe, and that, pursuant to such treaties, they are determinable in Great Britain, in the last resort, before the king himself, in his privy council, where the fact, as well as the law, undergoes a re-examination. This alone demonstrates the impolicy of inserting a fundamental provision in the Constitution which would make the State systems a standard for the national government in the article under consideration, and the danger of encumbering the government with any constitutional provisions the propriety of which is not indisputable.

This remark about prize causes is significant because the way they are determined has been recognized as important enough to be specifically regulated in various treaties among different European powers. According to these treaties, such matters can ultimately be decided in Great Britain by the king himself in his privy council, where both the facts and the law are re-examined. This alone shows how unwise it is to include a fundamental provision in the Constitution that would make state systems a standard for the national government in this context, and it highlights the risk of burdening the government with constitutional provisions whose appropriateness is not clear-cut.

My convictions are equally strong that great advantages result from the separation of the equity from the law jurisdiction, and that the causes which belong to the former would be improperly committed to juries. The great and primary use of a court of equity is to give relief in extraordinary cases, which are exceptions(2) to general rules. To unite the jurisdiction of such cases with the ordinary jurisdiction, must have a tendency to unsettle the general rules, and to subject every case that arises to a special determination; while a separation of the one from the other has the contrary effect of rendering one a sentinel over the other, and of keeping each within the expedient limits. Besides this, the circumstances that constitute cases proper for courts of equity are in many instances so nice and intricate, that they are incompatible with the genius of trials by jury. They require often such long, deliberate, and critical investigation as would be impracticable to men called from their occupations, and obliged to decide before they were permitted to return to them. The simplicity and expedition which form the distinguishing characters of this mode of trial require that the matter to be decided should be reduced to some single and obvious point; while the litigations usual in chancery frequently comprehend a long train of minute and independent particulars.

I strongly believe that there are significant benefits to keeping equity separate from legal jurisdiction, and that cases related to equity shouldn’t be handed over to juries. The main purpose of a court of equity is to provide relief in exceptional cases, which are exceptions to general rules. Merging the jurisdiction of these cases with regular jurisdiction would likely undermine the general rules and force every case to be decided on its own merits. In contrast, keeping them separate allows each to act as a check on the other, keeping them both within reasonable limits. Additionally, the situations that warrant cases in equity are often so complex and nuanced that they don’t fit well with the nature of jury trials. They often require lengthy, careful, and detailed investigation, which would be impractical for individuals pulled away from their daily jobs and expected to make decisions quickly. The simplicity and speed that characterize this type of trial necessitate that the issue at hand be narrowed down to a single, clear point, whereas disputes common in chancery often involve a long series of detailed and independent facts.

It is true that the separation of the equity from the legal jurisdiction is peculiar to the English system of jurisprudence: which is the model that has been followed in several of the States. But it is equally true that the trial by jury has been unknown in every case in which they have been united. And the separation is essential to the preservation of that institution in its pristine purity. The nature of a court of equity will readily permit the extension of its jurisdiction to matters of law; but it is not a little to be suspected, that the attempt to extend the jurisdiction of the courts of law to matters of equity will not only be unproductive of the advantages which may be derived from courts of chancery, on the plan upon which they are established in this State, but will tend gradually to change the nature of the courts of law, and to undermine the trial by jury, by introducing questions too complicated for a decision in that mode.

It's true that separating equity from legal jurisdiction is unique to the English legal system, which has been adopted by several states. But it's also true that trial by jury has not existed in any cases where they've been combined. This separation is crucial for maintaining the original integrity of that institution. A court of equity can easily expand its jurisdiction to include legal matters; however, it's worth noting that trying to extend the jurisdiction of courts of law to include equity may not only fail to provide the benefits that can be gained from courts of chancery, as established in this state, but may also gradually alter the nature of courts of law and weaken the trial by jury by introducing issues that are too complicated to resolve this way.

These appeared to be conclusive reasons against incorporating the systems of all the States, in the formation of the national judiciary, according to what may be conjectured to have been the attempt of the Pennsylvania minority. Let us now examine how far the proposition of Massachusetts is calculated to remedy the supposed defect.

These seemed to be convincing reasons against including the systems of all the States in creating the national judiciary, based on what we can guess was the aim of the Pennsylvania minority. Now, let's look at how well Massachusetts's proposal addresses the perceived issue.

It is in this form: "In civil actions between citizens of different States, every issue of fact, arising in actions at common law, may be tried by a jury if the parties, or either of them request it."

It states: "In civil cases between citizens of different States, any factual issues that come up in common law actions can be tried by a jury if the parties, or either of them, request it."

This, at best, is a proposition confined to one description of causes; and the inference is fair, either that the Massachusetts convention considered that as the only class of federal causes, in which the trial by jury would be proper; or that if desirous of a more extensive provision, they found it impracticable to devise one which would properly answer the end. If the first, the omission of a regulation respecting so partial an object can never be considered as a material imperfection in the system. If the last, it affords a strong corroboration of the extreme difficulty of the thing.

This is, at best, a proposal limited to one type of cause; and the conclusion is reasonable, either that the Massachusetts convention saw this as the only category of federal cases where a jury trial would be appropriate; or that if they wanted a broader provision, they found it too difficult to create one that would effectively achieve that goal. If it’s the first case, the lack of a regulation for such a narrow purpose can never be seen as a significant flaw in the system. If it’s the second, it strongly supports the idea that the task is extremely challenging.

But this is not all: if we advert to the observations already made respecting the courts that subsist in the several States of the Union, and the different powers exercised by them, it will appear that there are no expressions more vague and indeterminate than those which have been employed to characterize that species of causes which it is intended shall be entitled to a trial by jury. In this State, the boundaries between actions at common law and actions of equitable jurisdiction, are ascertained in conformity to the rules which prevail in England upon that subject. In many of the other States the boundaries are less precise. In some of them every cause is to be tried in a court of common law, and upon that foundation every action may be considered as an action at common law, to be determined by a jury, if the parties, or either of them, choose it. Hence the same irregularity and confusion would be introduced by a compliance with this proposition, that I have already noticed as resulting from the regulation proposed by the Pennsylvania minority. In one State a cause would receive its determination from a jury, if the parties, or either of them, requested it; but in another State, a cause exactly similar to the other, must be decided without the intervention of a jury, because the State judicatories varied as to common-law jurisdiction.

But that's not all: if we look at the observations already made about the courts that exist in the various States of the Union and the different powers they exercise, it becomes clear that there are no terms more vague and unclear than those used to describe the types of cases that should be eligible for a jury trial. In this State, the distinctions between common law actions and equitable actions are defined according to the rules followed in England on this matter. In many other States, these distinctions are less clear. In some, every case must be tried in a common law court, which means every action can be seen as a common law action to be decided by a jury, if the parties involved, or either of them, request it. This creates the same irregularity and confusion that I have already pointed out as resulting from the proposals made by the Pennsylvania minority. In one State, a case would be determined by a jury if either party requested it; but in another State, a case exactly like it must be decided without a jury, because the State courts differ in their common law jurisdiction.

It is obvious, therefore, that the Massachusetts proposition, upon this subject cannot operate as a general regulation, until some uniform plan, with respect to the limits of common-law and equitable jurisdictions, shall be adopted by the different States. To devise a plan of that kind is a task arduous in itself, and which it would require much time and reflection to mature. It would be extremely difficult, if not impossible, to suggest any general regulation that would be acceptable to all the States in the Union, or that would perfectly quadrate with the several State institutions.

It’s clear, then, that the Massachusetts proposal on this issue can’t work as a general regulation until a uniform plan regarding the boundaries of common-law and equitable jurisdictions is established by the different States. Creating such a plan is a challenging task that would require a lot of time and careful thought to develop. It would be very difficult, if not impossible, to propose any general regulation that would be acceptable to all the States in the Union or that would fit perfectly with the various State systems.

It may be asked, Why could not a reference have been made to the constitution of this State, taking that, which is allowed by me to be a good one, as a standard for the United States? I answer that it is not very probable the other States would entertain the same opinion of our institutions as we do ourselves. It is natural to suppose that they are hitherto more attached to their own, and that each would struggle for the preference. If the plan of taking one State as a model for the whole had been thought of in the convention, it is to be presumed that the adoption of it in that body would have been rendered difficult by the predilection of each representation in favor of its own government; and it must be uncertain which of the States would have been taken as the model. It has been shown that many of them would be improper ones. And I leave it to conjecture, whether, under all circumstances, it is most likely that New York, or some other State, would have been preferred. But admit that a judicious selection could have been effected in the convention, still there would have been great danger of jealousy and disgust in the other States, at the partiality which had been shown to the institutions of one. The enemies of the plan would have been furnished with a fine pretext for raising a host of local prejudices against it, which perhaps might have hazarded, in no inconsiderable degree, its final establishment.

It could be asked, why couldn’t there have been a reference to the constitution of this state, which I acknowledge is a good one, as a standard for the United States? I respond that it's unlikely the other states would view our institutions the same way we do. It's natural to think they are still more attached to their own and that each would fight for their preference. If the idea of taking one state as a model for the whole had been considered in the convention, it’s reasonable to assume that the adoption of it in that group would have been complicated by each delegation’s loyalty to its own government; and it would have been uncertain which state would have been chosen as the model. It has been demonstrated that many of them would be unsuitable. And I leave it to speculation whether, under all circumstances, New York or some other state would have been favored. But even if a wise choice could have been made in the convention, there would still have been a significant risk of jealousy and resentment in the other states due to the favoritism shown to one state's institutions. Opponents of the plan would have had a perfect excuse to stoke local prejudices against it, which could have seriously jeopardized its final establishment.

To avoid the embarrassments of a definition of the cases which the trial by jury ought to embrace, it is sometimes suggested by men of enthusiastic tempers, that a provision might have been inserted for establishing it in all cases whatsoever. For this I believe, no precedent is to be found in any member of the Union; and the considerations which have been stated in discussing the proposition of the minority of Pennsylvania, must satisfy every sober mind that the establishment of the trial by jury in all cases would have been an unpardonable error in the plan.

To avoid the awkwardness of defining the cases that should be covered by a jury trial, some passionate individuals suggest that there could have been a rule to include it in all situations. I believe there’s no example of this in any state of the Union; and the points raised when discussing the proposal from the minority of Pennsylvania should convince any reasonable person that making jury trials mandatory in all cases would have been a serious mistake in the plan.

In short, the more it is considered the more arduous will appear the task of fashioning a provision in such a form as not to express too little to answer the purpose, or too much to be advisable; or which might not have opened other sources of opposition to the great and essential object of introducing a firm national government.

In short, the more you think about it, the harder it seems to create a law that doesn’t say too little to serve its purpose or too much to be practical; one that doesn’t end up creating more reasons for people to oppose the important goal of establishing a strong national government.

I cannot but persuade myself, on the other hand, that the different lights in which the subject has been placed in the course of these observations, will go far towards removing in candid minds the apprehensions they may have entertained on the point. They have tended to show that the security of liberty is materially concerned only in the trial by jury in criminal cases, which is provided for in the most ample manner in the plan of the convention; that even in far the greatest proportion of civil cases, and those in which the great body of the community is interested, that mode of trial will remain in its full force, as established in the State constitutions, untouched and unaffected by the plan of the convention; that it is in no case abolished(3) by that plan; and that there are great if not insurmountable difficulties in the way of making any precise and proper provision for it in a Constitution for the United States.

I can’t help but convince myself, on the other hand, that the different perspectives on the subject provided through these observations will help clear up any concerns that open-minded people might have about it. They have shown that the security of liberty is mainly tied to the right to a jury trial in criminal cases, which is thoroughly ensured in the convention's plan; that even in the vast majority of civil cases, especially those that concern the general public, that method of trial will remain fully intact as established in the State constitutions, unaffected by the convention’s plan; that it is not abolished in any case by that plan; and that there are significant, if not impossible, challenges in creating a precise and proper provision for it in a Constitution for the United States.

The best judges of the matter will be the least anxious for a constitutional establishment of the trial by jury in civil cases, and will be the most ready to admit that the changes which are continually happening in the affairs of society may render a different mode of determining questions of property preferable in many cases in which that mode of trial now prevails. For my part, I acknowledge myself to be convinced that even in this State it might be advantageously extended to some cases to which it does not at present apply, and might as advantageously be abridged in others. It is conceded by all reasonable men that it ought not to obtain in all cases. The examples of innovations which contract its ancient limits, as well in these States as in Great Britain, afford a strong presumption that its former extent has been found inconvenient, and give room to suppose that future experience may discover the propriety and utility of other exceptions. I suspect it to be impossible in the nature of the thing to fix the salutary point at which the operation of the institution ought to stop, and this is with me a strong argument for leaving the matter to the discretion of the legislature.

The best judges of the issue will be the least worried about establishing a constitutional trial by jury in civil cases and will be most open to the idea that the ongoing changes in society might make different ways of deciding property disputes better in many situations where the current trial method is used. Personally, I believe that even in this state, it could be beneficial to extend it to some cases where it currently doesn’t apply, and it could also be beneficial to limit it in others. Everyone reasonable agrees that it shouldn’t apply in all situations. The examples of changes that narrow its traditional scope, both in these states and in Great Britain, strongly suggest that its previous reach has been found inconvenient, and there’s room to think that future experiences might reveal the appropriateness and usefulness of other exceptions. I suspect it’s impossible to determine the exact point where the institution’s role should end, and this seems to me to be a strong argument for leaving the decision to the discretion of the legislature.

This is now clearly understood to be the case in Great Britain, and it is equally so in the State of Connecticut; and yet it may be safely affirmed that more numerous encroachments have been made upon the trial by jury in this State since the Revolution, though provided for by a positive article of our constitution, than has happened in the same time either in Connecticut or Great Britain. It may be added that these encroachments have generally originated with the men who endeavor to persuade the people they are the warmest defenders of popular liberty, but who have rarely suffered constitutional obstacles to arrest them in a favorite career. The truth is that the general GENIUS of a government is all that can be substantially relied upon for permanent effects. Particular provisions, though not altogether useless, have far less virtue and efficacy than are commonly ascribed to them; and the want of them will never be, with men of sound discernment, a decisive objection to any plan which exhibits the leading characters of a good government.

This is now clearly understood to be the case in Great Britain, and it's the same in Connecticut; yet it's safe to say that there have been more violations of the right to a jury trial in this state since the Revolution, even though it's guaranteed by a specific article in our constitution, than in either Connecticut or Great Britain during the same period. It's worth noting that these violations have usually come from those who try to convince the public that they are the strongest advocates of popular liberty but rarely let constitutional barriers slow them down in pursuing their goals. The reality is that the overall spirit of a government is what can truly be counted on for lasting impact. Specific provisions, while not completely useless, have considerably less power and effectiveness than people usually think; and the absence of them will never be, in the eyes of reasonable people, a decisive drawback to any plan that demonstrates the key characteristics of a good government.

It certainly sounds not a little harsh and extraordinary to affirm that there is no security for liberty in a Constitution which expressly establishes the trial by jury in criminal cases, because it does not do it in civil also; while it is a notorious fact that Connecticut, which has been always regarded as the most popular State in the Union, can boast of no constitutional provision for either.

It certainly sounds quite harsh and unusual to claim that there is no protection for freedom in a Constitution that clearly establishes the right to a jury trial in criminal cases but doesn’t do the same for civil cases. This is especially notable since it’s well-known that Connecticut, often seen as the most democratic state in the Union, has no constitutional guarantee for either.

PUBLIUS

PUBLIUS

1. It has been erroneously insinuated with regard to the court of chancery, that this court generally tries disputed facts by a jury. The truth is, that references to a jury in that court rarely happen, and are in no case necessary but where the validity of a devise of land comes into question.

1. It has been mistakenly suggested about the court of chancery that this court usually resolves disputed facts with a jury. The truth is, references to a jury in that court are rare and only necessary in cases where the validity of a land devise is questioned.

2. It is true that the principles by which that relief is governed are now reduced to a regular system; but it is not the less true that they are in the main applicable to SPECIAL circumstances, which form exceptions to general rules.

2. It's true that the principles guiding that relief are now organized into a regular system; however, it’s equally true that they mainly apply to SPECIFIC circumstances, which create exceptions to general rules.

3. Vide No. 81, in which the supposition of its being abolished by the appellate jurisdiction in matters of fact being vested in the Supreme Court, is examined and refuted.

3. See No. 81, where the idea that it could be abolished due to the appellate jurisdiction over factual matters being given to the Supreme Court is discussed and disproven.





FEDERALIST No. 84. Certain General and Miscellaneous Objections to the Constitution Considered and Answered.

From McLEAN's Edition, New York. Wednesday, May 28, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the People of New York:

IN THE course of the foregoing review of the Constitution, I have taken notice of, and endeavored to answer most of the objections which have appeared against it. There, however, remain a few which either did not fall naturally under any particular head or were forgotten in their proper places. These shall now be discussed; but as the subject has been drawn into great length, I shall so far consult brevity as to comprise all my observations on these miscellaneous points in a single paper.

IN the course of the previous review of the Constitution, I have acknowledged and tried to address most of the objections raised against it. However, there are still a few that either didn't fit neatly into any specific category or were overlooked in their appropriate sections. I will discuss these now; but since the subject has become quite lengthy, I will prioritize brevity by consolidating all my comments on these various points into a single document.

The most considerable of the remaining objections is that the plan of the convention contains no bill of rights. Among other answers given to this, it has been upon different occasions remarked that the constitutions of several of the States are in a similar predicament. I add that New York is of the number. And yet the opposers of the new system, in this State, who profess an unlimited admiration for its constitution, are among the most intemperate partisans of a bill of rights. To justify their zeal in this matter, they allege two things: one is that, though the constitution of New York has no bill of rights prefixed to it, yet it contains, in the body of it, various provisions in favor of particular privileges and rights, which, in substance amount to the same thing; the other is, that the Constitution adopts, in their full extent, the common and statute law of Great Britain, by which many other rights, not expressed in it, are equally secured.

The main remaining objection is that the convention's plan doesn't include a bill of rights. In response, it's been noted on various occasions that several state constitutions face the same issue. New York is among them. Yet, those opposing the new system in this state, who claim to fully admire its constitution, are some of the most fervent supporters of a bill of rights. To explain their strong stance on this, they point out two things: first, that even though New York's constitution doesn’t have a bill of rights at the start, it includes various provisions for specific privileges and rights within the text, which effectively serve the same purpose; second, that the Constitution encompasses, in full, the common and statutory law of Great Britain, which protects many other rights not explicitly stated.

To the first I answer, that the Constitution proposed by the convention contains, as well as the constitution of this State, a number of such provisions.

To the first, I respond that the Constitution suggested by the convention includes, just like the constitution of this State, several of those provisions.

Independent of those which relate to the structure of the government, we find the following: Article 1, section 3, clause 7—"Judgment in cases of impeachment shall not extend further than to removal from office, and disqualification to hold and enjoy any office of honor, trust, or profit under the United States; but the party convicted shall, nevertheless, be liable and subject to indictment, trial, judgment, and punishment according to law." Section 9, of the same article, clause 2—"The privilege of the writ of habeas corpus shall not be suspended, unless when in cases of rebellion or invasion the public safety may require it." Clause 3—"No bill of attainder or ex-post-facto law shall be passed." Clause 7—"No title of nobility shall be granted by the United States; and no person holding any office of profit or trust under them, shall, without the consent of the Congress, accept of any present, emolument, office, or title of any kind whatever, from any king, prince, or foreign state." Article 3, section 2, clause 3—"The trial of all crimes, except in cases of impeachment, shall be by jury; and such trial shall be held in the State where the said crimes shall have been committed; but when not committed within any State, the trial shall be at such place or places as the Congress may by law have directed." Section 3, of the same article—"Treason against the United States shall consist only in levying war against them, or in adhering to their enemies, giving them aid and comfort. No person shall be convicted of treason, unless on the testimony of two witnesses to the same overt act, or on confession in open court." And clause 3, of the same section—"The Congress shall have power to declare the punishment of treason; but no attainder of treason shall work corruption of blood, or forfeiture, except during the life of the person attainted."

Independent of those related to the structure of the government, we find the following: Article 1, section 3, clause 7—"Judgment in impeachment cases shall only lead to removal from office and disqualification from holding any office of honor, trust, or profit under the United States; however, the convicted person shall still be liable for indictment, trial, judgment, and punishment according to the law." Section 9, of the same article, clause 2—"The privilege of the writ of habeas corpus shall not be suspended, unless in cases of rebellion or invasion when public safety requires it." Clause 3—"No bill of attainder or ex-post-facto law shall be passed." Clause 7—"No title of nobility shall be granted by the United States; and no person holding any office of profit or trust under them shall, without the consent of Congress, accept any present, emolument, office, or title of any kind from any king, prince, or foreign state." Article 3, section 2, clause 3—"The trial of all crimes, except in cases of impeachment, shall be by jury; and such trial shall be held in the State where the crimes were committed; but if not committed within any State, the trial shall take place at such place or places as Congress may direct by law." Section 3, of the same article—"Treason against the United States shall only consist of waging war against them or aiding and comforting their enemies. No one shall be convicted of treason unless there are two witnesses to the same overt act or a confession in open court." And clause 3, of the same section—"Congress shall have the power to declare the punishment for treason; but no attainder of treason shall result in corruption of blood or forfeiture, except during the life of the person accused."

It may well be a question, whether these are not, upon the whole, of equal importance with any which are to be found in the constitution of this State. The establishment of the writ of habeas corpus, the prohibition of ex post facto laws, and of TITLES OF NOBILITY, to which we have no corresponding provision in our Constitution, are perhaps greater securities to liberty and republicanism than any it contains. The creation of crimes after the commission of the fact, or, in other words, the subjecting of men to punishment for things which, when they were done, were breaches of no law, and the practice of arbitrary imprisonments, have been, in all ages, the favorite and most formidable instruments of tyranny. The observations of the judicious Blackstone,(1) in reference to the latter, are well worthy of recital: "To bereave a man of life, (says he) or by violence to confiscate his estate, without accusation or trial, would be so gross and notorious an act of despotism, as must at once convey the alarm of tyranny throughout the whole nation; but confinement of the person, by secretly hurrying him to jail, where his sufferings are unknown or forgotten, is a less public, a less striking, and therefore a more dangerous engine of arbitrary government." And as a remedy for this fatal evil he is everywhere peculiarly emphatical in his encomiums on the habeas corpus act, which in one place he calls "the BULWARK of the British Constitution."(2)

It’s worth asking whether these are, overall, just as important as any provisions found in the constitution of this State. The establishment of the writ of habeas corpus, the ban on ex post facto laws, and the prohibition of TITLES OF NOBILITY, which we don't have a similar clause for in our Constitution, might actually provide stronger protections for liberty and republicanism than anything it contains. Creating crimes after the fact, or in other words, punishing people for actions that, at the time they were done, didn’t break any laws, along with the practice of arbitrary imprisonment, have always been some of the most favored and powerful tools of tyranny. The insights of the wise Blackstone(1) regarding the latter are worth noting: "To take a man's life, (he says) or to violently seize his property, without an accusation or trial, would be such a blatant act of despotism that it would immediately spark alarm about tyranny throughout the entire nation; however, secretly throwing a person into jail, where their suffering goes unnoticed or forgotten, is a less obvious, less shocking, and therefore a more dangerous tool of arbitrary government." As a solution to this serious issue, he often emphasizes the importance of the habeas corpus act, which he famously refers to as "the BULWARK of the British Constitution."(2)

Nothing need be said to illustrate the importance of the prohibition of titles of nobility. This may truly be denominated the corner-stone of republican government; for so long as they are excluded, there can never be serious danger that the government will be any other than that of the people.

Nothing needs to be said to highlight the importance of banning titles of nobility. This can truly be called the foundation of a republican government; as long as they are excluded, there can never be a real threat that the government will be anything other than one that serves the people.

To the second that is, to the pretended establishment of the common and state law by the Constitution, I answer, that they are expressly made subject "to such alterations and provisions as the legislature shall from time to time make concerning the same." They are therefore at any moment liable to repeal by the ordinary legislative power, and of course have no constitutional sanction. The only use of the declaration was to recognize the ancient law and to remove doubts which might have been occasioned by the Revolution. This consequently can be considered as no part of a declaration of rights, which under our constitutions must be intended as limitations of the power of the government itself.

To the second point, which is about the supposed establishment of common and state law by the Constitution, I say that they are clearly subject “to such alterations and provisions as the legislature shall from time to time make concerning the same.” Thus, they can be repealed at any time by the ordinary legislative authority, and therefore lack any constitutional backing. The only purpose of the declaration was to acknowledge the existing law and to clear up any confusion that might have arisen from the Revolution. As a result, this cannot be seen as part of a declaration of rights, which under our constitutions is meant to limit the power of the government itself.

It has been several times truly remarked that bills of rights are, in their origin, stipulations between kings and their subjects, abridgements of prerogative in favor of privilege, reservations of rights not surrendered to the prince. Such was MAGNA CHARTA, obtained by the barons, sword in hand, from King John. Such were the subsequent confirmations of that charter by succeeding princes. Such was the Petition of Right assented to by Charles I., in the beginning of his reign. Such, also, was the Declaration of Right presented by the Lords and Commons to the Prince of Orange in 1688, and afterwards thrown into the form of an act of parliament called the Bill of Rights. It is evident, therefore, that, according to their primitive signification, they have no application to constitutions professedly founded upon the power of the people, and executed by their immediate representatives and servants. Here, in strictness, the people surrender nothing; and as they retain every thing they have no need of particular reservations. "WE, THE PEOPLE of the United States, to secure the blessings of liberty to ourselves and our posterity, do ordain and establish this Constitution for the United States of America." Here is a better recognition of popular rights, than volumes of those aphorisms which make the principal figure in several of our State bills of rights, and which would sound much better in a treatise of ethics than in a constitution of government.

It has often been pointed out that bills of rights originated as agreements between kings and their subjects, limiting royal power in favor of individual privileges, and safeguarding rights that aren’t given up to the monarch. This was the case with MAGNA CARTA, which the barons forced from King John at sword-point. Similar confirmations of that charter were made by later kings. The Petition of Right, which Charles I agreed to at the beginning of his reign, followed this pattern. Additionally, the Declaration of Right was presented by the Lords and Commons to the Prince of Orange in 1688 and later turned into an act of parliament known as the Bill of Rights. Therefore, it’s clear that, based on their original meaning, these rights don’t really apply to constitutions built upon the power of the people and carried out by their direct representatives and officials. Here, strictly speaking, the people give up nothing, and since they retain everything, there’s no need for specific reservations. “WE, THE PEOPLE of the United States, to secure the blessings of liberty to ourselves and our future generations, do ordain and establish this Constitution for the United States of America.” This is a much clearer affirmation of the rights of the people than the countless phrases often found in various State bills of rights, which would be better suited in a discussion of ethics than in a governmental constitution.

But a minute detail of particular rights is certainly far less applicable to a Constitution like that under consideration, which is merely intended to regulate the general political interests of the nation, than to a constitution which has the regulation of every species of personal and private concerns. If, therefore, the loud clamors against the plan of the convention, on this score, are well founded, no epithets of reprobation will be too strong for the constitution of this State. But the truth is, that both of them contain all which, in relation to their objects, is reasonably to be desired.

But focusing on specific rights is definitely less relevant to a Constitution like the one we're discussing, which is only meant to oversee the general political interests of the nation, compared to a constitution that regulates every type of personal and private matter. So, if the strong objections to the convention’s plan, based on this issue, are justified, then no criticism would be too harsh for this State's constitution. However, the reality is that both of them include everything that can reasonably be expected regarding their purposes.

I go further, and affirm that bills of rights, in the sense and to the extent in which they are contended for, are not only unnecessary in the proposed Constitution, but would even be dangerous. They would contain various exceptions to powers not granted; and, on this very account, would afford a colorable pretext to claim more than were granted. For why declare that things shall not be done which there is no power to do? Why, for instance, should it be said that the liberty of the press shall not be restrained, when no power is given by which restrictions may be imposed? I will not contend that such a provision would confer a regulating power; but it is evident that it would furnish, to men disposed to usurp, a plausible pretense for claiming that power. They might urge with a semblance of reason, that the Constitution ought not to be charged with the absurdity of providing against the abuse of an authority which was not given, and that the provision against restraining the liberty of the press afforded a clear implication, that a power to prescribe proper regulations concerning it was intended to be vested in the national government. This may serve as a specimen of the numerous handles which would be given to the doctrine of constructive powers, by the indulgence of an injudicious zeal for bills of rights.

I go further and state that bills of rights, in the sense and extent that they are being argued for, are not only unnecessary in the proposed Constitution, but could actually be dangerous. They would include various exceptions to powers that aren’t granted; and for this very reason, they would provide a misleading justification to claim more than what was granted. Why declare that things cannot be done that there is no power to do? For example, why state that freedom of the press cannot be restricted when there is no power given to impose restrictions? I won’t argue that such a provision would grant regulating power; but it's clear that it would offer those looking to overstep a plausible excuse to claim that power. They might argue, with some semblance of reasoning, that the Constitution shouldn’t be accused of the absurdity of guarding against the misuse of an authority that wasn’t given, and that the provision against restricting freedom of the press clearly implies that a power to impose proper regulations concerning it was intended to be given to the national government. This serves as an example of the many opportunities that would be created for the doctrine of implied powers by an imprudent push for bills of rights.

On the subject of the liberty of the press, as much as has been said, I cannot forbear adding a remark or two: in the first place, I observe, that there is not a syllable concerning it in the constitution of this State; in the next, I contend, that whatever has been said about it in that of any other State, amounts to nothing. What signifies a declaration, that "the liberty of the press shall be inviolably preserved"? What is the liberty of the press? Who can give it any definition which would not leave the utmost latitude for evasion? I hold it to be impracticable; and from this I infer, that its security, whatever fine declarations may be inserted in any constitution respecting it, must altogether depend on public opinion, and on the general spirit of the people and of the government.(3) And here, after all, as is intimated upon another occasion, must we seek for the only solid basis of all our rights.

Regarding press freedom, as much as has been said, I can’t help but add a couple of thoughts: first, I notice that there’s not a single mention of it in the constitution of this State; secondly, I argue that anything said about it in the constitution of any other State means nothing. What does it mean to declare that "the liberty of the press shall be inviolably preserved"? What even is the liberty of the press? Who can provide a definition that wouldn't allow for a lot of loopholes? I believe it's unfeasible; therefore, I conclude that its protection, no matter how eloquently it’s stated in any constitution, depends wholly on public opinion and the overall attitude of the people and the government. And here, after all, as hinted at on another occasion, we must find the only solid foundation for all our rights.

There remains but one other view of this matter to conclude the point. The truth is, after all the declamations we have heard, that the Constitution is itself, in every rational sense, and to every useful purpose, A BILL OF RIGHTS. The several bills of rights in Great Britain form its Constitution, and conversely the constitution of each State is its bill of rights. And the proposed Constitution, if adopted, will be the bill of rights of the Union. Is it one object of a bill of rights to declare and specify the political privileges of the citizens in the structure and administration of the government? This is done in the most ample and precise manner in the plan of the convention; comprehending various precautions for the public security, which are not to be found in any of the State constitutions. Is another object of a bill of rights to define certain immunities and modes of proceeding, which are relative to personal and private concerns? This we have seen has also been attended to, in a variety of cases, in the same plan. Adverting therefore to the substantial meaning of a bill of rights, it is absurd to allege that it is not to be found in the work of the convention. It may be said that it does not go far enough, though it will not be easy to make this appear; but it can with no propriety be contended that there is no such thing. It certainly must be immaterial what mode is observed as to the order of declaring the rights of the citizens, if they are to be found in any part of the instrument which establishes the government. And hence it must be apparent, that much of what has been said on this subject rests merely on verbal and nominal distinctions, entirely foreign from the substance of the thing.

There's only one more perspective on this issue to wrap things up. The reality is that despite all the speeches we've heard, the Constitution itself, in every reasonable sense and for every practical purpose, is a BILL OF RIGHTS. The various bills of rights in Great Britain make up its Constitution, and similarly, the constitution of each state serves as its bill of rights. If adopted, the proposed Constitution will be the bill of rights for the Union. One purpose of a bill of rights is to declare and outline the political privileges of citizens in how the government is structured and run. This is done in a comprehensive and precise way in the convention’s plan, including various safeguards for public security that aren’t found in any state constitutions. Another goal of a bill of rights is to define certain protections and legal procedures related to personal and private matters. We can see that this has also been addressed in different scenarios in the same plan. Therefore, considering the real meaning of a bill of rights, it's unreasonable to claim it's absent in the convention's work. One might argue that it doesn't cover everything, although it would be challenging to prove this; however, it's certainly not valid to insist there’s no such thing. It’s really not important what order is used to declare the rights of citizens as long as they are included somewhere in the document that establishes the government. Hence, it's clear that much of what has been said on this topic relies solely on verbal and trivial distinctions that are completely unrelated to the core issue.

Another objection which has been made, and which, from the frequency of its repetition, it is to be presumed is relied on, is of this nature: "It is improper (say the objectors) to confer such large powers, as are proposed, upon the national government, because the seat of that government must of necessity be too remote from many of the States to admit of a proper knowledge on the part of the constituent, of the conduct of the representative body." This argument, if it proves any thing, proves that there ought to be no general government whatever. For the powers which, it seems to be agreed on all hands, ought to be vested in the Union, cannot be safely intrusted to a body which is not under every requisite control. But there are satisfactory reasons to show that the objection is in reality not well founded. There is in most of the arguments which relate to distance a palpable illusion of the imagination. What are the sources of information by which the people in Montgomery County must regulate their judgment of the conduct of their representatives in the State legislature? Of personal observation they can have no benefit. This is confined to the citizens on the spot. They must therefore depend on the information of intelligent men, in whom they confide; and how must these men obtain their information? Evidently from the complexion of public measures, from the public prints, from correspondences with their representatives, and with other persons who reside at the place of their deliberations. This does not apply to Montgomery County only, but to all the counties at any considerable distance from the seat of government.

Another objection that has been raised, and which is repeated often enough to suggest it’s taken seriously, goes like this: "It’s not right (say the objectors) to give such significant powers, as proposed, to the national government, because its location will inevitably be too far from many States, making it impossible for constituents to have an adequate understanding of how the representative body operates." This argument, if it proves anything, suggests that there shouldn’t be any general government at all. Because the powers that, it seems agreed upon by all, should belong to the Union cannot be safely entrusted to a body that isn’t under necessary oversight. However, there are convincing reasons to show that this objection is actually unfounded. Many of the arguments about distance have a clear illusion involved. What sources of information do people in Montgomery County rely on to judge the actions of their representatives in the State legislature? They can’t benefit from personal observation, as that’s limited to those who are right there. They must rely on information from informed individuals they trust; and how do these individuals get their information? Clearly, from the nature of public measures, from newspapers, from correspondence with their representatives, and with others who are present at the place of these discussions. This situation applies not just to Montgomery County, but to all counties that are at a significant distance from the seat of government.

It is equally evident that the same sources of information would be open to the people in relation to the conduct of their representatives in the general government, and the impediments to a prompt communication which distance may be supposed to create, will be overbalanced by the effects of the vigilance of the State governments. The executive and legislative bodies of each State will be so many sentinels over the persons employed in every department of the national administration; and as it will be in their power to adopt and pursue a regular and effectual system of intelligence, they can never be at a loss to know the behavior of those who represent their constituents in the national councils, and can readily communicate the same knowledge to the people. Their disposition to apprise the community of whatever may prejudice its interests from another quarter, may be relied upon, if it were only from the rivalship of power. And we may conclude with the fullest assurance that the people, through that channel, will be better informed of the conduct of their national representatives, than they can be by any means they now possess of that of their State representatives.

It's clear that the same sources of information will be available to people regarding the actions of their representatives in the federal government, and any delays caused by distance will be outweighed by the attentiveness of state governments. The executive and legislative bodies of each state will act as watchful guardians over those working in every part of the national administration. Since they can create and implement an effective system for gathering information, they will always know how their representatives in national councils are acting and can easily share that information with the public. Their willingness to inform the community about anything that might harm its interests from outside sources can be counted on, especially due to the competition for power. We can confidently say that the public, through this means, will be better informed about the actions of their national representatives than they currently are regarding their state representatives.

It ought also to be remembered that the citizens who inhabit the country at and near the seat of government will, in all questions that affect the general liberty and prosperity, have the same interest with those who are at a distance, and that they will stand ready to sound the alarm when necessary, and to point out the actors in any pernicious project. The public papers will be expeditious messengers of intelligence to the most remote inhabitants of the Union.

It should also be noted that the citizens living in and around the seat of government will, in all matters affecting general liberty and prosperity, share the same interests as those who are farther away. They will be quick to raise the alarm when needed and identify those involved in any harmful plans. The news outlets will act as fast messengers of information to the most distant residents of the Union.

Among the many curious objections which have appeared against the proposed Constitution, the most extraordinary and the least colorable is derived from the want of some provision respecting the debts due to the United States. This has been represented as a tacit relinquishment of those debts, and as a wicked contrivance to screen public defaulters. The newspapers have teemed with the most inflammatory railings on this head; yet there is nothing clearer than that the suggestion is entirely void of foundation, the offspring of extreme ignorance or extreme dishonesty. In addition to the remarks I have made upon the subject in another place, I shall only observe that as it is a plain dictate of common-sense, so it is also an established doctrine of political law, that "States neither lose any of their rights, nor are discharged from any of their obligations, by a change in the form of their civil government."(4)

Among the many strange objections that have been raised against the proposed Constitution, the most unusual and least justifiable is the claim that there's no provision for the debts owed to the United States. This has been interpreted as a silent abandonment of those debts and as a malicious tactic to protect public defaulters. Newspapers have been filled with heated criticism on this issue; however, it's clear that this suggestion has no basis in truth and stems from either extreme ignorance or blatant dishonesty. Besides what I’ve said on the matter elsewhere, I just want to point out that it is a straightforward matter of common sense and an established principle of political law that "States neither lose any of their rights, nor are discharged from any of their obligations, by a change in the form of their civil government."(4)

The last objection of any consequence, which I at present recollect, turns upon the article of expense. If it were even true, that the adoption of the proposed government would occasion a considerable increase of expense, it would be an objection that ought to have no weight against the plan.

The last significant objection I can remember right now focuses on costs. Even if it were true that adopting the proposed government would lead to a significant increase in expenses, it would still be an objection that shouldn’t carry any weight against the plan.

The great bulk of the citizens of America are with reason convinced, that Union is the basis of their political happiness. Men of sense of all parties now, with few exceptions, agree that it cannot be preserved under the present system, nor without radical alterations; that new and extensive powers ought to be granted to the national head, and that these require a different organization of the federal government—a single body being an unsafe depositary of such ample authorities. In conceding all this, the question of expense must be given up; for it is impossible, with any degree of safety, to narrow the foundation upon which the system is to stand. The two branches of the legislature are, in the first instance, to consist of only sixty-five persons, which is the same number of which Congress, under the existing Confederation, may be composed. It is true that this number is intended to be increased; but this is to keep pace with the progress of the population and resources of the country. It is evident that a less number would, even in the first instance, have been unsafe, and that a continuance of the present number would, in a more advanced stage of population, be a very inadequate representation of the people.

The majority of American citizens genuinely believe that unity is crucial for their political well-being. Sensible individuals from all political parties, with few exceptions, now agree that the current system can't maintain this unity without major changes; that broader powers should be granted to the national government, which requires a different setup for the federal government—having just one body to hold such vast powers is too risky. In acknowledging all of this, we must put aside concerns about costs; it’s simply too dangerous to limit the foundation upon which the system will be built. The two branches of the legislature will initially consist of just sixty-five members, the same number as the current Congress under the existing Confederation. It’s true this number is meant to grow, but that’s to keep up with the country's increasing population and resources. Clearly, having a smaller number would have been unsafe from the start, and sticking with the current number would be insufficient to represent the people as the population grows.

Whence is the dreaded augmentation of expense to spring? One source indicated, is the multiplication of offices under the new government. Let us examine this a little.

Where does the feared increase in expenses come from? One source suggests it’s due to the increase in offices under the new government. Let’s take a closer look at this.

It is evident that the principal departments of the administration under the present government, are the same which will be required under the new. There are now a Secretary of War, a Secretary of Foreign Affairs, a Secretary for Domestic Affairs, a Board of Treasury, consisting of three persons, a Treasurer, assistants, clerks, etc. These officers are indispensable under any system, and will suffice under the new as well as the old. As to ambassadors and other ministers and agents in foreign countries, the proposed Constitution can make no other difference than to render their characters, where they reside, more respectable, and their services more useful. As to persons to be employed in the collection of the revenues, it is unquestionably true that these will form a very considerable addition to the number of federal officers; but it will not follow that this will occasion an increase of public expense. It will be in most cases nothing more than an exchange of State for national officers. In the collection of all duties, for instance, the persons employed will be wholly of the latter description. The States individually will stand in no need of any for this purpose. What difference can it make in point of expense to pay officers of the customs appointed by the State or by the United States? There is no good reason to suppose that either the number or the salaries of the latter will be greater than those of the former.

It's clear that the main departments of the administration under the current government will be the same ones needed under the new setup. Right now, there’s a Secretary of War, a Secretary of Foreign Affairs, a Secretary for Domestic Affairs, and a Treasury Board made up of three people, along with a Treasurer, assistants, clerks, and so on. These officials are essential in any system and will be sufficient for both the new and the old. Regarding ambassadors and other ministers and agents in foreign countries, the proposed Constitution won’t change much other than making their positions more respected and their services more valuable. As for those working in revenue collection, it’s definitely true that this will add a significant number to federal officers; however, this doesn’t necessarily mean an increase in public spending. In most cases, it will simply involve swapping state officers for national ones. For example, in collecting all duties, the individuals involved will be entirely from the latter group. The individual states won’t need any for this purpose. What difference does it make in terms of cost to pay customs officers appointed by the state versus those appointed by the United States? There’s no good reason to believe that the number or salaries of the latter will be higher than those of the former.

Where then are we to seek for those additional articles of expense which are to swell the account to the enormous size that has been represented to us? The chief item which occurs to me respects the support of the judges of the United States. I do not add the President, because there is now a president of Congress, whose expenses may not be far, if any thing, short of those which will be incurred on account of the President of the United States. The support of the judges will clearly be an extra expense, but to what extent will depend on the particular plan which may be adopted in regard to this matter. But upon no reasonable plan can it amount to a sum which will be an object of material consequence.

Where are we supposed to find those extra expenses that will make the total so high as we've been told? The main item that comes to mind is the salaries for the judges of the United States. I won't include the President since there's now a president of Congress, whose costs might not be much less, if at all, than those for the President of the United States. Supporting the judges will definitely be an extra cost, but how much it actually is will depend on the specific plan put in place for this. However, under any reasonable plan, it shouldn't add up to a significant amount.

Let us now see what there is to counterbalance any extra expense that may attend the establishment of the proposed government. The first thing which presents itself is that a great part of the business which now keeps Congress sitting through the year will be transacted by the President. Even the management of foreign negotiations will naturally devolve upon him, according to general principles concerted with the Senate, and subject to their final concurrence. Hence it is evident that a portion of the year will suffice for the session of both the Senate and the House of Representatives; we may suppose about a fourth for the latter and a third, or perhaps half, for the former. The extra business of treaties and appointments may give this extra occupation to the Senate. From this circumstance we may infer that, until the House of Representatives shall be increased greatly beyond its present number, there will be a considerable saving of expense from the difference between the constant session of the present and the temporary session of the future Congress.

Let's now look at what can offset any additional costs that might come with setting up the proposed government. The first thing that stands out is that a significant portion of the work that keeps Congress in session all year will be handled by the President. Even the handling of foreign negotiations will naturally fall to him, in line with general agreements made with the Senate, and subject to their final approval. Therefore, it's clear that a portion of the year will be enough for the sessions of both the Senate and the House of Representatives; we can estimate about a quarter of the year for the latter and a third, or maybe half, for the former. The additional work from treaties and appointments may add to the Senate’s workload. From this, we can infer that, until the House of Representatives is significantly expanded beyond its current size, there will be a substantial saving in costs due to the difference between the constant sessions of the present Congress and the temporary sessions of the future Congress.

But there is another circumstance of great importance in the view of economy. The business of the United States has hitherto occupied the State legislatures, as well as Congress. The latter has made requisitions which the former have had to provide for. Hence it has happened that the sessions of the State legislatures have been protracted greatly beyond what was necessary for the execution of the mere local business of the States. More than half their time has been frequently employed in matters which related to the United States. Now the members who compose the legislatures of the several States amount to two thousand and upwards, which number has hitherto performed what under the new system will be done in the first instance by sixty-five persons, and probably at no future period by above a fourth or fifth of that number. The Congress under the proposed government will do all the business of the United States themselves, without the intervention of the State legislatures, who thenceforth will have only to attend to the affairs of their particular States, and will not have to sit in any proportion as long as they have heretofore done. This difference in the time of the sessions of the State legislatures will be clear gain, and will alone form an article of saving, which may be regarded as an equivalent for any additional objects of expense that may be occasioned by the adoption of the new system.

But there's another important factor to consider in terms of economics. The business of the United States has previously involved both state legislatures and Congress. Congress has made demands that the state legislatures had to fulfill. As a result, the sessions of the state legislatures have often lasted much longer than necessary for handling only local issues. Often, more than half of their time has been spent on matters related to the United States. The members of the several state legislatures number over two thousand, who have been doing what, under the new system, will first be handled by sixty-five people, and probably not more than a quarter or fifth of that number in the future. Congress under the proposed government will handle all the business of the United States directly, without the involvement of state legislatures, which will only need to focus on their own state affairs and won't have to meet as long as they have in the past. This reduction in the duration of state legislative sessions will be a clear benefit, and will provide savings that can offset any additional costs that might arise from adopting the new system.

The result from these observations is that the sources of additional expense from the establishment of the proposed Constitution are much fewer than may have been imagined; that they are counterbalanced by considerable objects of saving; and that while it is questionable on which side the scale will preponderate, it is certain that a government less expensive would be incompetent to the purposes of the Union.

The results from these observations show that the sources of extra costs from implementing the proposed Constitution are much fewer than might have been expected; they are offset by significant savings; and while it's uncertain which way the balance will tip, it is clear that a less expensive government would be unable to fulfill the needs of the Union.

PUBLIUS

PUBLIUS

1. Vide Blackstone's Commentaries, Vol. 1, p. 136.

1. See Blackstone's Commentaries, Vol. 1, p. 136.

2. Idem, Vol. 4, p. 438.

2. Idem, Vol. 4, p. 438.

3. To show that there is a power in the Constitution by which the liberty of the press may be affected, recourse has been had to the power of taxation. It is said that duties may be laid upon the publications so high as to amount to a prohibition. I know not by what logic it could be maintained, that the declarations in the State constitutions, in favor of the freedom of the press, would be a constitutional impediment to the imposition of duties upon publications by the State legislatures. It cannot certainly be pretended that any degree of duties, however low, would be an abridgment of the liberty of the press. We know that newspapers are taxed in Great Britain, and yet it is notorious that the press nowhere enjoys greater liberty than in that country. And if duties of any kind may be laid without a violation of that liberty, it is evident that the extent must depend on legislative discretion, respecting the liberty of the press, will give it no greater security than it will have without them. The same invasions of it may be effected under the State constitutions which contain those declarations through the means of taxation, as under the proposed Constitution, which has nothing of the kind. It would be quite as significant to declare that government ought to be free, that taxes ought not to be excessive, etc., as that the liberty of the press ought not to be restrained.

3. To demonstrate that there's a power in the Constitution that can affect the freedom of the press, the power of taxation has been referenced. It's argued that taxes could be imposed on publications at such a level that it would essentially ban them. I don’t understand how anyone could logically argue that the statements in state constitutions supporting freedom of the press would prevent state legislatures from imposing taxes on publications. It certainly can’t be claimed that any level of tax, no matter how small, would limit the freedom of the press. We know that newspapers are taxed in Great Britain, yet it’s widely recognized that the press has more freedom there than anywhere else. If taxes can be imposed without violating that freedom, it’s clear that the extent of those taxes can depend on what the legislature decides, and the freedom of the press won’t have any more protection with taxes than without them. Similar infringements can occur under state constitutions that include those declarations through taxation, just as they can under the proposed Constitution, which doesn’t include anything like that. It would be just as meaningful to say that government should be free or that taxes shouldn’t be excessive as to say that the freedom of the press shouldn’t be restricted.

4. Vide Rutherford's Institutes, Vol. 2, Book II, Chapter X, Sections XIV and XV. Vide also Grotius, Book II, Chapter IX, Sections VIII and IX.

4. See Rutherford's Institutes, Vol. 2, Book II, Chapter X, Sections XIV and XV. Also see Grotius, Book II, Chapter IX, Sections VIII and IX.





FEDERALIST No. 85. Concluding Remarks

From MCLEAN's Edition, New York. Wednesday, May 28, 1788

HAMILTON

HAMILTON

To the People of the State of New York:

To the people of New York:

ACCORDING to the formal division of the subject of these papers, announced in my first number, there would appear still to remain for discussion two points: "the analogy of the proposed government to your own State constitution," and "the additional security which its adoption will afford to republican government, to liberty, and to property." But these heads have been so fully anticipated and exhausted in the progress of the work, that it would now scarcely be possible to do any thing more than repeat, in a more dilated form, what has been heretofore said, which the advanced stage of the question, and the time already spent upon it, conspire to forbid.

ACCORDING to the structured outline of these papers that I presented in my first issue, there are still two points left to discuss: "how the proposed government is similar to your own State constitution" and "the extra protection its adoption will provide for republican government, liberty, and property." However, these topics have been so thoroughly addressed and covered throughout this work that it would now be nearly impossible to do anything more than restate, in a more detailed way, what has already been discussed, which both the advanced stage of the issue and the time spent on it make impossible.

It is remarkable, that the resemblance of the plan of the convention to the act which organizes the government of this State holds, not less with regard to many of the supposed defects, than to the real excellences of the former. Among the pretended defects are the re-eligibility of the Executive, the want of a council, the omission of a formal bill of rights, the omission of a provision respecting the liberty of the press. These and several others which have been noted in the course of our inquiries are as much chargeable on the existing constitution of this State, as on the one proposed for the Union; and a man must have slender pretensions to consistency, who can rail at the latter for imperfections which he finds no difficulty in excusing in the former. Nor indeed can there be a better proof of the insincerity and affectation of some of the zealous adversaries of the plan of the convention among us, who profess to be the devoted admirers of the government under which they live, than the fury with which they have attacked that plan, for matters in regard to which our own constitution is equally or perhaps more vulnerable.

It's striking that the similarities between the convention's plan and the act that sets up the government of this State are evident, not only in terms of many of the supposed flaws but also the actual strengths of the former. Among the alleged flaws are the ability to re-elect the Executive, the lack of a council, the absence of a formal bill of rights, and the lack of a provision concerning freedom of the press. These and several other issues noted during our discussions are just as applicable to the current constitution of this State as they are to the one suggested for the Union; someone must have weak claims to consistency if they can criticize the latter for errors they easily overlook in the former. In fact, there can be no clearer proof of the insincerity and pretentiousness of some of the passionate opponents of the convention's plan among us, who claim to be devoted supporters of the government they live under, than the intensity with which they have attacked that plan over issues where our own constitution is just as vulnerable, or maybe even more so.

The additional securities to republican government, to liberty and to property, to be derived from the adoption of the plan under consideration, consist chiefly in the restraints which the preservation of the Union will impose on local factions and insurrections, and on the ambition of powerful individuals in single States, who may acquire credit and influence enough, from leaders and favorites, to become the despots of the people; in the diminution of the opportunities to foreign intrigue, which the dissolution of the Confederacy would invite and facilitate; in the prevention of extensive military establishments, which could not fail to grow out of wars between the States in a disunited situation; in the express guaranty of a republican form of government to each; in the absolute and universal exclusion of titles of nobility; and in the precautions against the repetition of those practices on the part of the State governments which have undermined the foundations of property and credit, have planted mutual distrust in the breasts of all classes of citizens, and have occasioned an almost universal prostration of morals.

The extra protections for republican government, liberty, and property that come from adopting the plan being discussed mainly include the limits that preserving the Union will place on local factions and uprisings, as well as on the ambitions of powerful individuals in individual states who might gain enough influence and support to become tyrants over the people. It also includes reducing the chances for foreign interference, which the breakup of the Confederacy would encourage and make easier; preventing large military forces that would likely arise from conflicts between states if they were divided; providing a clear guarantee of a republican form of government for each state; completely and universally barring titles of nobility; and measures to prevent state governments from repeating actions that have weakened property rights and credit, fostered mutual distrust among all social classes, and led to widespread moral decline.

Thus have I, fellow-citizens, executed the task I had assigned to myself; with what success, your conduct must determine. I trust at least you will admit that I have not failed in the assurance I gave you respecting the spirit with which my endeavors should be conducted. I have addressed myself purely to your judgments, and have studiously avoided those asperities which are too apt to disgrace political disputants of all parties, and which have been not a little provoked by the language and conduct of the opponents of the Constitution. The charge of a conspiracy against the liberties of the people, which has been indiscriminately brought against the advocates of the plan, has something in it too wanton and too malignant, not to excite the indignation of every man who feels in his own bosom a refutation of the calumny. The perpetual changes which have been rung upon the wealthy, the well-born, and the great, have been such as to inspire the disgust of all sensible men. And the unwarrantable concealments and misrepresentations which have been in various ways practiced to keep the truth from the public eye, have been of a nature to demand the reprobation of all honest men. It is not impossible that these circumstances may have occasionally betrayed me into intemperances of expression which I did not intend; it is certain that I have frequently felt a struggle between sensibility and moderation; and if the former has in some instances prevailed, it must be my excuse that it has been neither often nor much.

So, fellow citizens, I have completed the task I set for myself; how successful I've been is up to you to decide. I hope you can agree that I’ve kept my promise about the spirit in which I approached my efforts. I have focused solely on your judgments and have purposely stayed away from the harshness that often taints political debates from all sides, which has been stirred up by the comments and actions of those against the Constitution. The accusation of a conspiracy against the people's freedoms, carelessly thrown at the supporters of the plan, is so outrageous and nasty that it should anger anyone who knows, in their heart, it’s a falsehood. The constant barrage against the wealthy, the elite, and the influential has disgusted all reasonable people. Moreover, the unjust hiding and twisting of facts to keep the truth from the public deserve the condemnation of all decent people. It's possible that these circumstances have occasionally led me to express myself more forcefully than I intended; I’ve often found myself torn between being sensitive and being moderate; if the former has sometimes won out, I can only say that it hasn’t happened too often or to too great an extent.

Let us now pause and ask ourselves whether, in the course of these papers, the proposed Constitution has not been satisfactorily vindicated from the aspersions thrown upon it; and whether it has not been shown to be worthy of the public approbation, and necessary to the public safety and prosperity. Every man is bound to answer these questions to himself, according to the best of his conscience and understanding, and to act agreeably to the genuine and sober dictates of his judgment. This is a duty from which nothing can give him a dispensation. 'T is one that he is called upon, nay, constrained by all the obligations that form the bands of society, to discharge sincerely and honestly. No partial motive, no particular interest, no pride of opinion, no temporary passion or prejudice, will justify to himself, to his country, or to his posterity, an improper election of the part he is to act. Let him beware of an obstinate adherence to party; let him reflect that the object upon which he is to decide is not a particular interest of the community, but the very existence of the nation; and let him remember that a majority of America has already given its sanction to the plan which he is to approve or reject.

Let's take a moment to consider whether, throughout these papers, the proposed Constitution has been adequately defended against the criticisms directed at it; and whether it has been demonstrated to be deserving of public support and essential for the safety and prosperity of the people. Each person must answer these questions for themselves, based on their own conscience and understanding, and act according to the true and rational guidance of their judgment. This is a duty that cannot be waived. It is one that every individual is compelled, by all the obligations that hold society together, to fulfill sincerely and honestly. No selfish motives, personal interests, stubborn pride in one's opinion, or fleeting emotions and biases will justify an inappropriate choice for the role he must play, whether to himself, his country, or his future generations. He should be cautious about clinging stubbornly to a party; he must recognize that the decision he is making is not just about a specific interest within the community, but about the very survival of the nation; and he should remember that a majority of Americans have already approved the plan he is about to endorse or dismiss.

I shall not dissemble that I feel an entire confidence in the arguments which recommend the proposed system to your adoption, and that I am unable to discern any real force in those by which it has been opposed. I am persuaded that it is the best which our political situation, habits, and opinions will admit, and superior to any the revolution has produced.

I won’t pretend that I have complete confidence in the arguments that support the proposed system for your approval, and I can’t see any real strength in the ones opposing it. I believe it’s the best option considering our political situation, habits, and opinions, and better than anything the revolution has produced.

Concessions on the part of the friends of the plan, that it has not a claim to absolute perfection, have afforded matter of no small triumph to its enemies. "Why," say they, "should we adopt an imperfect thing? Why not amend it and make it perfect before it is irrevocably established?" This may be plausible enough, but it is only plausible. In the first place I remark, that the extent of these concessions has been greatly exaggerated. They have been stated as amounting to an admission that the plan is radically defective, and that without material alterations the rights and the interests of the community cannot be safely confided to it. This, as far as I have understood the meaning of those who make the concessions, is an entire perversion of their sense. No advocate of the measure can be found, who will not declare as his sentiment, that the system, though it may not be perfect in every part, is, upon the whole, a good one; is the best that the present views and circumstances of the country will permit; and is such an one as promises every species of security which a reasonable people can desire.

Concessions from the supporters of the plan, acknowledging that it isn't absolutely perfect, have given its opponents a sense of victory. "Why," they argue, "should we accept something flawed? Why not fix it to make it perfect before it's permanently established?" While this reasoning might sound reasonable, it's only that—sound. First, I want to point out that the extent of these concessions has been greatly exaggerated. They've been interpreted as an admission that the plan is fundamentally flawed and that without significant changes, the rights and interests of the community cannot be safely entrusted to it. This, as far as I understand those who have made the concessions, completely misrepresents their intent. No supporter of the measure would argue that, although the system may not be perfect in every aspect, it is overall a good one; it is the best option given the current views and circumstances of the country; and it offers every kind of security that a reasonable people could want.

I answer in the next place, that I should esteem it the extreme of imprudence to prolong the precarious state of our national affairs, and to expose the Union to the jeopardy of successive experiments, in the chimerical pursuit of a perfect plan. I never expect to see a perfect work from imperfect man. The result of the deliberations of all collective bodies must necessarily be a compound, as well of the errors and prejudices, as of the good sense and wisdom, of the individuals of whom they are composed. The compacts which are to embrace thirteen distinct States in a common bond of amity and union, must as necessarily be a compromise of as many dissimilar interests and inclinations. How can perfection spring from such materials?

I believe it's incredibly imprudent to keep our national situation in such a fragile state and to put the Union at risk by trying out one impractical idea after another in the unrealistic quest for a perfect plan. I don’t expect to see anything flawless created by imperfect humans. The results from any group’s discussions will always include a mix of errors and biases along with the good judgment and wisdom of its members. Any agreements made to bind thirteen different states together in friendship and unity will inevitably involve a compromise of various interests and tendencies. How can we expect perfection to come from such diverse elements?

The reasons assigned in an excellent little pamphlet lately published in this city,(1) are unanswerable to show the utter improbability of assembling a new convention, under circumstances in any degree so favorable to a happy issue, as those in which the late convention met, deliberated, and concluded. I will not repeat the arguments there used, as I presume the production itself has had an extensive circulation. It is certainly well worthy the perusal of every friend to his country. There is, however, one point of light in which the subject of amendments still remains to be considered, and in which it has not yet been exhibited to public view. I cannot resolve to conclude without first taking a survey of it in this aspect.

The reasons laid out in a great little pamphlet recently published in this city are impossible to counter and demonstrate how unlikely it is to gather a new convention under circumstances as favorable for a positive outcome as those in which the last convention met, discussed, and finished its work. I won’t repeat the arguments made there, as I assume the pamphlet has circulated widely. It is definitely worth reading for anyone who cares about their country. However, there is still one perspective on the topic of amendments that remains to be explored, and it hasn’t been presented to the public yet. I can't bring myself to wrap up without first examining it from this viewpoint.

It appears to me susceptible of absolute demonstration, that it will be far more easy to obtain subsequent than previous amendments to the Constitution. The moment an alteration is made in the present plan, it becomes, to the purpose of adoption, a new one, and must undergo a new decision of each State. To its complete establishment throughout the Union, it will therefore require the concurrence of thirteen States. If, on the contrary, the Constitution proposed should once be ratified by all the States as it stands, alterations in it may at any time be effected by nine States. Here, then, the chances are as thirteen to nine(2) in favor of subsequent amendment, rather than of the original adoption of an entire system.

It seems clear to me that it will be much easier to make amendments to the Constitution in the future than to get it approved in the first place. Once a change is made to the current plan, it becomes a new proposal and will need a fresh decision from each State. To be fully established across the Union, it would then require approval from all thirteen States. On the other hand, if the proposed Constitution is ratified by all the States as it is, changes can be made at any time with the agreement of just nine States. So, the odds are thirteen to nine in favor of making future amendments rather than in getting the original system adopted.

This is not all. Every Constitution for the United States must inevitably consist of a great variety of particulars, in which thirteen independent States are to be accommodated in their interests or opinions of interest. We may of course expect to see, in any body of men charged with its original formation, very different combinations of the parts upon different points. Many of those who form a majority on one question, may become the minority on a second, and an association dissimilar to either may constitute the majority on a third. Hence the necessity of moulding and arranging all the particulars which are to compose the whole, in such a manner as to satisfy all the parties to the compact; and hence, also, an immense multiplication of difficulties and casualties in obtaining the collective assent to a final act. The degree of that multiplication must evidently be in a ratio to the number of particulars and the number of parties.

This isn't everything. Every Constitution for the United States will inevitably include a wide range of details to accommodate the interests or opinions of thirteen independent States. We can expect that any group tasked with its original creation will have very different combinations of views on various issues. Those who are in the majority on one issue might find themselves in the minority on another, and a completely different group may make up the majority on yet another. This creates the necessity of shaping and organizing all the details that make up the whole in a way that satisfies all parties involved in the agreement. It also leads to a significant increase in difficulties and challenges in getting everyone to agree on a final decision. The extent of this increase will clearly relate to both the number of details and the number of parties involved.

But every amendment to the Constitution, if once established, would be a single proposition, and might be brought forward singly. There would then be no necessity for management or compromise, in relation to any other point—no giving nor taking. The will of the requisite number would at once bring the matter to a decisive issue. And consequently, whenever nine, or rather ten States, were united in the desire of a particular amendment, that amendment must infallibly take place. There can, therefore, be no comparison between the facility of affecting an amendment, and that of establishing in the first instance a complete Constitution.

But every amendment to the Constitution, once established, would stand alone and could be proposed individually. There wouldn't be any need for negotiation or compromise regarding any other issue—no give-and-take. The will of the required number would immediately bring the matter to a clear conclusion. So, whenever nine, or even ten States, were united in support of a specific amendment, that amendment would inevitably be adopted. Therefore, there’s no comparison between how easy it is to make an amendment and how challenging it is to create an entire Constitution from the beginning.

In opposition to the probability of subsequent amendments, it has been urged that the persons delegated to the administration of the national government will always be disinclined to yield up any portion of the authority of which they were once possessed. For my own part I acknowledge a thorough conviction that any amendments which may, upon mature consideration, be thought useful, will be applicable to the organization of the government, not to the mass of its powers; and on this account alone, I think there is no weight in the observation just stated. I also think there is little weight in it on another account. The intrinsic difficulty of governing THIRTEEN STATES at any rate, independent of calculations upon an ordinary degree of public spirit and integrity, will, in my opinion constantly impose on the national rulers the necessity of a spirit of accommodation to the reasonable expectations of their constituents. But there is yet a further consideration, which proves beyond the possibility of a doubt, that the observation is futile. It is this that the national rulers, whenever nine States concur, will have no option upon the subject. By the fifth article of the plan, the Congress will be obliged "on the application of the legislatures of two thirds of the States (which at present amount to nine), to call a convention for proposing amendments, which shall be valid, to all intents and purposes, as part of the Constitution, when ratified by the legislatures of three fourths of the States, or by conventions in three fourths thereof." The words of this article are peremptory. The Congress "shall call a convention." Nothing in this particular is left to the discretion of that body. And of consequence, all the declamation about the disinclination to a change vanishes in air. Nor however difficult it may be supposed to unite two thirds or three fourths of the State legislatures, in amendments which may affect local interests, can there be any room to apprehend any such difficulty in a union on points which are merely relative to the general liberty or security of the people. We may safely rely on the disposition of the State legislatures to erect barriers against the encroachments of the national authority.

In contrast to the chance of future amendments, it has been argued that those in charge of running the national government will always be reluctant to give up any part of the power they once held. Personally, I firmly believe that any amendments deemed beneficial after careful thought will relate to the organization of the government, not to the extent of its powers; for this reason, I think the previous claim lacks merit. I also believe it has little validity for another reason. The inherent challenge of governing THIRTEEN STATES, regardless of expectations for public spirit and integrity, will, in my opinion, continually require national leaders to accommodate the reasonable needs of their constituents. Additionally, there's another factor that clearly shows this argument is pointless. That is, the national leaders, whenever nine States agree, will have no choice in the matter. According to the fifth article of the plan, Congress will be required "upon the application of the legislatures of two-thirds of the States (which currently equals nine), to call a convention for proposing amendments, which shall be valid, to all intents and purposes, as part of the Constitution, when ratified by the legislatures of three-fourths of the States, or by conventions in three-fourths thereof." The language of this article is definitive. Congress "shall call a convention." Nothing in this regard is left to their discretion. As a result, all the talk about reluctance to make changes disappears. And even though it might be considered difficult to unite two-thirds or three-fourths of the State legislatures on amendments affecting local interests, there shouldn't be any concern about such difficulty when it comes to matters that simply relate to the general freedom or security of the people. We can confidently depend on the willingness of the State legislatures to set up safeguards against the overreach of national authority.

If the foregoing argument is a fallacy, certain it is that I am myself deceived by it, for it is, in my conception, one of those rare instances in which a political truth can be brought to the test of a mathematical demonstration. Those who see the matter in the same light with me, however zealous they may be for amendments, must agree in the propriety of a previous adoption, as the most direct road to their own object.

If the argument above is flawed, then I must be deceived by it too, because I believe it's one of those rare cases where a political truth can be tested mathematically. Those who share my perspective, regardless of how passionate they are about changes, should agree that adopting this first is the best way to achieve their goals.

The zeal for attempts to amend, prior to the establishment of the Constitution, must abate in every man who is ready to accede to the truth of the following observations of a writer equally solid and ingenious: "To balance a large state or society (says he), whether monarchical or republican, on general laws, is a work of so great difficulty, that no human genius, however comprehensive, is able, by the mere dint of reason and reflection, to effect it. The judgments of many must unite in the work; EXPERIENCE must guide their labor; TIME must bring it to perfection, and the FEELING of inconveniences must correct the mistakes which they inevitably fall into in their first trials and experiments."(3) These judicious reflections contain a lesson of moderation to all the sincere lovers of the Union, and ought to put them upon their guard against hazarding anarchy, civil war, a perpetual alienation of the States from each other, and perhaps the military despotism of a victorious demagogue, in the pursuit of what they are not likely to obtain, but from TIME and EXPERIENCE. It may be in me a defect of political fortitude, but I acknowledge that I cannot entertain an equal tranquillity with those who affect to treat the dangers of a longer continuance in our present situation as imaginary. A NATION, without a NATIONAL GOVERNMENT, is, in my view, an awful spectacle. The establishment of a Constitution, in time of profound peace, by the voluntary consent of a whole people, is a PRODIGY, to the completion of which I look forward with trembling anxiety. I can reconcile it to no rules of prudence to let go the hold we now have, in so arduous an enterprise, upon seven out of the thirteen States, and after having passed over so considerable a part of the ground, to recommence the course. I dread the more the consequences of new attempts, because I know that POWERFUL INDIVIDUALS, in this and in other States, are enemies to a general national government in every possible shape.

The enthusiasm for trying to make changes before the Constitution was established should diminish for anyone who is willing to accept the truth of a thoughtful writer’s observations: "Balancing a large state or society (whether it's monarchy or republic) by general laws is incredibly difficult, and no human intellect, no matter how brilliant, can achieve it just through reason and reflection alone. It requires the combined judgment of many; EXPERIENCE must guide their work; TIME must refine it, and the FEELING of issues must correct the mistakes made in their initial efforts." These wise thoughts serve as a reminder to all true supporters of the Union, urging them to be cautious and avoid risking anarchy, civil war, a continuous separation of the States from one another, and possibly a military dictatorship under a victorious demagogue, all in the pursuit of something they’re unlikely to achieve except through TIME and EXPERIENCE. I admit that I may lack political courage, but I cannot share the calm of those who dismiss the dangers of remaining in our current situation as imaginary. A NATION without a NATIONAL GOVERNMENT is, to me, a terrifying sight. The creation of a Constitution during a time of complete peace, with the voluntary agreement of the entire population, is a MIRACLE, and I look forward to it with anxious anticipation. I cannot see the wisdom in letting go of the progress we have made with seven out of the thirteen States, and after covering so much ground, starting over again. I fear the consequences of new efforts even more because I know that POWERFUL INDIVIDUALS, in this State and others, oppose any form of a general national government.

PUBLIUS

PUBLIUS

1. Entitled "An Address to the People of the State of New York."

1. Titled "A Message to the People of New York."

2. It may rather be said TEN, for though two thirds may set on foot the measure, three fourths must ratify.

2. It might actually be more accurate to say TEN, because while two-thirds can initiate the measure, three-fourths must approve it.

3. Hume's Essays, Vol. I, p. 128: "The Rise of Arts and Sciences."

3. Hume's Essays, Vol. I, p. 128: "The Rise of Arts and Sciences."


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