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.
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.
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.
"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.
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.
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.
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.
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.
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 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.
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.
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.
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.
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
To the People of the State of New York:
THE SECOND point to be examined is, whether the convention were
authorized to frame 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 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 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:
"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."
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 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.
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.
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.
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?
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.
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.
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.
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.
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.