Difference between revisions of "The Federalist Papers"

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The Federalist Papers originated as a series of articles in a New York newspaper in 1787–88. Published anonymously under the pen name of “Publius,” they were written primarily for instrumental political purposes: to promote ratification of the Constitution and defend it against its critics.

Initiated by Alexander Hamilton, the series came to eighty-five articles, the majority by Hamilton himself, twenty-six by James Madison, and five by John Jay. The Federalist was the title under which Hamilton collected the papers for publication as a book.

Despite their polemical origin, the papers are widely viewed as the best work of political philosophy produced in the United States, and as the best expositions of the Constitution to be found amidst all the ratification debates. They are frequently cited for discerning the meaning of the Constitution and the intentions of the founders, although Hamilton’s papers are not always reliable as an exposition of his views: in The Federalist, Hamilton took care to avoid coming out clearly with his views on either the inadequacies of the Constitution or the potentiality for using it dynamically. Instead, he expressed himself indirectly, arguing that the only real danger would arise from the potential weaknesses of the central government under the Constitution, not from its potentialities for greater strength as charged by its opponents. Despite this, The Federalist can be and frequently has been referred to for its exposition of Hamilton’s position on executive authority, judicial review, and other institutional aspects of the Constitution.

The Federalist Papers are also admired abroad—sometimes more than in the United States. Hamilton is held in high esteem abroad: while in America his realist style is received with suspicion of undemocratic intentions, abroad it is taken as a reassurance of solidity, and it is the Jeffersonian idealist style that is received with suspicion of hidden intentions. The Federalist Papers are studied by jurists and legal scholars and cited for writing other countries’ constitutions. In this capacity they have played a significant role in the spread of federal, democratic, and constitutional governments around the world.

MODERN FEDERATION AS EXPOUNDED BY THE FEDERALIST

The Federalist Papers defended a new form of federalism: what it called “federation” as differentiated from “confederation.” There were precursors for this usage; The Federalist Papers solidified it. All subsequent federalism has been influenced by the example of “federation” in the United States; indeed, the success of it in the United States has led to its being known as “modern federation” in contrast to “classical confederation.” In its basic structures and principles, it has served as the model for most subsequent federal unions, as well as for the reform of older confederacies such as Switzerland.

The main distinguishing characteristics of the model of modern federation, elucidated and defended by The Federalist Papers, are as follows:

1. The federal government’s most important figures, the legislative, are elected largely by the individual citizens, rather than being primarily selected by the governments of member states as in confederation.

2. Conversely, federal law applies directly to individuals, through federal courts and agencies, rather than to member states as in confederation.

3. State citizens become also federal citizens, and naturalization criteria are established federally.

4. The federal Constitution and federal laws and treaties are the supreme law of the land, over and above state constitutions and laws.

5. Federal powers are enumerated, along with what came to be called an “Elastic Clause” (the authority to take measures “necessary and proper” for implementing its enumerated powers); the states keep the vast range of “reserved” powers, that is, the unspecified generality of other potential governmental powers. States cannot act where the federal government is assigned exclusive competence, nor where preempted by lawful federal action; they are specifically excluded from independent foreign relations, from maintaining an army or navy, from interfering with money, and from disrupting contracts or imposing tariffs.

6. Federal and state laws operate in parallel or as “coordinate” powers, each applying directly to individual citizens, rather than acting primarily through or with dependence on one another.

This “coordinate” method applies only to the “vertical” division of powers between federal and state governments, not to the “horizontal” or “functional” division of federal powers into executive, legislative, and judicial branches. The latter “separation of powers” is made in such a form as to deliberately keep the three branches mutually dependent on one another, so that no one of them can step forth—excepting the executive in emergencies—as a full-fledged authority on its own. This mutual functional dependence within the federal level is considered an assurance of steadiness of the rule of law and lack of arbitrariness; by contrast, obstructionism was feared if there were to remain a relation of dependence upon a vertically separate level of government. Thus the turn to “coordinate” powers, with federal and state operations proceeding autonomously from one another, or what came to be called “coordinate federalism.” This terminology encapsulated the departure from the old confederalism, in which federal government operations had been heavily dependent on the states.

AMBIGUITIES OF COORDINATE FEDERALISM IN THE FEDERALIST

Despite The Federalist’s strong preference for coordinate powers, there are important deviations from it. For example, there are “concurrent” or overlapping powers, such as taxation. This, Hamilton says in The Federalist No. 32, necessarily follows from “the division of sovereign power”: each level of government needs it in order to function with “full vigor” on its own (thus allowing the celebratory formulation for American federalism, “strong States and a strong Federal Government”). Coordinate federalism requires, it turns out, some concurrent powers, not just coordinate powers.

In practice, the deviations from the “coordinate” theory go farther still. For the militia, the state governments have the competence to appoint all the officers and to conduct the training most of the time, but the federal government is authorized to regulate the training and discipline, as well as to place the militia when needed under federal command (a provision defended by Hamilton in The Federalist No. 29). For commercial law, the states draw up the detailed codes, but the federal power to regulate interstate commerce opened the door to broad federal interference with state codes in the twentieth century. In these spheres there is state authority, but it is subordinated to federal authority—a situation close to the traditional hierarchical model, not to the matrix model sometimes used for the coordinate ideal.

While the states are reserved the wider range of powers, the federal government is assigned the prime cuts among the powers. Its competences go to what are usually viewed as core areas of sovereignty—foreign relations, military, and currency—as well as to regulation of some state powers when they get too close to high politics or to interstate concerns. It already formally held most of these competences during the Confederation, but now could carry them out independently of state action. The Federalist Papers advertise this as being the main point of the Constitution: not a fearsome matter of extending the powers of the federal government into newfangled realms, but the unobjectionable matter of rendering its already agreed-upon powers effective. This effectiveness is achieved by adding the key structural characteristic of the modern sovereign state, elaborated by Hobbes in terms not dissimilar to passages in The Federalist: that of penetrating all intermediate levels and reaching down to the individual citizen to derive its authorization and, conversely, to impose its obligations.

In the early years after the Constitution, many federal powers remained dependent de facto on cooperation from the states; The Federalist’s authors worried that the states would use this dependence to whittle away federal powers, and defended the Constitution’s provisions for federal supremacy as a protection against such whittling away. Later it was the states that became more dependent on federal cooperation. There was an undefined potential for developing the powers of the two levels of government in a cooperative or mutually dependent form; in the twentieth century, the federal government developed this into what came to be called “cooperative federalism,” wielding its superior financial resources to influence state policy in the fields of cooperation.

USE AND ABUSE OF THE FEDERALIST

The Federalist Papers have been used with increasing frequency as a guide for interpreting the Constitution. Bernard Bailyn (2003) has counted the frequency and found an almost linear progression: from occasional use by the Supreme Court in the years just after 1789 to more frequent use with every passing stage in American history. Much of this use he regards as abuse of the Papers.

The notes of Madison on the Constitutional Convention of 1787 are in principle a better source for discovering intention, but are less often used than The Federalist. They are harder to read, are harder to systematize, and have a structure of shifting counterpoint rather than consistent exposition. Moreover, they were just notes of debates where people were thinking out loud, not formal polished documents, and got off to a yawning start: they were kept secret for half a century.

The Federalist Papers, while clearer, are often subjected to questionable interpretation. Taking the Papers as gospel shorn from context, the result can be to stand the purpose of the authors on its head.

The crux of the problem is the fact that The Federalist Papers were both polemically vigorous and politically prudent. They were intended to promote ratification of a stronger central government as something that could sustain itself, sink deeper roots, and grow higher capabilities over time. In doing so, they often found it expedient to emphasize how weak the Constitution was and portray it as incapable of being stretched in the ways that opponents feared and proponents sometimes quietly wished. They cannot always be taken at face value.

To locate the original intention of the Constitution itself, the place to start would not be The Federalist Papers, but—as Madison did in The Federalist No. 40—the authorizing resolutions for the Constitutional Convention. There one finds a clear and repeated expression of purpose, namely, to create a stronger federal government, and specifically to “render the federal Constitution adequate to the exigencies of government and the preservation of the Union” (Madison 1788). Next one would have to look at the brief statement of purpose in the preamble of the Constitution. There, the lead purpose is “in Order to form a more perfect Union,” followed by a number of more specific functional purposes understood to be bound up with a more perfect union.

The intention of the wording of the Constitution would be found by looking at the Committee on Style at the Constitutional Convention, a group dominated by centralizing federalists. It took the hard substance of the constitutional plan that had been agreed upon in the months of debate, and proceeded to rewrite it in a soft cautious language, restoring important symbolic phrases of the old confederation in order to assuage the fears of the Convention’s opponents. It helped in ratification, but at the usual cost of PR: obfuscation. Theorists of nullification and secession, such as Calhoun, would later cite the confederal language as proof that each state still retained its sovereignty unchanged.

The original purpose of The Federalist Papers is the least in doubt of the entire series of documents: it was to encourage ratification and answer the critics who argued the Constitution was a blueprint for tyranny. As such, it was prone to carry further the diplomatic disguises already introduced by the Committee on Style. The authors, particularly Hamilton, argued repeatedly that, if anything, the government proposed by the Constitution would be too weak, not too strong. They said this with a purpose, not of restraining it further—as would be done by taking their descriptions of its weaknesses as indications of original intent—but of enabling its strengths to come into play and get reinforced by bonds of habit.

Hamilton in practice opposed “strict constructionism” regarding federal enumerated powers; he generally emphasized the Elastic (“necessary and proper”) Clause in the 1790's. But in The Federalist Papers, Hamilton in No. 33 justifies the Elastic and Supremacy Clauses in cautious, defensive, polemical fashion, denying any elastic intention but only the necessity of defending against what he portrays as the main danger: that of a whittling away of federal power by the states. Madison in No. 44 is slightly more expansive, arguing the necessity of recurrence in any federal constitution to “the doctrine of construction or implication” and warning against the ruinously constrictive construction that the states would end up applying to federal powers in the absence of the Elastic Clause. The logical implication was that either one side or the other—either the federal government or the states—must dominate the process of construing the extent of federal powers, and his preference in 1787–88 was for the federal government to predominate. In The Federalist, he warned against continuing dangers of interposition by the states against federal authority; at the Convention, he had advocated a congressional “negative” on state laws, that is, a federal power of interposition against state laws, as the only way of preventing individual states from flying out of the common orbit. While a legislative negative was rejected at the Convention, a judicial negative was later achieved in practice by the establishment of judicial review under a Federalist-led Supreme Court. Hamilton in The Federalist Nos. 78 and 80 provided support for judicial review, arguing—in defensive form as ever—that it was needed for preventing state encroachments from reducing the Constitution to naught.

The Elastic Clause was a residuum at the end of the Constitutional Convention flowing from the original pre-Convention resolutions. The resolutions called for powers “adequate to the exigencies of the Union”; the Convention met and enumerated the federal powers and structures that it could specifically agree on, then invested the remainder of its mandate into the Elastic and Supremacy Clauses, in which the Constitution makes itself supreme and grants its government all powers “necessary and proper” for carrying out the functions it specifies. There is a direct historical line in this, extending afterward to Hamilton’s broad construction of the Elastic Clause in the 1790's. From beginning to end, the underlying thought is dynamic, to do all that is necessary for union and government. The static, defensive exegesis of the Elastic Clause in The Federalist Papers, and in subsequent conceptions of strict construction, is implausible.

THE FEDERALIST AND THE GLOBAL SPREAD OF MODERN FEDERATION

The success of the modern federation in the United States after 1789 made it the main norm for subsequent federalism. The Federalist Papers provided the template for federation building; Hamilton was celebrated as its greatest evangelist. Switzerland reformed its confederation in 1848 and 1870 along the lines of modern federation. The new Latin American countries also often adopted federal constitutions in this period, although their implementation of federalism, like that of democracy itself, was sketchy.

After 1865, several British emigrant colonies adopted the overall model of modern federation: first the Canadian colonies (despite using the name “confederation”), then the Australian ones (using “commonwealth”), then South Africa (using “union”; there the ideological role of Hamilton and The Federalist was enormous, and the result was almost a unitary state). After 1945, several countries emerging out of the British dependent empire, such as India and Nigeria, adopted variants of modern federation. Defeated Germany and Austria also adopted federal constitutions. Later, other European and Third World countries also federalized their formerly unitary states. The process is by no means finished. Enumerating all the countries that had developed federal elements in their governance, Daniel Elazar concluded in the 1980's that a “federal revolution” was in process.

Once modern federation was known as a solution to the limitations of confederation, there has been less tolerance for the inconsistencies of confederation. Confederalism was a compromise between the extremes of separation and a unitary centralized state, splitting the difference; modern federation is more like a synthesis that upgrades both sides. What in previous millennia could be seen in confederalism as a lesser evil and a reasonable price to pay for avoiding the extremes, after 1787 came to seem like a collection of unnecessary contradictions: and if unnecessary, then also intolerable, once compared to what was available through modern federation.

The Federalist Papers have themselves been the strongest propagators of the view that confederalism is an inherently failed system. They made their case forcefully, not as scholars but as debaters for ratifying the Constitution. Their case was one-sided but had substance. They showed that confederation, even when successful, was working on an emergency basis, or else on a basis of special fortunate circumstances or external pressures. They offered in its place a structure that could work well on an ordinary systematic basis, without incessant crises or fears of collapse or dependence on special circumstances.

In recent years, it has been argued that Swiss confederalism was an impressive success, and so in a sense it was, holding together for half a millennium. Yet half a century after modern federation was invented in the United States, the Swiss found their old confederal system a failure and replaced it with one modeled along the lines of the modern federal one. The description of the old Swiss confederation as a failure became a commonplace; it entered into the realm of patriotic Swiss conviction. The judgment looks too harsh when the length of the two historical experiences are viewed side by side, yet has carried conviction in an evolutionary sense, as the cumulative outcome of historical experience. After the Constitution and The Federalist Papers, confederalism could not remain as successful in terms of longevity as it had been previously; the historical space for it shrank, while new and larger spaces opened up for modern federation. The advance of technology worked in the same direction, increasing interdependence within national territories and making localities more intertwined.

Despite the shrinkage of space for confederation within national bounds, confederation took on new force on another level. The American Union’s survival of the Civil War and consolidation afterwards gave a further impetus to discussion of modern federation, understood not only as a static technique for more sophisticated government within a given space, but also as a dynamic method of uniting people across wider spaces, in order to meet the needs of modern technological progress and the growth of interdependence. International federalist movements emerged after 1865, taking The Federalist Papers as their bible. They gained influence in the face of the world wars of the 1900's, feeding into the development of international organizations ranging from very loose and weak ones to integrative alliances and confederations such as NATO and the EU. The missionary ideology of The Federalist, used by its proponents for pummeling confederation, led on the international level to new confederations. When some (such as the League of Nations) were viewed as failures, further missionary use of The Federalist fed into the formation of still more confederations, often stronger and better conceived but confederations nonetheless, even if (as in the case of the EU) with a genetic plan of evolving into a federation. Federation seemed no less necessary but more difficult than federalist propagandists had suggested. Reflection on this situation led to an academic school of integration theory in the 1950's and 1960's, which treated functionalism and confederation as necessary historical phases in integration; in the neofunctionalist version of the theory it would lead eventually to federation, and in the version of Karl Deutsch it need not move beyond a “pluralistic security-community.” The work of Deutsch tied in with the view that confederation had been a greater success historically than was usually credited; to prove the success of the American confederation, Deutsch and his colleagues cited Merrill Jensen, an historian highly critical of The Federalist and friendly to the Anti-Federalists or Confederalists. Jensen argued that the Articles of Confederation had been a success, contrary to the American patriotic story that paralleled the Swiss one in condemning the confederalist experience. The relevance of The Federalist Papers was seen in this new literature as minimal, except at the final stages of a process that was only beginning and that the Papers themselves mystified as a matter of tactical necessity for getting a difficult decision made. Their exaggerations of the defects of confederalism were highlighted; their argument that only federation would “work” was seen as both a mistake and a diversion from the direction that progress would actually need to take in this era. It was only their normative orientation that was seen as helpful. The very success of The Federalist Papers had led to their partial eclipse. Nevertheless, their eclipse on the supranational level may not be permanent, and their influence on the level of national constitutionalism has remained enormous throughout.

Ira Straus

Last updated: 2006

SEE ALSO: Anti-Federalists; Federalists; Hamilton, Alexander; Madison, James